Completion Report
Project Number: 51028-001 Technical Assistance Number: 9379 August 2020
People’s Republic of China: Comprehensive Hub- Oriented Transportation Strategy for Urumqi Metropolitan Area
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TECHNICAL ASSISTANCE COMPLETION REPORT
TA Number, Country, and Name: Amount Approved: $800,000.00 TA 9379-PRC: Comprehensive Hub-Oriented Transportation Revised Amount: Not applicable Strategy for Urumqi Metropolitan Area Executing Agency: Source of Funding: Amount Undisbursed: Amount Used: Urumqi Urban Comprehensive Technical Assistance $40,300.00 $759,700.00 Transport Project Research Special Fund-other sources Center TA Approval Date: TA Signing Date: TA Completion Date 21 September 2017 30 October 2017 Original Date: Latest Revised Date: 28 February 2019 16 September 2019
Financial Closing Number of Date: Extensions: 4 October 2019 1
TA Type: Nature of Activity: TA Arrangement: Not applicable Knowledge and support TA Policy advice
Description The technical assistance (TA) was prepared to support the Government of the People’s Republic of China (PRC) to prepare a comprehensive hub-oriented transportation strategy for Urumqi metropolitan area (comprised of nine cities: Changji, Fukang, Hutubi, Qitai, Shawan, Shihezi, Turpan, Urumqi, and Wujiaqu) through research and analysis of current and future trends and best practices.
Expected Impact, Outcome, and Output The TA was aligned with the following impacts: (i) build a comprehensive transportation system that connects domestic and international transportation routes, extensively covers both urban and rural areas across regions, incorporates hubs with optimized functions, and provides integrated, efficient services; and (ii) transformation of Xinjiang Uygur Autonomous Region into a hub for transport, trade and logistics, finance, culture, science and education, and medical services. The TA was to have the following outcome: transport and logistics strategies and plans for Urumqi metropolitan area improved.
The output was comprehensive hub-oriented transportation strategy for Urumqi metropolitan area completed. The strategy was to include: (i) the desktop review and case studies focusing on planning documents in the Urumqi metropolitan area, trends in trade, economy, and demographics, and best practices of international comprehensive transport-hub cities; (ii) the transport and logistics outlook requiring data collection and analysis, demand analysis, and forecasting and gap analysis to determine priority areas for development; (iii) the urban transport strategy and the urban logistics strategy both building upon the desktop review and outlook and including monitoring and evaluation indicators, policy recommendations, and action plans; and (iv) the implementation plans involving identifying and prioritizing projects required for the Urumqi metropolitan area’s transition to a comprehensive transport-hub city.
The output aimed to strengthen planning, particularly the intercity linkages, across the Urumqi metropolitan area for (i) public transport and road network development with consideration of transit-oriented development and mode and route preference; and (ii) urban logistics development with a focus on existing locations, potential for clustering and integration, multimodal connectivity, and mode and route preference. The public and private sectors were consulted throughout the TA. The output was to be disseminated digitally.
Implementation Arrangements The planned inputs were to recruit a consulting firm specialized in transport and logistics planning on a lump sum basis, using a quality- and cost-based selection method with quality-cost ratio of 90:10 for 71 person-months of consulting services from December 2017 to February 2019. In March 2018, ADB engaged a firm, a joint venture between David Lupton and Associates and SSF Ingenieure AG / Consulting Engineers, in line with the planned arrangements in the TA report. The consultants implemented the TA over 16 months, from March 2018 to July 2019. A working group of representatives from each of the cities in Urumqi metropolitan area provided guidance to the consultant team throughout the assignment.
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Conduct of Activities The consultants undertook desktop review, developed case studies, developed a transport and logistics outlook and developed urban transport and logistics strategies, as well as implementation plans, as was envisaged in the TA report.
In addition, the consultants conducted three major stakeholder workshops: an interim workshop, a multi-stakeholder workshop and a final workshop. The stakeholder workshops were attended by university professors plus representatives from the Provincial Finance, Commerce, Transport, Railways, and the National Development and Reform Commission. Each workshop was attended by 30 participants, about 40% of whom were female.
The TA was to prepare a comprehensive hub-oriented transportation strategy for Urumqi metropolitan area which is comprised of nine cities: Changji, Fukang, Hutubi, Qitai, Shawan, Shihezi, Turpan, Urumqi, and Wujiaqu. However, the executing agency for the TA was Urumqi Urban Comprehensive Transport Project Research Center (UCTRC) who only has responsibility for Urumqi, and not the other eight cities. As a result, the consultants experienced difficulties in accessing stakeholders outside of Urumqi city which was crucial for the strategy. ADB was able to support in requesting the Xinjiang Department of Finance (DOF) to provide implementation support to the UCTRC and the consultants to foster interactions with the stakeholders outside Urumqi. A multi-stakeholder workshop was fielded and with the assistance of the DOF, the implementation became significantly smoother; however, the initial setback resulted in implementation delays. In 2018, the consultants experienced further delays in access to data and were unable to visit Urumqi in July and August due to government restrictions. This resulted in further delay to TA implementation.
The original TA completion date was 28 February 2019. The TA completion date was automatically revised in the system to 16 June 2019 to coincide with the firm's original contract completion date and was further extended by 3 months to 16 September 2019. The 3-month extension to 16 September 2019 was to (i) allow sufficient time for ADB and the UCTRC to review and provide comments on the final report, (ii) conduct a final stakeholder workshop, and (iii) handover the final report to UCTRC and stakeholders. With the extension of the TA, the consulting firm’s contract was also extended for 1 month until 16 July 2019 at no additional cost. The consultants submitted the inception report to ADB on 29 June 2018, the interim report in January 2019, and the final report was submitted to ADB, incorporating all comments from the government on 4 July 2019.
Technical Assistance Assessment Ratings Criterion Assessment Rating Relevance The TA was relevant as it provided a comprehensive transport and Relevant logistics plan, including a list of projects needed to improve transport and logistics for the nine cities, and a prioritization framework for project selection and implementation which was developed using participatory techniques which involved all key stakeholders. Effectiveness The TA was effective in delivering the outputs and outcome. The Effective outputs included case studies, a transport and logistics outlook, an urban transport strategy, an urban logistics strategy and implementation plans. The outcome was a comprehensive hub- oriented transportation strategy for Urumqi metropolitan area which was accepted by the government in August 2019. The TA added value by introducing a strategic framework and conducting training on new concepts such as integrated planning and logistics hub operations. Further, the consultants were able to bring the nine cities together to avoid silo-based planning and develop an integrated transport and logistics strategy and project plan which strengthened planning, particularly the intercity linkages, across the Urumqi metropolitan area. Efficiency The TA was efficient in delivering the outputs and outcome. The Efficient outputs were delivered within the estimated budget, and although the timeframe was extended, the overall extension was only 7 months, and the consultants submitted the reports, and these were adopted by the government in 2019. The consultants experienced delays in gaining access to key documentation and data as the executing agency only had jurisdiction in Urumqi and was not able to gather the key stakeholders from the other 8 cities. Although this was remedied through the involvement of the provincial DOF, it contributed to slight delays along with the unanticipated request for all deliverables to be in both English and Chinese as well as difficulties in traveling to Xinjiang province at that time. However, these delays were out of the control of the executing agency, the extension was only seven
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Criterion Assessment Rating months and there were no cost implications, hence the TA implementation can be considered efficient. Overall The TA is rated as successful. The TA produced the intended Successful Assessment outcome and outputs. The outcome, a comprehensive hub-oriented transportation strategy, was adopted by the key stakeholders of the 9 cities and the implementation plans were used as a basis for the development of the city governments’ 14th five-year plan (FYP) which will result in its implementation and lead to sustainability of the TA. Sustainability The outcomes are likely sustainable. The stakeholders were actively Most likely sustainable consulted in the development of the strategy, prioritization framework and project implementation plans, building ownership over the outcome. The implementation plans and project prioritization framework have been accepted by the government and were key inputs into the 14th FYP. As it has become part of the 14th FYP it is most likely sustainable.
Lessons Learned and Recommendations Design and/or The TA was designed to draw lessons from international case studies and relied heavily on planning international consultants. Although this has its merits, the importance of being able to localize these case studies to the context of the Urumqi Metropolitan Area, and to have the reports in Chinese was underestimated in the initial design. The inclusion of local technical experts such as university professors may have helped to improve the localization aspects of the design, and improved communication in both Chinese and English. Implementation During implementation, it became clear that the executing agency did not have sufficient and/or delivery influence or authority to be able to effectively gather insights and information from key stakeholders as needed for the TA. The involvement of the DOF was crucial to the TA’s effectiveness. Involving the DOF as executing agency would have likely led to more efficient delivery of the TA. Further, the UCTRC was not familiar with ADB or the purpose of ADB technical assistance. As ADB continues to work with lower level organizations or more provincial organizations, it is important for the Ministry of Finance to clearly explain ADB’s procedures and build capacity of the agencies with respect to working with ADB before or shortly after country programming. Knowledge building Effective transport and logistics planning require a multi-stakeholder approach, particularly in a central hub and trade location such as Urumqi. Therefore, capacity building and knowledge sharing needed to bridge across multiple departments and agencies outside of UCTRC and Urumqi city that usually do not work together or share plans and data. The use of participatory, multi-stakeholder workshops and training sessions enabled the consultants to gain stakeholder feedback and understand the priorities from government departments outside of UCTRC. These workshops also enabled effective knowledge sharing between government departments that usually operate and conduct strategic planning in isolation of one another. This approach has resulted in effective capacity and institutional strengthening related to the importance of collaboration and information sharing. Stakeholder The multi-stakeholder workshops held as part of this TA were crucial to building support and participation ownership of the consultant’s recommendations among the diverse group of stakeholders. Recognizing this, the consultants organized additional stakeholder workshops, beyond their initial terms of reference. This has led to likely sustainability of the TA outcome, as the different agencies have adopted recommendations from the report and implementation plans in the 14th FYP. This demonstrates that the participatory development of strategies and plans is key to their success and support from stakeholders.
Follow-up Actions A key success factor for the design, financing and operation of logistics hubs is close cooperation between the public and private sectors. To facilitate such cooperation, it is recommended that the government consider establishing a mechanism or body for promoting dialogue between the public and private sector on financing and implementing the strategy’s priority investment plans and projects.
Prepared by: Designation and Division: Rebecca Stapleton Transport Specialist, Sustainable Infrastructure Division
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DESIGN AND MONITORING FRAMEWORK
Impacts
Build a comprehensive transportation system that connects domestic and international transportation routes, extensively covers both urban and rural areas across regions, incorporates hubs with optimized functions, and provides integrated, efficient services (The Thirteenth Five-Year Plan for National Economic and Social Development)a
Transformation of Xinjiang Uygur Autonomous Region into a hub for transport, trade and logistics, finance, culture, science and education, and medical services achieved (to support the Central Asia Regional Economic Program and the Vision and Actions on Jointly Building Silk Road Economic Belt and the 21st century Maritime Silk Road)b
Performance Indicators with Results Chain Targets and Baselines Achievements Outcome Transport and logistics strategies and A comprehensive hub-oriented Strategy accepted by the plans for Urumqi metropolitan area transportation strategy for Urumqi government in August 2019. improved metropolitan area accepted by the government by March 2019 (2016 baseline: NA) Output 1. Comprehensive hub-oriented 1a. Desktop review and case 1a. Completed and submitted to transportation strategy for Urumqi studies completed by March 2018 ADB and UCTRC in June 2018. metropolitan area completed (2016 baseline: 0) 1b. Transport and logistics outlook completed by June 2018 (2016 1b. Completed and submitted to baseline: 0) ADB and UCTRC in June 2018. 1c. Urban transport strategy 1c. Consultant’s contract indicated completed by September 2018 January 2019. Completed and (2016 baseline: 0) submitted to ADB and UCTRC in December 2018. 1d. Urban logistics strategy 1d. Consultant’s contract indicated completed by October 2018 (2016 January 2019. Completed and baseline: 0) submitted to ADB and UCTRC in December 2018. 1e. Implementation plans 1e. Consultant’s contract indicated completed by December 2018 March 2019. Completed and (2016 baseline: 0) submitted to ADB May 2019. Actual Key Activities with Milestones
1. Desktop review and case studies (March 2018) 1.1 Review planning documents for each city within the Urumqi metropolitan area and trends in trade, economy, and demographics. Completed 1.2 Review CTC, best practices, and lessons. Completed 1.3 Review detailed case studies of national and international CTCs and logistics hubs to identify challenges and solutions for Urumqi. Completed 2. Transport and logistics outlook (June 2018) 2.1 Collect and analyze passenger and freight data, capacity, and throughput of existing and planned facilities, including consultations with public and private sectors. Completed 2.2 Analyze development and investment plans and infrastructure and identify bottlenecks and capacity constraints based on expected growth through expanded RCI-related trade. Completed 2.3 Develop demand analysis and forecasting for each city’s urban transport and logistics. Completed 2.4 Conduct gap analysis to determine priority areas for development. Completed
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3. Urban transport strategy (September 2018) 3.1 Develop an overall strategy for public transport (intercity and intracity) and road network development, considering transit-oriented development and mode and route preference. Completed 3.2 Identify M&E indicators. Completed 3.3 Develop policy recommendations. Completed 3.4 Develop plans for public transport. Completed 4. Urban logistics strategy (October 2018) 4.1 Develop an urban logistics strategy with focus on location, potential for clustering and multimodal connectivity, and mode and route preference. Completed 4.2 Identify M&E indicators. Completed 4.3 Develop policy recommendations, particularly for multimodal management. Completed 4.4 Develop plans for urban logistics. Completed 5. Implementation plan (December 2018) 5.1 Develop a longlist of projects required to enable the strategies. Completed 5.2 Identify the process and conduct prioritization of projects. Completed 5.3 Identify the necessary organization structure and coordination among government agencies. Completed
Actual Inputs Asian Development Bank: $759,700 The government provided counterpart support in the form of professional and support staff; materials, maps, available data, and documents required by the TA; and other in-kind contributions. ADB = Asian Development Bank, CTC = comprehensive transport-hub city, M&E = monitoring and evaluation, NA = not applicable, RCI = regional cooperation and integration, TA = technical assistance, UCTRC = Urumqi Urban Comprehensive Transport Research Center. a Government of the PRC. 2016. The Thirteenth Five-Year Plan for National Economic and Social Development. Beijing. b Government of the People’s Republic of China, State Council. 2015. Vision and Actions on Jointly Building Silk Road Economic Belt and 21st Century Maritime Silk Road. Beijing. Source: Asian Development Bank.
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TECHNICAL ASSISTANCE COST
Table A2.1: Technical Assistance Cost by Activity ($’000)
Amount Item Original Actual 1. Consultants 719.00 759.70 2. Equipment 5.00 0.00 3. Training, seminars and/or conferences 25.00 0.00 4. Studies 8.00 0.00 5. Miscellaneous TA administration 5.00 0.00 6. Contingency 38.00 0.00 Total 800.00 759.70 TA = technical assistance. Source: Asian Development Bank.
Table A2.2: Technical Assistance Cost by Fund ($’000)
TASF 1. Original 800.00 2. Actual 759.70 3. Unused 40.30 TASF = Technical Assistance Special Fund. Source: Asian Development Bank.