Microenterprise-based routine road maintenance in China 中国基于微型企业模式的公路日常养护

Microenterprise-based routine road maintenance in China中国基于微型企业模式的公路日常养护 First findings and recommendations第一次调查发现和建议 Serge Cartier, December 2007

Types of rural roads农村路类型 • Administrative class行政等级： • 32% county roads县道 • 63% township roads乡道 • 6% village roads村道 • Technical class 技术等级： • Class I, II, III一、二、三级 • Class IV四级 • Unclassified等外路 • Surface type路面类型： • Asphalt 沥青路面 • Concrete 水泥路面 • Unpaved砂石路面 • Based on interest, capacity and financing, this study will focus on paved county roads, both asphalt and concrete 根据大家所关心的问题和养护能力、预算等方面的考虑，本研究将只针对有路面的县道进行微型企业养护模式的开发研究

Major maintenance 大修 Medium maintenance 中修 Minor maintenance 小修 Routine maintenance 日常养护 Rehabilitation 改建工程 Periodic maintenance 定期养护（中修） Minor repairs 小修 Routine (preventative) maintenance日常养护（恢复性的养护） Maintenance types

First findings 第一次调研的发现 • Similar characteristics to microenterprise-based model 与拉美相似的微型企业养护模式 • Standard cost per kilometre 每公里制订标准的养护费用 • Performance-based contracts 按照养护合同要求进行养护 • Penalties for non-compliance 违反合同和养护标准的处罚 • Local contracting 就近委托养护合同 • Selection process for maintenance workers也有养护工人简单的选择程序 • Technical training 也有简单的养护技术培训 • Contracting, financing and supervision by county 县里最终确定养护合同、提供养护资金、进行合同的监督 • However, the technical quality and effectiveness of the maintenance activities is found to be lacking 但是，发现养护技术质量和养护效率较差

Technical quality and effectiveness lacking养护质量和效率较差 Drainage system 排水系统 Road clearing 道路清洁 Surface maintenance 路面养护 Vegetation control 植被清理

Causes 养护质量较差的原因 • Inadequate execution of maintenance activities by workers养护工人的养护活动不足 • Limited scope of maintenance activities 养护工作内容太简单（多为保洁） • Lack of sufficient appropriate tools 缺乏适合的养护工具 • Lack of adequate training 缺乏适当的培训 • Lack of adequate planning of activities and resources 缺乏规划和必要的养护资金 • Performance indicators and penalties not applied 没有进行养护绩效和处罚考核 • Lack of cooperation between maintenance workers 养护工人之间缺乏合作 • Individual contracts 单个工人的养护合同 • Lack of team building or managerial training 缺乏团队精神和管理能力的培养 • Insufficient attention given to maintenance activities 对养护工作不重视 • Labour allocations not based on labour requirements 工人的安排与工人的需要脱节 • Low salaries (low productivity) 工资太低（生产力水平较低） • Lack of sufficient sustainable and continuous financing 缺乏可持续的养护资金 • Insufficient allocation of funding 分配的养路费不足 • Insufficient priority given to routine maintenance 日常养护费用的分配没有足够的优先权

Recommendations for improvement改善现有养护情况的建议 • Improvement and expansion of maintenance activities 扩大养护工人的养护工作内容和范围 • Inclusion of additional maintenance activities 把除了保洁之外的养护内容包含进来 • Increased allocation of tools 增加养护工具的种类和数量 • Improvement of technical training (drainage system) 提高养护技能培训(特别是排水系统) • Proper planning of maintenance activities 对养护活动进行规划，合理安排计划 • Proper application of performance indicators and penalties 对养护绩效按照考核指标进行奖罚 • Organisation of workers into maintenance teams 将单打独斗的养护工人组织起来 • Team contracts 将养护合同授予养护对（而非个人） • Managerial training 增加（对养护队长的）管理培训 • Introduction of differentiated standard costs 引入分类的养护费用标准 • Appropriate average productivity rates (km/worker) 确定合理的平均生产率（km/人） • Appropriate differentiated standard costs per kilometre 确定每公里合适的养护费用标准 • Development of an adequate financing system 开发一个合适的养护预算系统 • Earmarked funding based on the length of the road network 根据养护路网里程确定固定的预算 • Prioritisation of routine maintenance 优先安排日常养护预算

Improvement and expansion of maintenance activities提高和扩大养护范围

Maintenance activities养护活动 • Road clearing 道路保洁 • Cleaning of the drainage system 排水沟清理 • Vegetation control in the right-of-way 植被控制 • Repairs to road shoulders 路肩养护 • Repairs to the road surface 路面维修 • Temporary (stones and soil) 临时性（用沙土） • Permanent (cement or asphalt) 永久性（水泥、沥青） • Minor repairs to roadworks (bridges, retaining walls, culverts, etc.) 道路工程的小修（桥、防护墙、涵洞等） • Conservation of road signs and signalling 道路标志标线的维护 • What activities to include? 其他需要包含进来的养护内容？

Limited types and amount of tools 种类和数量均缺乏的养护工具 Individual allocation个体养护工 What tools to provide and in which quantities?中国养路工需要配备的工具和数量是多少？ Tools and equipment养护工具和装备

Technical training and accompaniment技术培训方面 • Findings调查发现 • Technical training exists, carried out by county staff 由县交通局养护科的人员进行培训 • Unstructured and informal (no training manuals) 都是非正式的和不固定组织的，没有培训手册 • Limited to the different activities to be carried out (no planning or priority setting) 没有培训计划，不重视培训 • Improve technical training received by maintenance workers and teams 改善对养护工人和养护队的培训 • Different road elements, their function and their importance 明确不同道路构成部分的功能和作用、重要性 • Effective and efficient execution of maintenance activities (individual / team) 提高养护工人的效率 • Planning of activities and management of labour and tools by the team 对养护工作做好计划，由养护队对养护人员和养护工具进行管理 • To be carried out by CCB staff, possibly later training institutions 由交通局的人员进行培训，并形成制度 • Accompaniment by CCB – in future best to be externalised in order to distinguish this role from that of supervision and inspection 由县交通局进行定期监督检查，考察培训的作用和效果

Performance indicators 养护考核指标 • Unify performance indicators and penalties, based on road elements 根据养护内容制订统一的奖罚措施和指标 • Attainable, measurable, practical/useful这些考核措施和指标也可行、可计量、实用 • Introduce scoring system 合适的考核计分系统 • Ensure application of performance indicators 确保严格实用这些考核指标

Contract supervision and inspection合同的监督检查 Findings调查发现： • Inspections at least every month by CCB or TCB staff 县乡官员每月至少检查了一次 • Not always based on performance indicators 但是每次检查不是按照考核指标进行检查 • Penalties generally not applied 基本上没有对没有履行合同的行为进行处罚 • Capacity exists, at least at county level 在县一级，有检查监督的能力 • Ensure application of performance indicators and penalties 确保根据考核结果进行奖罚 • Possibly include performance indicators for CCB and TCB staff 县乡交通管理官员应合理利用考核指标进行监督检查

2. Organisation of workers into maintenance teams养护队的组织

Organisational modality组织模式 • Currently individuals现状大部分是单个工人的养护 • Low motivation/productivity 生产率较低 • Low ability to efficiently respond to emergencies and other peaks in maintenance requirements 不能应对突发情况和突增的养护要求 • Difficult to supervise 难于进行监督 • Recommended to form maintenance teams建议组成养护队进行养护： • Together responsible for maintenance of stretch of road 共同负责养护一段路 • Improved ability to respond efficiently to emergencies and peaks in maintenance requirements 可以有效应付突发的养护要求 • Easier to supervise 容易监督管理 • Higher productivity 较高的生产率 • Introduction of entrepreneurship 增强团队意识

Organisational modality组织模式 • Public/Private Limited Liability Company国营、私营有限公司 • Registered capital 30,000 CNY最低注册资金3万元 • Enterprise income tax (20%)所得税率：20% • Individual Enterprise个体户 • Single-owner 个体所有 • Registration with CBAB 县工商据可以注册 • Individual income tax 需要缴纳个人所得税 • Partnership Enterprise 合伙企业 • Registration with CBAB县工商据注册 • Individual income tax 需要缴纳个人所得税 • Additional employees 可以雇用更多雇员 • Unlimited liability for paying debts 无限责任 • Farmer Special Cooperation 农民专业合作社 • 80% farmers 80%的发起人是农民

Team formation养护队 • Develop clear guidelines regarding the call for candidates, ensuring wide participation 开发一个清楚的选择候选养护人员的指南，确保广泛的参与性 • Elaborate simple objective selection criteria仔细确定评选指标 • Eligibility criteria – Priorisation criteria 资格标准－有限考虑 • Technical criteria 技术标准 • Work experience 工作经验 • Educational level 教育水平 • Entrepreneurial attitude 团队精神 • Location 当地人 • Socio-economic criteria 社会经济标准 • Family size and structure 家庭人口规模和结构 • Poverty level 贫困程度 • Employment situation 就业情况 • Gender 性别 • Scoring system 评分系统

Managerial training and accompaniment管理能力培训和监督 • Findings第一次的调查发现 • No managerial training provided 没有提供管理技能培训 • Maintenance teams not stimulated to work together 没有鼓励养护队共同进行养护 • Provide managerial training to maintenance teams 为养护队提供管理技能培训 • Planning of activities and management of labour and tools by the team 为养护人员和养护工具制订管理计划 • Management of the maintenance team or microenterprise (teamwork, conflict prevention, etc.) 对养护队或者微型养护企业进行管理(联合养护作业、预防冲突) • Preparation of reports, paying taxes, accounting 准备养护报告、缴税、会计等 • To be carried out by CBAB staff 可以由县工商据进行培训 • Accompaniment by CBAB 由县工商据进行监督管理

3. Introduction of differentiated productivity rates and standard costs制订不同的养护定额标准

Productivity rates养护定额 • Assumed that productivity rates per activity are similar to Latin America – to be confirmed in pilots假定养护定额与拉美相同 • Amount of work by activity to be determined for different road categories based on experience from pilots根据案例县的经验，确定不同公路的养护定额标准 • Average productivity rate (km/worker) to be determined for different road categories based on experience from pilots根据案例县的经验，确定平均的养护定额标准（km/工人） • Possible criteria for road categories 可能的养护道路分类定额指标 • Area of right-of-way道路养护的范围 • Pavement type 路面类型 • Number of drainage and other 排水沟的数量和其他道路工程结构 roadworks • Climate conditions (rainfall)气候情况（降雨情况等） • Topography 道路所在的地区的地形情况 • Based on current productivity rates and maintenances levels, estimated average productivity rate 4 km/person 按照现有的生产率和养护水平，估计平均的定额为每人养护4公里

Maintenance costs – Salary level养护工资水平 • Salary level – main determinant of maintenance costs 工资水平，是决定养护费用的主要因素 • Agricultural wage rates (occasional labour)农村人口工资（临时工） • China中国 28.5 CNY/day • Guizhou province贵州 35 CNY/day • Jiangxi province江西 25 CNY/day • Kaiyang county开阳县 35-50 CNY/day • Baiyun district白云区 20-25 CNY/day • Ganxian county赣县 40 CNY/day • Minimum wage最低工资 • Guizhou province贵州 18 CNY/day • Jiangxi province江西19 CNY/day • Current maintenance salaries现状养护人员工资 • Kaiyang county开阳县 30 CNY/day • Ganxian county赣县 20 CNY/day • Xingguo county兴国县 30 CNY/day • Selected salary level: 30 CNY/day推荐工资水平为30元/天

Maintenance costs – standard cost养护费用标准 • Salary工资 • 30 CNY/day – 7,920 CNY/year每天30元，每年7920元 • 4 km/person – 1,980 CNY/km/year 每公里4人，每年每公里1980元 • Allowances补助 • Tools, social security and transport 养护工具和运输费用 • 25% of labour costs (20% of total costs) – 495 CNY/km/year 25%的人员工资 • Total cost – 2,475 CNY/km/year 总费用：每年每公里2475元 • This does not include material costs 没有包括养护材料费 • Standard cost for county roads - Township and village roads may be less (although salary levels will be the same, the average productivity rate will be higher) 以上县道的养护费用标准，乡道和村道可能要低于上面的标准，（虽然工资相同，但是可能乡村道路的养护定额要高一些）

Contracting modalities合同授予方式 • Government procurement law政府采购法 • Single-source procurement < 50,000 CNY 小于5万元的单个合同 • Invited bidding (3 bidders) 邀标（3个投标人） • Public invitation > 500,000 CNY 大于50万元的公开招标 • Standard cost 2,475 CNY/km – 20 kilometres 20公里标准养护费用：2475元 • Division of road sections into shorter stretches 将道路分为较小路段 • Team size < 5-6 persons 每个养护队5-6人 • Guarantee for satisfactory completion (2%) – necessary? 2%的担保？是否必要？ • Simple contract document简单的合同文本

4. Development of an appropriate financing system开发融资机制

Financing mechanisms融资机制 • Lack of sufficient and timely financing缺乏及时和充分的预算 • Lack of funding缺乏资金 • Lack of priority given to routine maintenance 日常养护缺乏优先权 • Need to earmark funds for routine maintenance 需要确定日常养护专项资金 • Funding sources 养护费来源 • Regular vehicle maintenance fee 汽车养路费： • Collected at provincial level 征收到省交通部分 • Allocated by PCD to counties (according to length of road network?) 交通厅负责分配，根据路网里程？ • 7,000 / 3,500 / 1,000 CNY/km for county / township / village roads县乡村到养护费标准 • All maintenance types – however, also used for construction 用于所有的类型养护，也用于建设 • In general used for major and medium maintenance通常用于大修、中修 • Motorcycle and farm vehicle maintenance fee 摩托车和农用车养路费： • Collected at county level – transferred to PCD？县里征收，要交给交通厅吗？ • Allocated by PCD and subsequently by municipality to counties 交通厅分配给市，市下拨给县里？ • In general used for routine and minor maintenance, but also medium and major maintenance, construction and management costs 通常用于日常养护和小修，也用于中修和大修，建设和管理费支出

Financing mechanisms – Guiyang贵阳的融资机制 • Guiyang regulations 贵阳的规定 • Regular vehicle maintenance fee for major and medium maintenance汽车养路费用于大中修 • Motorcycle and farm vehicle fee for routine and minor maintenance 80% county, 20% municipality摩托车和农用车养路费80%用于县，20%用在市里 • Result in disincentives and lower priority for routine maintenance日常养护不受重视 • Much higher than the proposed standard cost of养护标准高于2,475 CNY/km • Insufficient funding养护资金不足

Financing mechanisms – Ganzhou赣州的融资机制 • Financing routine and minor maintenance with farm vehicle fee农用车养路费用于日常养护和小修 • Much higher collection by counties (Ganzhou – 70 million CNY), but only half allocated to road maintenance (35 million CNY)各县征收的养路费很高（赣州7000万元），但是只有一半用于道路养护 • Sufficient funding for application of standard cost足够的资金用于养护 • But allocated funding used for all maintenance and management costs – 40% used for routine and minor maintenance (14 million CNY) 但是养路费被分配到用于各种养护支出－40%用于日常养护和小修 • Only enough to cover county roads – not including minor maintenance 只够县道的日常养护，不包括小修

Financing mechanisms – priorities融资机制－优先权 • Priority needs to be given to (preventative) routine road maintenance, which neither municipalities currently does 应给预防性的日常养护给予一定的优先权，现在市里没有给这个优先权 • Saving of 8,850 CNY per kilometre per year!每年每公里可节省8850元 • Need to develop incentives for prioritising routine maintenance 需要建立日常养护有限的激励机制 • Clear distinction of different maintenance types and their funding 区分不同的养护类型和资金需求 • Funding based on use of regular vehicle maintenance fee 主要从汽车养路费筹措 • Allocation based on length of road network 根据路网长度分配养护资金 • Taking into account creation of a fuel tax in the future 考虑将来从燃油税中征收养路费

Next steps下一步行动计划

Preparation for next mission下次访问的准备工作 Consultants 咨询专家 • Prepare general guidelines on microenterprise-based routine road maintenance 准备基于微型企业模式的日常养护指南 • Prepare technical training manual (road elements, maintenance activities and planning, management of resources) 准备技术培训手册（道路工程、养护活动、计划、管理等） • Prepare entrepreneurial manual (call and selection of candidates, enterprise formation, managerial training) 准备微型企业运作手册（选择备选人员、企业注册、管理培训等）

Focus on paved county roads Include additional maintenance activities (which?) Provide additional tools and in larger quantities Develop improved technical training Elaborate system of performance indicators and ensure application Continue with inspection by CCB Organisation of workers into teams Application of the legal organisational modality of Partnership Enterprises Develop guidelines for calling and selecting candidates (technical/social criteria) Develop a managerial training Apply average productivity rate of 4 km/worker Develop road categories and differentiated productivity rates / standard costs Use salary of 30 CNY/day Apply standard cost of 2,475 CNY/km Limit road sections to 20 km to allow for single-source procurement Apply waiver for guarantees and use simple contract documents Prioritise routine maintenance over other maintenance types Ensure sufficient funding (for pilots) 主要针对有路面的县道讨论建立新养护机制的可能性包括其他的养护活动吗？具体应该是什么？提供其他养护工具和数量改善对养护人员的培训详细的绩效考核指标先交通部门的持续检查监督将养护人员组织为养护小组采用合伙企业的模式的可行性制订选择养护工的指南开展管理能力培训的可行性采用每人养护4公里的定额根据公路类型，制订不同养护定额确定每天30元的工资标准确定每公里2475元的养护费用标准定额将每个养护合同限制在20公里放弃担保，采用简单的合同样本给日常养护一定的优先权确保足够的养护资金（特别是针对案例县） Decisions to be taken during this mission本次访问要讨论的问题：

Preparation for next mission下次访问的准备工作 GCB, CCB and consultants交通局、咨询专家 • Selection of county for pilots 选择好案例县 • Selection of 2 road sections (paved county roads) 选择两个有路面的公路 • Selection of CCB and CBAB staff to assist in the pilots 选择交通局和工商据的官员帮助试点县的试点工作 • Ensure funding for pilots (one year) 确保试点公路一年的养路费到位 • Select villages to participate in pilots and inform them of process 选择试点村参与试点路的养护

Microenterprise-based routine road maintenance in China 中国基于微型企业模式的公路日常养护