NORTHCHINAWATERQUALITYSTUDYPROGRAMVIP

1、NORTH CHINA WATER QUALITY STUDY PROGRAM COMPONENT E: Water Sector Regulatory & Institutional Study中国北方城市水管理研究项目第中国北方城市水管理研究项目第E E部分部分: : 监管与体制研监管与体制研究究Water Policy Research Centre, Tsinghua University International Consultants: Mr. Michael Rouse Mr. Keith Stallard清华大学水业政策研究中心国际咨询专家：Michael Rouse

2、先生 Keith Stallard 先生21 June 2005TOR ScopeTOR研究范围oReview and summary of existing regulations and policies of the water sector in China;o中国现有水业政策法规的收集与汇总；oIdentification of the current situation and challenges of governmental monitoring and enforcement in water sector while introducing the private sec

3、tor participation;o引入私有部门参与时，政府水业监管的现状与所面临的问题分析o Benchmarking System development: The objectives and important for developing the Benchmarking System, assist to establish the major indicators of the Benchmarking system, make the recommendations for implementing the Benchmarking System including the

4、methods for organizing and implementing the Benchmarking System;o标杆管理系统的推广：推广标杆管理系统的目的和重要性，协助建立标杆管理系统的主要指标，针对标杆管理系统的实际应用和操作提出建议，包括组织和实施方法；o Key Issues and Recommendations: Development of policy recommendations for Municipal Water and Wastewater Regulatory and institutional Development. o主要问题及建议：城市供水

5、/污水处理法规体制发展的政策性建议Structure of delivery documents成果报告结构The deliverables of the study are essentially four reports:本研究成果包括四个分报告： Report 1- Review and Summary of Existing Policies and Regulations 报告1水业领域政策法规框架 Report 2 - Sector Structure and Case Studies 报告2行业管理体制与案例研究 Report 3 - Benchmarking System 报告

6、3绩效管理系统 Report 4 Regulatory and Institutional Study - Findings and Recommendations 报告4监管与体制研究成果与建议Literature Study 文献调研Reviewing and collating the existing water-related policies and regulations 现行水业政策法规的收集和整理International experiences on water service privatization 水业私营化的国际经验International best pract

7、ice on benchmarking for water management 水业绩效管理的成功经验Field surveys 实地调研City selection: Shenzhen, Jinan, Shenyang, Maanshan, and Taiyuan 城市选择：深圳、济南、沈阳、马鞍山和太原Making specific question lists for various government sectors and enterprise 针对不同政府部门和企业制定调研问题清单Interviews and work meetings: totally 26 meetings

8、 were organized and over 100 people from local government sectors and water enterprises have participated in the discussions 访谈和工作会议：共组织了26次工作会议，地方政府部门和企业超过100人参加了讨论Calling interviews 电话访谈Conference for case study analysis 案例分析会Major activities主要工作 Work meetings and seminars 工作会议及内部讨论会 Kick-off meet

9、ing 启动会议 Working meetings with other research groups 与各课题组交流的工作会议 Working with international consultants: Mr. Michael Rouse & Mr. Keith Stallard 与国际咨询专家Michael Rouse先生、Keith Stallard先生合作Major activities主要工作1.Key Elements in Achieving Water Sector Reform for Efficient and Sustainable Water Servic

10、es 实现高效、可持续发展水业改革目标的关键因素实现高效、可持续发展水业改革目标的关键因素Experience from around the world has shown that there are a number of key elements necessary to achieve efficient and sustainable water services. 国际经验表明，高效、可持续性的水业服务依赖于一些关键性的因素： a)Separation of policy, regulation and delivery 分离的政策制定，监管与服务职能b)Transparency

11、 透明化 c)Independent Regulation 独立监管d)An integrated planning process 统一的规划机制 e)Performance measures 绩效管理措施f)License or contract review 特许协议或合同的定期检查g)Strategic planning on the basis of thoroughly understanding科学的战略规划2. Main Issues for China Water Sector Regulation 中国城市水业监管面临的关键问题中国城市水业监管面临的关键问题 2.1 Lac

12、k of integrated planning and decision-making process 缺乏系统的规划和决策机制2.2 Undeveloped regulatory system 政府监管体系不健全2.3 Lack of instruments and measures for economic regulation 缺乏经济监管的工具和手段2.4 Incomplete permission regulation system 准入监管的体系没有完善2.5 Distortion of service and quality regulation body 服务和产品质量监管的

13、主体存在错位2.6 Deficient legal framework 缺位的法律法规体系2.7 Undeveloped public participation scheme 落后的公众监督机制2.1 Lack of integrated planning and decision-making process 欠缺系统的规划和决策机制欠缺系统的规划和决策机制The experiences of visited cities have shown that the planning processes for water sector are high fragmented at all l

14、evels in China. As mentioned in Report Two, the fragmented planning processes have brought out many unreasonable decisions in water sector due to the lack of consideration on the integrated water system. 实地调研结果表明我国城市水业的现行规划和决策机制无论在国家层面还是地方决策层面上都缺乏系统规划。研究报告2中提到，由于缺乏对水系统的统一考虑，现行的分散型规划体系已经导致了很多不合理的决策。F

15、ew studies of water sector reform and its regulation 对改革和监管模式的研究薄弱Neglect of regulation during reform process在改革实施中，普遍忽略监管2.2 Undeveloped regulatory system 政府监管体系不健全政府监管体系不健全 Many international experiences have demonstrated that an effective regulatory framework is an essential component of water se

16、ctor reform, marketization and privatization. 很多的国际经验已经证实了有效的监管体系是水业改革、市场化或私营化顺利实施的重要保障。 Traditional institutional arrangement under a centrally planned economy was weak of regulation. 计划经济体制下的传统水管理体制监管职能薄弱。2.3 Lack of instruments and measures for economic regulation 缺乏经济监管的工具和手段缺乏经济监管的工具和手段 Effecti

17、ve economic regulatory arrangements should be in place before government reduces control, particularly in monopolistic activities. 政府在放宽（行业）控制之前，尤其是对于自然垄断性的行业，应先建立有效的经济监管体系。 Lack of financial transparency.缺乏经济财务的透明性。 Governments have only poor information on the true cost and potential efficiency ga

18、ins of the service providers they regulate. 政府对于水业真实成本、服务设施潜在效率等信息掌握非常有限。2.4 Incomplete permission regulation system准入监管的体系没有完善准入监管的体系没有完善 Use concession as fund raising method. 特许经营被当作引资手段。 Not utilization of concession for establishing the permission regulation. 没有利用特许经营建立准入监管的关系。 Interlace and co

19、nfusion of the relation between concession regulation and poverty right. 特许权监管与产权关系交织混淆。 2.5 Distortion of service and quality regulation body 服务服务的产品质量监管存在主体错位的产品质量监管存在主体错位 Undevelopment of the independent water quality regulation system, lack of regulation power. 自来水水质第三方监管体系没有建立,监管缺乏权威性。 Need for

20、 improving the independent regulation system in wastewater treatment sector. 污水第三方监管体制需要改进。 Usually neglect of sludge regulation. 污泥监管被普遍忽略。2.6 Deficient legal system 缺位的法律法规体系缺位的法律法规体系 Lack of specific policies and regulations on quasi-public goods 针对准公共物品的政策法规缺位 Fragmented process for policy makin

21、g and promulgating 政策法规出台缺乏系统性和完整性 Weak feasibility of existing policies and regulations 现行政策法规操作性较差2.7 Undeveloped Public Participation Scheme 不完善的公众监督机制不完善的公众监督机制 Water sector reform and marketization are more likely to be effective if there is sufficient demand for the benefits of these initiativ

22、es from customs. 消费者的积极参与对于促进水业改革和市场化改革都有积极的促进作用。 China does not have a tradition of public participation but this is developing. 中国没有“公众参与”的传统，目前正处于发展阶段。 Client complaint 用户投诉机制 Public hearing for setting water tariff 水价调整的听证会3. Conclusions and Recommendations 结论和建议结论和建议 3.1 Right understanding of

23、water sector reform 正确认识城市水业改革 3.2 Types of marketization for water sector 水业市场化模式 3.3 The Establishment of Regulatory Body 建立监管机构 3.4 Benchmarking 绩效管理3.1 Right understanding of water sector reform 正确认识城市水业改革正确认识城市水业改革 The marketization for Chinese water sector has come into the third phase 中国城市水业市

24、场化改革进入第三阶段 The first stage: opening to non-government sectors; inviting investment; and breaking monopoly 第一阶段：开放市场、招商引资、打破垄断 The second stage: establishing concession system; facilitating the restructure of traditional SOEs, advancing the term of full cost recovery, introducing competition mechanis

25、m, and shifting the governmental functions 第二阶段：建立完善特许经营制度，推进传统国有企业改制、提出全成本价格体系、引入竞争机制，转变政府职能 The third stage: developing regulatory system; improving the investment and financing scheme; incubating the key actors, and strengthening public participation 第三阶段：完善监管体系、理顺投资体制、培养市场主体、加强公众参与 3.2 Types of

26、marketization for water sector 水业市场化模式3.2.1 Governmental responsibilities in urban water sector 政府在城市水业中的责任政府在城市水业中的责任a)Definition of governmental responsibility in water sector determines the mode for regulation 政府在城市水业中责任范围决定监管的模式政府在城市水业中责任范围决定监管的模式b)Types of governmental responsibilities in water

27、 sector: direct or indirect responsible to water deliverables 政府在水业中责任形式：直接或间接承担政府在水业中责任形式：直接或间接承担c)Ownership arrangement is the key to distinguish the marketization types 产权模式是决定市场化模式的关键产权模式是决定市场化模式的关键d)Governments should also be responsible to environmental protection and resources management 政府的责

28、任还包括环境保护和资源管理政府的责任还包括环境保护和资源管理政府责任形式政府责任形式市场化模式市场化模式共同特征共同特征监管特点监管特点直接承担服务责任直接承担服务责任管理管理/租赁模式租赁模式 （58年）年）1.政府与企业签署平政府与企业签署平等的经济协议，等的经济协议，2.政府与企业间的关政府与企业间的关系不是行政许可关系不是行政许可关系系1.准入监管准入监管2.服务与质量监管服务与质量监管水厂水厂 BOT/TOT （ 1520年）年）整体特许经营整体特许经营 （2030年）年）间接承担服务责任间接承担服务责任私有化模式私有化模式1.不平等的行政许可不平等的行政许可关系关系2.需要全成本的

29、水价需要全成本的水价体系体系1.政府核心监管是政府核心监管是运营过程运营过程2.需要独立监管机需要独立监管机构构公私合资模式公私合资模式公有企业模式公有企业模式Types of Govern. Res.Types of marketizationfeaturesRegulation featuresDirect responsibilitiesLease/manag. contract （58y）1.The contract is an economic agreement2.The relations between the government and the enterprise is

30、not the administrative permission1.Approval regulation2.Service quality regulationBOT/TOT contract（ 1520y）Full service contracting operation and management（2030y）Indirect responsibilitiesDivesture 1.A relation of administrative permission is built2.Full cost recovery is required1.Operation and busin

31、ess is the key of regulation2.An independent regulatory body is requiredPublic-private joint ventureCorporatized public companyMajor advocated strategies for water marketization by Chinese governments: lease contract, BOT, TOT and etc. 中国政府主张的水业市场化模式：租赁管理，BOT,TOT等。In the case of a city with high eco

32、nomic level of performance resulting in full cost recovery, the corporatized public company, joint venture, and full privatization models are good options, but with the need for strict independent regulator bodies to monitor their performance. 对于个别经济水平较高有实施全成本回收能力的城市，公司化运营的公有公司，合作模式以及完全私有化模式是可优先选择的模

33、式。但是应有严格的独立监管机构管理其绩效水平。 Independent of the type of model adopted, performance measurement systems should be introduced to achieve, transparency and efficiency. 不管采取任何模式，都应采用相应的绩效管理措施以提高效率和整个过程的透明性。3.2.2 International experiences of water management 国际水业管理典型模式国际水业管理典型模式 UK 英国英国 France 法国法国 USA 美国美国 C

34、hile 智利智利 Singapore 新加坡新加坡 Macao 澳门澳门 Others 其他其他3.2.3 Co-existence of different marketization models 不同的市场化模式可以共存不同的市场化模式可以共存The report recognizes that different marketization models could be good options for local authorities and co-exist. 本研究认为不同的市场化模式都可以供地方政府选择，而且不同模式可以共存。The exiting legal frame

35、work is consistent with the water service contract, such as lease management, BOT/TOT, and etc. rather than selling out the ownership of water service assets to private sectors, such as the models of divesture, public-private joint venture and etc. 现行的法律法规体系相对适应租赁管理、BOT/TOT等模式的发展需求；而对于涉及到水业产权出售的模式，如

36、合资或完全私有化等，尚不能完全支撑。It is important for water marketization to acknowledge the co-existence of different models, which can provide more alternatives and make for shifting government functions, inviting investment, making an appropriate asset arrangement for water service, and alleviating the pressure

37、of water tariff reform. 多种模式并存的市场化改革可以提供更多改革选择，有利于完成政府职能的转变、吸引投资、 资产处置、以及缓解水价改革的压力。3.3 The Establishment of Regulatory Body 建立监管机构One key recommendation is the establishment of Provincial Water Commissions, which function as an independent regulatory body and are responsible to making integrated pla

38、nning, managing the implementation of benchmarking system, setting water tariff, and supporting the local authority for water concession management. 建议设立独立的监管机构省级水业委员会，其责任主要包括：统筹规划，负责绩效管理系统，制定水价，支持当地政府实施水业特许经营管理。Strengthening regulation. The Municipal Public Utility Bureau or the Municipal Construct

39、ion Commission should be empowered for regulation. 加强监管，强化公用设施管理局和市政建设委员会的监管职能 3.4 Benchmarking 绩效管理3.4.1 Classification of benchmarking : Metric benchmarking and process benchmarking 绩效管理系统分类:定量绩效管理和过程绩效管理Metric benchmarking refers to the measurement and long term monitoring of some key indicators

40、of performance. Through metric benchmarking, target performance levels and development trend information are available. 定量绩效管理指绩效指标的量化及对其核心指标长期监控过程。通过定量绩效管理可以建立绩效的目标水平、获取趋势信息。Metric benchmarking is not intended for the detailed aspects of operations. 定量绩效管理通常并不专注于运营操作的细节层面。The World Bank, Internatio

41、nal Water Association, Ofwat, and VEWIN (Association of Dutch Water Companies) use metric benchmarking. 定量绩效管理体系的主要代表：世界银行，国际水协，Ofwat和VEWIN（荷兰水公司协会）Process benchmarking is more detailed than metric benchmarking and, as its name implies, measures the performance of each measurable part of an enterpri

42、ses operational processes. 过程绩效管理：相对于定量绩效管理而言是更加细化的绩效管理方法，专注于具体的操作步骤进行比较和改进。The aim, based on the result of quantified analysis, is to learn from best practice. 其目的是在定量绩效管理的基础上，分析比较得出如何学习最佳的业内外运作实践。Major water sector associations those are using process benchmarking, including American Water Works Association, Water Environment Federation and Water Industry Research. 采