1、中國北方城市水管理研究項目第E部分TOR ScopeTOR研究范圍oReview and summary of existing regulations and policies of the water sector in China;o中國現有水業政策法規的收集與匯總；oIdentification of the current situation and challenges of governmental monitoring and enforcement in water sector while introducing the private sector participati

2、on;o引入私有部門參與時，政府水業監管的現狀與所面臨的問題分析oBenchmarking 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 methods for orga

3、nizing and implementing the Benchmarking System;o標桿管理系統的推廣：推廣標桿管理系統的目的和重要性，協助建立標桿管理系統的主要指標，針對標桿管理系統的實際應用和操作提出建議，包括組織和實施方法；oKey Issues and Recommendations: Development of policy recommendations for Municipal Water and Wastewater Regulatory and institutional Development. o主要問題及建議：城市供水/污水處理法規體制發展的政策性建議

4、Structure of delivery documents成果報告結構The deliverables of the study are essentially four reports:本研究成果包括四個分報告：Report 1- Review and Summary of Existing Policies and Regulations 報告1水業領域政策法規框架Report 2 - Sector Structure and Case Studies 報告2行業管理體制與案例研究Report 3 - Benchmarking System 報告3績效管理系統Report 4 Regu

5、latory and Institutional Study - Findings and Recommendations 報告4監管與體制研究成果與建議Literature Study 文獻調研Reviewing and collating the existing water-related policies and regulations 現行水業政策法規的收集和整理International experiences on water service privatization 水業私營化的國際經驗International best practice on benchmarking f

6、or water management 水業績效管理的成功經驗Field surveys 實地調研City selection: Shenzhen, Jinan, Shenyang, Maanshan, and Taiyuan 城市選擇：深圳、濟南、沈陽、馬鞍山和太原Making specific question lists for various government sectors and enterprise 針對不同政府部門和企業制定調研問題清單Interviews and work meetings: totally 26 meetings were organized and o

7、ver 100 people from local government sectors and water enterprises have participated in the discussions 訪談和工作會議：共組織了26次工作會議，地方政府部門和企業超過100人參加了討論Calling interviews 訪談Conference for case study analysis 案例分析會Major activities主要工作Work meetings and seminars 工作會議及內部討論會Kick-off meeting 啟動會議Working meetings

8、with other research groups 與各課題組交流的工作會議Working with international consultants: Mr. Michael Rouse & Mr. Keith Stallard 與國際咨詢專家Michael Rouse先生、Keith Stallard先生合作Major activities主要工作Key Elements in Achieving Water Sector Reform for Efficient and Sustainable Water Services 實現高效、可持續發展水業改革目標的關鍵因素實現高效、可持續發

9、展水業改革目標的關鍵因素Experience from around the world has shown that there are a number of key elements necessary to achieve efficient and sustainable water services. 國際經驗表明，高效、可持續性的水業服務依賴于一些關鍵性的因素： nSeparation of policy, regulation and delivery 分離的政策制定，監管與服務職能nTransparency 透明化 nIndependent Regulation 獨立監管nA

10、n integrated planning process 統一的規劃機制 nPerformance measures 績效管理措施nLicense or contract review 特許協議或合同的定期檢查nStrategic planning on the basis of thoroughly understanding科學的戰略規劃2. Main Issues for China Water Sector Regulation 中國城市水業監管面臨的關鍵問題中國城市水業監管面臨的關鍵問題 2.1 Lack of integrated planning and decision-ma

11、king process 缺乏系統的規劃和決策機制2.2 Undeveloped regulatory system 政府監管體系不健全2.3 Lack of instruments and measures for economic regulation 缺乏經濟監管的工具和手段2.4 Incomplete permission regulation system 準入監管的體系沒有完善2.5 Distortion of service and quality regulation body 服務和產品質量監管的主體存在錯位2.6 Deficient legal framework 缺位的法

12、律法規體系2.7 Undeveloped public participation scheme 落后的公眾監督機制2.1 Lack of integrated planning and decision-making process 欠缺系統的規劃和決策機制欠缺系統的規劃和決策機制The experiences of visited cities have shown that the planning processes for water sector are high fragmented at all levels in China. As mentioned in Report T

13、wo, the fragmented planning processes have brought out many unreasonable decisions in water sector due to the lack of consideration on the integrated water system. 實地調研結果表明我國城市水業的現行規劃和決策機制無論在國家層面還是地方決策層面上都缺乏系統規劃。研究報告2中提到，由于缺乏對水系統的統一考慮，現行的分散型規劃體系已經導致了很多不合理的決策。Few studies of water sector reform and it

14、s regulation 對改革和監管模式的研究薄弱Neglect of regulation during reform process在改革實施中，普遍忽略監管2.2 Undeveloped regulatory system 政府監管體系不健全政府監管體系不健全Many international experiences have demonstrated that an effective regulatory framework is an essential component of water sector reform, marketization and privatizat

15、ion. 很多的國際經驗已經證實了有效的監管體系是水業改革、市場化或私營化順利實施的重要保障。Traditional institutional arrangement under a centrally planned economy was weak of regulation. 計劃經濟體制下的傳統水管理體制監管職能薄弱。2.3 Lack of instruments and measures for economic regulation 缺乏經濟監管的工具和手段缺乏經濟監管的工具和手段Effective economic regulatory arrangements should

16、be in place before government reduces control, particularly in monopolistic activities. 政府在放寬（行業）控制之前，尤其是對于自然壟斷性的行業，應先建立有效的經濟監管體系。Lack of financial transparency.缺乏經濟財務的透明性。Governments have only poor information on the true cost and potential efficiency gains of the service providers they regulate. 政

17、府對于水業真實成本、服務設施潛在效率等信息掌握非常有限。2.4 Incomplete permission regulation system準入監管的體系沒有完善準入監管的體系沒有完善Use concession as fund raising method. 特許經營被當作引資手段。Not utilization of concession for establishing the permission regulation. 沒有利用特許經營建立準入監管的關系。 Interlace and confusion of the relation between concession regu

18、lation and poverty right. 特許權監管與產權關系交織混淆。 2.5 Distortion of service and quality regulation body 服務的產品質量監管存在主體錯位服務的產品質量監管存在主體錯位Undevelopment of the independent water quality regulation system, lack of regulation power. 自來水水質第三方監管體系沒有建立,監管缺乏權威性。Need for improving the independent regulation system in w

19、astewater treatment sector. 污水第三方監管體制需要改進。Usually neglect of sludge regulation. 污泥監管被普遍忽略。2.6 Deficient legal system 缺位的法律法規體系缺位的法律法規體系Lack of specific policies and regulations on quasi-public goods 針對準公共物品的政策法規缺位Fragmented process for policy making and promulgating 政策法規出臺缺乏系統性和完整性Weak feasibility o

20、f existing policies and regulations 現行政策法規操作性較差2.7 Undeveloped Public Participation Scheme 不完善的公眾監督機制不完善的公眾監督機制Water sector reform and marketization are more likely to be effective if there is sufficient demand for the benefits of these initiatives from customs. 消費者的積極參與對于促進水業改革和市場化改革都有積極的促進作用。China

21、 does not have a tradition of public participation but this is developing. 中國沒有“公眾參與”的傳統，目前正處于發展階段。Client complaint 用戶投訴機制Public hearing for setting water tariff 水價調整的聽證會3. Conclusions and Recommendations 結論和建議結論和建議3.1 Right understanding of water sector reform 正確認識城市水業改革3.2 Types of marketization f

22、or water sector 水業市場化模式3.3 The Establishment of Regulatory Body 建立監管機構3.4 Benchmarking 績效管理3.1 Right understanding of water sector reform 正確認識城市水業改革正確認識城市水業改革The marketization for Chinese water sector has come into the third phase 中國城市水業市場化改革進入第三階段 The first stage: opening to non-government sectors;

23、 inviting investment; and breaking monopoly 第一階段：開放市場、招商引資、打破壟斷 The second stage: establishing concession system; facilitating the restructure of traditional SOEs, advancing the term of full cost recovery, introducing competition mechanism, and shifting the governmental functions 第二階段：建立完善特許經營制度，推進傳

24、統國有企業改制、提出全成本價格體系、引入競爭機制，轉變政府職能The third stage: developing regulatory system; improving the investment and financing scheme; incubating the key actors, and strengthening public participation 第三階段：完善監管體系、理順投資體制、培養市場主體、加強公眾參與 3.2 Types of marketization for water sector 水業市場化模式3.2.1 Governmental respon

25、sibilities in urban water sector 政府在城市水業中的責任政府在城市水業中的責任oDefinition of governmental responsibility in water sector determines the mode for regulation 政府在城市水業中責任范圍決定監管的模式政府在城市水業中責任范圍決定監管的模式oTypes of governmental responsibilities in water sector: direct or indirect responsible to water deliverables 政府在

26、水業中責任形式：直接或間接承擔政府在水業中責任形式：直接或間接承擔oOwnership arrangement is the key to distinguish the marketization types 產權模式是決定市場化模式的關鍵產權模式是決定市場化模式的關鍵oGovernments should also be responsible to environmental protection and resources management 政府的責任還包括環境保護和資源管理政府的責任還包括環境保護和資源管理政府責任形式政府責任形式市場化模式市場化模式共同特征共同特征監管特點監管特

27、點直接承擔服務責任直接承擔服務責任管理管理/租賃模式租賃模式 （58年）年）o政府與企業簽署平等政府與企業簽署平等的經濟協議，的經濟協議，o政府與企業間的關系政府與企業間的關系不是行政許可關系不是行政許可關系o準入監管準入監管o服務與質量監管服務與質量監管水廠水廠 BOT/TOT （ 1520年）年）整體特許經營整體特許經營 （2030年）年）間接承擔服務責任間接承擔服務責任私有化模式私有化模式o不平等的行政許可關不平等的行政許可關系系o需要全成本的水價體需要全成本的水價體系系o政府核心監管是政府核心監管是運營過程運營過程o需要獨立監管機需要獨立監管機構構公私合資模式公私合資模式公有企業模式公

28、有企業模式Types of Govern. Res.Types of marketizationfeaturesRegulation featuresDirect responsibilitiesLease/manag. contract （58y）oThe contract is an economic agreementoThe relations between the government and the enterprise is not the administrative permissionoApproval regulationoService quality regulat

29、ionBOT/TOT contract（ 1520y）Full service contracting operation and management（2030y）Indirect responsibilitiesDivesture oA relation of administrative permission is builtoFull cost recovery is requiredoOperation and business is the key of regulationoAn independent regulatory body is requiredPublic-priv

30、ate joint ventureCorporatized public companyMajor advocated strategies for water marketization by Chinese governments: lease contract, BOT, TOT and etc. 中國政府主張的水業市場化模式：租賃管理，BOT,TOT等。In the case of a city with high economic level of performance resulting in full cost recovery, the corporatized public

31、 company, joint venture, and full privatization models are good options, but with the need for strict independent regulator bodies to monitor their performance. 對于個別經濟水平較高有實施全成本回收能力的城市，公司化運營的公有公司，合作模式以及完全私有化模式是可優先選擇的模式。但是應有嚴格的獨立監管機構管理其績效水平。 Independent of the type of model adopted, performance measu

32、rement systems should be introduced to achieve, transparency and efficiency. 不管采取任何模式，都應采用相應的績效管理措施以提高效率和整個過程的透明性。3.2.2 International experiences of water management 國際水業管理典型模式國際水業管理典型模式UK 英國英國France 法國法國USA 美國美國Chile 智利智利Singapore 新加坡新加坡Macao 澳門澳門Others 其他其他3.2.3 Co-existence of different marketiza

33、tion models 不同的市場化模式可以共存不同的市場化模式可以共存The report recognizes that different marketization models could be good options for local authorities and co-exist. 本研究認為不同的市場化模式都可以供地方政府選擇，而且不同模式可以共存。The exiting legal framework is consistent with the water service contract, such as lease management, BOT/TOT, and

34、 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. 現行的法律法規體系相對適應租賃管理、BOT/TOT等模式的發展需求；而對于涉及到水業產權出售的模式，如合資或完全私有化等，尚不能完全支撐。It is important for water marketization to acknowledge the co-existence

35、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 of water tariff reform. 多種模式并存的市場化改革可以提供更多改革選擇，有利于完成政府職能的轉變、吸引投資、 資產處置、以及緩解水價改革的壓力。3.3 The

36、 Establishment of Regulatory Body 建立監管機構One key recommendation is the establishment of Provincial Water Commissions, which function as an independent regulatory body and are responsible to making integrated planning, managing the implementation of benchmarking system, setting water tariff, and suppo

37、rting the local authority for water concession management. 建議設立獨立的監管機構省級水業委員會，其責任主要包括：統籌規劃，負責績效管理系統，制定水價，支持當地政府實施水業特許經營管理。Strengthening regulation. The Municipal Public Utility Bureau or the Municipal Construction Commission should be empowered for regulation. 加強監管，強化公用設施管理局和市政建設委員會的監管職能 3.4 Benchma

38、rking 績效管理3.4.1 Classification of benchmarking : Metric benchmarking and process benchmarking 績效管理系統分類:定量績效管理和過程績效管理Metric benchmarking refers to the measurement and long term monitoring of some key indicators of performance. Through metric benchmarking, target performance levels and development tre

39、nd information are available. 定量績效管理指績效指標的量化及對其核心指標長期監控過程。通過定量績效管理可以建立績效的目標水平、獲取趨勢信息。Metric benchmarking is not intended for the detailed aspects of operations. 定量績效管理通常并不專注于運營操作的細節層面。The World Bank, International Water Association, Ofwat, and VEWIN (Association of Dutch Water Companies) use metric

40、benchmarking. 定量績效管理體系的主要代表：世界銀行，國際水協，Ofwat和VEWIN（荷蘭水公司協會）Process benchmarking is more detailed than metric benchmarking and, as its name implies, measures the performance of each measurable part of an enterprises operational processes. 過程績效管理：相對于定量績效管理而言是更加細化的績效管理方法，專注于具體的操作步驟進行比較和改進。The aim, based on the result of quantified analysis, is to learn from best practice. 其目的是在定量績效管理的基礎上，分析比較得出如何學習最佳的業內外運作實踐。Major water sector associations those are using process benchmarking, including American Water Works Association, Water Environment Federation and Water Industry Research. 采用過程績效管理系