中國北方城市水管理研究項目第E部分ppt課件

1、NORTH CHINA WATER QUALITY STUDY PROGRAM COMPONENT E: Water Sector Regulatory & Institutional Study中國北方城市水管理研討工程第E部分: 監(jiān)管與體制研討Water Policy Research Centre, Tsinghua University International Consultants: Mr. Michael Rouse Mr. Keith Stallard清華大學(xué)水業(yè)政策研討中心國際咨詢專家：Michael Rouse先生 Keith Stallard 先生21 June 200

2、5TOR ScopeTOR研討范圍Review and summary of existing regulations and policies of the water sector in China;中國現(xiàn)有水業(yè)政策法規(guī)的搜集與匯總；Identification of the current situation and challenges of governmental monitoring and enforcement in water sector while introducing the private sector participation;引入私有部門參與時，政府水業(yè)監(jiān)管

3、的現(xiàn)狀與所面臨的問題分析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 methods for organizing and implementi

4、ng the Benchmarking System;標(biāo)桿管理系統(tǒng)的推行：推行標(biāo)桿管理系統(tǒng)的目的和重要性，協(xié)助建立標(biāo)桿管理系統(tǒng)的主要目的，針對標(biāo)桿管理系統(tǒng)的實踐運用和操作提出建議，包括組織和實施方法；Key Issues and Recommendations: Development of policy recommendations for Municipal Water and Wastewater Regulatory and institutional Development. 主要問題及建議：城市供水/污水處置法規(guī)體制開展的政策性建議Structure of delivery do

5、cuments成果報告構(gòu)造The deliverables of the study are essentially four reports:本研討成果包括四個分報告：Report 1- Review and Summary of Existing Policies and Regulations 報告1水業(yè)領(lǐng)域政策法規(guī)框架Report 2 - Sector Structure and Case Studies 報告2行業(yè)管理體制與案例研討Report 3 - Benchmarking System 報告3績效管理系統(tǒng)Report 4 Regulatory and Institutional

6、 Study - Findings and Recommendations 報告4監(jiān)管與體制研討成果與建議Literature Study 文獻(xiàn)調(diào)研Reviewing and collating the existing water-related policies and regulations 現(xiàn)行水業(yè)政策法規(guī)的搜集和整理International experiences on water service privatization 水業(yè)私營化的國際閱歷International best practice on benchmarking for water management 水業(yè)績效

7、管理的勝利閱歷Field surveys 實地調(diào)研City selection: Shenzhen, Jinan, Shenyang, Maanshan, and Taiyuan 城市選擇：深圳、濟(jì)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(yè)制定調(diào)研問題清單Interviews and work meetings: totally 26 meetings were organized and over 100 people from loca

8、l government sectors and water enterprises have participated in the discussions 訪談和任務(wù)會議：共組織了26次任務(wù)會議，地方政府部門和企業(yè)超越100人參與了討論Calling interviews 訪談Conference for case study analysis 案例分析會Major activities主要任務(wù)Work meetings and seminars 任務(wù)會議及內(nèi)部討論會Kick-off meeting 啟動會議Working meetings with other research grou

9、ps 與各課題組交流的任務(wù)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先生協(xié)作Major activities主要任務(wù)Key Elements in Achieving Water Sector Reform for Efficient and Sustainable Water Services 實現(xiàn)高效、可繼續(xù)開展水業(yè)改革目的的關(guān)鍵要素Experience from around the world

10、has shown that there are a number of key elements necessary to achieve efficient and sustainable water services. 國際閱歷闡明，高效、可繼續(xù)性的水業(yè)效力依賴于一些關(guān)鍵性的要素： Separation of policy, regulation and delivery 分別的政策制定，監(jiān)管與效力職能Transparency 透明化 Independent Regulation 獨立監(jiān)管An integrated planning process 一致的規(guī)劃機(jī)制 Performance

11、 measures 績效管理措施License or contract review 特許協(xié)議或合同的定期檢查Strategic planning on the basis of thoroughly understanding科學(xué)的戰(zhàn)略規(guī)劃2. Main Issues for China Water Sector Regulation 中國城市水業(yè)監(jiān)管面臨的關(guān)鍵問題 2.1 Lack of integrated planning and decision-making process 缺乏系統(tǒng)的規(guī)劃和決策機(jī)制2.2 Undeveloped regulatory system 政府監(jiān)管體系不健

12、全2.3 Lack of instruments and measures for economic regulation 缺乏經(jīng)濟(jì)監(jiān)管的工具和手段2.4 Incomplete permission regulation system 準(zhǔn)入監(jiān)管的體系沒有完善2.5 Distortion of service and quality regulation body 效力和產(chǎn)質(zhì)量量監(jiān)管的主體存在錯位2.6 Deficient legal framework 缺位的法律法規(guī)體系2.7 Undeveloped public participation scheme 落后的公眾監(jiān)視機(jī)制2.1 Lack

13、of integrated planning and decision-making process 欠缺系統(tǒng)的規(guī)劃和決策機(jī)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 Two, the fragmented planning processes have brought out many unreasonable decisi

14、ons in water sector due to the lack of consideration on the integrated water system. 實地調(diào)研結(jié)果闡明我國城市水業(yè)的現(xiàn)行規(guī)劃和決策機(jī)制無論在國家層面還是地方?jīng)Q策層面上都缺乏系統(tǒng)規(guī)劃。研討報告2中提到，由于缺乏對水系統(tǒng)的一致思索，現(xiàn)行的分散型規(guī)劃體系曾經(jīng)導(dǎo)致了很多不合理的決策。Few studies of water sector reform and its regulation 對改革和監(jiān)管方式的研討薄弱Neglect of regulation during reform process在改革實施中，普遍忽

15、略監(jiān)管2.2 Undeveloped regulatory system 政府監(jiān)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 privatization. 很多的國際閱歷曾經(jīng)證明了有效的監(jiān)管體系是水業(yè)改革、市場化或私營化順利實施的重要保證。Traditional institutional arrangement und

16、er a centrally planned economy was weak of regulation. 方案經(jīng)濟(jì)體制下的傳統(tǒng)水管理體制監(jiān)管職能薄弱。2.3 Lack of instruments and measures for economic regulation 缺乏經(jīng)濟(jì)監(jiān)管的工具和手段Effective economic regulatory arrangements should be in place before government reduces control, particularly in monopolistic activities. 政府在放寬行業(yè)控制之前，

17、尤其是對于自然壟斷性的行業(yè)，應(yīng)先建立有效的經(jīng)濟(jì)監(jiān)管體系。Lack of financial transparency.缺乏經(jīng)濟(jì)財務(wù)的透明性。Governments have only poor information on the true cost and potential efficiency gains of the service providers they regulate. 政府對于水業(yè)真實本錢、效力設(shè)備潛在效率等信息掌握非常有限。2.4 Incomplete permission regulation system準(zhǔn)入監(jiān)管的體系沒有完善Use concession as fu

18、nd raising method. 特許運營被當(dāng)作引資手段。Not utilization of concession for establishing the permission regulation. 沒有利用特許運營建立準(zhǔn)入監(jiān)管的關(guān)系。 Interlace and confusion of the relation between concession regulation and poverty right. 特許權(quán)監(jiān)管與產(chǎn)權(quán)關(guān)系交錯混淆。 2.5 Distortion of service and quality regulation body 效力的產(chǎn)質(zhì)量量監(jiān)管存在主體錯位Un

19、development of the independent water quality regulation system, lack of regulation power. 自來水水質(zhì)第三方監(jiān)管體系沒有建立,監(jiān)管缺乏權(quán)威性。Need for improving the independent regulation system in wastewater treatment sector. 污水第三方監(jiān)管體制需求改良。Usually neglect of sludge regulation. 污泥監(jiān)管被普遍忽略。2.6 Deficient legal system 缺位的法律法規(guī)體系La

20、ck of specific policies and regulations on quasi-public goods 針對準(zhǔn)公共物品的政策法規(guī)缺位Fragmented process for policy making and promulgating 政策法規(guī)出臺缺乏系統(tǒng)性和完好性Weak feasibility of existing policies and regulations 現(xiàn)行政策法規(guī)操作性較差2.7 Undeveloped Public Participation Scheme 不完善的公眾監(jiān)視機(jī)制Water sector reform and marketizatio

21、n 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(jìn)水業(yè)改革和市場化改革都有積極的促進(jìn)作用。China does not have a tradition of public participation but this is developing. 中國沒有“公眾參與的傳統(tǒng)，目前正處于開展階段。Client complaint 用戶贊揚機(jī)制Public hearing for setting

22、 water tariff 水價調(diào)整的聽證會3. Conclusions and Recommendations 結(jié)論和建議3.1 Right understanding of water sector reform 正確認(rèn)識城市水業(yè)改革3.2 Types of marketization for water sector 水業(yè)市場化方式3.3 The Establishment of Regulatory Body 建立監(jiān)管機(jī)構(gòu)3.4 Benchmarking 績效管理3.1 Right understanding of water sector reform 正確認(rèn)識城市水業(yè)改革The m

23、arketization for Chinese water sector has come into the third phase 中國城市水業(yè)市場化改革進(jìn)入第三階段 The first stage: opening to non-government sectors; inviting investment; and breaking monopoly 第一階段：開放市場、招商引資、突破壟斷 The second stage: establishing concession system; facilitating the restructure of traditional SOEs,

24、 advancing the term of full cost recovery, introducing competition mechanism, and shifting the governmental functions 第二階段：建立完善特許運營制度，推進(jìn)傳統(tǒng)國有企業(yè)改制、提出全本錢價錢體系、引入競爭機(jī)制，轉(zhuǎn)變政府職能The third stage: developing regulatory system; improving the investment and financing scheme; incubating the key actors, and strengt

25、hening public participation 第三階段：完善監(jiān)管體系、理順投資體制、培育市場主體、加強(qiáng)公眾參與 3.2 Types of marketization for water sector 水業(yè)市場化方式3.2.1 Governmental responsibilities in urban water sector 政府在城市水業(yè)中的責(zé)任Definition of governmental responsibility in water sector determines the mode for regulation 政府在城市水業(yè)中責(zé)任范圍決議監(jiān)管的方式Types o

26、f governmental responsibilities in water sector: direct or indirect responsible to water deliverables 政府在水業(yè)中責(zé)任方式：直接或間接承當(dāng)Ownership arrangement is the key to distinguish the marketization types 產(chǎn)權(quán)方式是決議市場化方式的關(guān)鍵Governments should also be responsible to environmental protection and resources management 政

27、府的責(zé)任還包括環(huán)境維護(hù)和資源管理政府責(zé)任形式市場化模式共同特征監(jiān)管特點直接承擔(dān)服務(wù)責(zé)任管理/租賃模式 （58年）政府與企業(yè)簽署平等的經(jīng)濟(jì)協(xié)議，政府與企業(yè)間的關(guān)系不是行政許可關(guān)系準(zhǔn)入監(jiān)管服務(wù)與質(zhì)量監(jiān)管水廠 BOT/TOT （ 1520年）整體特許經(jīng)營 （2030年）間接承擔(dān)服務(wù)責(zé)任私有化模式不平等的行政許可關(guān)系需要全成本的水價體系政府核心監(jiān)管是運營過程需要獨立監(jiān)管機(jī)構(gòu)公私合資模式公有企業(yè)模式Types of Govern. Res.Types of marketizationfeaturesRegulation featuresDirect responsibilitiesLease/manag

28、. contract （58y）The contract is an economic agreementThe relations between the government and the enterprise is not the administrative permissionApproval regulationService quality regulationBOT/TOT contract（ 1520y）Full service contracting operation and management（2030y）Indirect responsibilitiesDives

29、ture A relation of administrative permission is builtFull cost recovery is requiredOperation and business is the key of regulationAn independent regulatory body is requiredPublic-private joint ventureCorporatized public companyMajor advocated strategies for water marketization by Chinese governments

30、: lease contract, BOT, TOT and etc. 中國政府主張的水業(yè)市場化方式：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 company, joint venture, and full privatization models are good options, but with the need for strict independent reg

31、ulator bodies to monitor their performance. 對于個別經(jīng)濟(jì)程度較高有實施全本錢回收才干的城市，公司化運營的公有公司，協(xié)作方式以及完全私有化方式是可優(yōu)先選擇的方式。但是應(yīng)有嚴(yán)厲的獨立監(jiān)管機(jī)構(gòu)管理其績效程度。 Independent of the type of model adopted, performance measurement systems should be introduced to achieve, transparency and efficiency. 不論采取任何方式，都應(yīng)采用相應(yīng)的績效管理措施以提高效率和整個過程的透明性。3.2

32、.2 International experiences of water management 國際水業(yè)管理典型方式UK 英國France 法國USA 美國Chile 智利Singapore 新加坡Macao 澳門Others 其他3.2.3 Co-existence of different marketization models 不同的市場化方式可以共存The report recognizes that different marketization models could be good options for local authorities and co-exist. 本研

33、討以為不同的市場化方式都可以供地方政府選擇，而且不同方式可以共存。The exiting legal framework 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

34、etc. 現(xiàn)行的法律法規(guī)體系相對順應(yīng)租賃管理、BOT/TOT等方式的開展需求；而對于涉及到水業(yè)產(chǎn)權(quán)出賣的方式，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 of different models, which can provide more alternatives and make for shifting government functions, inviting investment, making an appropriate asset arra

35、ngement for water service, and alleviating the pressure of water tariff reform. 多種方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(zhuǎn)變、吸引投資、 資產(chǎn)處置、以及緩解水價改革的壓力。3.3 The Establishment of Regulatory Body 建立監(jiān)管機(jī)構(gòu)One key recommendation is the establishment of Provincial Water Commissions, which function as an independent regu

36、latory body and are responsible to making integrated planning, managing the implementation of benchmarking system, setting water tariff, and supporting the local authority for water concession management. 建議設(shè)立獨立的監(jiān)管機(jī)構(gòu)省級水業(yè)委員會，其責(zé)任主要包括：統(tǒng)籌規(guī)劃，擔(dān)任績效管理系統(tǒng)，制定水價，支持當(dāng)?shù)卣畬嵤┧畼I(yè)特許運營管理。Strengthening regulation. The Mu

37、nicipal Public Utility Bureau or the Municipal Construction Commission should be empowered for regulation. 加強(qiáng)監(jiān)管，強(qiáng)化公用設(shè)備管理局和市政建立委員會的監(jiān)管職能 3.4 Benchmarking 績效管理3.4.1 Classification of benchmarking : Metric benchmarking and process benchmarking 績效管理系統(tǒng)分類:定量績效管理和過程績效管理Metric benchmarking refers to the meas

38、urement and long term monitoring of some key indicators of performance. Through metric benchmarking, target performance levels and development trend information are available. 定量績效管理指績效目的的量化及對其中心目的長期監(jiān)控過程。經(jīng)過定量績效管理可以建立績效的目的程度、獲取趨勢信息。Metric benchmarking is not intended for the detailed aspects of opera

39、tions. 定量績效管理通常并不專注于運營操作的細(xì)節(jié)層面。The World Bank, International Water Association, Ofwat, and VEWIN (Association of Dutch Water Companies) use metric benchmarking. 定量績效管理體系的主要代表：世界銀行，國際水協(xié)，Ofwat和VEWIN荷蘭水公司協(xié)會Process benchmarking is more detailed than metric benchmarking and, as its name implies, measures

40、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(xì)化的績效管理方法，專注于詳細(xì)的操作步驟進(jìn)展比較和改良。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根底上，分析比較得出如何學(xué)習(xí)最正確的業(yè)內(nèi)外運作實際。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統(tǒng)的主要代表：美國水行業(yè)協(xié)會Amer