中国北方城市水管理研究项目第E部分ppt课件

1、NORTH CHINA WATER QUALITY STUDY PROGRAM COMPONENT E: Water Sector Regulatory & Institutional Study中国北方城市水管理研讨工程第E部分: 监管与体制研讨Water Policy Research Centre, Tsinghua University International Consultants: Mr. Michael Rouse Mr. Keith Stallard清华大学水业政策研讨中心国际咨询专家：Michael Rouse先生 Keith Stallard 先生21 June 200

2、5TOR ScopeTOR研讨范围Review and summary of existing regulations and policies of the water sector in China;中国现有水业政策法规的搜集与汇总；Identification of the current situation and challenges of governmental monitoring and enforcement in water sector while introducing the private sector participation;引入私有部门参与时，政府水业监管

3、的现状与所面临的问题分析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;标杆管理系统的推行：推行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目的，针对标杆管理系统的实践运用和操作提出建议，包括组织和实施方法；Key Issues and Recommendations: Development of policy recommendations for Municipal Water and Wastewater Regulatory and institutional Development. 主要问题及建议：城市供水/污水处置法规体制开展的政策性建议Structure of delivery do

5、cuments成果报告构造The deliverables of the study are essentially four reports:本研讨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讨Report 3 - Benchmarking System 报告3绩效管理系统Report 4 Regulatory and Institutional

6、 Study - Findings and Recommendations 报告4监管与体制研讨成果与建议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搜集和整理International experiences on water service privatization 水业私营化的国际阅历International best practice on benchmarking for water management 水业绩效

7、管理的胜利阅历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 were organized and over 100 people from loca

8、l government sectors and water enterprises have participated in the discussions 访谈和任务会议：共组织了26次任务会议，地方政府部门和企业超越100人参与了讨论Calling interviews 访谈Conference for case study analysis 案例分析会Major activities主要任务Work meetings and seminars 任务会议及内部讨论会Kick-off meeting 启动会议Working meetings with other research grou

9、ps 与各课题组交流的任务会议Working with international consultants: Mr. Michael Rouse & Mr. Keith Stallard 与国际咨询专家Michael Rouse先生、Keith Stallard先生协作Major activities主要任务Key Elements in Achieving Water Sector Reform for Efficient and Sustainable Water Services 实现高效、可继续开展水业改革目的的关键要素Experience from around the world

10、has shown that there are a number of key elements necessary to achieve efficient and sustainable water services. 国际阅历阐明，高效、可继续性的水业效力依赖于一些关键性的要素： Separation of policy, regulation and delivery 分别的政策制定，监管与效力职能Transparency 透明化 Independent Regulation 独立监管An integrated planning process 一致的规划机制 Performance

11、 measures 绩效管理措施License or contract review 特许协议或合同的定期检查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 2.1 Lack 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

12、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 效力和产质量量监管的主体存在错位2.6 Deficient legal framework 缺位的法律法规体系2.7 Undeveloped public participation scheme 落后的公众监视机制2.1 Lack

13、of integrated planning and decision-making process 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 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. 实地调研结果阐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。研讨报告2中提到，由于缺乏对水系统的一致思索，现行的分散型规划体系曾经导致了很多不合理的决策。Few studies of water sector reform and its regulation 对改革和监管方式的研讨薄弱Neglect of regulation during reform process在改革实施中，普遍忽

15、略监管2.2 Undeveloped regulatory system 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 sector reform, marketization and privatization. 很多的国际阅历曾经证明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证。Traditional institutional arrangement und

16、er a centrally planned economy was weak of regulation. 方案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Effective 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，

17、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 gains of the service providers they regulate. 政府对于水业真实本钱、效力设备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Use concession as fu

18、nd raising method. 特许运营被当作引资手段。Not utilization of concession for establishing the permission regulation. 没有利用特许运营建立准入监管的关系。 Interlace and confusion of the relation between concession regulation and poverty right. 特许权监管与产权关系交错混淆。 2.5 Distortion of service and quality regulation body 效力的产质量量监管存在主体错位Un

19、development 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 improving the independent regulation system in wastewater treatment sector. 污水第三方监管体制需求改良。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La

20、ck 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 making and promulgating 政策法规出台缺乏系统性和完好性Weak feasibility of existing policies and regulations 现行政策法规操作性较差2.7 Undeveloped Public Participation Scheme 不完善的公众监视机制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，目前正处于开展阶段。Client complaint 用户赞扬机制Public hearing for setting

22、 water tariff 水价调整的听证会3. Conclusions and Recommendations 结论和建议3.1 Right understanding of water sector reform 正确认识城市水业改革3.2 Types of marketization for water sector 水业市场化方式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The m

23、arketization for Chinese water sector has come into the third phase 中国城市水业市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、突破垄断 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 第二阶段：建立完善特许运营制度，推进传统国有企业改制、提出全本钱价钱体系、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 strengt

25、hening public participation 第三阶段：完善监管体系、理顺投资体制、培育市场主体、加强公众参与 3.2 Types of marketization for water sector 水业市场化方式3.2.1 Governmental responsibilities in urban water sector 政府在城市水业中的责任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议监管的方式Types o

26、f governmental responsibilities in water sector: direct or indirect responsible to water deliverables 政府在水业中责任方式：直接或间接承当Ownership arrangement is the key to distinguish the marketization types 产权方式是决议市场化方式的关键Governments should also be responsible to environmental protection and resources management 政

27、府的责任还包括环境维护和资源管理政府责任形式市场化模式共同特征监管特点直接承担服务责任管理/租赁模式 （58年）政府与企业签署平等的经济协议，政府与企业间的关系不是行政许可关系准入监管服务与质量监管水厂 BOT/TOT （ 1520年）整体特许经营 （2030年）间接承担服务责任私有化模式不平等的行政许可关系需要全成本的水价体系政府核心监管是运营过程需要独立监管机构公私合资模式公有企业模式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. 中国政府主张的水业市场化方式：租赁管理，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. 对于个别经济程度较高有实施全本钱回收才干的城市，公司化运营的公有公司，协作方式以及完全私有化方式是可优先选择的方式。但是应有严厉的独立监管机构管理其绩效程度。 Independent of the type of model adopted, performance measurement systems should be introduced to achieve, transparency and efficiency. 不论采取任何方式，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

32、.2 International experiences of water management 国际水业管理典型方式UK 英国France 法国USA 美国Chile 智利Singapore 新加坡Macao 澳门Others 其他3.2.3 Co-existence of different marketization models 不同的市场化方式可以共存The report recognizes that different marketization models could be good options for local authorities and co-exist. 本研

33、讨以为不同的市场化方式都可以供地方政府选择，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. 现行的法律法规体系相对顺应租赁管理、BOT/TOT等方式的开展需求；而对于涉及到水业产权出卖的方式，如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 arra

35、ngement for water service, and alleviating the pressure of water tariff reform. 多种方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 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，担任绩效管理系统，制定水价，支持当地政府实施水业特许运营管理。Strengthening regulation. The Mu

37、nicipal Public Utility Bureau or the Municipal Construction Commission should be empowered for regulation. 加强监管，强化公用设备管理局和市政建立委员会的监管职能 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 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. 定量绩效管理指绩效目的的量化及对其中心目的长期监控过程。经过定量绩效管理可以建立绩效的目的程度、获取趋势信息。Metric benchmarking is not intended for the detailed aspects of opera

39、tions. 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, International 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

40、the performance of each measurable part of an enterprises 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，专注于详细的操作步骤进展比较和改良。The aim, based on the result of quantified analysis, is to learn from best practice. 其目的是在定量绩效管理的根底上，分析比较得出如何学习最正确的业内外运作实际。Major water sector associations those are using process benchmarking, including American Water Works Association, Water Environment Federation and Water Industry Research. 采用过程绩效管理系统的主要代表：美国水行业协会Amer