中国北方城市水管理研究项目第E部分-PowerPoint

NORTHCHINAWATERQUALITYSTUDYPROGRAMCOMPONENTE:WaterSectorRegulatory&InstitutionalStudy中国北方城市水管理研究项目第E部分:监管与体制研究WaterPolicyResearchCentre,TsinghuaUniversityInternationalConsultants:Mr.MichaelRouseMr.KeithStallard清华大学水业政策研究中心国际咨询专家：MichaelRouse先生KeithStallard先生21June2005TORScopeTOR研究范围ReviewandsummaryofexistingregulationsandpoliciesofthewatersectorinChina;中国现有水业政策法规的收集与汇总；Identificationofthecurrentsituationandchallengesofgovernmentalmonitoringandenforcementinwatersectorwhileintroducingtheprivatesectorparticipation;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BenchmarkingSystemdevelopment:TheobjectivesandimportantfordevelopingtheBenchmarkingSystem,assisttoestablishthemajorindicatorsoftheBenchmarkingsystem,maketherecommendationsforimplementingtheBenchmarkingSystemincludingthemethodsfororganizingandimplementingtheBenchmarkingSystem;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；KeyIssuesandRecommendations:DevelopmentofpolicyrecommendationsforMunicipalWaterandWastewaterRegulatoryandinstitutionalDevelopment.主要问题及建议：城市供水/污水处理法规体制发展的政策性建议Structureofdeliverydocuments成果报告结构Thedeliverablesofthestudyareessentiallyfourreports:本研究成果包括四个分报告：Report1-ReviewandSummaryofExistingPoliciesandRegulations报告1－水业领域政策法规框架Report2-SectorStructureandCaseStudies报告2－行业管理体制与案例研究Report3-BenchmarkingSystem报告3－绩效管理系统Report4–RegulatoryandInstitutionalStudy-FindingsandRecommendations报告4－监管与体制研究－成果与建议LiteratureStudy文献调研Reviewingandcollatingtheexistingwater-relatedpoliciesandregulations现行水业政策法规的收集和整理Internationalexperiencesonwaterserviceprivatization水业私营化的国际经验Internationalbestpracticeonbenchmarkingforwatermanagement水业绩效管理的成功经验Fieldsurveys实地调研Cityselection:Shenzhen,Jinan,Shenyang,Maanshan,andTaiyuan城市选择：深圳、济南、沈阳、马鞍山和太原Makingspecificquestionlistsforvariousgovernmentsectorsandenterprise针对不同政府部门和企业制定调研问题清单Interviewsandworkmeetings:totally26meetingswereorganizedandover100peoplefromlocalgovernmentsectorsandwaterenterpriseshaveparticipatedinthediscussions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Callinginterviews电话访谈Conferenceforcasestudyanalysis案例分析会Majoractivities主要工作Workmeetingsandseminars工作会议及内部讨论会Kick-offmeeting启动会议Workingmeetingswithotherresearchgroups与各课题组交流的工作会议Workingwithinternationalconsultants:Mr.MichaelRouse&Mr.KeithStallard与国际咨询专家MichaelRouse先生、KeithStallard先生合作Majoractivities主要工作1.KeyElementsinAchievingWaterSectorReformforEfficientandSustainableWaterServices实现高效、可持续发展水业改革目标的关键因素Experiencefromaroundtheworldhasshownthatthereareanumberofkeyelementsnecessarytoachieveefficientandsustainablewaterservices.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)Separationofpolicy,regulationanddelivery分离的政策制定，监管与服务职能b)Transparency透明化c)IndependentRegulation独立监管d)Anintegratedplanningprocess统一的规划机制e)Performancemeasures绩效管理措施f)Licenseorcontractreview特许协议或合同的定期检查g)Strategicplanningonthebasisofthoroughlyunderstanding科学的战略规划2.MainIssuesforChinaWaterSectorRegulation中国城市水业监管面临的关键问题2.1Lackofintegratedplanninganddecision-makingprocess缺乏系统的规划和决策机制2.2Undevelopedregulatorysystem政府监管体系不健全2.3Lackofinstrumentsandmeasuresforeconomicregulation缺乏经济监管的工具和手段2.4Incompletepermissionregulationsystem准入监管的体系没有完善2.5Distortionofserviceandqualityregulationbody服务和产品质量监管的主体存在错位2.6Deficientlegalframework缺位的法律法规体系2.7Undevelopedpublicparticipationscheme落后的公众监督机制2.1Lackofintegratedplanninganddecision-makingprocess欠缺系统的规划和决策机制TheexperiencesofvisitedcitieshaveshownthattheplanningprocessesforwatersectorarehighfragmentedatalllevelsinChina.AsmentionedinReportTwo,thefragmentedplanningprocesseshavebroughtoutmanyunreasonabledecisionsinwatersectorduetothelackofconsiderationontheintegratedwatersystem.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。Fewstudiesofwatersectorreformanditsregulation对改革和监管模式的研究薄弱Neglectofregulationduringreformprocess在改革实施中，普遍忽略监管2.2Undevelopedregulatorysystem政府监管体系不健全Manyinternationalexperienceshavedemonstratedthataneffectiveregulatoryframeworkisanessentialcomponentofwatersectorreform,marketizationandprivatization.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。Traditionalinstitutionalarrangementunderacentrallyplannedeconomywasweakofregulation.计划经济体制下的传统水管理体制监管职能薄弱。2.3Lackofinstrumentsandmeasuresforeconomicregulation缺乏经济监管的工具和手段Effectiveeconomicregulatoryarrangementsshouldbeinplacebeforegovernmentreducescontrol,particularlyinmonopolisticactivities.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。Lackoffinancialtransparency.缺乏经济财务的透明性。Governmentshaveonlypoorinformationonthetruecostandpotentialefficiencygainsoftheserviceproviderstheyregulate.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。2.4Incompletepermissionregulationsystem准入监管的体系没有完善Useconcessionasfundraisingmethod.特许经营被当作引资手段。Notutilizationofconcessionforestablishingthepermissionregulation.没有利用特许经营建立准入监管的关系。Interlaceandconfusionoftherelationbetweenconcessionregulationandpovertyright.特许权监管与产权关系交织混淆。2.5Distortionofserviceandqualityregulationbody服务的产品质量监管存在主体错位Undevelopmentoftheindependentwaterqualityregulationsystem,lackofregulationpower.自来水水质第三方监管体系没有建立,监管缺乏权威性。Needfor