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中国自来水业规制体系改革研究
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摘要
自来水业是人类生存和发展不可或缺的物质条件和重要资源,其能否稳健高效发展直接影响到国民经济的繁荣和发展以及社会的稳定。世界各国都高度重视并进一步加强了对自来水业的规制。我国自来水业规制改革已经取得阶段性成果,但仍然存在着进入规制限制多、价格规制的作用没有得到充分发挥、质量规制和环境规制滞后等问题,制约着自来水业的快速发展。目前中国正处于市场经济的全面推进期,自来水业落后的运作模式和传统的规制体制也很难适应这种新的形势,深化自来水业规制体系改革,拓宽融资渠道,引入竞争机制,规范市场运营,建立合理有效的规制体制,已成为提高自来水业效率,加快自来水业发展的必然要求。
     本文运用历史的与逻辑的相统一、比较研究、规范分析与实证分析相结合、定性分析与定量分析相结合等分析方法,在对主要发达国家自来水业规制体系的改革经验进行比较借鉴的基础上,从进入规制、价格规制、质量规制和环境规制四个侧面对自来水业的规制体系改革问题进行了探索性的分析和研究:
     首先,介绍了国外和国内经典作家对自来水业的行业性质和行业特征的研究成果,在规制经济理论、自然垄断理论的基础上分析和探讨了自来水业规制体系改革的国内外研究现状,不仅为论文的写作奠定了坚实的理论基础,而且也提出了论文的研究方向和任务。
     其次,从经济绩效、技术绩效和社会绩效三个方面研究了现行规制体系下自来水业的规制绩效及其影响因素。改革开放后我国的自来水业获得了很大发展,经历了改革起始阶段、逐步改革阶段和改革逐步深化阶段三个阶段的改革尝试,生产效率有所提高,但也存在一些不足:在经济绩效方面,行业亏损现象仍然比较严重;在技术绩效方面,自来水水质和管网漏损率均未达到国家规定标准;在社会绩效方面,自来水供求矛盾不断加剧,水污染和水浪费现象比较严重。影响我国自来水业规制绩效的原因很多,本文从进入规制、价格规制、质量规制和环境规制等几个方面进行了分析。
     再次,通过对美国、英国、法国自来水业规制体系改革的背景、主要做法、绩效的分析,总结出这些国家自来水业规制体系改革的共同点,这为我国自来水业的规制体系改革提供了丰富的理论支持和实践经验。这些共同点概括起来主要有四个方面:放松进入规制是规制体系改革的普遍趋势;构建激励性价格规制模型是价格规制改革的最佳方案;加强自来水水质规制以及污染控制是世界各国的共同做法;实行一体化的自来水业规制体制是深化规制体系改革的重要保障;完善的法律体系是自来水业有效规制的前提和保证。
     最后,在分析中国自来水业规制绩效影响因素和借鉴主要发达国家自来水业规制改革经验的基础上,从进入规制、价格规制、质量规制和环境规制四个方面提出深化中国自来水业规制体系改革的政策建议。在进入规制改革方面,实行市场结构重组,形成有效竞争的市场格局;深化城市自来水业投融资机制改革;规范自来水业的市场化改革;构建促进自来水业进入规制改革的规制体制。在价格规制改革方面,要规范自来水业的定价程序,完善成本定价方法,引进激励性规制方法,继续推行两部制价格、阶梯式计量水价,特殊行业要实行累进制水价,推广实行分类水价和按质定水价政策,按照地区、季节等差别,实行淡旺季水价,完善污水处理费的征收制度,建立和完善自来水听证价格制度,实现对自来水价格的有效监督。在质量规制方面,科学修订水质标准;建立城市自来水水质管理网络系统;各地区根据具体情况实行分质供水政策;加强管网改造,提高管网水质;采用新技术,提高自来水服务质量;建立相应的惩罚制度,保证水质和服务质量;加强城市自来水安全预警系统和应急系统的建设等。在环境规制改革方面,加强水源保护;加大城市污水处理和水污染防治的力度;采取有效措施实现污水回用,建设节水型城市;加大污染处罚力度,有效控制污染;推广排污权交易的做法等,以促进自来水业健康、稳定发展。
     本文在以下几个方面对国内现有研究成果有所突破:一是在借鉴西方主要发达国家自来水规制改革经验的基础上,对中国自来水业规制改革,尤其是规制体系改革进行了系统研究,同时注意与规制体制改革的有效衔接。二是在对自来水业进入规制、价格规制、质量规制进行研究的同时,加强了对自来水业环境规制的研究,拓展了自来水业规制体系研究的视角。三是对自来水业的定价模式进行了深入分析和探讨,构建了激励性价格规制模型,在水价制度上引入浮动价格制度、插卡取水制度、淡旺季水价制度、分质供水制度等,并提出了适合我国国情的对策性建议,对深化自来水业规制体系改革具有参考和借鉴作用。
The running water is the essential substance and source for the existence and development of the human beings. Its steady and efficient development will directly influence the prosperity and development of the national economy and the stability of the society. Countries in the world think highly of the running water and strengthen the regulations of it. The reform of the running water in China has made a periodic achievement, but there are still restrictions to access to it, and the functions of the regulations have not been fully exercised, and the regulations on the quality of water and the regulations on environment protection seriously lag behind, which restricts the rapid development of the running water industry. Presently, China is now in the process of over-all advancement of the market economy. Neither the laggard operation mode nor the traditional systems of the regulations of the running water industry can adapt to the new conditions. Therefore, it is very essential to have a further reform on the system of the regulations of the running water industry, to have more financing channels, to introduce in competitive mechanisms, to regulate the market operations and to establish rational and effective systems of regulations so that the efficiency of the running water industry will be improved and that the development of the running water industry will be quickened.
     In this dissertation, the author has, on the basis of the comparison with the experience in the reform of the system of the regulations on the running water industry in main developed countries, made a exploratory study of the reform of the systems of the regulations on the running water industry from the regulation of access, of price, of quality and of the environment by means of the unity of logic and history , the comparative study, the normative analysis, the qualitative and quantitative analysis etc:
     Firstly, the author has introduced the achievements (made by famous writers home and abroad) on the nature and features of the running water industry. Then she has, on the basis of the analysis of the theory of the regulated economy and the natural monopoly theory, studied the present conditions of the research on the reform of the regulations of the running water industry inside and outside China. The author has not only built a strong theoretical foundation for the writing of this dissertation, but also put forward the direction and task of her study in this dissertation.
     Secondly, the author has, from the perspective of economic performance, technological performance and the social performance, made a study of the performance and the influencing factors of the regulations in the present system of regulations. Although a big improvement in the running water industry in China has been made since the open-door policy after the reform outset stage, gradually reform stage and the reform deepens the stage gradually, the productivity efficiency has been, to some degree, improved, there are still some problems: the running water industry is now running a serious loss in terms of economy performance; there is still a long way to meet the national standard in terms of the quality of the running water and the rate of the leakage of the networks of the pipes as far as the technology performance is concerned. As to the social performance, the conflict between the demand and supply is getting more and more serious, so are the water pollution and irrational water consumption, whose reasons that influence the performance of the running water regulations are originally many: this article has carried on the analysis from regulations of access, regulations of price, regulations of quality, regulations of environment and so on several aspects.
     Thirdly,through the analysis of the background, major measures and the performance of the reform of the systems of the regulations on the running water industry in the U.S. A., England, and France, the author has generalized common grounds from the reform of the system of the regulations of the running water, which has offered a rich theoretical support and experience for China’s reform of the system of the regulations of the running water industry. Five major aspects are included in these common grounds: the deregulation of access is the trend of the reform of the system of regulations; the construction excitability price rules and regulations model is the price rules and regulations reform preferred plan; the regulations of the quality of water and the control of the water pollution are the common measures adopted in the world; the unification of the system of the regulations of the running water is the important guarantee of the further reform of the system of the regulations; the improve legal system is the premise and guarantee of the effective regulations of the running water industry.
     Finally, author has, through the analysis of the influencing factors on the performance of the regulations on China’s running water industry, and the reference to the experience in the system reform of the regulations of the running water industry in the major developed countries, made a exploratory study of the reform of the systems of the regulations on the running water industry from the regulation of access, the regulation of price, the regulation of quality and regulation of environment. She puts forward a suggestion on the policy of the further reform of the regulations of China’s running water industry. As far as the access to the reform of the regulations is concerned, the restructuring of the market shall be carried out so that an effective, competitive market structure will be formed. Besides, it is necessary that a reform of the investment and financing mechanisms of the urban running water industry should be further implemented, that the reform of the marketization of the running water industry should be standardized, and that the reform that promotes the regulation of access of the running water industry should be constructed. In terms of the reform of the price, it is very essential to normalize the pricing procedure in the running water industry and to improve cost-based pricing, to introduce the incentive mechanism, to continue to promote two-way pricing step-mode water-measurement pricing, to implement the accumulative water pricing in the special industries, to promote the categorized water pricing and quality-based pricing, to implement the busy and off season pricing as per the differences in different regions and in different seasons. In addition, it is necessary to improve the sewage disposal charging system, to institute and improve the auditing system of the price of the running water so that the price of running water can be effectively supervised. In terms of the quality regulations, it needs to revise the norms of the quality of water, to set up the urban running water- managing network; furthermore, it is necessary to carry out the quality-graded pricing policy in different areas according their specific conditions,to strengthens the pipe network to transform, enhances the pipe network water quality,to adopt new technologies to improve the running water service and to set up the relevant punishment system to protect the quality of the water and to improve the service. It is also important to enhance the construction of the security alarming system and emergency system of the urban running water. As far as the reform of the environment regulations is concerned, it is necessary to reinforce the protection of the water resources, to strengthen the urban sewage disposal and the protection from water pollution, to take effective measures to recycle the wastewater to built a water-saving city, to increases the pollution punishment dynamics, active control pollution and to promote the practice of the exchange of the sewage discharging right to promote the sound and steady development of the running water industry.
     The author has made some breakthroughs of the present domestic research achievements: firstly, In profits from the Western main developed country running water rules and regulations reform experience's foundation, to the Chinese waterway and well construction rules and regulations reform, regulated the system reform to conduct the system research particularly originally, simultaneously paid attention to and the rules and regulations organizational reform effective engagement. Secondly, While regulations of access, regulations of price, regulations of quality to the waterway and well construction to conduct the research originally, strengthened to regulations of environment research, and the perspective of the study of the running water regulations has been developed. Thirdly, Carries on the thorough analysis and the discussion originally to the waterway and well construction fixed price pattern,and construct the incentive pricing regulation models in the running water industry; besides, in terms of the price of water, introduced are“the floating pricing system”,“the card-inserted and the water-out”system,“the off and busy season system”,“the graded-quality water supply system”etc., which are of some certain practicability and operability, and proposed suits our country national condition the countermeasure suggestion, to deepens the waterway and well construction rules and regulations system reform to have originally refers to and profits from the function.
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    ①王俊豪.英国政府规制体制改革研究[M].上海:上海三联书店,1998
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    ②王俊豪.政府规制经济学导论[M].上海:商务印书馆,2001
    ①王俊豪.英国政府规制体制改革研究[M].上海:上海三联书店,1998
    ①Ofwat.Guaranteed Standards Scheme [EB]. http://www.ofwat.gov.uk/aptrix/ofwat/publish.nsf/Content/guaranteedstandardsscheme,Apr, 2002c.
    ①王俊豪.英国政府规制体制改革研究[M].上海:上海三联书店,1998
    ①更为详细地论述请参阅:(1) Ofwat,DEFRA.英格兰和威尔士水务产业的发展[R],内部翻译资料;(2) Emanuele Lobina, Arezzo, and David Hall. UK Water privatization——A Briefing[J].February 2001。
    ①水规总院.赴法国水资源规划与管理培训考察报告[J].水利技术监督,2003( 3 ): 1-3
    ①耿爱先.自然垄断管制与放松—对我国自来水行业制度变迁的研究[D].硕士学位论文,华南师范大学,2001.
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    ①Quality et pollution de la ressource en eau. University de Picardie Jules Veme D.U.E.S.S 《Eau et Environnement》,2003.
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    ①丁惠英、丁民.国外城市水务管理[N].中国水利报,2004-0 6-05
    ②丁惠英、丁民.国外城市水务管理[N].中国水利报,2004-0 6-05
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