【作者】 黄建正；

【导师】 郁建兴；

【作者基本信息】 浙江大学 ， 公共管理， 2005， 硕士

【副题名】基于对杭州赤山埠水厂监管现状和杭州市区供水监管机制的探讨

【摘要】 随着社会主义市场经济体制的逐步建立和城市化进程的加快，中国供水业民营化改革方兴未艾，正处于快速发展之中。鉴于供水业是全局性、先导性的基础产业，承担着极其重要的社会服务职能和城市公益性职能，供水业民营化改革对政府相应监管机制的调整和完善提出了更高的要求。本文首先分析了国内外供水业民营化改革及其监管的现状，提出供水业民营化改革要避免从政府垄断转向企业垄断，要建构一个蕴含供水企业有效竞争的监管机制。本文以杭州市对赤山埠水厂特许经营权转让后的监管和杭州市区供水监管机制为研究实例，对供水业民营化改革的监管现状进行了分析，指出了存在的问题，以及引发这些问题的深层次原因：从城市政府监管层面而言，没有建构供水企业之间的竞争机制；从具体监管体制而言，没有作相应调整；从民营企业而言，没有作好抗经营风险的准备。在以上分析基础上，本文试图建构在一个城市范围内基于有效竞争的供水业民营化改革的监管模式，主要是通过对供水企业的改制或授予特许经营权等方式，实现政企分开，并通过“竞价(质)上网”等方式，使供水企业真正成为平等参加市场竞争的主体，监管机构的工作重心在于加强市场监管，创造公开、公平、公正的市场竞争环境。本文阐述了建构这一监管模式的理论依据，分析了实施这一监管模式的四个关键环节：政企分开、自主经营，厂网分开、竞价(质)上网，寡头竞争、公众参与，转变职能、独立监管，最后论述了实施此监管模式的八项支撑性措施，分别是：完善监管程序，完善监管体制，完善监管制度安排，完善供水业特许经营合同，培育监管中介组织，完善监管法律体系，完善危机管理处理机制，加强社会舆论监管。更多还原

【Abstract】 Along with China’s transition to market economy and its increased urbanization,reforms related to the privatization of water supply in cities are in full swing. As thewater supply is a public service by nature, the privatization movement requirescorresponding adjustments of government regulation.This thesis starts with an analysis of research and practices concerning theprivatization of urban water supply both in and outside China. It arrives at theconclusion that privatization should not merely be a change from public monopoly toprivate monopoly. An effective regulation system still needs to be installed to guaranteehealthy competition between water enterprises. Based on the case study of HangzhouChi Shan Bu Water Plant, the newly chartered water supply enterprise and the city’sregulation on water supply, this thesis probes into the current state of regulation on theprivatization of urban water supply and locates problems and their deep-rooted causes:on the regulation side, there is the lack of a sound mechanism that endorses competition;old regulation practices have not been adjusted correspondingly; on the supply side,private operators are not fully prepared to withstand business risks.With problems located, this thesis tries to construct an effective mode of regulationon the privatization of urban water supply that endorses competition. While the focus ofregulation is to create an open, just and fair business environment for water enterprise,this new mode of regulation can be attainable only after water enterprises go throughownership restructuring to free themselves from the intervention of govemment in theiroperation and are given special licenses to operate and compete on account of the priceand quality of their service. This thesis explains the theoretical basis for this new modeof regulation and comes down to some basic concepts as well as critical issues: thesplitting of corporate management and govemment control, independent operation, thedisconnection of water production and supply, the competitive contracting, oligarchcompetition, public participation, change of organizational function, independentregulation. It concludes by proposing eight major measures to enforce this new mode ofregulation: improving procedures, mechanism and methods of regulation, optimizinglicensing system, installing third-party regulation agencies, legal interpretation andprotection, crisis management mechanism and public participation.更多还原