Additional Information
Book Details
Abstract
This book, published in collaboration with ERSAR, presents a unique account of governance and regulatory methods used by different countries, states and municipalities that will help regulators and governments all over the world to improve their regulatory approaches. It is the first book to compile such an amount of data about regulatory processes of a wide number of countries from the five continents.
It discusses how the characteristics of water and wastewater services call for regulation and how different countries apply distinct regulatory methods. By showing 18 country case-studies, the book offers an interesting perspective as the regulatory models adopted vary immensely depending on geographical location, nature and strength of institutions and governments, political ideology, features and level of development of the countries. In addition, it provides examples of best practices that may be important for policy-makers to enhance the regulatory processes adopted in each country. It looks closely at rules imposed by state and local governments concerning regulatory issues and how they are being applied.
Regulation of Water and Wastewater Services covers the fundamental and practical concepts and issues regarding the regulation of water and wastewater services. It describes and compares the regulatory methods adopted in several countries and provides a global overview on regulation. There is detailed coverage of topics such as quality of service regulation, economic regulation and public service obligations. This book is suitable for regulators, academic researchers and students, consultants, operators and managers, policy-makers and other stakeholders.
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Author: Rui Cunha Marques, Center of Urban and Regional Systems (CESUR), Instituto Superior Tecnico, Technical University of Lisbon in collaboration with the Portuguese Water and Waste Services Regulation Authority (ERSAR)
Table of Contents
Section Title | Page | Action | Price |
---|---|---|---|
Half title | 1 | ||
Title | 3 | ||
Copyright | 4 | ||
Contents | 5 | ||
Notes about the author and contributors | 9 | ||
Author | 9 | ||
Acknowledgements | 11 | ||
Acronyms | 13 | ||
Foreword | 21 | ||
Preface | 23 | ||
Part 1 The regulation of drinking water and wastewater services | 25 | ||
1.1 CHARACTERISTICS OF WATER UTILITIES | 25 | ||
1.2 THE NEED FOR REGULATION AND ITS OBJECTIVES | 27 | ||
1.3 MODELS OF ORGANIZATION IN THE WATER SECTOR | 31 | ||
1.4 PUBLIC SERVICE OBLIGATIONS | 35 | ||
1.5 REGULATING THE QUALITY OF SERVICE | 37 | ||
1.5.1 General considerations | 37 | ||
1.5.2 Approaches to regulation | 38 | ||
1.5.3 Sunshine regulation | 38 | ||
1.5.4 The potential of benchmarking | 39 | ||
1.6 ECONOMIC REGULATION | 40 | ||
1.6.1 General considerations | 40 | ||
1.6.2 Rate-of-return regulation | 41 | ||
1.6.3 Regulation based on performance incentives | 42 | ||
Part 2: Regulation case studies | 47 | ||
2.1 AUSTRALIA | 47 | ||
2.1.1 Historical background | 47 | ||
2.1.2 Legal and institutional framework | 48 | ||
2.1.2.1 Responsibilities | 48 | ||
2.1.2.2 Regulation | 50 | ||
2.1.3 Market structure | 51 | ||
2.1.3.1 Ownership and management of services | 51 | ||
2.1.3.2 Players in the sector | 51 | ||
2.1.3.3 Integration in the sector and services offered | 52 | ||
2.1.3.4 Numbers for the sector | 52 | ||
2.1.4 Rules of the game | 53 | ||
2.1.4.1 Establishment of tariffs | 53 | ||
2.1.4.2 Quality of service | 54 | ||
2.1.4.3 Public service obligations | 56 | ||
2.1.5 Performance | 57 | ||
2.2 BELGIUM | 58 | ||
2.2.1 Historical background | 58 | ||
2.2.2 Legal and institutional framework | 60 | ||
2.2.2.1 Responsibilities | 60 | ||
2.2.2.2 Regulation | 61 | ||
2.2.3 Market structure | 62 | ||
2.2.3.1 Ownership and management of the services | 62 | ||
2.2.3.2 Players in the sector | 62 | ||
2.2.3.3 Integration of the sector and services provided | 64 | ||
2.2.3.4 Numbers for the sector | 64 | ||
2.2.4 Rules of the game | 64 | ||
2.2.4.1 Tariff setting | 64 | ||
2.2.4.2 Quality of service | 66 | ||
2.2.4.3 Public service obligations | 67 | ||
2.2.5 Performance | 68 | ||
2.3 BRAZIL | 69 | ||
2.3.1 Historical background | 69 | ||
2.3.2 Legal and institutional framework | 71 | ||
2.3.2.1 Responsibilities | 71 | ||
2.3.2.2 Regulation | 72 | ||
2.3.3 Market structure | 74 | ||
2.3.3.1 Ownership and management of services | 74 | ||
2.3.3.2 Players in the sector | 74 | ||
2.3.3.3 Integration in the sector and services provided | 75 | ||
2.3.3.4 Numbers for the sector | 75 | ||
2.3.4 Rules of the game | 76 | ||
2.3.4.1 Tariff setting | 76 | ||
2.3.4.2 Quality of service | 77 | ||
2.3.4.3 Public service obligations | 79 | ||
2.3.5 Performance | 79 | ||
2.4 CHILE | 80 | ||
2.4.1 Historical background | 80 | ||
2.4.2 Legal and institutional framework | 81 | ||
2.4.2.1 Responsibilities | 81 | ||
2.4.2.2 Regulation | 81 | ||
2.4.3 Market structure | 82 | ||
2.4.3.1 Ownership and management of services | 82 | ||
2.4.3.2 Players in the sector | 83 | ||
2.4.3.3 Integration of the sector and services provided | 84 | ||
2.4.3.4 Numbers for the secto | 84 | ||
2.4.4 Rules of the game | 85 | ||
2.4.4.1 Tariff setting | 85 | ||
2.4.4.2 Quality of service | 87 | ||
2.4.4.3 Public service obligations | 88 | ||
2.4.5 Performance | 89 | ||
2.5 COLOMBIA | 90 | ||
2.5.1 Historical background | 90 | ||
2.5.2 Legal and institutional framework | 92 | ||
2.5.2.1 Responsibilities | 92 | ||
2.5.2.2 Regulation | 93 | ||
2.5.3 Market structure | 93 | ||
2.5.3.1 Ownership and management of services | 93 | ||
2.5.3.2 Players in the sector | 93 | ||
2.5.3.3 Integration of the sector and services provided | 94 | ||
2.5.3.4 Numbers for the sector | 95 | ||
2.5.4 Rules of the game | 96 | ||
2.5.4.1 Tariff setting | 96 | ||
2.5.4.2 Quality of service | 96 | ||
2.5.4.3 Public service obligations | 98 | ||
2.5.5 Performance | 98 | ||
2.6 COSTA RICA | 99 | ||
2.6.1 Historical background | 99 | ||
2.6.2 Legal and institutional framework | 100 | ||
2.6.2.1 Responsibilities | 100 | ||
2.6.2.2 Regulation | 101 | ||
2.6.3 Market structure | 101 | ||
2.6.3.1 Ownership and management of services | 101 | ||
2.6.3.2 Players in the sector | 101 | ||
2.6.3.3 Integration of the sector and services provided | 102 | ||
2.6.3.4 Numbers for the sector | 102 | ||
2.6.4 Rules of the game | 103 | ||
2.6.4.1 Tariff setting | 103 | ||
2.6.4.2 Quality of service | 104 | ||
2.6.4.3 Public service obligations | 105 | ||
2.6.5 Performance | 105 | ||
2.7 FRANCE | 105 | ||
2.7.1 Historical background | 105 | ||
2.7.2 Legal and institutional framework | 106 | ||
2.7.2.1 Responsibilities | 106 | ||
2.7.2.2 Regulation | 108 | ||
2.7.3 Market structure | 109 | ||
2.7.3.1 Ownership and management of services | 109 | ||
2.7.3.2 Players in the sector | 109 | ||
2.7.3.3 Integration of the sector and services provided | 110 | ||
2.7.3.4 Numbers for the sector | 110 | ||
2.7.4 Rules of the game | 111 | ||
2.7.4.1 Tariff setting | 111 | ||
2.7.4.2 Quality of service | 114 | ||
2.7.4.3 Public service obligations | 114 | ||
2.7.5 Performance | 115 | ||
2.8 INDONESIA | 116 | ||
2.8.1 Historical background | 116 | ||
2.8.2 Legal and institutional framework | 117 | ||
2.8.2.1 Responsibilities | 117 | ||
2.8.2.2 Regulation | 118 | ||
2.8.3 Market structure | 119 | ||
2.8.3.1 Ownership and management of services | 119 | ||
2.8.3.2 Players in the sector | 119 | ||
2.8.3.3 Integration of the sector and services offered | 120 | ||
2.8.3.4 Numbers for the sector | 120 | ||
2.8.4 Rules of the game | 120 | ||
2.8.4.1 Tariff setting | 120 | ||
2.8.4.2 Quality of service | 122 | ||
2.8.4.3 Public service obligations | 122 | ||
2.8.5 Performance | 123 | ||
2.9 ITALY | 123 | ||
2.9.1 Historical background | 123 | ||
2.9.2 Legal and institutional framework | 125 | ||
2.9.2.1 Responsibilities | 125 | ||
2.9.2.2 Regulation | 127 | ||
2.9.3 Market structure | 128 | ||
2.9.3.1 Ownership and management of services | 128 | ||
2.9.3.2 Players in the sector | 128 | ||
2.9.3.3 Integration of the sector and services provided | 129 | ||
2.9.3.4 Numbers for the sector | 129 | ||
2.9.4 Rules of the game | 129 | ||
2.9.4.1 Tariff setting | 129 | ||
2.9.4.2 Quality of service | 131 | ||
2.9.4.3 Public service obligations | 132 | ||
2.9.5 Performance | 134 | ||
2.10 MOZAMBIQUE | 134 | ||
2.10.1 Historical background | 134 | ||
2.10.2 Legal and institutional framework | 135 | ||
2.10.2.1 Responsibilities | 135 | ||
2.10.2.2 Regulation | 136 | ||
2.10.3 Market structure | 137 | ||
2.10.3.1 Ownership and management of services | 137 | ||
2.10.3.2 Players in the sector | 137 | ||
2.10.3.3 Integration of the sector and services provided | 137 | ||
2.10.3.4 Numbers for the sector | 137 | ||
2.10.4 Rules of the game | 139 | ||
2.10.4.1 Tariff setting | 139 | ||
2.10.4.2 Quality of service | 140 | ||
2.10.4.3 Public service obligations | 140 | ||
2.10.5 Performance | 140 | ||
2.11 PORTUGAL | 141 | ||
2.11.1 Historical background | 141 | ||
2.11.2 Legal and institutional framework | 142 | ||
2.11.2.1 Responsibilities | 142 | ||
2.11.2.2 Regulation | 143 | ||
2.11.3 Market structure | 145 | ||
2.11.3.1 Ownership and management of services | 145 | ||
2.11.3.2 Players in the sector | 145 | ||
2.11.3.3 Integration of the sector and services provided | 147 | ||
2.11.3.4 Numbers for the sector | 147 | ||
2.11.4 Rules of the game | 148 | ||
2.11.4.1 Tariff setting | 148 | ||
2.11.4.2 Quality of service | 149 | ||
2.11.4.3 Public service obligations | 150 | ||
2.11.5 Performance | 153 | ||
2.12 ROMANIA | 153 | ||
2.12.1 Historical background | 153 | ||
2.12.2 Legal and institutional framework | 154 | ||
2.12.2.1 Responsibilities | 154 | ||
2.12.2.2 Regulation | 155 | ||
2.12.3 Market structure | 156 | ||
2.12.3.1 Ownership and management of services | 156 | ||
2.12.3.2 Players in the sector | 156 | ||
2.12.3.3 Integration of the sector and services provided | 156 | ||
2.12.3.4 Numbers for the sector | 156 | ||
2.12.4 Rules of the game | 157 | ||
2.12.4.1 Tariff setting | 157 | ||
2.12.4.2 Quality of service | 157 | ||
2.12.4.3 Public service obligations | 158 | ||
2.12.5 Performance | 159 | ||
2.13 SINGAPORE | 159 | ||
2.13.1 Historical background | 159 | ||
2.13.2 Legal and institutional framework | 160 | ||
2.13.2.1 Responsibilities | 160 | ||
2.13.2.2 Regulation | 160 | ||
2.13.3 Market structure | 161 | ||
2.13.3.1 Ownership and management of services | 161 | ||
2.13.3.2 Players in the sector | 161 | ||
2.13.3.3 Integration of the sector and services provided | 161 | ||
2.13.3.4 Numbers for the sector | 161 | ||
2.13.4 Rules of the game | 162 | ||
2.13.4.1 Tariff setting | 162 | ||
2.13.4.2 Quality of service | 162 | ||
2.13.4.3 Public service obligations | 163 | ||
2.13.5 Performance | 163 | ||
2.14 SWEDEN | 164 | ||
2.14.1 Historical background | 164 | ||
2.14.2 Legal and institutional framework | 164 | ||
2.14.2.1 Responsibilities | 164 | ||
2.14.2.2 Regulation | 166 | ||
2.14.3 Market structure | 166 | ||
2.14.3.1 Ownership and management of services | 166 | ||
2.14.3.2 Players in the sector | 167 | ||
2.14.3.3 Integration and the scope of operator activities | 167 | ||
2.14.3.4 Numbers for the sector | 167 | ||
2.14.4 Rules of the game | 168 | ||
2.14.4.1 Tariff setting | 168 | ||
2.14.4.2 Quality of service | 169 | ||
2.14.4.3 Public service obligations | 169 | ||
2.14.5 Performance | 169 | ||
2.15 THE NETHERLANDS | 169 | ||
2.15.1 Historical background | 169 | ||
2.15.2 Legal and institutional framework | 171 | ||
2.15.2.1 Responsibilities | 171 | ||
2.15.2.2 Regulation | 173 | ||
2.15.3 Market structure | 173 | ||
2.15.3.1 Ownership and management of services | 173 | ||
2.15.3.2 Players in the sector | 174 | ||
2.15.3.3 Integration of the sector and services provided | 174 | ||
2.15.3.4 Numbers for the sector | 174 | ||
2.15.4 Rules of the game | 174 | ||
2.15.4.1 Tariff setting | 174 | ||
2.15.4.2 Quality of service | 176 | ||
2.15.4.3 Public service obligations | 177 | ||
2.15.5 Performance | 178 | ||
2.16 UNITED KINGDOM | 178 | ||
2.16.1 Historical background | 178 | ||
2.16.2 Legal and institutional framework | 179 | ||
2.16.2.1 Responsibilities | 179 | ||
2.16.2.2 Regulation | 180 | ||
2.16.3 Market structure | 184 | ||
2.16.3.1 Ownership and management of services | 184 | ||
2.16.3.2 Players in the sector | 184 | ||
2.16.3.3 Integration of the sector and services provided | 186 | ||
2.16.3.4 Numbers for the sector | 186 | ||
2.16.4 Rules of the game | 187 | ||
2.16.4.1 Tariff setting | 187 | ||
2.16.4.2 Quality of service | 188 | ||
2.16.4.3 Public service obligations | 191 | ||
2.16.5 Performance | 192 | ||
2.17 UNITED STATES OF AMERICA | 193 | ||
2.17.1 Historical background | 193 | ||
2.17.2 Legal and institutional framework | 193 | ||
2.17.2.1 Responsibilities | 193 | ||
2.17.2.2 Regulation | 195 | ||
2.17.3 Market structure | 197 | ||
2.17.3.1 Ownership and management of services | 197 | ||
2.17.3.2 Players in the sector | 197 | ||
2.17.3.3 Integration of the sector and services provided | 198 | ||
2.17.3.4 Numbers for the sector | 198 | ||
2.17.4 Rules of the game | 199 | ||
2.17.4.1 Tariff setting | 199 | ||
2.17.4.2 Quality of service | 200 | ||
2.17.4.3 Public service obligations | 202 | ||
2.17.5 Performance | 202 | ||
2.18 ZAMBIA | 202 | ||
2.18.1 Historical background | 202 | ||
2.18.2 Legal and institutional framework | 203 | ||
2.18.2.1 Responsibilities | 203 | ||
2.18.2.2 Regulation | 203 | ||
2.18.3 Market structure | 207 | ||
2.18.3.1 Ownership and management of services | 207 | ||
2.18.3.2 Players in the sector | 207 | ||
2.18.3.3 Integration of the sector and services provided | 208 | ||
2.18.3.4 Numbers for the sector | 209 | ||
2.18.4 Rules of the game | 209 | ||
2.18.4.1 Tariff setting | 209 | ||
2.18.4.2 Quality of service | 210 | ||
2.18.4.3 Public service obligations | 210 | ||
2.18.5 Performance | 210 | ||
Part 3 Worldwide water and wastewater services regulation overview | 213 | ||
3.1 INTRODUCTION | 213 | ||
3.2 PUBLIC SERVICE OBLIGATIONS | 215 | ||
3.2.1 General considerations | 214 | ||
3.2.2 Universal service | 216 | ||
3.2.3 Accessibility and equality | 218 | ||
3.2.4 Continuity | 220 | ||
3.2.5 Special customer protection | 221 | ||
3.2.6 Protecting customer interests | 222 | ||
3.2.7 Participation and transparency | 223 | ||
3.3 QUALITY OF SERVICE REGULATION | 224 | ||
3.4 ECONOMIC REGULATION | 229 | ||
3.5 BEST PRACTICES | 235 | ||
REFERENCES | 239 | ||
ANNEXES – EXPLORATORY STUDY | 243 | ||
ANNEX I – QUESTIONNAIRE ABOUT REGULATION | 243 | ||
QUESTIONNAIRE ‘WATER SERVICES REGULATION’ | 243 | ||
1. General aspects of the water services | 245 | ||
2. Scope of the regulatory activity | 246 | ||
3. General aspects of the regulatory agency | 247 | ||
4. Organizational aspects of the regulatory agency | 248 | ||
5. Economic regulation | 249 | ||
6. Public service obligations and quality of service regulation | 251 | ||
GUIDELINES FOR COMPLETING THE QUESTIONNAIRE | 254 | ||
ANNEX II – ANSWERS TO THE QUESTIONNAIRE | 257 | ||
ARMENIA | 257 | ||
AUSTRALIA (VICTORIA) | 258 | ||
AUSTRALIA (WESTERN AUSTRALIA) | 259 | ||
BARBADOS | 260 | ||
BELIZE | 261 | ||
BRAZIL (ALAGOAS) | 262 | ||
BRAZIL (BRASILIA) | 263 | ||
BRAZIL (CACHOEIRO DE ITAPEMIRIM) | 264 | ||
BRAZIL (GOI&graveA;S) | 265 | ||
BRAZIL (JOINVILLE) | 266 | ||
BRAZIL (MANAUS) | 267 | ||
BRAZIL (MAU&graveA;) | 268 | ||
BRAZIL (NATAL) | 269 | ||
BRAZIL (PARA&graveI;BA) | 270 | ||
BRAZIL (PERNAMBUCO) | 271 | ||
BRAZIL (RIO DE JANEIRO) | 272 | ||
BRAZIL (RIO GRANDE DO SUL) | 273 | ||
BRAZIL (STATE OF CEAR&graveA;) | 274 | ||
CANADA | 275 | ||
CANADA (PRINCE EDWARD ISLAND) | 276 | ||
CAPE VERDE | 277 | ||
CHILE | 278 | ||
COLOMBIA | 279 | ||
COSTA RICA | 280 | ||
CZECH REPUBLIC | 281 | ||
ENGLAND AND WALES | 282 | ||
GHANA | 283 | ||
GREECE | 284 | ||
HONDURAS | 285 | ||
INDONESIA | 286 | ||
ITALY | 287 | ||
JAMAICA | 288 | ||
KENYA | 289 | ||
KOSOVO | 290 | ||
LITHUANIA | 291 | ||
MEXICO | 292 | ||
MOZAMBIQUE | 293 | ||
NIGER | 294 | ||
NORTHERN IRELAND | 295 | ||
PANAMA | 296 | ||
PAPUA NEW GUINEA | 297 | ||
PERU | 298 | ||
PHILIPPINES | 299 | ||
PORTUGAL | 300 | ||
REPUBLIC OF IRELAND | 301 | ||
SCOTLAND | 302 | ||
SLOVAK REPUBLIC | 303 | ||
TANZANIA | 304 | ||
THE NETHERLANDS | 305 | ||
TRINIDAD AND TOBAGO | 306 | ||
URUGUAY | 307 | ||
USA (ARKANSAS) | 308 | ||
USA (CALIFORNIA) | 309 | ||
USA (FLORIDA) | 310 | ||
USA (INDIANA) | 311 | ||
USA (MONTANA) | 312 | ||
USA (TENNESSEE) | 313 | ||
USA (WEST VIRGINIA) | 314 | ||
USA (WISCONSIN) | 315 | ||
ZAMBIA | 316 | ||
ANNEX III – REGULATORS’ CONTACTS | 317 |