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Book Details
Abstract
Institutional Governance and Regulation of Water Services aims to provide the key elements of policy, governance and regulation necessary for sustainable water and sanitation services. On policy matters, it covers important aspects including separation of policy and delivery, integrated planning, sustainable cost recovery, provisions for the poor, and transparency. Regulation and Regulatory Bodies are presented in their various forms, with discussion of why some form of independent scrutiny is essential for sustainability. The focus is on what works and what does not, based on consideration of basic principles and on case studies in both developing and developed countries.
The early chapters discuss the key elements, with later chapters considering how these elements have come together in successful reforms of public sector operations. A chapter is devoted to the successful use of the private sector based on lessons learnt from ‘failures’ of private contracts and the need for the application of sound procurement principles. The current trend is for a public sector model which benefits from business approaches, the so-called corporatised public utility. Experience since the publication of the first edition in 2007 reinforces the importance of the key elements for sustainable water services.
This second edition brings the material up to date and with some increased emphasis on public participation in its many forms. It refers to the opportunity for progress provided by the UN Declaration of Water and Sanitation as a Human Right, but only if it is implemented in a practical and sustainable way. Institutional Governance and Regulation of Water Services is aimed at providing an informative source for national and local governments responsible for water policy, for water utility managers, and for students who will be the policy makers of tomorrow. It is a teaching aid for courses on water policy, governance and regulation.
About the Author: Michael Rouse is a Distinguished Research Associate at the University of Oxford and manages the Institutional Governance and Regulation module of the University’s MSc Course on Water Science, Policy and Management. He was formerly Head of the Drinking Water Inspectorate in London and has extensive knowledge and experience of water governance and regulation, including all aspects of audit and enforcement, and the governance issues related to both public sector management and privatisation. He has wide knowledge of water technical and operational matters, based on his applied research and development background at the Water Research Centre, where he spent 9 years as Managing Director. Michael has a good understanding of international water matters and advises governments on policy and regulation. He is a Past President of the International Water Association. He is a visiting professor at Tsinghua University in Beijing and at the Shanghai Academy of Social Science. In 2000 he was awarded the CBE (Commander of the British Empire) for his professional services.
Table of Contents
Section Title | Page | Action | Price |
---|---|---|---|
Cover\r | Cover | ||
Contents | vi | ||
About the Author | xii | ||
Acknowledgements | xiii | ||
Foreword | xv | ||
Preface:\rWhat’s it all about! | xvii | ||
Chapter 1: Part 1 – Important policy issues\rSome bricks in the wall | 1 | ||
GOVERNMENT STRUCTURES AND RESPONSIBILITIES | 2 | ||
SEPARATION OF POLICY, REGULATION AND DELIVERY | 3 | ||
THE QUESTION OF WATER UTILITY SIZE | 4 | ||
CENTRALISATION OR DECENTRALISATION? | 5 | ||
WATER RESOURCE PLANNING | 7 | ||
VERTICAL INTEGRATION | 10 | ||
THE IMPORTANCE OF CONTINUOUS SUPPLIES (OFTEN REFERRED TO AS 24/7) | 11 | ||
SANITATION POLICY | 13 | ||
CORRUPTION | 15 | ||
CONSUMER PARTICIPATION | 16 | ||
COST RECOVERY, TARIFFS AND AFFORDABILITY | 17 | ||
WATER FOR HEALTH | 17 | ||
NATIONALWATER AND SANITATION PLANS | 18 | ||
REFERENCES | 18 | ||
Chapter 1: Part 2 – Water and sanitationas a human right\rUniversal Coverage or a Charterfor Lawyers! | 21 | ||
HISTORY | 22 | ||
THE UN RESOLUTION | 23 | ||
THE ELEMENTS | 24 | ||
Normative elements -\rwater | 24 | ||
Normative elements - sanitation\r | 25 | ||
Cross-cutting elements | 25 | ||
SOME KEY ISSUES | 26 | ||
INTERNATIONAL TARGETS AND MONITORING | 28 | ||
AN OPPORTUNITY TO SUCCEED | 29 | ||
REFERENCES | 29 | ||
Chapter 2: Regulation and regulatory bodies\rFriend or foe? | 31 | ||
WHAT IS REGULATION? | 32 | ||
WHAT IS ECONOMIC REGULATION? | 33 | ||
WHY NOT SELF-REGULATION? | 34 | ||
WHY INDEPENDENT ECONOMIC REGULATION? | 34 | ||
APPROACHES TO SETTING TARIFFS | 36 | ||
WHY INDEPENDENT DRINKING WATER QUALITY REGULATION? | 37 | ||
ENVIRONMENTAL QUALITY REGULATION | 38 | ||
REGULATION BY CONTRACT | 38 | ||
REGULATORY BODIES | 40 | ||
England and Wales | 41 | ||
Scotland | 41 | ||
Northern Ireland | 41 | ||
Chile | 42 | ||
Zambia | 42 | ||
State of Victoria, Australia | 43 | ||
Manila, The Philippines | 44 | ||
Ghana | 44 | ||
Portugal | 45 | ||
LESSONS LEARNED FROM THE EXAMPLES | 46 | ||
EXPERT PANELS | 47 | ||
REGULATION IN ASSISTING THE POOR AND UNSERVED | 47 | ||
CONCLUSION ON THE KEY ELEMENTS OF REGULATION | 49 | ||
REFERENCES | 50 | ||
Chapter 3: Planning, financing andcost recovery Water:\rnot a free for all | 52 | ||
FINANCE NEEDS AND COST ELEMENTS | 52 | ||
WHERE NOT TO BE | 53 | ||
START-UP COSTS | 55 | ||
DONOR AND BANK INVESTMENT | 57 | ||
WATER CHARGES | 59 | ||
ADEQUATE INVESTMENT IN THE EXISTING INFRASTRUCTURE | 60 | ||
MAKING PROVISION FOR THE POOR | 61 | ||
THE CONTROVERSIAL ISSUE OF DEALING WITH NON-PAYMENT | 64 | ||
RESPONSIBILITY OF DETERMINING TARIFFS | 65 | ||
THE NEED FOR AN INTEGRATED PLANNING PROCESS | 66 | ||
CITIES OF THE FUTURE | 66 | ||
SOME EXAMPLES SHOWING THE NEED FOR INTEGRATED PLANNING | 67 | ||
ENGLAND AND WALES | 69 | ||
REFERENCES | 70 | ||
Chapter 4: Drinking water quality andregulation\rBetter safe than sorry | 72 | ||
THREATS TO THE SAFETY OF DRINKING WATER | 73 | ||
APPROACHES TO THE PROVISION OF SAFE DRINKING WATER | 75 | ||
THE BONN CHARTER | 76 | ||
WHO GUIDELINES | 77 | ||
WATER SAFETY PLANS | 80 | ||
BEYOND THE IMMEDIATE CONTROL OF THE WATER SERVICE PROVIDER | 84 | ||
GOVERNANCE AND REGULATIONS | 84 | ||
AUDIT OF WATER SAFETY PLANS | 86 | ||
DRINKING WATER SAFETY PLANS IN DEVELOPING COUNTRIES | 87 | ||
Ghana water company limited | 87 | ||
VERIFICATION AND STANDARDS | 89 | ||
INTERIM DRINKING WATER QUALITY STANDARDS | 92 | ||
A WORD ABOUT DISINFECTION | 92 | ||
THE IMPORTANCE OF MAGNESIUM TO HEALTH | 94 | ||
MONITORING, AUDIT AND ENFORCEMENT | 94 | ||
THE EXAMPLE OF THE DRINKINGWATER INSPECTORATE IN LONDON | 95 | ||
REFERENCES | 96 | ||
Chapter 5: Transparency and publicparticipation\rIt’s good to talk | 100 | ||
LEVELS OF PUBLIC PARTICIPATION | 102 | ||
LEVELS OF PARTICIPATION IN WATER SERVICES | 103 | ||
PUBLIC PARTICIPATION AS PART OF ACCOUNTABILITY | 105 | ||
MEDIA BRIEFING | 109 | ||
PUBLIC MEETINGS | 110 | ||
WATER CONSUMER COUNCILS | 110 | ||
LOCAL COMMUNITY GROUPS AND LOCAL ACTION AGENDA | 111 | ||
La Paz, Bolivia | 111 | ||
Accra, Ghana | 112 | ||
Savelugu, Ghana | 113 | ||
India - Alwar District\r | 113 | ||
India - Kolhapur\r | 115 | ||
Orangi, Karachi, Pakistan | 116 | ||
San Luis, Agusan del Sur, The Philippines | 118 | ||
Tanzania | 118 | ||
EFFECTIVE PUBLIC PARTICIPATION | 119 | ||
Developed countries | 120 | ||
Developing countries - rural areas\r | 120 | ||
Developing countries -\rurban areas | 121 | ||
THE ROLE OF GOVERNMENTS | 122 | ||
THE BEST IS YET TO COME? | 123 | ||
SOCIAL NETWORKS | 124 | ||
REFERENCES | 124 | ||
Chapter 6: Stimulating improved performance of water service utilities\rHow to encourage improvement | 127 | ||
SEPARATION OF POLICY AND SERVICE DELIVERY FUNCTIONS | 127 | ||
BUILDING MANAGEMENT CAPABILITY | 128 | ||
MANAGEMENT INCENTIVES | 128 | ||
INCENTIVE-BASED WATER PRICING SYSTEMS | 129 | ||
BENCHMARKING AND COMPARATIVE COMPETITION | 130 | ||
EXAMPLES OF BENCHMARKING SYSTEMS\r | 133 | ||
India | 133 | ||
England and Wales | 135 | ||
Canada | 138 | ||
South Africa | 140 | ||
NationalWater and Sewerage Corporation (NWSC), Uganda | 141 | ||
HOW TO START | 142 | ||
A PUBLIC SERVICE ETHIC - GOOD OR BAD?\r | 144 | ||
REFERENCES | 145 | ||
Chapter 7: Steps for successful public sectoroperations\rReform is in order | 147 | ||
THE TRADITIONAL MUNICIPAL MODEL | 147 | ||
GOVERNMENT ACTIONS FOR REFORM | 148 | ||
THE FOUR BASIC MODELS | 149 | ||
THE SEATTLE STORY | 150 | ||
BRISBANE, QUEENSLAND, AUSTRALIA | 154 | ||
ONTARIO, CANADA | 157 | ||
VICTORIA, AUSTRALIA | 160 | ||
THE NETHERLANDS | 162 | ||
SINGAPORE | 165 | ||
HAIPHONG, VIETNAM | 165 | ||
PHNOM PENH, CAMBODIA | 169 | ||
NWSC UGANDA | 170 | ||
GHANA | 171 | ||
GENERAL LESSONS | 174 | ||
REFERENCES | 175 | ||
Chapter 8: Steps for the successful useof the private sector\rTapping commercial energy | 177 | ||
SOME EXAMPLES OF THE HISTORY OF THE PRIVATE WATER SECTOR | 177 | ||
THE EMOTIVE ARGUMENTS | 179 | ||
HIGHLY PUBLICISED EXAMPLES OF THE USE OF THE PRIVATE SECTOR | 180 | ||
Atlanta, USA | 180 | ||
La Paz and Cochabamba, Bolivia | 184 | ||
Adelaide, Australia | 189 | ||
Jakarta, Indonesia | 194 | ||
PRINCIPLES OF EFFECTIVE PROCUREMENT | 198 | ||
PARTNERING | 202 | ||
A PERFECT CONCESSION CONTRACT? | 205 | ||
REGULATION IN CONCESSION CONTRACT SITUATIONS | 206 | ||
EQUITY-BASED PRIVATISATION | 206 | ||
Chile | 207 | ||
China | 211 | ||
Macao | 212 | ||
Chengdu | 213 | ||
Ma’anshan | 213 | ||
THIS CHAPTER | 215 | ||
REFERENCES | 215 | ||
Chapter 9: The story of England and Wales\rA sequence of developments | 219 | ||
HISTORY OFWATER SERVICES IN ENGLAND ANDWALES 1974–1989 | 220 | ||
THE WATER ACT 1989 | 226 | ||
Regulation of drinking water quality | 228 | ||
Environmental regulation | 230 | ||
The consumer council for water | 232 | ||
Standards of service performance | 235 | ||
The periodic review process | 236 | ||
THE “DROUGHT” OF 2006 AND THE “NON-DROUGHT” OF 2012 | 239 | ||
ONGOING DEVELOPMENTS | 241 | ||
REFERENCES | 245 | ||
Chapter 10: Summary\rBringing it all together | 249 | ||
CHAPTER 1 PART 1: IMPORTANT POLICY ISSUES | 249 | ||
CHAPTER 1 PART 2: WATER AND SANITATION AS A HUMAN RIGHT | 250 | ||
CHAPTER 2: REGULATION AND REGULATORY BODIES | 251 | ||
CHAPTER 3: PLANNING, FINANCING AND COST RECOVERY | 252 | ||
CHAPTER 4: DRINKING WATER QUALITY STANDARDS AND REGULATION | 253 | ||
CHAPTER 5: TRANSPARENCY AND PUBLIC PARTICIPATION | 254 | ||
CHAPTER 6: STIMULATING IMPROVED PERFORMANCE | 255 | ||
CHAPTER 7: STEPS FOR SUCCESSFUL PUBLIC SECTOR OPERATIONS | 256 | ||
CHAPTER 8: STEPS FOR THE SUCCESSFUL USE OF THE PRIVATE SECTOR | 258 | ||
Equity-based privatisation | 260 | ||
CHAPTER 9: THE STORY OF ENGLAND AND WALES | 260 | ||
FOOTNOTE ON THE PUBLIC VERSUS PRIVATE QUESTION | 262 | ||
Appendix: The UNDP human developmentreport 2006 Taking forward the Report’s recommendations on governance\rand regulation | 263 | ||
Second Edition Comments | 263 | ||
First Edition Text | 263 | ||
Index | 268 |