October 2013 Beijing, 4 December 2014 2014年12月4日 北京 Governance Pillar 政策对话支柱 Sustainable Urbanisation and Water Trading Study 2014 城镇化过程中的水资源保障研究 2014 Dr Martin Griffiths 马丁·格里菲斯博士 China Europe Water Platform 中欧水资源交流平台 EU Policy Dialogue Support Facility (PDSF)中欧政策对话支持项目（PDSF） CEWP Policy Dialogues Conference

The PDSF Team Professor Ding Yueyuan – GIWP, China 中国水利水电规划设计总院 丁跃元教授 Dr Yu Lili – GIWP, China 中国水规总院于丽丽博士 Birgit Vogel – Austria 奥地利 伯吉特·沃格尔 Josh Weinberg – Sweden 瑞典 文杰 Dr Martin Griffiths – UK 英国 马丁·格里菲斯博士 2

New Urbanization Policy 新型城镇化 The 18th congress of CPC, “National Plan on New Urbanization” proposed a new direction and pattern of future development of urbanization in China 中国共产党18大确定了未来中国城镇化的方向和模式 Urbanization will be one of the major drivers for China’s socioeconomic development in the coming decades; 城镇化是未来几十年内中国社会经济发展的主要驱动因素之一； Focus on sustainable development instead of only GDP growth and improving living quality instead of living standards; 新型城镇化强调可持续发展（而不是单纯的经济发展增速）和改善生活质量 （而不是简单的生活水平的提高）； 3

Sustainable Urbanisation and Water Trading Study 2014 城镇化过程中的水资源保障研究 2014 Objectives 目标 Investigate options to increase water security in growing cities研究提出方案来改善不断扩展的城市的水安全状况 To ‘facilitate the CPC, “National Plan on New Urbanization”支持中国政府新型城镇化计划 Develop a view on an appropriate mix of policy options to improve water allocation 提出一组政策方案来改善水资源分配 Review market instruments and water trading 审议市场机制和水交易 Provide case studies from EU, China and Global water situations 提供中国、欧洲和其他地区的案例研究

Water Security水安全 Water Security Definition水安全 “The capacity of a population to safeguard sustainable access to adequate quantities of acceptable quality water for sustaining livelihoods, human well-being and socio-economic development, for ensuring protection against water-borne pollution and water-related disasters, and for preserving ecosystems in a climate of peace and political stability.” “人类具有获得足量、可接受质量的水的能力，从而维持生计、良好生存状况和社会经济发展，免受水污染和水生疾病的影响，保护生态环境，维持区域安全和政治稳定。” From - The United Nations Water Department (2013) 摘自联合国水司（2013）

Develop common terminology and Dialogue 共同的术语和对话 Water Rights水权 In UK historic water rights are legally binding rights that require compensation if removed 在英国，水权具有法律效力──如果剥夺，需要予以补偿 In China this term is used more loosely and water rights are not legally binding, and no compensation is required 在中国，水权术语用得有些随意，目前没有法律效力，不需要补偿 Linked to very different land ownership approach between EU and China 在中国和欧洲，水权与不同的 土地所有制方法相关联

Develop Common Principles 制定共同的原则 It is the permit that is traded, not the water 交易的是许可证，而不是水 Move towards full cost of water service 逐步走向全成本水服务 We should not commodify water 不应将水商品化

Regulatory options to implement 将要实施的监管方案 许可的大环境 — 侧重于监管周期 政策规划 颁布许可法规 设定环境目标 沟通和反馈 提出许可申请 执法 设定许可 检查和监测 评价达标情况

Translate into permit conditions 转化到许可条件中

China Urbanisation – Regulatory pre-requisites 中国城镇化– 监管方面的前提条件 Regulatory Instruments监管工具 Water Resource Strategy 水资源战略 Climate Change Scenarios 气候变化情景 Pressure, Risk Standards 压力，风险与标准 Water allocation 水资源分配 Regulation, Permit 监管、许可 Monitoring, control, enforcement 监测、控制与执法 Stakeholder engagement, Education 利益相关者参与与教育

China Urbanisation – Market instruments 中国城镇化– 市场机制 Trading Options 交易方案 Compensation, incentives, Grants 补偿、激励与拨款 Economic Valuations 经济评价 Rural and urban water policy 城乡水政策 Case Studies案例研究

Examples of Water Trading 水权交易实例 Very few examples of successful water trading across the world 世界范围内，成功的水权交易实例不多 A lot of economic theory and debate 关于水权交易的经济理论和争论很多 A number of established one-to-one trades 有一些一对一的交易 Beijing has one of the largest 北京是其中最大的之一 Australia has the most developed system 澳大利亚水权交易体系发展最完备 Share based trading 基于股份的交易

Lessons from Australia 澳大利亚经验 Must get regulatory system in place and review to prepare for trading 监管体系必须到位，要对其进行重新审议，以便为水权交易做好准备 Need near real time monitoring of abstractions and river flows 需要近乎实时的取水监测和河流流量监测 Water allocations and connections must be fully understood 必须充分理解水分配和水循环 Allocate shares according to permit volumes with government guarantee 按照许可水量分配股份，政府给予担保 River is allocated 30% of shares 河流配有30%的股份 Set up ‘banking’ style system and water statements on-line 建立“银行”类型的系统和在线水结算单 Australia had some false starts which proved expensive for government 澳大利亚起步时犯了一些错误，导致政府付出了高昂的代价

Initial – Conclusions初步结论 Must retain the ability for MWR to manage water resources to ensure water security and to reallocate water to growing cities 水利部必须保留管理水资源的能力，来确保水安全并将水重新分配给不断发展中的城市 Ensure ability to manage water resources in a changing climate 确保在气候变化条件下管理水资源的能力 Could be done with regulatory tools alone 可以仅凭监管工具就可以实现 Economic Instruments may assist in facilitating this 经济工具可以帮助推进

Initial – Conclusions初步结论 One –to –one trading in China has been helpful 在中国，一对一交易很有帮助 Full scale water trading needs significant preparation and strict regulatory controls 完全展开水权交易需要大量的准备工作和严格的监管控制 Could consider small scale pilot in a catchment 可以考虑在小流域开展小规模试点

Sustainable Urbanisation and Water Trading Study 城镇化水资源保障研究 Timetable 时间表 Core study week, Beijing, 27 October to 2 November 核心工作，北京，10月27日至11月2日 Presentation at CEWP meeting 4 December 2014年度高层会报告，2014年12月4日 Consultation Draft Report Mid January 2015年1月中旬对报告初稿征求意见 Final Report end January 2015 最终报告，2015年1月底

Thank You 谢谢