城市公用事业是为城镇居民和企事业单位等提供生产生活必需的普遍服务行业，主要包括城市供水排水和污水处理、供气、集中供热、城市道路和公共交通、环境卫生和垃圾处理以及园林绿化等重要基础设施行业。我国经济体制改革的一个重要内容是深化城市公用事业市场化改革，鼓励更多社会资本进入，加强城市基础设施建设，提高城市公用事业运行效率，促进新型城镇化建设。这些都对加强城市公用事业有效监管提出了客观需求。

城市公用事业监管体系是由监管法规政策体系、监管机构体系、监管监督体系和监管绩效评价体系组成的整体系统，但目前我国现有监管体系与市场经济体制要求的现代监管体系存在较大差距。主要表现为：监管法规政策不健全，缺乏执法依据；监管机构多头管理，监管混乱；严重缺乏对政府监管的监督机制，公共利益难以保障；监管随意性大，缺乏科学评价。因此，迫切需要通过监管制度创新，建立与我国市场经济体制相适应的现代城市公用事业政府监管体系。针对这一重大现实需求，本书主要目的是在系统分析我国城市公用事业政府监管客观需求基础上，提出政府监管体系创新的基本思路，并构建与市场经济体制相适应的城市公用事业监管体系，为实现城市公用事业有效监管提供理论依据与实证资料。

本书对我国城市公用事业政府监管体系创新的重要理论和实践问题作了积极探索，并努力在以下几个方面有所创新：

第一，系统分析城市公用事业政府监管体系创新的客观需求。城市公用事业政府监管体系创新的需求来自多个方面，本书运用管制经济学基本理论和大量实际资料，系统分析城市公用事业民营化为什么要求创新政府监管体系，城镇化如何要求加强基础设施政府监管，城市管理职能的转变怎样要求强化政府监管职能。这些都为城市公用事业政府监管体系创新提供了现实资料和理论基础。

第二，提出中国城市公用事业政府监管体系创新的基本目标和整体框架。本书结合城市公用事业民营化、新型城镇化和城市管理职能转变的理论与实践问题，提出中国城市公用事业政府监管体系创新的基本目标是：建立一个以“监管有据、运行高效、公开透明、激励有效”为特征的现代监管体系，为实现有效监管提供制度基础。在此基础上，运用管制经济学理论，提出并论证了由政府监管的法规政策体系、监管机构体系、监管监督体系和监管绩效评价体系这四大要素构成的政府监管体系整体框架，为中国城市公用事业政府监管体系创新，实现政府有效监管提供理论基础和基本思路。

第三，构建城市公用事业政府监管法规政策体系基本框架。本书结合城市公用事业监管改革对法规政策体系完善的制度需求，系统分析了现行城市公用事业政府监管法规政策体系及其实施效果；总结美、英、法、德等发达国家城市公用事业法规政策体系构建的历史沿革与立法经验；提出了城市公用事业政府监管的立法目标、原则，阐释在中国制定城市公用事业法的必要性、内涵与主要内容。在此基础上，构建以城市公用事业法为核心、以城市公用事业行业法规为配套、以相关法规政策为实施细则的中国城市公用事业政府监管法规政策体系。

第四，论证中国城市公用事业政府监管机构改革基本目标模式。本书认为，中国城市公用事业政府监管机构改革的基本目标模式是：建立职权配置合理、相对独立的综合性专业监管机构，对城市公用事业实行集中统一监管。针对不同地区的不同情况，在大的改革方向统一前提下，渐进推进改革，具体分为两步：第一步，通过相关政府部门内部职能整合建立隶属于城市公用事业主管部门的相对集中的监管机构；第二步，通过相关部门之间的职能整合，建立相对独立的综合性监管机构——城市公用事业监管机构。一些制度基础条件较好的城市可以通过政府机构改革，实现一步到位，对于大多数城市来说，可以采取分步走的方式渐进推进城市公用事业监管机构改革。

第五，构建中国城市公用事业政府监管“四位一体”监督体系。基于整合性治理理论，从立法、行政、司法和社会监督等方面系统设计城市公用事业政府监管的监督体系，构建了适合中国城市公用事业政府监管实情的“四位一体”的监督体系。其中，立法监督在我国城市公用事业政府监管监督体系中具有统领地位；行政监督是我国城市公用事业政府有效监管的日常基础性监督；司法监督既是约束行政监管自由裁量权的重要手段，也是对立法监督的落实；社会监督是我国城市公用事业政府监管监督体系增量源泉。

第六，设计城市公用事业政府监管指数的测度体系框架，为政府监管部门提供可参考范式。本书深入剖析政府监管指数的内涵，在梳理国内外文献基础上，创造性地从制度强度（软强度）和建设强度（硬强度）两方面客观构建城市公用事业政府监管强度指数的测度体系框架，详细阐述测度城市公用事业政府监管强度指数的技术流程和方法要点，并以浙江省十一个城市为例进行了实证分析，为政府监管部门提供了可操作、可借鉴的范式。

本书是国家社会科学基金重大项目“中国城市公用事业政府监管体系创新研究”（12&ZD211）的最终研究成果。这一项目研究具有跨学科特点，涉及政府管制经济学、经济学、统计学、公共管理学、政治学等学科理论。该研究项目强调理论联系实际，为政府有关部门制定与实施城市公用事业政府监管政策提供理论支持。基于该项目的3项应用对策性研究成果获得住房和城乡建设部、浙江省人民政府4位省部级领导批示，对城市公用事业政府监管实践产生了一定指导作用和社会经济效益，也为本书具有较好的应用价值提供了实践基础。

本书既是国家社会科学基金重大项目的研究成果，也是课题组成员合作研究的集体成果。课题主持人王俊豪负责拟定本书的基本框架和写作提纲，并负责修改定稿。按照章次，本书主要作者是：第一章（浙江财经大学王俊豪教授）、第二章（住房和城乡建设部政策研究中心秦虹研究员、中央财经大学曹富国教授、天则经济研究所钱璞研究员）、第三章（浙江财经大学唐要家教授、朱晓艳副教授）、第四章（浙江财经大学郭剑鸣教授、康莉莹教授）、第五章（浙江工商大学苏为华教授、浙江省标准化研究院于俊、浙江财经大学陈玉娟副教授）、第六章（浙江工商大学苏为华教授、浙江省标准化研究院于俊、北京大学李乐博士）。此外，参加本书部分内容撰写、课题研究和书稿校对的还有：浙江财经大学李云雁、王岭、裴志军、郭燕来、廖丹子、陈无风、熊艳、韦晓蓓、严康英、朱宗元、李伟、章琳云、金暄暄、戚瀚英，住房和城乡建设部政策研究中心刘波，中央财经大学周芬、张子亚等。

城市公用事业政府监管体系创新是一个较新的研究领域，无论理论上还是实践上都有大量问题需要认真研究和探索，本书只是作了初步探索，有许多问题还有待后续研究，尽管课题组成员尽了最大努力，但难免存在不少缺陷，敬请专家学者批评指正。

王俊豪

2015年12月25日

Urban public utilities are universal service industries necessary for urban residents and enterprises and institutions, mainly including urban water supply and drainage and sewage treatment, gas supply, central heating, urban roads and public transportation, environmental sanitation and garbage disposal, and landscaping and other important infrastructure industries. An important content of China's economic system reform is to deepen the market-oriented reform of urban public utilities, encourage more social capital to enter, strengthen urban infrastructure construction, improve the operational efficiency of urban public utilities, and promote the construction of new-type urbanization. All these put forward objective needs to strengthen the effective supervision of urban public utilities. The urban public utilities regulatory system is an overall system composed of regulatory policy system, regulatory agency system, regulatory supervision system and regulatory performance evaluation system, but there is a big gap between China's existing regulatory system and the modern regulatory system required by the market economy system. The main manifestations are: unsound regulatory regulations and policies, lack of law enforcement basis; Regulatory agencies are multi-headed and chaotic in regulation; There is a serious lack of supervision mechanisms for government supervision, and it is difficult to protect public interests; Supervision is arbitrary and lacks scientific evaluation. Therefore, it is urgent to establish a modern urban public utility government supervision system that is compatible with China's market economy system through regulatory system innovation. In view of this major practical demand, the main purpose of this book is to put forward the basic ideas of government supervision system innovation on the basis of systematic analysis of the objective needs of government supervision of urban public utilities in China, and to build an urban public utilities supervision system that is compatible with the market economy system, so as to provide theoretical basis and empirical data for the effective supervision of urban public utilities. This book actively explores the important theoretical and practical issues of the innovation of urban public utility government supervision system in China, and strives to innovate in the following aspects: First, systematically analyze the objective needs of urban public utility government supervision system innovation. This book uses the basic theory of regulatory economics and a large number of practical data to systematically analyze why the privatization of urban public utilities requires innovative government supervision system, how urbanization requires strengthening government supervision of infrastructure, and how the transformation of urban management functions requires strengthening government supervision functions. All these provide practical data and theoretical basis for the innovation of urban public utility government regulatory system. Second, it puts forward the basic objectives and overall framework of the innovation of China's urban public utility government regulatory system. Combining the theoretical and practical issues of privatization, new urbanization and transformation of urban management functions, this book puts forward the basic goal of the innovation of China's urban public utilities government supervision system: to establish a modern regulatory system characterized by "evidence-based supervision, efficient operation, openness and transparency, and effective incentives", and provide an institutional foundation for effective supervision. On this basis, using the theory of regulatory economics, the overall framework of the government supervision system composed of four major elements: the government supervision system of regulations, policy system, regulatory agency system, regulatory supervision system and regulatory performance evaluation system is proposed and demonstrated, which provides a theoretical basis and basic ideas for the innovation of the government supervision system of urban public utilities in China and the realization of effective government supervision. Third, build a basic framework for the government regulatory regulations and policy system of urban public utilities. Based on the institutional requirements of urban public utilities regulatory reform for the improvement of regulations and policy systems, this book systematically analyzes the current urban public utilities government regulatory regulations and policy systems and their implementation effects. Summarize the historical evolution and legislative experience of the construction of urban public utility laws and policies in developed countries such as the United States, Britain, France, and Germany; The legislative objectives and principles of government supervision of urban public utilities are proposed, and the necessity, connotation and main content of formulating urban public utilities law in China are explained. On this basis, a government regulatory regulation and policy system for urban public utilities in China with the Urban Public Utilities Law as the core, urban public utilities industry regulations as supporting and relevant regulations and policies as the implementation rules will be constructed. Fourth, demonstrate the basic target model of China's urban public utility government regulatory reform. This book argues that the basic goal model of the reform of China's urban public utilities government regulators is to establish a comprehensive professional regulatory body with reasonable allocation of authority and relative independence, and implement centralized and unified supervision of urban public utilities. In view of the different situations in different regions, under the premise of unifying the direction of reform, the reform is gradually promoted, which is divided into two steps: the first step is to establish a relatively centralized regulatory authority under the municipal public utility department through the integration of the functions of relevant government departments; The second step is to establish a relatively independent comprehensive regulatory body, the urban utility regulator, through the functional integration of relevant departments. Some cities with better institutional infrastructure can achieve one-step reform through government agency reform, and for most cities, they can gradually promote the reform of urban public utility regulators in a step-by-step manner. Fifth, build a "four-in-one" supervision system for government supervision of urban public utilities in China. Based on the integrated governance theory, the supervision system of urban public utility government supervision is systematically designed from the aspects of legislation, administration, judicial and social supervision, and a "four-in-one" supervision system suitable for the actual situation of urban public utility government supervision in China is constructed. Among them, legislative supervision has a dominant position in the government supervision and supervision system of urban public utilities in China; Administrative supervision is the daily basic supervision of the effective supervision of urban public utilities in China; Judicial supervision is not only an important means to restrict the discretion of administrative supervision, but also the implementation of legislative supervision; Social supervision is the source of incremental supervision and supervision of China's urban public utilities government supervision system. Sixth, design a measurement system framework for the government supervision index of urban utilities to provide a reference paradigm for government regulatory departments. This book deeply analyzes the connotation of the government supervision index, and on the basis of combing domestic and foreign literature, creatively constructs the measurement system framework of the urban public utilities government supervision intensity index from the aspects of institutional strength (soft strength) and construction intensity (hard strength), elaborates the technical process and method points of measuring the urban public utilities government supervision intensity index, and conducts empirical analysis on eleven cities in Zhejiang Province, providing an operable and referenceable paradigm for government regulatory authorities. This book is the final research result of the major project of the National Social Science Foundation of China "Research on the Innovation of the Government Regulatory System of Urban Public Utilities in China" (12&ZD211). The research of this project is interdisciplinary, involving the theory of government regulatory economics, economics, statistics, public administration, political science and other disciplines. This research project emphasizes the integration of theory with practice, and provides theoretical support for relevant government departments to formulate and implement government regulatory policies for urban public utilities. Based on the three applied countermeasure research results of this project, four provincial and ministerial leaders of the Ministry of Housing and Urban-Rural Development and the People's Government of Zhejiang Province have produced certain guiding roles and social and economic benefits for the supervision practice of urban public utilities government, and also provide a practical basis for this book to have good application value. This book is not only the research result of the major projects of the National Social Science Foundation of China, but also the collective result of the cooperative research of the members of the research group. The project moderator, Wang Junhao, is responsible for formulating the basic framework and writing outline of the book, and is responsible for revising and finalizing the draft. According to the chapters, the main authors of this book are: Chapter 1 (Professor Wang Junhao, Zhejiang University of Finance and Economics), Chapter 2 (Professor Qin Hong, Policy Research Center of the Ministry of Housing and Urban-Rural Development, Professor Cao Fuguo of Central University of Finance and Economics, Researcher Qian Pu of Tian Rule Economic Research Institute), Chapter 3 (Professor Tang Yaojia and Associate Professor Zhu Xiaoyan of Zhejiang University of Finance and Economics), Chapter 4 (Professor Guo Jianming and Professor Kang Liying of Zhejiang University of Finance and Economics), Chapter 5 (Professor Su Weihua of Zhejiang Gongshang University, Yu Jun, Zhejiang Institute of Standardization, Associate Professor Yujuan Chen, Zhejiang University of Finance and Economics), Chapter 6 (Professor Su Weihua of Zhejiang Gongshang University, Yu Jun of Zhejiang Institute of Standardization, Dr. Li Le of Peking University). In addition, Li Yunyan, Wang Ling, Pei Zhijun, Guo Yanlai, Liao Danzi, Chen Wufeng, Xiong Yan, Wei Xiaobei, Yan Yan, Zhu Zongyuan, Li Wei, Zhang Linyun, Jin Xuanxuan, Qi Hanying of Zhejiang University of Finance and Economics, Liu Bo of the Policy Research Center of the Ministry of Housing and Urban-Rural Development, Zhou Fen and Zhang Ziya of the Central University of Finance and Economics, etc. Urban public utilities government regulatory system innovation is a relatively new research field, both in theory and practice there are a large number of problems to be carefully studied and explored, this book is only a preliminary exploration, there are many problems to be followed up research, although the members of the research group do their best, but there are inevitably many defects, please criticize and correct experts and scholars. Wang Junhao, December 25, 2015（AI翻译）