广东省人民政府令
第228号
Decree of the People’s Government of Guangdong Province
No. 228
《广东省水权交易管理试行办法》经2016年10月28日广东省人民政府第十二届84次常务会议通过，2016年12月20日公布，自2017年2月1日起施行。
The Trial Measures of Guangdong Province on the Administration of Water Rights Trading adopted by the 84th Executive Meeting of the 12th Session of the People’s Government of Guangdong Province on October 28, 2016 are hereby promulgated on December 20, 2016 and shall become effective as of February 1, 2017.
省长 朱小丹
Governor Zhu Xiaodan
2016年12月20日
December 20, 2016
广东省水权交易管理试行办法
Trial Measures of Guangdong Province on the Administration of
Water Rights Trading
第一章总 则
Chapter I General Provisions
第一条 为了规范水权交易行为，优化配置水资源，促进节约用水，提高水资源利用效率，根据《中华人民共和国水法》《取水许可和水资源费征收管理条例》《广东省实施〈中华人民共和国水法〉办法》等有关法律、法规，结合本省实际，制定本办法。
Article 1
These Measures are formulated for the purposes of regulating the trading of water rights, optimizing the allocation of water resources, promoting the saving of water, and improving the efficiency of water resources utilization in accordance with such laws and regulations as Water Law of the People’s Republic of China, Administrative Measures for Water Abstraction Licensing and Water Resource Fee Collection, and Implementing Measures of Guangdong Province for Water Law of the People’s Republic of China and in light of the actual situation of this Province.
第二条 本办法适用于本省行政区域内的水权交易及其监督管理。
Article 2
These Measures shall apply to the water rights trading as well as the supervision and regulation thereof within the administrative region of this Province.
本办法所称水权交易，是指取水单位之间转让取水权或者县级以上人民政府之间转让用水总量控制指标的行为。
For the purpose of these Measures, the term “water rights trading” means the transfer of water abstraction rights between water abstracting units or the transfer of water abstraction quotas between people’s governments at the county level or above.
本办法所称取水权，是指取水单位依法办理取水许可证后，获得的直接从江河、湖泊、水库取用水资源的权利。
For the purpose of these Measures, the term “water abstraction right” means the right of a water abstraction unit to abstract water resources directly from rivers, lakes and reservoirs after the water abstraction unit obtains the water abstraction license in accordance with law.
本办法所称用水总量控制指标，是指经有权限的人民政府批准的行政区域范围内年度可利用的水资源总量。
For the purpose of these Measures, the term “total water consumption control quota” means the annual total amount of water resources available within the administrative region as is approved by the competent people’s government.
地热水、矿泉水的水权交易按照国家和省有关规定办理。
The water rights trading of geothermal water and mineral water shall be subject to relevant national and provincial provisions.
第三条 水权交易应当遵循节水优先、总量控制、保障发展、兼顾需求、政府引导、市场运作的原则。
Article 3
Water rights trading shall follow the principles of giving priority to saving water, quota-based control, supporting development, giving proper consideration to demand, governmental guidance and market-based operation.
水权交易不得危害公共利益，不得挤占城乡居民生活、农业生产和生态环境合理用水，不得损害第三方合法权益。
Water rights trading may not jeopardize public interests, hinder reasonable use of water in connection with the livelihood of urban and rural residents, agricultural production and the ecological environment, or infringe upon the legitimate rights and interests of third parties.
水权交易双方的合法权益受法律保护。
The legitimate rights and interests of the parties to water rights trading shall be protected by law.
第四条 县级以上人民政府水行政主管部门按照规定的权限，负责本行政区域内水权交易的监督管理工作。
Article 4
The water administration department of the people’s governments at the county level or above shall be responsible for the supervision and regulation of the water rights trading within its administrative region to the extent of its authority.
县级以上人民政府有关部门按照职责分工，负责本行政区域内水权交易的有关管理工作。
Relevant departments of the people’s governments at the county level or above shall, to the extent of their respective function and responsibilities, be responsible for affairs relating to the management of water rights trading within their respective administrative regions.
第二章 交 易
Chapter II Water Rights Trading
第五条 水权交易的转让方包括依法取得取水权的取水单位和用水总量尚未达到该行政区域用水总量控制指标的县级以上人民政府。
Article 5
Transferors of water rights shall include water-abstracting units that obtain the water abstraction license in accordance with law and the people’s governments at the county level or above that have not used up the water consumption control quota of their respective administrative regions.
水权交易的受让方包括需要新增取水的取水单位和需要新增用水总量控制指标的县级以上人民政府。
Transferees in water rights trading shall include water-abstracting units that need additional water abstraction and the people’s governments at the county level or above that need any additional water consumption control quota.
县级以上人民政府可以委托有关机构办理用水总量控制指标的交易工作。
People’s governments at the county level or above may entrust the relevant units to handle the trading of water consumption control quotas.
第六条 用水总量已经达到该行政区域用水总量控制指标的地区，应当采取水权交易方式解决建设项目新增取水。
Article 6
Regions that have used up their water consumption control quotas shall adopt the method of water rights trading to meet the additional water demand for their local development projects.
用水总量尚未达到该行政区域用水总量控制指标的地区，经县级以上人民政府批准，可以采取水权交易方式解决建设项目新增取水。
Regions that have not used up their water use quotas may, subject to approval by the competent people’s government at the county level or above, may adopt the way of water rights trading to meet the additional demand for water needed by their local development projects.
第七条 符合下列条件的，可以依法转让取水权：
Article 7
The water-abstracting right may be transferred in accordance with law if the following conditions are met:
（一）转让的水量在取水许可证规定的取水限额和有效期限内；
(1) The amount of water to be transferred is within the quota allowed by the water abstraction license and is to be abstracted within the valid term of such water abstraction license;
（二）转让的水量属于用水总量控制指标的管理范围；
(2) The quantity of water to be transferred is covered by the total water consumption control quota;
（三）转让的水量为通过节水措施节约的水量；
(3) The amount of water to be transferred is the water saved through water saving measures;
（四）已安装符合国家技术标准的取水计量设施；
(4) Facilities of water abstraction measurement that meet the national technical standards have been installed; and
（五）转让地表水取水权后不需要新增地下水取水量。
(5) No additional amount of groundwater will be needed after the transfer of the water-abstracting right from surface water.
第八条 符合下列条件的，可以依法受让取水权：
Article 8
The water-abstracting right may be transferred, in accordance with law, to the transferees if the following conditions are met:
（一）需要新增取水的建设项目符合国家产业政策；
(1) The construction project which demands an additional amount of water conforms to national industry policies;
（二）建设项目用水符合行业用水定额标准；
(2) Water usage by the construction project conforms to the water consumption quota standards of the industry concerned; and
（三）拟取用的水量未超过流域水量分配方案确定的可取用总量。
(3) The amount of water to be abstracted is not in excess of total water abstraction quota under the allocation scheme of the water system concerned.
第九条 县级以上人民政府可以依法转让本行政区域尚未使用的用水总量控制指标，包括未分配的水量以及用财政资金建设的节水工程节约的水量等。
Article 9
People’s governments at the county level or above may transfer its unused water consumption quota within their administrative regions, including the amount of water that is to be allocated and the amount of water saved by water-saving projects funded by governmental finance.
第十条 符合下列条件的，县级以上人民政府可以通过交易取得用水总量控制指标：
Article 10
Where the following conditions are met, the people’s governments at the county level or above may obtain water consumption quota through trading:
（一）用水效率和水功能区限制纳污符合水资源管理责任考核要求；
(1) The local water use efficiency and pollutant limitation in the water function area meet the assessment standards for water resources management responsibilities; and
（二）拟取用的水量未超过流域水量分配方案确定的可取用总量。
(2) The amount of water to be abstracted is not in excess of total water abstraction quota under the allocation scheme of the water system concerned.
第十一条 城乡居民生活、农业生产和生态环境合理用水所需要的水量，不得交易。
Article 11
The water reasonably needed for the livelihood of urban and rural residents, agriculture and ecological environment is not available for the trading hereunder.
第十二条 水权交易应当在省人民政府指定的交易平台进行。交易协议签订后，交易平台应当为转让方、受让方出具证明材料。
Article 12
The water rights trading shall be conducted on the trading platform as is designated by the provincial people’s government. After a water rights trading agreement is concluded, the trading platform shall provide certification on such trading to the transferor and the transferee.
交易平台应当制定交易规则和交易合同示范文本，提供交易场所，组织交易活动，并依法公开交易信息。
The trading platform shall formulate proper trading rules as well as templates for the water rights trading agreement, provide a trading venue, organize relevant trading activities, and disclose the information on such trading in accordance with law.
第十三条 取水权转让方应当向交易平台提交下列材料：
Article 13
Transferors of the water-abstracting right shall submit the following materials to the trading platform:
（一）取水许可证；
(1) Water abstraction license;
（二）水平衡测试分析材料；
(2) Documents relating to the testing and analysis of water balance;
（三）取水许可审批机关出具的节水验收意见；
(3) Water-saving performance inspection opinions issued by the competent authority in charge of water abstraction;
（四）拟转让水量的数量和价格；
(4) The quantity of water to be transferred as well as the transfer price thereof;
（五）转让后对有重大利害关系的第三方和周边水生态环境的影响及其补偿措施的书面说明材料；
(5) A written statement on the impact of the transfer on any third-party stakeholders and on the aquatic ecological environment of surrounding waters as well as the corresponding compensation for such impact; and
（六）国家和省规定的其他材料。
(6) Other materials as required by the State and this Province.
第十四条 取水权受让方应当向交易平台提交下列材料：
Article 14
Transferees of the water-abstracting right shall submit the following materials to the trading platform:
（一）建设项目水资源论证报告及审查意见；
(1) The water-resources-related feasibility assessment report for the construction project and the review opinions thereon;
（二）拟交易水量的数量和价格；
(2) The quantity of water to be transferred as well as the transfer price thereof; and
（三）国家和省规定的其他材料。
(3) Other materials required by the State and this Province.
第十五条 用水总量控制指标交易双方应当分别向交易平台提交下列材料：
Article 15
Parties to the trading of total water consumption control quota shall respectively submit the following materials to the trading platform:
（一）本行政区域用水总量控制、用水效率控制和水功能区限制纳污总量等水资源管理情况的分析材料；
(1) The analytical documents on the management of water resources, such as the total water consumption in the administrative region, the control of water use efficiency and the total amount of pollutant limitation in the water function area;
（二）拟交易的用水总量控制指标数量、期限和价格；
(2) The amount of the water consumption quota to be traded as well as the term and price of such quota;
（三）本级人民政府同意交易用水总量控制指标的书面文件；
(3) Written documents of the people’s government at the corresponding level approving the trading of the water consumption control quota; and
（四）国家和省规定的其他材料。
(4) Other materials as may be prescribed by the State and this Province.
转让方提交的水权交易申请还应当包括可交易用水总量控制指标来源的可行性和可靠性，以及交易后对区域水资源与水生态环境的影响分析材料。用水总量控制指标来源于节水工程节约水量的，还应当提供取水许可审批机关出具的节水验收意见或者节水潜力分析意见。
The water rights trading application submitted by the transferor shall also include the information on the feasibility and reliability of the source of the tradable total water consumption control quota, and the analytical assessment of the impact that the trading in question may have on regional water resources and water ecological environment. If the tradable water consumption control quota is based on water saved through water-saving projects, the transferor shall also provide water-saving performance inspection opinions or analytical opinions of water-saving potential issued by the authority in charge of the examination and approval of water abstraction.
受让方提交的水权交易申请还应当包括取得用水总量控制指标后，其新增水量的主要用途及其对区域水资源与水生态环境的影响分析材料。
The water rights trading application submitted by the transferee shall also include analytical documents on the major uses of the additional amount of water obtained through trading the water consumption control quota as well as the impact that it may have on the regional water resources and water ecological environment.
第十六条 交易平台收到水权交易申请后应当进行审查。对符合本办法规定的交易条件，申请材料齐全的，应当依照交易规则组织交易。不符合交易条件的或者申请材料不齐全的，应当不予交易或者要求补充材料，并书面说明理由。
Article 16
The trading platform shall carry out a review of the water rights trading application upon receiving. Where the trading under the application meets the requirements of these Measures and all the required application materials are complete, the trading platform shall organize the trading in accordance with the trading rules. Where the trading under the application fails to meet the requirements of these Measures or any of the requisite application materials is incomplete, the trading platform shall reject the application, or require the applicant to supplement the corresponding material and give reasons therefor.
第十七条 取水权转让协议约定的转让期限应当在转让方取水许可证载明的有效期限内。交易双方可以约定转让期限届满后取水权的归属；未约定的，转让期限届满后，取水权属于受让方，受让方可以依法申请办理取水许可延续手续。
Article 17
The term of transfer as is specified in the agreement on the transfer of water-abstracting right shall be within the effective term of the water abstraction license of the transferor. The parties concerned may reach an agreement on the ownership of the water-abstracting right in question after the expiration of the term of transfer; otherwise the water-abstracting right shall be owned by the transferee upon expiration of the term of transfer, and the transferee may apply for the extension formalities of water abstraction license in accordance with law.
用水总量控制指标的转让期限一般不超过10年。因水资源配置工程、城乡居民生活公共供水工程等用水需要的，经省人民政府批准后确定转让期限。转让期限届满后，用水总量控制指标归还转让方。
The term of transferring total water consumption control quota generally may not exceed 10 years. Where such transfer is made for the purpose of any water resources allocation project or public water supplies for the livelihood of urban and rural residents, the term of transfer shall be determined upon the approval of the provincial people’s government. Upon expiration of the term of transfer, the total water consumption control quota shall be returned to the transferor.
第十八条 水权交易价格根据成本投入、市场供求关系等确定，实行市场调节。
Article 18
The price of water rights trading shall be determined in accordance with such factors as the cost input thereof and the supply and demand of the market, and shall be subject to market-based regulation.
第十九条 取水权交易所得按照规定扣除相关税费后，归转让方所有。
Article 19
The proceeds from the trading of the water-abstracting right shall, after relevant taxes are deducted in accordance with the provisions, be owned by the transferor.
用水总量控制指标交易所得，按照规定扣除相关税费后，应当依照政府非税收入管理的规定上缴转让方同级财政，实行收支两条线管理，主要用于水资源的节约、保护和管理，其中农业节水的交易收入主要用于节水地区的节水设施投入和水利基础设施建设。
The proceeds from the trading of total water consumption control quota shall, after relevant taxes are deducted in accordance with the provisions, be submitted to the public treasury departments corresponding to the transferor in accordance with the regulations of governmental non-tax revenues. Such proceeds shall be managed under the system of “two lines of collection and expenditure”, and shall be primarily used for the conservation, protection and management of water resources; such proceeds accruing from the trading of water saved in agriculture shall be primarily used for constructing water-saving facilities and water conservancy infrastructure in the region where such water is conserved.
第三章 监 督
Chapter III Supervision over the Water Rights Trading
第二十条 县级以上人民政府水行政主管部门应当加强水权交易的监督管理，组织开展水权交易后评估，通过政府网站等平台依法公开水权交易的有关情况。
Article 20
Water administration departments of the people’s governments at the county level or above shall strengthen the supervision and regulation of water rights trading, organize the post-assessment of water rights trading, and disclose the relevant information concerning water rights trading through government websites and other platforms in accordance with law.
省人民政府水行政主管部门应当建立水权交易信息管理系统，依法公开水权交易的相关信息，实行信息共享。
Water administration department of the provincial people’s government shall establish a management system on the information of water rights trading, disclose the relevant information of the water rights trading in accordance with law, and implement the information-sharing system.
市、县、区人民政府水行政主管部门应当将水权交易产生的取水许可申请、变更、延续情况以及用水总量控制指标的变化情况，及时报省人民政府水行政主管部门备案。
Water administration departments of the people’s governments at the municipal, county and district level shall, in a timely manner, submit such documents as the application for and modification and extension of water abstraction licenses as well as changes in total water consumption control quota arising from water rights trading to the water administration department of the provincial people’s government for record.
第二十一条 交易平台应当在交易双方签订交易协议后10个工作日内，将取水权的交易信息告知有取水许可审批权限的县级以上人民政府水行政主管部门，将用水总量控制指标的交易信息告知交易双方的共同上一级人民政府水行政主管部门。
Article 21
The trading platform shall, within 10 working days after the conclusion of the trading agreement by the parties, submit information on the trading to the water administration department of the people’s governments at the county level or above with authority to review and approve the water abstraction license, and submit trading information on the water consumption control quota to the water administration department of the people’s government at the higher level to which the parties are subject to.
第二十二条 取水权交易协议签订后30个工作日内，转让方应当持水权交易协议、交易平台出具的证明等材料到取水许可审批机关办理取水许可变更手续。变更后转让方需要新增取水的，应当采取水权交易或者其他方式解决新增取水量。
Article 22
The transferor shall, within 30 working days after conclusion of the trading agreement on the water-abstracting right, take the agreement and the certification documents issued by the trading platform to the competent department to review and approve the water abstraction license to go through the procedures for the modification of the water abstraction license. Where the transferor need to extract any additional amount of water after such modification is completed, it shall procure such additional amount of water through trading of water-abstracting right or by any other means.
转让方办理取水许可变更手续后，受让方应当持水权交易协议、交易平台出具的证明等材料依法申请办理相关取水许可手续。
After the transferor completes the modification procedures for the water abstraction license, the transferee shall take such documents as the water rights trading agreement and the certification documents issued by the trading platform to apply for the relevant water abstraction license in accordance with law.
第二十三条 用水总量控制指标交易完成后，交易双方共同的上一级人民政府水行政主管部门应当向本级人民政府报告交易情况。
Article 23
After the trading of total water consumption control quota is completed, the water administration department of the people’s governments at the higher level to which the parties are subject shall report the trading to the people’s government at the corresponding level.
第二十四条 用水总量控制指标交易完成后，按照交易后的用水总量控制指标进行水资源管理责任考核；取水权交易完成后，按照取水许可的有关规定实施管理。
Article 24
After the trading of total water consumption control quota is completed, the water resources management responsibilities shall be assessed on the basis of the post-trading water consumption control quota; after the trading of the water-abstracting right is completed, relevant management shall be implemented in accordance with relevant provisions of the water abstraction license.
第二十五条 取水权受让方应当按照取水许可证的规定取用水资源，不得擅自改变水资源的使用用途。
Article 25
The transferee of the water-abstracting right shall access water resources in accordance with the provisions of the water abstraction license and may not change the use purposes of water resources without proper authorization.
需要变更水资源使用用途的，应当有利于提高水资源利用效率和保护生态环境，并依法办理取水许可变更手续。
Where it is necessary to make any change to the intended uses of the water resources, such change must be conducive to improving the efficiency of water resources utilization and protecting the ecological environment, and shall be subject to a modification procedure of the water abstraction license in accordance with law.
第四章 法律责任
Chapter IV Legal Liability
第二十六条 县级以上人民政府水行政主管部门或者其他有关部门的工作人员违反本办法规定，在水权交易管理过程中滥用职权、玩忽职守、徇私舞弊的，由任免机关或者监察机关依法给予处分；涉嫌犯罪的，移送司法机关处理。
Article 26
Where any staff member of the water administration department of the people’s governments at the county level or above or that of other relevant departments, in violation of the provisions of these Measures, abuses powers, neglects duties or commits illegalities for personal gains in the process of water rights trading, the personnel appointment authority or the supervisory authority shall impose sanctions on such staff member in accordance with law; where such staff member is suspected of committing a crime, he/she shall be referred to the competent judicial authority for prosecution.
第二十七条 水权交易平台违反本办法第十二条、第二十一条规定，未公开交易信息或者未按照规定告知水行政主管部门交易信息的，由县级以上人民政府水行政主管部门责令改正，处5000元以上20000元以下罚款。
Article 27
Where the platform for water rights trading, in violation of the provisions of Article 12 or Article 21 of these Measures, fails to disclose the trading information or to submit such information to the water administration department of the people’s governments at the county level or above, the water administration department shall order the trading platform to make corrections and impose a fine of not less than 5,000 yuan but not more than 20,000 yuan.
第二十八条 违反本办法第二十二条规定，取水权交易双方隐瞒有关情况或者提供虚假材料申请取水许可的，按照《取水许可和水资源费征收管理条例》的规定给予处罚。
Article 28
Where the parties to the water-abstracting right, in violation of the provisions of Article 22 of these Measures, withhold any information that is required to be disclosed hereunder or provide any false materials in order to obtain the water abstraction license, they shall be punished in accordance with the Measures on the Administration of Water Abstraction Licensing and Water Resource Fee Collection.
第五章 附 则
Chapter V Supplementary provisions
第二十九条 本办法自2017年2月1日起施行。
Article 29
These Measures shall become effective as of February 1, 2017.
