【作者】 陈辞；

【导师】 王朝明；

【作者基本信息】 西南财经大学 ， 政治经济学， 2011， 博士

【摘要】 气候变化所引发的自然灾害越来越成为影响我国国民经济和社会生活发展不可或缺的因素,“洪灾—条线、旱灾—大片”,据近20年的资料统计,我国洪涝灾害年均经济损失超过1000亿元,约占全国GDP的1%-3%,每年因洪涝灾害死亡人口上千人,全国农作物年均因旱受灾面积约26000公顷,年均因旱饮水困难人口约2900万人,水旱灾害的威胁将长期存在’。2009-2010年我国西南地区发生了特大旱灾,而西南地区的水资源与全国来比却是相当丰富的。在水资源相对丰富的西南地区发生百年一遇的特大旱灾的原因是什么?从深层次因素讲,除了气候变化、水资源时空分布不均、人们的经济活动的影响外,因产权不清而导致的农业水利设施建设严重滞后(特别供给主体缺位),水资源开发利用率低,工程性缺水严重是造成地区性大旱的重要原因。西南大旱等全国性的旱灾使我们进一步认识到了投资农业水利设施的必要性和紧迫性。水利历来是农业的命脉,因其对泄洪抗旱、农田灌溉、保障粮食增产、丰收及其安全和提高农业竞争力具有战略意义。迄今为止,有关农业水利设施的相关研究可谓汗牛充栋,从现有的已掌握的文献资料来看,对农业水利设施产权安排的研究主要集中在对小型农业(田)水利设施产权制度的现状和存在的问题上,对产权制度创新与效率分析的研究已经有所涉及,但对效率的分析仅仅局限于传统的投如——产出方面,相对缺乏从制度成本和制度收益方面对制度绩效的研究；对农业水利设施投融资体制机制的研究,从笔者目前梳理的文献来看,大都集中在如下几个方面：一是对农业水利设施投融资机制的研究；二是对农业水利设施管理体制的研究；三是对农业水利设施运行机制的研究。这些学者的理论成果无疑成为了农业水利设施投融资理论、管理理论与实践进一步发展的理论基础,但从现有的研究成果来看,从明确的利益角度分析农业水利设施投融资问题的研究还相对缺乏。特别是与产权安排相一致的投融资机制的研究经笔者文献检索还未曾发现。本研究将在前人已有的研究基础上来进行。农业是国民经济的基础,农业稳则天下稳,农业兴则国家兴。水利是国民经济重要的基础设施和基础产业,是农业的命脉。日益严峻的干旱情况的出现迫使我们不得不回过头来重新审视农业水利建设及其绩效。从现实和长远来看,如果不能解决缺水背后的制度因素,不能在全国尤其是缺水地区建立一套有效的资源配置方式,进而形成一个节水型的经济发展模式的话,很难解决我国当前的水资源短缺问题,因旱而灾将继续恶化和扩大。为此,本文基于阿兰·斯密德教授所提出的“状态(Situation)——结构(Structure)——绩效(Performance)"即SSP范式,试图探寻影响农业水利设施绩效差异的本源性因素,并援用相关经济学理论加以分析论证,以揭示农业水利设施绩效差异之根源就在于其自身特性不同,即农业水利设施的状态不同决定了各农业水利设施的制度选择的不同,从而导致绩效不同,以期为我国农业水利设施建设提供一个可操作的理论分析框架和制度创新安排。本文共分7章。第1章为导论,对本文的研究背景、研究的目的和意义、主要研究方法、本文研究范围的界定、本文的研究内容和技术路线以及可能的创新点和局限性做了较为详尽的介绍。第2章为文献综述和理论基础。对相关研究文献进行了简单的回顾,重点对农业水利设施的产权安排的相关研究和农业水利投融资机制的已有研究成果进行了简要的梳理并进行了评述,同时针对本文的需要,对产权理论、公共物品理论、制度变迁理论、投融资理论和“多中心治理”理论等相关理论基础进行了简要的介绍。第3章在前一章的基础上,构建了一个分析中国农业水利设施的产权安排与投融资机制的理论分析框架,即以“SSP”分析范式为基础,建立了“物品特性——主体的权利结构——特定产权选择——产权安排与投融资机制契合机理——绩效分析”的研究框架。第4章分析了农业水利设施投融资的主体结构及其权利划分,详细探讨了我国农业水利设施的五大投融资主体结构,分别为政府、村民委员会、合作组织、私人资本投资者以及农户。从历史的角度考察了农业水利设施投入的政府间的权利变化、财政体制的变迁与政府财力的变化、政府间事权的变化以及投融资机制的演进历程,并从实证的角度,对财政体制变迁对地方政府财力变动的影响进行了分析。第5章通过对产权的类型和变迁的分析,论述了农业水利设施的产权选择原则,即提高农业水利设施综合利用率的原则、有利于加强维护和保养、降低监督成本的原则、调控多方利用关系、兼顾多方利益的原则、实现水资源的可持续利用原则,并在此基础上,构建了我国农业水利设施的具体产权模式,即股份合作制度安排、农户独资制度安排、拍卖、租赁和承包等制度安排,并辅之以案例来加以左证。在此基础上,论述了我国农业水利设施特定产权安排与投融资机制的契合机理。第6章从计量与逻辑层面对农业水利设施投融资的绩效进行了实证分析,本文对绩效分两大块来进行实证分析,首先对农业水利投入的经济效率进行了实证检验,肯定了我国农业水利设施投入所获得的效益,其次对中国农业水利设施的制度绩效从制度成本、制度收益、机会主义到制度绩效进行了逻辑推理证明分析。第7章首先作为简要的结语,对本文研究所得到的结论进行了归纳总结,其次探讨了我国农业水利设施的产权安排及投融资机制的创新问题,从小型农业水利设施产权创新的六大诱导因素入手,分析了我国小型农业水利设施产权安排与投融资机制创新的可能性,提出了小型农业水利设施产权安排创新的模式,构建了与产权安排创新相一致的投融资机制。在此基础上,对农业水利设施的产权安排与投融资机制提出了相应的政策建议。基于对上述内容的研究,本文得到几个重要结论和几点政策启示。主要结论有如下几个：(1)农业水利设施具有特殊的属性。第一是它的自然属性,农业水利设施具有无法准确计量分割的物品,即具有整体性、不可分割性；第二是水利设施的外部性；第三是公共物品特性。(2)产权制度的改革和创新,为各类农业水利设施明晰了产权主体归属,有利于明确责权利之间的关系,有利于拓宽投融资渠道,但并不必然带来绩效,不能彻底地解决农业水利设施供给不足的状况。由于农业水利设施是一种公共池塘资源,不具有排他性与可竞争性的特点,即使是在一个封闭的资源边界和受益者边界中人们都有搭便车的机会主义动机,更何况可以让外来人免费享用这个资源。因此,我国进行的市场化改革、产权改革,只是解决了设施的归属问题,但由于设施的复杂性,以及农民集体行动困境的存在,加上小农基础上带来的巨大制度成本却相对较小的制度收益,使得这一项制度安排并不必然带来预期的绩效。(3)在现行的制度框架下,政府间财权和事权划分的“逆向化”是造成农业水利设施整体供给不足的制度根源。通过对农业水利设施建设中政府财权和事权的历史变迁的分析可以知道,我国伴随着财政体制改革和农村税费改革的深入展开,政府间明显存在财权上移但事权却下移的趋势。这种逆向化,使得中央政府因“甩包袱”而退出,地方政府因财力有限而无法进行投入,农民因“原子化”而缺乏建设的激励机制。(4)农业水利设施建设必须上升到国家战略高度,将产权安排与投融资机制契合起来,才能从根本上解决问题。站在国家的角度,农业水利具有战略性,因为它关系到粮食生产安全,关系到国计民生、关系到生态安全,它非单纯的经济问题,本质上是政治问题。既然对国家来说,农业水利设施是个政治问题,就应该按照政治问题的治理来对待,在宏观层面要上升到战略高度,在微观层面要构建体制机制,在操作层面,要把农业水利设施的建设由现在的应急管理转化为风险管理。(5)重塑新型的农村合作组织。农村合作组织是农业水利设施建设管理的基础。传统的集体经济组织无论是从经济角度,还是从社会角度和文化角度来看,都已经很难发挥它应有的功效了,因此重构新型的农村合作组织势在必行。(6)农业水利设施的投融资机制需在国家、市场和农户之间寻求最佳结合方式。我国农村各地情况千差万别,这就意味着不能只有一种制度安排。在进行制度思考时,既要跳出单一的或国家、或市场、或农户的简单化臆想,又要避免抽象地将国家、市场、农户三者笼统地合在一起,而必须从农业水利设施的特性、农村社会的性质、国家的稳定以及市场经济这些基本前提出发,在国家、市场、农户三者中寻找最佳的结合方式。我国农业水利设施建设历史欠账太多,投资规模非常巨大,单纯的依靠某一单一的投融资渠道已不能适应农村经济社会发展的需要,因此,在保证政府投资起主导作用的情况下,在不同的地区,寻求国家、集体和农户的最佳结合方式,是解决农业水利设施资金来源的最佳途径。几点政策建议：(1)健全农业水利设施投融资机制,完善政府投入稳定增长机制。一是制定法律法规,增加政府主导性投入,确保资金来源；二是拓宽融资渠道,有效运用资本市场,建立灵活有效的融资机制。(2)完善农业水利设施产权体制改革,构建新的投入增长机制。农业水利设施产权制度改革以明晰产权为核心,以保障农民群众的合法权益为根本,以保证农业水利设施的安全运行为前提,放开建设权、出让资产权、转换经营权、盘活存量资产、优化资产组合、充分调动广大农民群众和社会各界参与农业小型水利设施建设和管理的积极性,发挥好农村小型水利设施效益,促进农村经济持续、快速、健康发展。(3)转变政府职能,优化投融资环境。一是转变观念,将农业水利设施由应急管理转向风险管理；二是制定并发布中长期农业水利发展规划；三是制定水利投融资相关政策、法规和制度；四是加强农业水利设施建设全过程监管。(4)切实用好“一事一议”政策。(5)借鉴“多中心治理理论”构建与产权安排相一致的农业水利设施投融资体制。本文的创新之处在于：(1)研究视角和理论分析框架的创新。利用阿兰·斯密德教授的SSP范式对中国农业水利设施的产权安排和投融资机制进行全面和系统的理论分析,不仅是本文在研究方法上的一种创新,更是本文研究的一大特色。(2)揭示了农业水利设施整体不足的制度根源。长期以来,我国城乡二元结构突出,农业水利设施供给主体单一；改革开放以来,由于农业水利设施市场化改革,加上财政体制变迁过程中造成的政府间“财权”和“事权”的“逆向化”,从而出现政府在农业水利设施投入上缺位、农户在农业水利设施投入上乏力、社会资本在农业水利设施投入上动力不足的局面。本文利用SSP范式,通过对农业水利设施的产权安排和投融资机制等制度安排进行深入分析,揭示了农业水利设施整体投入不足的制度根源。(3)构建了与农业水利设施“状态”相一致的产权安排和投融资机制。农业水利设施种类繁多,“状态”各异,不同农业水利设施的“状态”对应有不同的产权安排,从而对应有不同的投融资机制。更多还原

【Abstract】 Caused by climate change, natural disasters has increasingly impacted the development of our national economy and an indispensable element of social life. "A line of floods and a range of droughts." According to statistics nearly 20 years, average annual economic losses of flood disaster in China more than 100 billion yuan, accounting for about 1% of GDP, a 3% deaths each year thousands of people, flooding the average crop area of about 26,000 hectares affected, the average annual drinking water population of about 2900 people, the threat of flood and drought in southwest China in 2010 was a serious drought, and water resources in southwest China and the country is quite rich. Relatively rich in water resources in the southwest regions, what are the reasons for severe drought? Deeper factors, in addition to climate change, stresses water resources, uneven temporal and spatial distribution, the impact of people’s economic activities, the result of unclear property rights resulting from the construction of water conservancy facilities which is seriously lagging behind agriculture (in particular the absence of main supply), low water resources development, severe water shortage which is caused by construction of a regional drought of important reasons. Southwest drought and other national drought lead us to further recognize the need for investment in agricultural water conservancy facilities and urgency. Water has always been the lifeblood of agriculture; because of the flood drought, irrigation, protection of food production, harvest and safety improve the competitiveness of agriculture which is of strategic significance.So far, the agricultural water conservancy facilities and research can be described as voluminous, which has been acquired from the existing literature point of view, the arrangements of property rights on agricultural water conservancy facilities studies have focused on small-scale agriculture (field) in current situation of water conservancy facilities and existing property rights system issues, innovation and efficiency of the system of property rights research has been involved, but the analysis of efficiency is only limited to the traditional input-output, with the relative lack of benefits from the system in terms of cost and system efficiency of the system; on agriculture and irrigation facilities, institutional mechanisms for financing research, the author is currently combing the literature from the point of view, mainly focused on the following aspects: First, infrastructure investment and financing mechanisms for agriculture and irrigation research; Second, agricultural research management system of water conservancy facilities; three irrigation facilities for agriculture operation mechanism. Theoretical results of these scholars will undoubtedly become the theory of investment and financing of agricultural water conservancy facilities, management theory and practice of the theoretical basis for further development, but existing research point of view, a clear benefit from the perspective of agriculture and irrigation facilities, the issue of financing is also relatively scarce. In particular, the arrangements are consistent with the property investment and financing mechanism literature search by the author have not yet discovered.The study will be based on studies which have been conducted. Agriculture is the foundation of national economy; agriculture is conducive to the world steadiness. Water is the first national infrastructure and basic industry, the lifeblood of agriculture. The growing emergence of severe drought conditions have forced us to come back to re-examine the performance of agriculture and water conservancy construction. From a practical and long-term, if the system can not solve the underlying factors of water, not in the country, especially in dry regions to establish an effective resource allocation, thereby forming a water-saving model of economic development, it is hard to solve the current water shortages, Yin Han and disaster will continue to worsen and expand. Therefore, this article based on Professor Alan Smith’s "Situation-Structure-Performance" the SSP paradigm, attempts to explore the impact of agriculture and irrigation facilities in the derived factors of performance differences, and to invoke Economic theory related to analysis and demonstration, agriculture and irrigation facilities in order to reveal the root causes of performance differences in their own different characteristics; namely, the state of agricultural water facilities in different agricultural irrigation facilities determines the choice of different systems in order for our agriculture and irrigation facilities provide a workable analytical framework and theoretical basis. This article is divided into 7 chapters. Chapter 1 is Introduction. Chapter 2 is literature review and theoretical basis. Research on a simple review of the literature, focusing on agriculture and irrigation facilities, property arrangements, research and agricultural investment and financing mechanism for water research results have been a brief and carding, while the need for the article on property rights theory, public goods theory, institutional change theory and the theory of investment and financing and other related theoretical basis of a brief introduction. Chapter 3 on the basis of the previous chapter, carries out an analysis of building water conservancy facilities in Agricultural Investment and Financing Mechanism of property rights arrangements and theoretical framework; that is, "SSP" analytical paradigm as the basis to establish a "goods characteristics--the right of the main structure--Choose a specific property--performance analysis "of the framework. Chapter 4 analyzes the financing of agricultural water conservancy facilities and rights of the principal structure of division, from a historical perspective of the investment in the agricultural water conservancy facilities, the right to change the intergovernmental, governmental fiscal system changes and changes in financial resources, changes in inter-governmental powers and the evolution process of investment and financing mechanisms. Chapter 5 on property type and analysis discusses the property rights of agricultural irrigation facilities selection principle, and on this basis, build water conservancy facilities, agricultural property rights model. In Chapter 6 from the micro level investment in irrigation facilities in agriculture the economic performance of an empirical study on the performance of agricultural inputs of water conservancy facilities were affirmed, and the water conservancy facilities in Agricultural Systems in the cost from the system, the system proceeds to the system of opportunism performance is analyzed. Chapter 7 as a brief conclusion--that of this research were summarized at first,studies property rights from the agriculture and irrigation facilities, the possibility of innovative analysis of the induction factors and start to build water conservancy facilities, agricultural innovation index system of property rights, and made arrangements with the property investment and innovative financing mechanisms consistent. on agriculture and irrigation facilities, investment and financing mechanism of property rights arrangements and policy recommendations. Based on the above study, several important conclusions are obtained in this paper and some policy implications. Main conclusions are:(1) agriculture and irrigation facilities have special properties. The first is its natural properties, agriculture and irrigation facilities have separate items can not be accurately measured, that has integrity, indivisibility; the second is the externality of water conservancy facilities; the third is a public good characteristics. (2) property rights reform and innovation, agriculture and irrigation facilities for all types of clear ownership of the property rights is conducive to a clear relationship among responsibility, rights and interests is conducive to broadening the investment and financing channels, but does not necessarily bring performance, can not be completely Agricultural irrigation facilities to solve the situation of insufficient supply. As agricultural irrigation facilities is a common-pool resources, with exclusive insurance can be a competitive advantage and, even in a closed border and the beneficiaries of the resources that people have a free ride in the border opportunistic motives, let alone allow outsiders Free access to this resource. Therefore, our country’s market reforms, property rights reform, but to resolve the ownership of the facility, but because of the complexity of the facilities, as well as the plight of the existence of collective action of farmers, with small farmers on the basis of the enormous costs are smaller system of revenue, making it an institutional arrangement does not necessarily bring the expected performance. (3) Under the framework of the existing system, government financial authority and division of powers between the "reverse" of agriculture and irrigation facilities is caused by the inadequacy of the source of the overall supply. Agriculture and irrigation facilities by the Government in the history of financial authority and powers of analysis can change that, along with China’s financial reform and the rural tax and fee reform started, the Government clearly exists between the property right move but the powers it down trend. The reverse, making the central government due to "cast it" and quit, the local government due to limited financial resources that can not be put into the farmers because of "atomization" and the lack of building incentives. (4) Agriculture and irrigation facilities must be raised to the national strategic level, in order to fundamentally solve the problem. On the national point of view, agriculture and irrigation strategic, as it relates to food safety, related to people’s livelihood is related to ecological security, it is not simply an economic issue, are essentially political problems. As for countries, agriculture and irrigation facilities is a political issue, it should be in accordance with the political issues of governance to deal with, at the macro level to rise to a strategic height, at the micro level to build institutional mechanisms at the operational level, should agriculture and irrigation facilities building from the current emergency management into risk management. (5) Remodeling new rural collective organization on the basis of collective management of agricultural water facilities. Traditional collective economic organizations both from the economic point of view, or from the social point of view and cultural point of view, have been very difficult to play its due effect, so the reconstruction of a new type of rural collective organizations is imperative. (6) Agriculture and irrigation facilities, investment and financing mechanisms required at the national, social, and between farmers find the best combination of methods. Rural local conditions vary widely, which means not only a system arrangement. Conducting system of thinking, it is necessary to jump out of a single or country, or market, or farmers simplistic imagination, but also to avoid the abstract to state, market, farmers in general terms the three together, but must be from the agricultural water conservancy facilities characteristics, the nature of rural society, the country’s stability and a market economy these basic premise, in the state, market, farmers find the best combination of three ways. Coupled with the history of agriculture and irrigation facilities are too many debts, the scale of investment is huge, simply relying on a single investment and financing channels can not meet the needs of rural economic and social development, therefore, play a leading role to ensure that government investment in the case of in different areas, for the state, collectives and farmers the best combination of methods to solve the source of funds for agriculture and irrigation facilities, the best way.Some policy recommendations:(1) investment mechanism and improve the agricultural water conservancy facilities, improve the mechanism of steady growth in government investment. First, make laws and regulations; increase the government-led investment, to ensure that sources of funding. Second, broaden the financing channels, the effective use of capital market, and establish flexible and effective financing mechanisms. (2) Improve agriculture and irrigation facilities, property rights reform, and investment in building new growth mechanism. Agriculture and irrigation facilities, reform of property rights to the core of clear property rights to protect the legitimate interests of farmers as the fundamental, in order to ensure the safe operation of agricultural irrigation facilities as a precondition, the right to release the building, transfer of assets, rights, conversion management rights and revitalize the stock of assets optimize the portfolio to fully mobilize the broad masses of peasants and community participation in agricultural construction and management of small water conservancy facilities, the enthusiasm to play good efficiency small water conservancy facilities in rural areas, promote rural economic sustained, rapid and healthy development. (3) To transform government functions, optimize investment environment. First, change concepts of the agriculture and irrigation facilities from the emergency management to risk management. The second is to develop and publish long-term agricultural water development planning. Third, develop investment and finance-related policies, regulations and systems. Fourth is to strengthen the whole process of agricultural water control facilities. (4) Effective use of good "thing" policy. (5) Refer to the "theory of multi-center management," Construction of the water conservancy facilities of agricultural investment and financing system.The innovations of this paper are:(1) research perspectives and theoretical frameworks of innovation. Germany by Professor Alan Smith·SSP paradigm of Chinese agriculture and irrigation facilities, property arrangements and investment and financing mechanism for a comprehensive and systematic theoretical analysis, this paper is not only an innovative research method, this study is a major characteristic. (2). Reveal the overall lack of irrigation facilities in agriculture causes the system. A long time, highlight the urban-rural dual structure, a single main supply of agricultural water conservancy facilities; reform and opening up, due to agriculture and irrigation facilities, market-oriented reforms, coupled with the financial system caused by changes in the intergovernmental process of "property rights" and "powers" and "reverse "and thus give rise to government investment in agriculture on the absence of irrigation facilities, farmers invest in agriculture and irrigation facilities in the pan on the force is inadequate investment in agriculture and irrigation facilities, the importance of the overall system of roots. (3) Agricultural irrigation facilities constructed "state" consistent with the investment and financing mechanisms. Different agricultural irrigation facilities of the "state" correspond to a different property rights arrangement thus corresponds to a different investment and financing mechanisms.更多还原