中国水制度的经济学分析

【作者】 刘伟；

【导师】 王战； 陆德明；

【作者基本信息】 复旦大学 ， 国民经济学， 2004， 博士

【摘要】 水已经成为制约中国国民经济发展的最大瓶颈,是威胁我国21世纪经济社会可持续发展的首要问题。中国水行业面临的水资源严重短缺与用水浪费严重、新的水工程投资巨大与已有工程利用效率低下并存的矛盾,使解决水短缺的传统工程和技术方法越来越受到资源和资金的“双重约束”,长期以来以开发为中心的供方管理模式已经无力解决日益严重的水短缺危机。水短缺表面上是资源短缺,实质上是制度短缺,解决中国水短缺问题的根本出路在于制度创新。本文以新制度经济学作为研究的理论基础,从三个角度对中国水制度进行深入探讨和分析:(一)以制度变迁理论为分析工具,研究了全球和中国水制度变迁的动因、路径、方向和特征;(二)从水的混合物品属性分析入手,构建和应用了中国水制度分析的基本框架:多元机制共生水配置,水法、水政策、水行政三种水制度层次,水定价、水权与水市场、用水户组织三种市场扩张型支撑性水制度安排;(三)利用流域背景下的中国水制度分析的基本框架,对黑河流域张掖建设节水型社会试点案例、黄河断流、南水北调工程进行了实证分析。本文研究显示:(一)全球正在经历由以开发为中心的供方管理模式向以配置为中心的需方管理模式的水制度变迁,中国水制度正处于这一转变的起始阶段;(二)水具有的自然、经济、社会多种复杂特性,要求水配置要采用政府、市场、用水户组织为主体的多元配置机制共生的机制,以克服政府失灵、市场失灵、技术失灵和外部性;(三)水法、水政策、水行政是中国水制度的三个有机组成部分,水权制度是水制度的核心;(四)水定价制度、水权与水市场制度、用水户组织制度是中国市场扩张型水制度的三个支撑性制度安排,对形成具有节水激励和约束的机制发挥着核心作用;(五)案例分析表明,中国市场扩张型水制度具有巨大的节水潜力和制度收益,解决了制度短缺问题,中国水短缺问题就可以解决。本文认为,建立中国市场扩张型水制度,政府要发挥主导作用。一是努力降低水制度变迁的交易成本;二是重视水制度改革中水法、水政策、水行政的协调一致;三是率先在缺水严重的地区和流域实行严格的市场扩张型水制度。更多还原

【Abstract】 As China is gaining paces in its economic development, water is rapidly becoming a bottleneck in the national economy, an issue that threatens to affect China’s sustainable social and economic development in 21st century. Water shortages as a result of wasteful practices in water use in China’s water industry is complicated by the fact that the existent water projects are of poor efficiency and new water projects require tremendous investment, with resources and funds becoming the “double constraint” on traditional technical and engineering approaches to water crisis. Over time the development-oriented supply-side management has failed to cope with escalating water shortage. Allegedly a deficiency of resource, water shortages is in essence an institutional deficiency. The only way out of water shortages is institutional innovation.This thesis, based theoretically on new institutional economics, examines China’s water institutions in three aspects. First, on the basis of the institutional change theory, the change of both domestic and foreign water institutions is examined in terms of its driving forces, path, direction and traits. Second, beginning with an analysis of the property of water as a mix goods, a basic analytical framework is constructed and applied for China’s water institutions, namely, multi-mechanism water allocation, a triplet water institutions including water law, water policy and water administration, the three supportive market-expansion strategies of water pricing, water rights and water market, and water users’ organization as institutional arrangements. Third, with the basic analytic framework about water institutions under the river basin context, Zhangye case in the Heihe river basin, the yellow river turnoff and the south-to-north water transfer project are studied.Five results are identified in this thesis. Firstly, the world is undergoing a transition from the development-oriented supply-side management to the allocation-oriented demand-side management. And China is still at the early stage of the transformation. Secondly, the very nature of water, with its natural, economic and social dimensions, requires a multidimensional allocation mechanism of government control, market regulation and water users’ organization so as to avoid government failure, market failure, technology failure and negative externality. Thirdly, water law, water policy and water administration constitute three interactive aspects of China’s water institutions, with water rights as the core. Fourthly, water pricing, water rights <WP=7>and water market, and water user organization are three supportive market-expansion strategies for institutional arrangements in China’s water institutions. They play an essential role in creating mechanisms of incentives and constraints in water conservation. Finally, case study reveals huge water economy potential and benefits in China’s market-expansion water institutions. Adequate institutions are prerequisite for the settlement of water shortages.The government plays a dominant role in establishing the market-expansion water institutions. Firstly, priority should be given to minimizing the high transaction costs of institutional transformation. Secondly, emphasis should be placed on the coordination between water law, water policy and water administration in water reform. Thirdly, the market-expansion water institutions should be executed first of all in the areas that face severe water shortages.更多还原