【作者】 周玉玺；

【导师】 马传栋； 胡继连；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2005， 博士

【摘要】 我国的水资源短缺已经是一个不争的事实,并且日趋严重。传统上解决水资源短缺问题总是借助于工程技术手段,运用政策、制度和管理手段来解决水资源短缺问题并未引起政策制定者和水资源管理者的足够重视。随着可经济开发的水源越来越少,边际开发成本越来越高,单纯依靠兴建水利工程满足水资源需求日趋艰难。水资源短缺,除自然环境影响之外,人类开发利用行为的不当是一个重要因素,水资源管理不善也逐渐被认同为导致水资源短缺问题的重要原因之一。因此,鉴于技术在化解水资源短缺危机的能力有限的条件下,运用制度手段来解决水资源短缺问题是一个可行的选择。突破水资源短缺危机的制度瓶颈,关键是要进行水资源管理制度创新,通过改善制度安排,从而改变人类行为,达到化解水资源危机之目的。 随着人类需求的增长,水资源越来越稀缺,对稀缺水资源的竞争利用关系(人与人的关系)逐渐成为影响水资源配置效率的决定因素,水资源管理的重心逐渐转向如何协调人与人的关系上。水资源稀缺程度的提高促使了水资源价值的提升,由此加剧了人类对水资源的争夺,如何实现稀缺资源的公平目标和效率目标成为现代水资源管理的需要解决的问题。本文按照资源管理的一般范式,资源管理的目标是实现长期动态平衡,水资源管理制度的框架也应从供给和需求两方面来进行设计。为此,基于水资源短缺的制度原因分析,指出我国水资源管理制度创新的诱导因素,分别从水资源供给和需求两个层面设计解决水资源短缺的制度安排,以及水资源供求均衡的形成机制和供求失衡的解决机制,重新定位政府水资源管理的政策取向,构建市场经济条件下水资源管理制度体系。本文主要研究内容结构如下: (1) 水资源管理的理论基础。基于我国水资源供求现状及其发展变化趋势,结合水资源的自然特性和经济特性,提出了水资源管理制度创新的理论基础,主要包括避免“公地悲剧”、消除集体行动的困境、形成外部性内部化的激励、形成长期合作博弈的制度约束以及响应公平和效率均衡的需求。水资源管理是综合运用制度、经济与政策措施,实现水资源的长期稳定的供求均衡,为实现稀缺资源永续利用的基本目标,水资源管理应遵循效率、公平、可持续和整体性原则。通过比较分析了现有水资源管理形式以及水资源国家集权管理制度、水资源的统一管理制度、分权管理制度和参与式管理制度四种模式及其绩效水平,指明了水资源管理制度变迁的方向,需要根据水资源供求形势的变化,重新定位水资源供求管理和需求管理的制度内涵,通过制度创新协调多个利益更多还原

【Abstract】 It is well known that there is a shortage of water in China, and it is becoming more and more severe. Traditionally, it is always resolved through engineering solutions, but there has been a lack of adherence to policies, institution and administration ways for policy-maker and water administrators. With the water supply gradually shrinking and the marginal exploitive cost rising, traditional methods are becoming less able to meet water demand day after day. Besides natural environment influences, human exploiting over-usage and poor management are important factors that lead to water shortage. Consequently, it is feasible to solve water crisis through institutional measures due to the limits of technology. The water administration institution innovation is the key to break the institution bottleneck of water crisis.Keeping with the growth of water demand, the competition for scarce water supplies is becoming the determinative factor that affects the efficient allocation of water, so the focus of water administration increasingly turns to how to harmonize the relationship between people. Because of the shortage of water, the value of water has risen. It becomes a necessary problem knows how to fulfill the goal of farina and efficient usage of scare resource. So the goal of resource administration is to carry out a long-term dynamic equilibrium, the frame of water administration should be derived from water resource supply and demand. For this occasion, it is pointed out about the inductive factors of water administration institution innovation in China, which based on analysis of institution causes for water resource shortage. The principal research purpose of this paper is to design the water administration institution based on water supply and demand, the mechanism to form equilibrium of water supply and demand, and the mechanism to resolve overbalance of water supply and demand. It is delimitated anew that the government water administration policies orientation, and formed the institution system of water supervisor under market economy. The government should review its policies and form an institutional system of water resource supervision based upon market economy rules. The principal research content texture of this paper as follows:(1) Water administration theoretic understructure. Based on water resource present state of supply and demand and its changing tendency in China, it is put forward for the theoretic understructure of water administration innovation according to water resourcenatural and economic features in China, which includes avoiding "the Tragedy of the Common", eliminating "the Logic of Collective Action", forming incentives of externality internalization, forming long-term cooperative game institution constraint and responding to the demand of fairness and efficiency. Water administration must exert institution, economy and policies measures in order to fulfill the destination of water resource long-term supply-demand equilibrium. And it should be comply with the basic principle of efficiency, fairness, sustainable and integral. By comparison analysis of the regime of water administration and the performance of state power centralized administration institution, integrative administration institution, decentralized administration institution and participated administration institution, it is pointed out the development orientation of water administration institution. The content of water resource supply and demand admimstration according should be delimitated according to the changing tendency of water resource supply and demand. Water research management, and then is transformed from divergence administration to integrative administration, and the behaviors of all interest parties can be harmonized by institutional innovation.(2) Inducement of water administration institution innovation. It can be seen that the change of water administration institution was increasingly evolving following the changes of water resource supply and demand. In the light of the logic analysis sequence of institutional economics, changes in the water administration institution are the common result of the function of government impulsion and demand inducement along with the transformation of water administration ideas. The factors that promote water administration institutional innovation include reformation of macroeconomic system, transformation of economic growth patterns, malpractice of water admimstration system in force and the changing tendency of water resource supply-demand. Through the positive analysis of the factors of water administration institution development from water supply and demand aspects, the frame of water administration institution is put forward, and its redesigned water administration organization system and relative department accountability.(3) The contents of water administration institution. Firstly, the supplying of administration institution and orientation of policies are discussed. The contents of water administration institutions are expounded, especially the water distributive institutions, supplyregulative institution, and water conservancy infrastructure supplying institution. By comparing the performance of administrative plan distributive mechanism and marketing distributive mechanism, the development path for water allocation institutions is marketing distributive mechanism and a tradable water permit system. Taking the irrigation and water conservancy infrastructure as an example, it is proved that the supplying institution of irrigation and water conservancy infrastructure restricts the changes of the effective irrigated area along with historical development It is pointed out that the supplying institution changes from coercive supplying by government to dominant supplying by government and voluntary cooperative supplying by citizens. From the development point of view, the performance and the scope of application for four types of supplying institutions in China are analyzed, and its investors are delimitated. Four operated modes are put forward, and the forming mechanism of self-management in the countryside is analyzed by the game analytic method. Induces in this, the focus and orientation of government supplying administration policies are analyzed. Secondly, demanding administration institution and orientation of policies are discussed. From the focal point of controlling water demand growth and offering incentives to save water, the controlling total quantity institution and system of rating are analyzed. The theoretic frame of water rights transaction is analyzed, and its efficiency.,, implementation constraint condition, transaction mode are discussed from the angle of canonical parse and experience. The functions, the forming mechanism of water price are discussed. The collecting water charge institution and the option of government demanding administration policies are analyzed. Thirdly, equilibrium administration institution and orientation of policies are discussed. The running mechanism and procedure are analyzed which are about pricing, property rights and other power. The solution tactics are brought forward that resolve the conflicts between variant interest groups by means of game analytic method. And the option of government policies are designated how to form equilibrium and how to resolve conflicts.更多还原