【作者】 佟金萍；

【导师】 王慧敏；

【作者基本信息】 河海大学 ， 管理科学与工程， 2006， 博士

【摘要】 中国的水短缺不仅是资源短缺，更是制度短缺，并且制度短缺加剧了资源的短缺。面对水资源的日益短缺和经典配置的失灵效应，提出流域水资源配置应在复杂性范式的指导下，向“沟通与协调”的新配置理念过渡和发展。因此，解决的有效途径是如何应用复杂性科学研究和构建适合我国水情的流域水资源配置机制，这是本文的核心所在，它关系到转型时期中国政府与市场如何有效配置水资源的协调性问题。 在复杂性科学的视角下，流域水资源配置系统可以被看作是一类CAS，运用CAS理论定量描述水资源配置的系统演进，为流域水资源配置机制的构建奠定了科学的理论基础。为寻求合适的流域水资源配置机制，首先，以水权制度变迁为主线剖析我国流域水资源配置机制的演化过程；之后，根据路径依赖原理得出流域水资源适应性配置机制是机制演化的绩优路径，并结合CAS理论阐释了机制选择的理论依据；最后，从理论和工作角度界定了机制定义和内涵，构建这一机制，同时阐明机制的运行机理。在此基础上，将流域水资源适应性配置机制的运行和实现视为系统行为，对机制的工作原理进行系统建模和仿真，分别建立了水权初始分配模型和水权交易CAS模型。最后结合黄河流域实际，验证适应性配置机制构建的合理性和可行性，给出流域水权分配的监管机制。更多还原

【Abstract】 Lacking of water in China is not only of the resource, but also of mechanism, at some degree Lacking of mechanism will lead lacking of resource to be worse. Facing the increasing shortage of water and the failure of classical allocation, the idea is put up that river basin water-resource allocation should transit and develop in the new allocating ideas of ’communication & harmony’ according to the guidance of complicated pattern. Therefore, a mechanism innovation view is necessary to solve the problem efficiently. Researching and constructing the river basin water-resource allocation mechanism adaptable to domestic water actuality in the background of complexity science is the essence of the following article.Through the complexity science, river basin water-resource allocation can be viewed as a kind of CAS; the exertion of CAS theory describing mechanism evolvement of water-resource allocation quantificationally sets a scientific and theoretical foundation for river basin water-resource allocation. To find out the suitable river basin water-resource allocation mechanism is of the following three factors. Firstly, anatomying the evolutionary process of Chinese river basin water resource allocation in the main course of the water rights institutional change. Secondly, drawing the conclusion that river basin water-resource adaptive allocation mechanism is the best path of mechanism evolvement according to the principles of path dependence; illustrating the theoretical gist of mechanism choices scientifically companied with the CAS theory. Thirdly, defining the circumscription and meaning of adaptive allocation mechanism in the view of theory and work and illustrating the operating principles of mechanism which is formulated with public allocation and market allocation. On the above basis, operating and realizing of river basin water-resource adaptive allocation mechanism are looked on as a system, system models of adaptive allocation mechanism should be put up, including initial allocation of water rights and water rights trading based on CAS. Finally, validating the rationality and feasibility of adaptive allocation mechanism with the fact of the Yellow River basin and bringing forward the supervising and administering mechanism of river basin water rights allocation.更多还原