【作者】 陈丹；

【导师】 陈菁； 顾强生；

【作者基本信息】 河海大学 ， 农业水土工程， 2007， 博士

【摘要】 提高农业用水的利用率和水分生产效率是我国未来农业和社会经济发展的必然要求。水价政策作为水资源管理的重要手段，具有其他机制所不能替代的功能。农民是灌溉水价的承受主体，其承受能力是水价改革与政策制定中必须考虑的重要因素。本文以南方季节性缺水灌区灌溉水价与农民承受能力为研究对象，主要从灌溉成本水价的合理性、农民对灌溉水价的承受能力和灌溉水价改革的利益相关者分析三个方面进行了深入研究。本文的主要研究内容及结论如下：(1)采用外部性、生态系统服务和农业多功能性理论，分析了灌排系统和灌溉农田生态系统的外部效益，探讨了灌溉供水服务和灌溉农业的正外部性，及其影响和内部化方法，以此研究灌溉成本水价的合理性问题。研究表明，灌溉供水服务和灌溉农业是具有显著正外部性的生产活动，水利灌排设施和农业基础设施均具有公共物品特征，灌区管理单位应定性为准公益性的事业单位。灌溉水价政策的制定需充分考虑灌溉供水服务和灌溉农业正外部性的影响，农民用水户对灌溉水价的承受能力是水价改革与政策制定中必须考虑的重要因素。(2)从农民经济和心理两个主要方面研究农民对灌溉水价的承受能力，表现为支付能力(Ability To Pay，ATP)和支付意愿(Willingness To Pay，WTP)，农民同时具有支付能力和支付意愿是灌溉水价改革顺利进行的基础。研究提出了农民对灌溉水价支付能力的定量研究方法，包括支付能力水平界定的ELES模型(Extended Linear Expenditure System)、支付能力综合评价的因子分析方法和灌溉水价标准调整的动态分析方法。五岸灌区对灌溉水价“无支付能力”的农户占6.1％，“有一定支付能力”的农户占9.7％，“有支付能力”的农户占84.2％，不同支付能力组农户的水稻生产投入和产出构成具有一定的差异，但对现状水费支出而言无显著性差异，且未超出农民经济承受能力，不同支付能力组农户表现有一定的提价空间。(3)主观支付意愿是客观支付能力的体现，从农民心理承受能力角度出发，提出了“农民对灌溉水价支付意愿评估的CVM(Contingent Valuation Method)”，主要包括前期准备与理论假设、调查问卷与调查实施过程的设计、CVM调查和数据处理等基本步骤。五岸灌区农户二分式与开放式的问卷调查结果显示，大部分农民对十支渠改造工程表示赞成，但对工程的质量与服务要求较高，改造后试运行阶段的机械提水水价标准的合理范围为35～40元／亩。(4)提出采用PRA(Participatory Rural Appraisal)对CVM方法进行改进和完善的思路，研究提出了“农民对灌溉水价支付意愿评估的PR-CVM(Participatory Rural-Contingent Valuation Method)”，该方法主要是一种研究思路和框架，在实践中如何灵活运用是关键。优选支付卡式问题格式作为五岸灌区PR-CVM实证研究的WTP引导技术，农民对灌溉水价的支付意愿为36.03～64.01元／亩，农民认为目前合理的价格标准位于此范围之内，平均值为39.15元／亩，ATP与WTP之间不存在显著的一致性规律，不同ATP组农民的WTP投标值之间无显著性差异。(5)从利益相关者的角度，对灌溉水价改革与管理的相关问题进行了研究。研究表明，采用“自下而上”的行动策略进行发动、参与和设计，在不同利益相关者之间建立一个合理的利益协调、分配和补偿机制，是灌溉水价改革顺利进行的基础。主要利益相关者对灌溉水价改革的发展具有不同程度的影响，而起决定性作用是用水农户和灌溉供水经营者这两个最关键的利益相关群体。用水户参与灌溉管理是灌溉水价和灌溉管理体制改革的优选模式。依靠内部优势、克服内部劣势、利用外部机会、回避外部威胁，制定灌区相应的发展策略，不仅是灌区管理体制改革的基础，而且是灌溉水价改革顺利进行的保障。更多还原

【Abstract】 It is the inevitable requirement of the development of the future agriculture and social economy to increase the utilization rate and productive efficiency of agricultural water resources in China. As an important measure of water resources management, water price policy has some irreplaceable functions to other mechanisms. Farmer is the main bearing party of irrigation water price, and the bearing capacity is the important factor which must be considered in the progress of water price reform and policy formulation. Taking irrigation water price and farmer’s bearing capacity of Seasonal Shortage of Water in South Irrigation District as the study object, the rationality of irrigation water cost, the farmer’s bearing capacity and the stakeholders’ analysis in the reform are mainly studied. The main contents and conclusions are as follows:(1) Based on the theories such as externalities, ecosystem service and agricultural multifunctionality, the external effects of irrigation and drainage system and irrigated farmland ecosystem were analyzed, the positive externalities of irrigation water supply service and irrigation farming were discussed, and the influences and internalization methods of the said externalities are analyzed. Based on these aspects, rationality of irrigation water cost is studies. Results show that irrigation water supply service and the irrigation farming are productive activities with significant positive externalities, irrigation and drainage installations and agricultural infrastructure are with the characteristics of public goods, and the irrigation district management units should be defined as standard public institutions. The establishment of irrigation water price need full consideration of the influences which are made by the positive externalities of irrigation water supply service and irrigation farming, and fanner’s bearing capacity of irrigation water price is the important factor which must be considered during the reform and the policy formulation.(2) The project of "farmer’s bearing capacity of irrigation water price" is studied from the two aspects of farmer’s economic and psychological factors, which represent farmer’s ATP (Ability To Pay) and WTP (Willingness To Pay). The reform can be carried on successfully only on the condition that farmer has ATP and WTP simultaneously. A set of quantitative investigation methods of farmer’s ATP are put forward, mainly including ELES (Extended Linear Expenditure System) model of ATP level classification, factor analysis method of synthetically evaluation of ATP and dynamic analysis method of the adjustment of irrigation water price standard. In Wu’an Irrigation District, there are 6.1% farm-households with "no ATP" for annual irrigation water price, 9.7% with "somewhat ATP" and 84.2% with ATP, the structures of invests and outputs to paddy have certain differences to farm-households group with different ATP but the disbursements of present water fee have no significant difference. The current water fee has not surpassed farmer’s economy bearing capacity, and all groups with different ATP have the certain spaces to raises the price.(3) The subjective WTP is the reflection of the external ATP, and the CVM (Contingent Valuation Method) of evaluating the farmers’ WTP for agricultural water price is put forward, which mainly includes following several steps: the earlier period preparation and the theory supposition, the questionnaire and the investigation implementation process design, the CVM investigation and the data processing and so on. The dichotomous-choice and open-ended questions survey results of Wu’an Irrigation District show that majority of farmers approved to the tenth branch canal transformations projects but with high request to the project quality and the services. After the transformation, the reasonable water fee standard scope is 35-40 Yuan/Mu.(4) Based on the idea of unifying the thought and method of PRA (Participatory Rural Appraisal) into the CVM study, the PR-CVM (Participatory Rural-Contingent Valuation Method) of evaluating the farmers’ WTP for agricultural water price is put forward. PR-CVM is mainly a kind of study mentality and frame, and how to utilize it flexibly in practice is the key. The payment card type question is optimized as the WTP guidance technology of the application of PR-CVM in the Wu’an Irrigation District. The farmers’ WTP for agricultural water price is 36.03-64.01 Yuan/Mu, which is considered by the fanners as the reasonable price standard scope at present with the mean value of 39.15 Yuan/Mu. The ATP and WTP does not have remarkable uniform rule and different ATP group farmer’s WTP bids don’t have the remarkable differences.(5) From the aspect of stakeholder, the projects of irrigation water price reform and management are studied. Though carrying on launching, participation and design with the motion strategy of "from bottom to top", establishing a reasonable mechanism of interest correlation, assigns and compensates between different stakeholders is the foundation of irrigation water price reform implement The main stakeholders have different influences on the irrigation water price reform development, but the two most essential stakeholders of the farmer water users and the irrigation water supply operators take the vital places. Participatory irrigation management (PIM) is the optimal pattern in the irrigation water price reform and the irrigation management reform. Depending on interior strengths, overcoming internal weaknesses, using exterior opportunities, avoiding exterior threats, formulating corresponding development strategy of irrigation area is not only the foundation of irrigation management reform, but also the key of irrigation water price reform implement更多还原