【作者】 刘涛；

【导师】 曲福田；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2009， 博士

【摘要】 中国面临着严重的水短缺问题,尤其是西北干旱半干旱地区。我国淡水资源总量占全球水资源的6%,但人均占有量仅为世界平均水平的1／4、美国的1／5,在世界上名列121位,是全球13个人均水资源最贫乏的国家之一。在开源受到限制的情况下,如何通过节流来缓解水短缺,保障农业可持续发展,已经是一个迫在眉睫的问题。迄今为止,有关农田灌溉节水的研究可谓汗牛充栋。农户层面的研究主要集中在农户灌溉水价的支付意愿,灌溉水价对农户水资源利用行为的影响,农户水资源利用效率以及农户节水灌溉技术的选择等方面。小型农田水利工程治理的研究主要集中在目前小型农田水利工程面临的困境以及世行倡导的SIDD模式上。制度建设的研究主要集中在水权制度和农业水资源管理体制等方面。但是以往的研究很少涉及如何整合政府、农民组织及农户三方面的力量,提高水资源利用效率,实现用水管理的节水、输配水系统的节水以及农业节水增收。本研究将在前人已有研究的基础上对农田灌溉节水进行系统的研究和分析,为解决我国干旱地区的水短缺提供一种新的治理方略。全文是按照“分析框架—理论模型—实证模型”的逻辑结构来进行分析,构建了三层次的农田灌溉节水分析框架,即如何充分发挥农户、村庄和政府在农田灌溉节水中的作用,通过各个参与者的共同努力实现农田灌溉节水。论文主体的第一部分首先测算了不同农户水资源利用效率及其影响因素,研究结果表明：农户的灌溉用水效率远远低于农户的生产技术效率。275个农户的平均灌溉用水效率为22.5%,说明在其他投入保持不变的情况下,达到目前小麦产量可以减少77.5%的灌溉用水,说明2007年民乐县农户水资源利用效率普遍很低,农业灌溉节水的潜力较大。影响因素的研究结果表明：区位变量对不同农户水资源利用效率的影响为负,表明海拔越高,农户用水量越少,其水资源利用效率越高。因为随着海拔的升高,该地区的气温越低,水资源蒸发量越少,依靠灌溉补充水量就越少,故三类地区农户的水资源利用效率最高。水从计时开始到灌溉农田的时间对农户水资源利用效率的影响为负,表明地块距离量水设施的距离越远,水资源的非生产性损失越大,农户水资源利用效率越低。土壤肥力对农户水资源利用效率的影响为负,表明农户为了保证高质量土地的稳产高产,投入了更多的水资源。故而,土壤肥力越高的土地,其水资源利用效率越低。水权面积占水浇地面积比重对不同农户水资源利用效率的影响为负,表明水资源短缺程度越高的农户,其节水的动力就越足,水资源利用效率就越高。水价对农户水资源利用效率的影响不显著,因为被调研农户局限在一个县域范围内,不同农户之间缴纳的水费差距不大,缺乏可比性。非农就业对农户水资源利用效率的影响并不显著。这可能是因为随着水利设施的不断完善,以前需要大量成年男劳动力负责的灌水活动,现在妇女和老人就可以完成,大大减小了对成年劳动力外出务工的限制。然后运用C-D生产函数测算了不同农作物的水资源边际产品价值。研究结果表明：在保持其他投入不变的情况下,每增加1m3水资源的投入,胡麻、克新土豆、油菜、大麦、玉米的边际产品价值为正,其中胡麻的水资源边际产品价值最高；小麦和大蒜的边际产品价值为负,也就是说小麦和大蒜的水资源投入已经过量。论文主体的第二部分探讨了如何在村庄层面形成有效的集体行动来兴建和维护渠系,减少渗漏与蒸发,提高渠系水资源利用效率。根据奥斯特诺姆和威廉姆森的相关理论研究发现：在井灌区,小型农田水利工程的产权容易被私有化,交易成本较低,市场治理是实现小型农田水利工程投资的最佳治理结构；而在渠灌区,小型农田水利工程归村庄范围内的农户集体所有,不具有使用上的排他性,自主治理是村庄小型农田水利工程的最佳治理结构。而大型灌区和大型水利枢纽工程由国家进行投资,政府的投入能够克服农户或者其他主体搭便车的行为,最佳治理结构为层级制。集体行动的结果直接体现在对小型农田水利工程的投资上。因此,本文运用Tobit模型和Probit模型对35个村庄小型农田水利工程投资的影响因素进行了研究,研究结果表明：在固定工资模式下,村庄主要管水领导拥有的显性激励比较低,为了寻求连任的隐性激励是促使其更好地为村民提供灌溉服务的动力来源。民主选举、政府投资都能有效促进农民形成集体行动,加大对小型农田水利工程的投资。因此,需要推广农民直接选举村庄主要管水领导。论文主体的第三部分讨论了正式制度建设对农田灌溉节水的影响。研究发现：农户之间的水权流转受到时间和空间两个因素的限制,这不仅制约了水权流转规模的扩张,而且使水权交易价格维持在一个较低的水平上。水权的行政调整使农民只需要向水资源管理机构进行“寻租”就能获得水资源,且多年水权行政调整使农民形成水权行政调整的预期,也为灌区管理机构利用信息优势和配水权进行寻租。在向其他区域无偿供水的情况下,鼓励农户节约用水对追求自身利益最大化的灌区而言,没有任何收益或带来的收益不足抵偿其为节水而付出的成本,灌区缺乏节约保护水资源的内在动力和激励机制,作为理性的“经济人”自然不会鼓励农户节约用水,其结果是灌区变相的鼓励农户多用水,使得水资源短缺与严重浪费并存。当向下游供水的水权交易价格低于农业水价,则灌区管理机构愿意在满足本灌区农户用水需求的基础上,将节余的水量卖给下游的农户；如果水权交易价格高于农业水价,则灌区会鼓励农户节约用水,节约更多的水卖给下游,但如果缺乏农户对灌区管理机构的监督,灌区可能侵犯农民的用水权益。基于上述研究成果,我们可以得到以下几点政策启示：(1)把提高水资源利用效率,挖掘节水潜力作为实现农田灌溉节水的一条重要途径。紧紧围绕农业结构调整,选择节水高效型作物,提高单位水资源的产值,实现农田灌溉节水与农民增收的“双赢”；(2)大力调整农业种植结构,建立节水型农业种植体系,大力发展低耗水、市场竞争力强和经济价值高的农产品,通过发展节水型现代农业,充分发挥西北地区土地资源的比较优势,破解缺水难题,实现西北地区水土资源的协调发展；(3)进一步推进村庄主要管水领导的直接选举,而不是注重用水者协会这种形式；加强政府对小型农田水利工程的财政扶持力度,扩大扶持范围；加强对主要管水领导的培训,提高其领导能力；加大节水宣传教育力度,提高水资源丰富地区村庄的节水意识；(4)中共中央把加强水利基础设施建设作为应对国际金融危机、扩大国内需求、保持经济平稳较快发展的重要举措,把增加水利投入作为安排新增建设资金的重点领域。因此,水利管理部门要以此为契机,紧紧围绕十大产业振兴规划,弥补水利投资的历史欠账,确保水利工程的投资落到实处,尤其是处于最薄弱地位的小型农田水利工程；(5)通过制度建设,促进农田灌溉节水的发展。明晰初始水权的分配,建立农户和灌区两套水权流转体系,鼓励农户和灌区将节余水量进行交易。通过水市场,使农户和灌区管理机构切实感受到发展节水农业有利可图,使其从被动节水向主动节水转变,提高其自觉参与节水的积极性。允许灌区之间进行水权交易,实现流域水资源统一调度和管理。但是灌区之间的水权交易,要防止灌区管理机构利用手中的信息优势权和水资源的配置权去“寻租”。因此,政府在促进水市场发育的同时,还应该运用法规、制度和政策(如保障灌区农民的原有灌溉权益不受侵害,只有在水资源拥有绝对剩余的情况下灌区才能进行水权交易)等手段来引导水市场的发育,促进其健康发展,防止灌区管理机构侵犯农户的灌溉水权。更多还原

【Abstract】 China faces the serious water shortage problem; especially in the Northwest semi-arid and arid region. The ratio of the China’s water resource to the world’s resource is 6%, but the average water resource to the world’s average level is just 1/4, America’s 1/5, the number is 121, is one of the 13th world’s water prooest country in the world.With water resources is limited, how to reduce water (water-saving irrigation) to relieve water shortage and ensure agricultural sustainable development, it is already an extremely urgent problem.Up until now, massive literature has explored the research about the agricultural water-saving irrigation. The research of the farmer level is about the payment desire, faermer’s water use efficiency and farmer’s irrigation skill selection and so on. The research about the small-scale irrigation works governance is the jam and the SIDD mode. The research about the institution construction is concentrated on water right and water resource management. But the former research is a fat lot talk about how to conform the government, farmer group and farmer’s force to enhance the water use efficiency, realize the water management’s water saving, transportation system’ water saving and increase income with water saving.This research will analyze the water saving irrigation based on the exist literature, promote the development of agricultural water-saving irrigation of our country, offer a new kind of plan to governance water shortage.The major analysis structure which guides the whole thesis is called analysis framework-theoretical model-empirical model. Construct Polycentric Governance structure of the agricultural water-saving irrigation, how to exert peasant household, village and government’s role in agricultural water-saving irrigation, realize the agricultural water-saving irrigation together through the efforts of each participant.The first part of the thesis examines different peasant household’s water resources use efficiency and influence factor, the result shows that:peasant household’s irrigation water use efficiency is lower than farmer’s production technology efficiency. The 275 peasant households’s average irrigation water use efficiency is 22.5%, on condition that keep other input fixed, reach the actual wheat output can reduce 77.5% irrigation water at present, prove that peasant household’s water resource use efficiency is very low in 2007, the potentiality of the agricultural water-saving irrigation is relatively great. The result of the influence factor shows that:The position variable have negative impact on peasant household’s water resources use efficiency, the higher altitude, the less water consumption, the higher water resource use efficiency. Because with the rising altitude, the temperature is become lower, the lower water resource evaporation, the land that depend on irrigating supplement is less, so the peasant households’water resources in the third region is the most effective. The time from timing to irrigating the farmland of water have a negative impact on peasant household’s water resource use efficiency, indicate the farther from the third level canal, the greater unproductive losses of the water resource are, the lower water resource use efficiency is. The land fertility have a negative impact on peasant household’s water resource use efficiency, shows that in order to safeguard the high and stable yields, therefore they input more water resources, prevent the reduction of output. So, the land with the higher fertility, the lower the water resource use efficiency is. Water use right area have a negative impact on the peasant household’s water resources use efficiency, shows that the peasant households with higher water shortage, the higher the water resource use efficiency is. Water price is not prominent, because the peasant households surveyed and studied are in the same county, the disparity of the water price they paid between different peasant households is not big, lack of comparativity. The impact on peasant household’s water resource use efficiency of non-agricultural employment is not prominent. This may be because with the constant completion of the water conservancy projects, the men workforce’s who responsible for pouring water needed a large number of grew up in the past, women and the old man can finish now, narrowing the restriction of the younger labour force go out. Then examine the water resources marginal physical products value of different crops. The result of study shows that:On condition that keep other input fixed, increasing 1m3 water resource each time, flax, Kexin potatoes, rape, barley, maize’s marginal physical products value is plus; wheat and garlic is negative, that is to say wheat and garlic’s water resource input is already excessive use.The second part of the thesis discuss how to form valid collective action, build and maintain the canal in village, reduce seepage and evaporation, enhance the water resource use efficiency. According to the Ostrom and Williamson’s theory, discover that in the well irrigation area, small-scale irrigation works property right can easily benn privated, the transaction cost is relatively low, it is the best administration structure of realizing small-scale irrigation works investment with the market governance; On the irrigated area of canal, small-scale farmland irrigation works belong to collective of peasant household of the whole village, do not have exclusion, control the best control mode that is the small-scale farmland irrigation works in the village independently. And large-scale irrigated area and large-scale water control project are made the investment by the country, the input of the government can overcome the behavior that peasant households or other main bodies hitchhike, the best control mode is made for the level. Take action result reflect in build and maintain canal at the investment of the department directly collectively. So, this text has carried on research to the influence factor of small-scale farmland irrigation works investment of 35 villages, the result of study shows:Under the mode of regular earnings, the village is mainly in charge of the dominant lower encouragement that water leader has, recessiveness in order to seek to be reappointed is encouraged to impel its motive force source of offering service of irrigating for villagers better. Democratic election, government’s investment can promote peasants to form in the collective to take action effectively, strengthen the investment in small-scale farmland irrigation works. So, need to popularize peasant’s direct election of the water management leader.The third part talks about the impact of the institution construction on the agricultural water-saving irrigation. Discover that:Water right transaction between peasant households is limited by two factors, time and space; this has not only restrained water use right transaction scale, but also make the water transfer price at a lower level. Water use right administration adjustment makes peasants only need to "Seek for rent", then they can get the water resource, and it has made peasants form the expectancy that water right administration adjustment for many years, utilize the information advantage and dispose water right to "seek for rent" for the management organization of irrigated area too. In a situation that supply water to other areas for free, encourage peasant households to save the water for that irrigated area pursuing one’s own interests and maximizing, no income or income that brings is not enough to buck its cost, the irrigated area lacks the inherent motive force which protects the water resource and have no incentive to save water, the ones that are regarded as "Economic man", will not encourage peasant households to save the water naturally, its result is that the irrigation management bureau encourage the peasant household’s using more water, that makes the water resource shortage coexist with wasting seriously. If the tradble water price is lower than agricultural water price, irrigation bureau would like to sell the water to other area after fulfill the local farmers’ water demand; If the tradble water price is higher than agricultural water price, irrigation bureau would like to encourage local peasant household save water, then save more water to sell to other areas, but if there is no restriction to the irrigation management bureau, they may infringe peasants’ rights and interests.Based on the above research results, the policy implication is as follows:(1) Enhance water resource use efficiency as a core of the water sustainable development strategy, through strengthening the water conservancy degree; excavate water-saving potentiality as an important way to realize agricultural water-saving irrigation. Centre on the agricultural structure and adjustment, choosing the high-efficient type crop, improve the output value per unit water resource, realized "The Two-win" between agricultural water-conservation and increased income; (2) Adjust the agricultural pattern of farming in a more cost-effective manner, set up water-saving agriculture and plant the system, develop low waterconsumption, agricultural product with strong and with costly economy competitiveness on the market in a more cost-effective manner, through developing water-saving modern agriculture, give full play to the comparative advantage of the land resource in the Northwest, analyse and explain the difficult problem of the lack of water, realize the coordinated development between the water resource and land resource in the northwestern area; (3) Further push into the direct election of the village leader who is mainly in charge of water, but not only just this kind of water user association; Strengthen the financial support to small-scale farmland irrigation works; Strengthen the training of the major leader, improve its leading ability; Strengthen water-saving propagation and education, improve the consciousness of saving water in the water resource rich regional village; (4) The Central Committee of the Communist Party of China should regard strengthening the basic construction of facilities of water conservancy as a way to resist the international financial crisis, expand domestic demand, keep the economy comparatively grow fast. Therefore, the administrative department of water conservancy should regard this as the opportunity, centre on ten major industries to revitalize and plan firmly, remedy the historical debt of the water conservancy investment, guarantee the investment of the irrigation works, especially in small-scale farmland irrigation works; (5) Through the institutional improvement, promote the development of agricultural water-saving irrigation, let the initial water right perspicuous, set up peasant household and irrigated area water use right, encourage the rest water transfer, make peasant households and the irrigated area management organization experience conscientiously that it is lucrative to develop water-saving agriculture, make it improve its enthusiasm participating in water-saving consciously, from passively to voluntarily. Allow the water use right transfer between different irrigation area, realize the the water resource management unified. But the water use right trade between irrigated area, want, prevent irrigated area management organization from utilize information advantage right and disposition right of water resource of hand go "Seek the Rent". So, the country should also pass and use the regulation and policy while promoting the development of the water market, (such as ensuring the basic irrigation benefit of the peasants of the original irrigated area not to be encroached, only in a situation that the water resource absolutely remains the irrigated area could carry on right trade of water) guide the development of water market correctly, protect the healthy development, prevent the management organization infringing peasant households’irrigation water use right.更多还原