【作者】 陈磊；

【导师】 胡继连；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2008， 博士

【副题名】以黄河为例

【摘要】 水是人类生存的生命线。河水因河流具有分布广、水量大、循环周期最短、暴露在地表取用方便等优点,成为人类依赖的最主要的淡水水源。河水是我国工农业生产及居民生活用水的主要来源之一。但是,随着经济社会的发展,河水资源却面临短缺、污染及低效率利用的压力,同时存在水权冲突现象突出的问题,河水生态环境日益恶化。因此,研究河水资源的有效和可持续利用具有非常重要的价值和意义。本文从河水资源所具有的多功能角度出发,运用产权经济学、制度经济学、资源经济学、博弈论、西方经济学等理论知识,将其产权划分为:居民生活供水水权、农业灌溉水权、发电水权、工业用水水权、河水污染水权、航运水权、养殖水权、生态与景观水权(鉴于本人研究范围和水平所限,本文以黄河为例,没有对居民生活供水水权、发电水权、航运水权和养殖水权展开论述)。从河水水权的初始分配体系、实施体系、交易体系和管理保障体系四个方面构建了河水资源产权体系。本文对河水资源产权的管理与运作主要从以下四个方面展开,研究结论如下:(1)河水资源产权界定的成本与效率。水权的界定,从权利束角度,就是明确界定水资源的所有权、使用权、收益权和转让权,使得水权具有可分割性,水所有权和使用权分离。水权具有物品产权的特性,水权的界定程度要受到水权排他性费用和内部管理成本的双重制约。其中,水权的排他性成本,是指确立水资源排他性权力的过程中所耗费资源的投入成本。排他成本可分为界定成本和实施成本以及政府产权制度因素。水权的内部管理成本,是指水资源管理部门作出决策,采取行动时所耗费的成本。内部管理成本产生于共有问题,即当多个人或多个成员分享资源所有权或使用权时,对于可变的、个人拥有的投入的过度利用,集体需要加以约束会付出一定的成本。因此,水权的完全界定会面临极高的成本,水权也不可能被完整地界定。但是,水权界定明晰程度与水权界定效率之间存在一个转折点,该点是水权界定的最佳明晰程度(即本文水权界定明晰程度与效率关系图中的K*点),在该点的界定能够使得水权界定效率更为明显。本文对河水灌溉水权、工业水权、河水污染权、生态与景观水权的界定成本与效益进行了分析。(2)河水资源产权市场交易的两种组织形式——“水权交易所”与“水权银行”。随着河水资源越来越短缺,经济结构也逐渐发生变化,水权交易的频率会更高,涉及范围会更广,这就需要有一种具体的水权市场的组织载体或形式提供从事水权交易的场所,以减少交易的成本,并且为了满足对水资源的特殊需求,本文提出“水权交易所”和“水权银行”概念。“水权交易所”作为水权市场的有效组织形式和载体,能够使得对水权市场的研究围绕一个具体的载体展开,从而更加具有针对性和可操作性。“水权银行”的建立,能够弥补不愿意或不能通过“水权交易所”进行的水权交易的缺陷,也能够满足部分用水户对水资源机动、灵活需求的要求,从而实现对水资源的多渠道、灵活、有效利用。(3)以黄河为例,对河水资源的灌溉水权、工业水权、河水污染权、生态与景观水权进行章节分析。首先,对其水权界定成本与效益进行依次分析。其次,主要对以上水权参与水权市场交易进行分析。其中,灌溉水权与工业水权作为两大用水主体,是水权市场交易的主要构成部分。针对灌溉水权与工业水权特点,设计了“水权交易所”与“水权银行”构建与运作原理。并指出“水权交易所”是河水污染权的排污权交易市场的载体,也可以利用“水权银行”实现排污权的“储存”与“借贷”。另外,政府可以作为生态与景观水权的代言人通过“水权交易所”与“水权银行”参与市场交易,满足河水生态与景观用水要求和可持续发展。最后,结合黄河实例,对黄河灌溉水权、工业水权、生态与景观水权进行相应分析。(4)河水资源产权管理与运作相关政策建议。为实现河水资源的高效、合理配置,对其产权的管理和运作需从以下几点着手:①制度建设方面,完成水权的明晰界定与初始分配,提供水权转让的法律、制度保证,并加强水利基础设施建设。②监督管理方面,严格通过“水权交易所”与“水银行”发生水权交易的监管调控。③舆论环境方面,加强宣传,增加对河水水权的认识,充分发挥各级、各类型用水者协会的作用。更多还原

【Abstract】 Water is the human survival lifeline. Because the rivers distribute broadly, the water volume to be big, the cycle period is the shortest and exposes in the surface, and so on, the river water becomes most main fresh water source which the humanity relies on. The river water is one important source in our industry and agriculture production and in the resident living water. But with the development of economic, the river water resources actually faces the pressures of shortage, pollution and low-efficiency use, simultaneously the water rights conflict phenomenon is a serious problem, the river water ecological environment worsens day by day. Therefore, it has the great significance and importance to research on the river water resources’effective and sustainable use.Concerning the water resources’multi-purpose use, this article utilized the theoretical knowledges of property right economic, system economic,natural resource economics, game theory, western economic, and so on, and divided the water property rights as: the resident living water right, the agricultural irrigation water right, the electricity generation water right, the industy using water right, the water pollution right, the shipping water right, the aquiculture water right, the ecology and the landscape water rights (in view of my limits about study level, this article take Yellow River for example, not refer to the resident living water right, electricity generation water right, shipping water right and aquiculture water right).This article have constructed the river water resources property right system from four aspects of the river water rights’initial assignment system, the implementation system, the transaction system and the supervising and regulating system.This article research on the river water resources property rights’management and operation mainly from the following four aspects, the research conclusions are as follows:(1) The cost and efficiency of defining the river water resources property rights. The defining of the water rights, from the angle of bundle of rights, is to define the water rights’ownership, the right of use, the right of income and the right of exchage, enable the water rights have the divisibility, separation the ownership right and using right. The water rights have the goods property right characteristic, the degree of water rights defining must have the water rights exclusive expense and the internal management cost restrictions. The water rights exclusive cost refers to the invested cost that consume the resources in the process of establishment water resources exclusive authority. The exclusive cost is divided into the defining cost and the implementation cost as well as the government property system factor. The water rights internal management cost refers that the water resources control section to make the decision-making, take actions’cost. The internal management cost produces in public question, when many individuals or many members share the resources property rights, regarding the investment excessive use which is invariable, the collectivity needing to perform to restrain can pay certain cost. Therefore, the water rights complete defining can face the extremely high cost, however, the water rights is impossible to define completely. But, between the degree and the efficiency of water rights defining has a turning point, this spot is the best defined degree of water rights defining (i.e. K* spot in the graph of degree and efficiency of water rights defining), which can cause the water rights defining efficiency to be more obvious. This article analysize the defining cost and benefit of the river water irrigation water rights, the industry water rights, the river water pollution power, the ecology and the landscape water rights.(2) The two kind organizations of river water property rights market transaction - -“Water Rights Exchange”and“Water Rights Bank”. With the river water resources getting more and more short and the economic structure gradually change, the water rights transaction frequency will be higher and the involving scope will be broader, all these need to having one kind of certain water rights markets organization form or the body to provide the water rights transaction place, which will reduce the transaction cost, and to satisfy the water resources’s special demand, so this article proposed the concepts of“Water Rights Exchange”and“Water Rights Bank”. As the effective organizational form and body to develop and optimize our country’s water rights markets, the“Water Rights Exchange”can cause the research to the water rights markets regarding a certain body, making the transaction easier. The establishment of“Water Rights Bank”, can make up the flaws that unwill or can not adopt the“Water Rights Exchange”to transaction, can also satisfy the needs that partial water used household have the demand of mobile and flexible to the water resources, thus realizes the water resources’multi-channel, flexible and the effective use.(3) Taking Yellow River for example, analyse the river water’s irrigation water rights, the industry water rights, the river water pollution rights, and the ecology landscape water rights. Firstly, analyzes the cost and the benefit of water rights defining in turn. Secondly, mainly analyzes the above water rights which participated in the water rights markets transaction. And, the irrigation water rights and the industry water rights are two big water use bodies, which composed most part of water rights markets transaction. In view of the characteristic of irrigation water rights and the industry water rights, this article has designed the construction and the operation principle of the“Water Rights Exchange”and the“Water Rights Bank”. This article also pointed out that the“Water Rights Exchange”is a form of the river water pollution rights’trading market, and the“Water Rights Bank”can realize the pollution rights’“storage”and“debit”. Moreover, the government as the ecology and the landscape water rights spokesman may use the“Water Rights Exchange”and the“Water Rights Bank”participates the market transaction, satisfing the requests of ecology and the landscape river water use and the need of sustainable development. Finally, taking the Yellow River for example, this article analyse the Yellow River irrigation water rights, the industry water rights, the ecology and the landscape water rights correspondingly.(4) Policy and suggestion of river water property rights management and operation.In order to realize the river water resources effective and reasonable distribution, we should take measures from the following aspects:①The system construction aspect, completes the water rights defining and the initial distribution, provides the law and the system guarantee to the water rights transfer and strengthens the construction of water infrastructural facilities.②The supervising and regulating aspect, strictly supervise the water rights transaction in the“Water Rights Exchange”and the“Water Bank”.③The public opinion environment aspect, strengthens the propaganda, increases the understanding to the river water rights, make full use of all levels and all various types water use association.更多还原