【作者】 葛颜祥；

【导师】 胡继连；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2003， 博士

【摘要】 长期以来，我国政府在解决水资源短缺问题上一直采用供给管理的策略，其对策主要以工程技术为主，如开发地下水、南水北调等。从目前我国缺水地区的情况来看，这种技术策略已受到了水资源储备的约束，人们不得不把目光转向需求管理。从需求层面上来看，造成目前水资源短缺的原因是各经济主体对水资源的过量引用和大量浪费所致。因此，解决水资源短缺的另一思路就是要对人类利用水资源的活动进行适当的约束，其核心是通过一种恰当的制度安排形成节约用水的激励机制和避免水资源浪费的约束机制，引导用水主体提高水资源的利用率。可交易水权制度把市场机制引入到水资源的配置过程中，利用市场的力量形成节水激励机制和用水约束机制，是解决这一问题很好的制度选择。本论文的研究目的是从理论上廓清水权市场的基本构造和运作原理，提出完善的水权市场的组织机构、交易体系、法律法规体系、信息体系、监管体系和调控体系，给出了水权市场的管理框架。本论文还利用定量分析的方法探讨了水权市场对于农用水资源优化配置的作用，提出了颇具新意农用水期权配置思想。并将水权市场应用到河流、水库和地下水的农用水资源配置中，形成具有实际应用价值和可操作性的相关经济政策，为实现农用水资源的有效利用提供指导。全文共分为如下五大部分： (1)水资源危机与水资源管理思路的调整。造成目前水资源短缺的深层次的原因是现行的水权制度的结构性缺陷。由于水资源产权(即水权)不清，经济主体视水资源为可自由取用公共资源，由此导致水资源的过量引用和巨大浪费。因此，如果不对我国现行的水权制度进行根本的变革，仅仅靠提高人们的节水意识和扩大有限的水资源供给不可能从根本上解决目前的水资源利用效率低下问题。为此，首先要改变水资源管理思路，将水资源管理从供给管理转向需求管理，从资源化管理转向资产化管理。本文还论述了“南水北调”对于解决水资源短缺的作用问题，认为南水北调不能从根本上解决北方地区水资源短缺问题。假如允许水权交易的存在，北调之水只能成为“备用轮胎”。针对水资源配置过程中的“外部性”和“公共资源”问题，提出采用市场机制解决这一问题的思路。 (2)水权与水权制度。基于我国现行水资源管理的缺陷以及国外成功的水权制度，从产权经济学角度提出引入水权管理制度。首先界定了水权这一权利束的内涵，指出使用权、经营权是实际水权的主体，也是水权交易的主要对象。同时对河岸权、优先占用权、公共水权等水权制度进行了分析和比较，并提出了可交易水权制度在我国的适用性，并依此作为整篇论文的主旨。在竞争性水权制度下，水资源的条件、地区和行业不同，水权分配的模式不同。针对不同的条件，水权分配可以采用“人口分配模式”、“面积分配模式”、“产值分配模式”、“混合分配模式”、“现状分配模式”和“市场分配模式”等，并对这些分配模式进行了比较。 (3)水权市场构造、运作与管理。水权明晰可以有效防止用水主体对水资源的过——量引用，但真正能够提高水资源利用率的制度安排还要具备产权（水权）的可交易性。只有水权是可交易的，才能引导用水户在用水和卖水（买水）之间作出相应的诀策，利用市场的力量推动用水户提高用水效率，从而形成一种节约用水的激励机制。从结构上来分，水权市场可分为一级市场和二级市场。其中一级市场又称水权批售市场，所进行的是政府与用水户之间水权的初始分配；二级市场是水权交易市场，所进行的是用水户之间的二次水权交易。本文以产权市场理论为指导，参照国内外水权交易市场的理论及实践，对水权交易市场的组织体系和水权市场的管理进行研究，探讨水权网上交易系统的建设，同时讨论相关的水权交易案例，指出决定水权市场（主要指水权转让市场）发育情况的主要因素是水权界定的清晰程度、水权收益的稳定程度和水权转让费用的高低等。由于长期（永久性）水权交易的产权关系更复杂（更不容易界定清楚工长期水权的预期收益更不稳定、交易费用更高，因此，与短期水权市场的发育情况相比较，长期水权市场的发育相对更慢。 （4）利用水权市场配置农用水资源。在我国的用水总量中，农业（灌溉）用水所占比重达70％以上。目前，我国大部分农业生产用水的配置却仍然沿用着计划经济时期形成的无偿或低偿用水模式，导致水的利用效率低，浪费严重。农用水资源存在巨大的节水空间，缺乏的只是有效的节水机制。只要通过合理的制度设计，给农户以适当的节水激励，就可以改善农户的用水行为，节约大量的农用水。研究水权市场，尝试应用水权市场来优化农用水资源配置，是一种可供选择的改革途径。为了进一步改善用水效率，给用水农户以更大的自主权，可以实行可交易水权制度。也就是说，农户对于农用水权，既可以选择自用，也可以按照市场价格在水权交易市场上进行水权转让，那种方式给农户带来的收益大，农户就选择那种方式。这样，农户对水资源的评价以市场价格为标准，水权交易价格越高，农户的节水力度越大。反过来，农户节水力度的加大，水权?更多还原

【Abstract】 For a long time, our government always adopts the tactics of supply management on solving the problem of the water shortage. Its countermeasures mainly rely oh engineering technology, for instance developing groundwater, south-to-north water diversion, etc. According to situation of the area of our country shortage of water at present, such technological tactics have already received the restriction of the reserve of water resources. People have to turn sight to the management of demand. From the views of demand, it’s every economic subject excessive quote and waste a large amount of water that result in the water shortage, at present. So solving water shortage another train of thought is properly restrict. Its core is that the water-saving incentive mechanism and the restriction mechanism of the water resources are formed by a kind of appropriate institutional arrangements. The market mechanism is introduced to the course of the water resources allocation by tradable system of water rights. Utilizing the strength on the market forming the water-saving incentive mechanism and restriction mechanism of water resources is a very good system choice to resolve the problem. The research purpose of this text theoretically make clear the essential structure and operation principle of water market, put forward perfect water rights organization, tradeable system, laws and regulations system, information system, supervisory system and adjusting and control the system of market. Give the management frame of water market on the function of rational allocation of agricultural water resources; have proposed quite new thought on the distribution of agricultural water rights. Using water market in the allocation of river, reservoir, and groundwater it offer guide for realizing agricultural water resources utilization. The full text is divided into the following five major parts altogether:(1) Adjustment of the train of thought of water resources management and the crisis of water resources. Currently the profound reason cause the water shortage is the right structural defect of system at present. Because the property right of water resources (namely water rights) is unclear, the economic subjects regard the water resources as the public resources taken freely. Therefore the water resources is quoted and wasted excessively. So if the current water rights system won’t be basic reformed in our country. Only improving consciousness of saving water and expanding limited water resources supply is impossible to solve the problem of water resources utilization inefficiency at present. For this reason, firstly we should change train of thought of water resources management, transfer demand management to supply management of water resources, change from the resources into the assets management. About the issue of function of "south-to-North water diversion", thistext think South-to-North water diversion can’t solve the problem of northern water shortage fundamentally. If water rights trade is allowed existence, water transferred to the north can only become "the spare tyre". In allusion to the "externality" and "public resources" problem of water resources allocation, the thesis propose adopting the train of thought of the market mechanism to solves it.(2) Water rights and water rights system. On the basis of the defect of current water resources management in our country and the success of water rights system in foreign counties, we introduce the water rights management system in terms of property right economics. Define the intension of bunch right (water rights), point out the usufruct is the subject of water rights and the main target of water rights trade too. At the same time the water system, such as riparian ownership, prior right-, public water right, is analyzed and compared and has proposed the suitability Trading Water rights in our country. This is the main topic in the whole thesis. Under the water rights system of competitiveness, the condition, area and vocation of water resources are different. Aiming at diffe更多还原