【作者】 郭善民；

【导师】 王荣；

【作者基本信息】 南京农业大学 ， 农业经济管理， 2004， 博士

【摘要】 面对日益严峻的水资源短缺形势，如何解决水资源尤其是农用水资源短缺问题已引起了国际社会的广泛关注。解决水资源短缺的传统方式往往是借助于工程与技术手段，然而，随着新建工程的难度不断加大，依靠工程技术手段解决水资源短缺的问题遇到了挑战，而事实上水资源管理不善也是导致水资源短缺的重要原因。于是，改善水资源管理逐渐被提上了议事日程。 由于水资源与相关的设施是难以细化分割的公共物品，而且又与基本的生活、生产息息相关，完全交由市场调控存在着困难，也存在着风险。因此，政府的放权、适度的市场化与民间组织参与就成了一种广受欢迎的方式。自20世纪80年代以来，随着政府管理的灌溉系统效率低下与政府财政负担的不断加剧，世界上涌起了一股将灌溉系统的管理权由政府机构移交给农民用水者协会或其他非政府组织的热潮，我国在20世纪90年代中期也开始在灌区改革中实施这种模式。 本文以制度经济学相关理论为依据，以灌溉管理制度变革为研究对象，运用比较研究方法、规范分析和实证分析相结合的方法，首先考察了灌溉管理制度改革的过程与原因，接着分析了影响用水者协会有效性的因素，探讨了灌溉水价改革及其面临的制约，然后重点研究了灌溉管理制度改革的实施过程和结果，并系统总结了国外参与灌溉管理经验教训，最后就有效推进灌溉管理制度的变革提出了政策建议。 本研究的主要目标是为了检验灌溉管理制度改革的结果，分析用水者协会与水价改革的可能影响，找出制约参与式灌溉管理制度变革的因素。因此，研究的结果对于制定相应的灌溉管理政策，更好地推进灌溉管理制度的变革、促进灌溉水的合理利用和灌区的可持续发展不仅具有重要的理论意义，而且也具有十分重要的现实意义。 在参与式灌溉管理制度改革过程中，强有力的用水者协会是改革成功至关重要的方面。但用水者协会在何种条件下才能影响灌溉系统的绩效、用水者协会自身如何持续发展，这方面的研究并不多见。本研究通过建立相应的分析框架，系统分析了影响用水者协会有效发挥作用以及协会本身可持续性的条件。农民用水者协会作用的有效发挥与持续发展受多种内部与外部因素的影响，这些因素通过影响用水者协会或直接影响灌溉效果。外部因素主要包括:灌溉系统的自然与技术方面、社会与经济方面、影响用水者协会与灌溉系统的政府政策和治理方面。内部因素主要有:用水者协会的建立方式及时间、用水者协会的人员构成、用水者协会的规模、用水者协会之间的联合、领导人的作用等。 水价政策常常被作为促进水资源有效利用以及补偿灌溉系统运行费用的重要政策手段。以往的研究只强调利用水价政策，但对农业水价政策实施过程中面临的许多制约、水价政策实施带来的效果缺乏具体的分析，本研究从分析灌溉用水的价格弹性入手，探讨了农业水价政策的局限性。 本研究通过建立灌溉管理制度改革的评价指标，对灌溉管理制度改革的过程与效果进行了实证分析。皂河灌区的灌溉管理制度改革在灌溉渠道的维护、用水冲突的减少以及保证水费的收缴率等方面取得了一定的效果。但是，农民对用水者协会制度的认识程度还不高，农民的参与十分有限，用水者协会自身的作用也没有得到有效发挥，灌溉水的分配、灌溉水的利用并没有发生改善。在水价改革方面，收费方式的改革尽管避免了搭车收费现象，但并没有降低农民的水费支出水平。由于量水设施不足，且成本较高，水费仍然按用水面积分摊到用水户，正因为如此，单个农户无法通过改变灌溉方式或减少用水量而减少自己的水费支出，节水对于其支付水费的数额没有影响，农户也没有动力选择更节水的灌溉技术，从而也就弱化了水价政策对农户的激励，而且水价改革也没有促进农户的种植结构调整。在农民从事种植业收入有限的情况下，水费在农户水稻生产成本中已成为仅次于化肥的支出，农户对提高水价的承受能力还十分有限。·对供水单位而言，在当前农业用水价格弹性较低的情况下，供水价格的不断提高，增加了供水单位的收入，但是并没有增强供水单位的节水意识。因此，水价改革既没有改变供水单位与农民的用水行为，也没有影响到农民的作物种植方式，而只是增加了供水单位的收益。而且，从农户水稻生产的技术效率看，改革也并未使皂河灌区的农业生产表现出更高的技术效率。 灌溉管理制度变革是一项较为复杂的系统工程，涉及到各个方面矛IJ益的调整，由此决定了这项制度变革的长期性。由于各个参与主体之间利益的差异，水管部门与供水单位并不情愿放弃原有的权利，这在很大程度上对用水者协会的发展构成了限制，使用水者协会这种有效的组织不能充分发挥功能，甚至有名无实。事实上，如果真正赋子用水者协会相应的权利，并使其承担对应的职责，用水者协会管理灌溉系统特别是末级渠道是能够获得成功的。当然，政府部门和供水单位在灌溉系统的管理中仍具有十分重要的作用。水价政策有效性的发挥并不能单纯依靠价格手段解决，水价政策需要用水者协会制度的有效配合，如果不能做到这一点，再好的水价政策也无法发挥其应有的作用更多还原

【Abstract】 Nowadays, more and more regions around the world face growing pressure of water shortage. Great concerns have been raised on this issue, especially in agricultural sector. Usually people depend on the construction of water projects and the development of water-saving technology to tackle water shortage problem. But gradually people realize that mismanagement is also one of the most important reasons causing water shortage. In addition, it becomes more and more diseconomy to build new water projects. So the reform of irrigation management has been put on agenda.For water and its accessorial facilities are indiscerptible public goods, and water is also the basic means of living and production, it’s difficult and risky to allow water allocation under the control of free market. So decentralization of management, proper liberalization of water market and participation of nongovernmental organization (NGO) become the main characteristics of the popular water management. Since the 1980s, facing low efficiency of government-run irrigation system and growing budget pressure on it, more and more government began to transfer the management to water user’s association (WUA) or NGO. China began to carry this kind of reform in some irrigation districts since the mid of the 1990s.Based on the theory of institutional economics, this dissertation studies the reform of irrigation management institution. Using comparative analysis, normative and positive analysis, we firstly exam the reason and the process of the reform. Then we try to find out factors infecting the efficiency of WUA and discuss the reform of water pricing and constrain it facing. Thirdly we pay our attention to the implement and results of the reform, next we summarize the lessons we can learn from abroad in participatory irrigation management (PIM) reform. Finally we give some advice on how to put forward the reform smoothly and effectively.The main object of this research is trying to test the results of the reform, and to analyzethe possible impact of the WUA and water pricing reform, and to find out factors constraining PIM reform. Our research will contribute to the irrigation management reform. It will help to set up relative water management policy, accelerate the reform, promote efficient usage of water and realize sustainable development of irrigation districts. It has both theoretical and practical significance.In the reform of PIM, powerful WUA is critical. But there is little research on the sustainable development of WUA and on what kind of circumstance can WUA affects the efficiency of irrigation system. This dissertation builds relative analysis framework, and systematically analyzes factors affecting WUA’s running and the sustainability of WUA. Both internal and external factors can affect the efficiency and sustainable running of WUA. These factors either affect WUA or performance of irrigation system directly. External factors include natural characters of irrigation district, technology, social and economy factors, government policy and the governing of WUA. Internal factors include the timing and mode of WUA’s founding, composing of WUA’s stuff, scale of WUA, collaboration of different WUAs, and the role of leaders in WUA.Water pricing policy is often considered as one of the important measures to promote water-using efficiency and compensate the cost of irrigation system. But previous researches lack the analysis on the constrains facing by water pricing reform and the detailed analysis on the result bring by water pricing reform, only emphasizing the role of water pricing reform. Our research starting from the analysis of the price elasticity of irrigation water, discuss the limitation of water pricing reform.This research establishes an index system to evaluate the performance of irrigation management and results of the reform. The management reform in Zaohe irrigation district had significant improvement on its performance in channel maintenance, and water fee collection. It also reduced water-using conflict. But farmers’ recogni更多还原