【作者】 刘戎；

【导师】 张阳；

【作者基本信息】 河海大学 ， 技术经济及管理， 2007， 博士

【摘要】 中国水的问题实质是人的问题，水危机的根源在于人的治理能力的低下导致的治理危机。水资源开发和利用的公共性十分突出，几乎涉及所有人的利益，所以，当代的治水理念应从工程技术管理转向社会治理，从社会的角度探讨水资源治理机制，提高水资源治理水平。论文从社会资本理论的视角，深入探讨了社会资本在流域水资源治理体系中的功能与运作机制，并构建了流域水资源治理与社会资本积累良性互动的基本框架。作为研究的基础，论文首先对流域水资源治理、社会资本等相关概念进行了界定，并分析了流域水资源治理的发展趋势，认为流域的整体性、水资源的外部性决定了流域水资源治理的发展趋势是以公众参与为基础的网络复合治理模式(简称网络治理)，而网络治理实现的难题在于解决集体非理性问题。论文以此作为研究的出发点，认为社会资本的作用在于促成理性的合作，因此有必要了解社会资本在流域水资源治理中的运作机制，才能有效推进中国从传统的水利管理(management)向水资源治理(governance)转型。其次，论文对流域水资源治理体系中的社会资本要素构成进行了分析，认为流域治理主体关系网络是社会资本的存在形式；网络结构的复杂性决定了社会资本要素构成的复杂性，它们在流域治理体系的微观、中观、宏观层面分别存在，并具有不同的性质和功能。再次，论文探讨了社会资本在流域水资源治理中的运作机制和功能，着重分析了社会资本促成理性集体行为的运作逻辑，认为社会资本的功能是在流域水资源治理中促成合作、产生协同效应；同时也对社会资本的负面效应进行了分析。最后，论文基于上述分析提出了流域水资源治理创新的构想。认为流域水资源治理创新总体原则是治理要与社会资本积累形成良性互动；在此原则下，论文从治理的网络结构优化、治理机制与功能优化等方面提出流域水资源治理创新的构想；同时，对于社会资本在治理中的负面效应提出规避的建议。论文还以太湖流域为例进行了应用性研究，提出关于太湖流域水资源治理创新的构想。更多还原

【Abstract】 The essence question of Chinese water is human’s question. The water crisis root lies in the governance crisis which is caused by human’s low governance ability. The public nature of water resources development and using is extremely prominent. It almost involves all human’s benefits. Therefore, the idea of regulating waterways for the present age is supposed to be changed from the project technical management to governance, and to discuss the water resource governance mechanism from society’s angle, raising the water resources governance level.The dissertation has deeply discussed the function and the operation mechanism of social capital in the basin water resources governance system from the view of social capital theory. The dissertation has constructed basic frame of the benignity interaction between basin water resources governance and the social capital accumulation.As the foundation of the research, this dissertation first defined the concepts of basin water resources governance, social capital, etc. And it also analyzed the basin water resources governance development tendency. The basin integrity and the water resources externalities determine the basin water resources governance development tendency as complex network governance pattern with the foundation of public participation as the foundation (Abbreviation: network government). However, the difficulty of the network governance realization lies in solving collective irrational rational question. The dissertation took this as the starting point of the research, and it believes the function of social capital lied in facilitating the rational cooperation. Therefore it is necessary to understand the operation mechanism of social capital in the basin water resources governance. This way, we can effectively push China to reform from the basin water conservation management to water resources governance.Next, in this dissertation, the social capital essential factor of constitution of the convective region water resources governance system was analyzed. It is believed the existence form of social capital is the basin government main body relations network. The network architecture complexity has decided the social capital essential factor constitution complexity. They exist in the basin governance system microscopic, center view, the macroscopic stratification plane, separately. And they have different natures and the functions.Third, the dissertation discussed the operation mechanism and function of the social capital in the basin water resources governance. It emphatically analyzed the operation logic of the social capital to facilitate the rational collective behavior. It believes the social capital the fiinction is facilitating the cooperation in the basin water resources governance, and having the coordination effect. It also has carried on the analysis to the social capital negative effect.Finally, based on the above analysis, the dissertation proposed the basin water resources governance innovation conception. It believes the overall principle of the basin water resources governance innovation is the governance should form the benign interaction with the social capital accumulation. Under this principle, the dissertation proposed the basin water resources governance innovation conception from governance network architecture optimization, governance mechanism and function optimization and so on. Meanwhile, the dissertation proposed the suggestions regarding how to avoid the social capital in the government negative effect.The dissertation has also conducted the application research with the example of Tai Lake basin. It proposed the water resources governance innovation conception of the Tai Lake basin.更多还原