【作者】 胡小军；

【导师】 李凤民；

【作者基本信息】 兰州大学 ， 生态学， 2014， 博士

【摘要】 水资源短缺是制约我国西北干旱区可持续发展的关键问题。特别是近50年来,由于人口的增长、农业开发活动的加剧以及不合理的水资源管理,西北干旱区水资源开发利用严重超载,绿洲生态系统持续退化,特别是荒漠化程度不断加重,生态服务功能下降。并且,受气候变化影响,预计到2050年,西北地区地表气温的上升将导致冰川面积减少27%,未来会出现更为严重的缺水状况。面对日趋严重的水资源危机,近年来,国家以内陆河流域水资源管理为重点,在地下水资源保护、灌区节水改造、高效农业节水技术推广等诸多领域,启动实施了一系列投资巨大的治理规划。其中,水资源管理政策的实施对那些以灌溉农业为主要生计来源的农户带来深刻影响。但是,在政策实际执行过程中,却缺乏来自社区农户的实质性支持和参与,水资源管理政策的有效性和持续性不足。因此,为了系统了解西北干旱区农民对水资源管理政策的响应情况,研究选取石羊河流域下游的民勤绿洲为案例,应用问卷调查和质性研究相结合的方法,重点从生计资本、政策认知、社会适应以及社区参与四个层面出发,开展了较为长期而深入的实证研究。研究期望能为民勤绿洲及石羊河流域水资源管理政策的完善提供可靠的理论依据。同时,为构建符合我国西北干旱区实际的内陆河流域水资源管理模式做出应有的贡献。研究取得的主要结论如下：(1)灌溉农业是民勤绿洲农户最主要的收入来源,在2008年,种植业收入占到户均纯收入的59%,农民生计高度依赖于灌溉水资源。水资源短缺导致植被覆盖下降,从而引起更严重的沙尘暴,对农民生计也带来严重影响。但是,农民对于生态环境变化状况的认知程度与其对当前正在实施的水资源管理政策的支持程度之间没有统计上的显著相关性。(2)以灌溉用水“总量控制、定额管理”为核心的水权制度改革,正在推动民勤绿洲生计系统的转换。但是,基于可持续性生计框架的分析结果显示,农民不同生计资本之间的发展不平衡,特别是人力资本、金融资本及社会资本缺乏有效构建,生计系统的转换缺乏内在的动力及持续性。特别地,土地是民勤绿洲农民最可靠的基本生活保障,在当前农村社会保障机制仍不健全的情况下,土地对农民具有多重效用。农民的决策更多基于“生存伦理”,而不是单纯的经济理性。因此,以经济利益最大化原则为导向设计的一些管理政策,在社区实践过程中会遇到较大的困难。(3)2008年,民勤绿洲户均灌溉费用占种植业总成本的17.1%。由于灌溉成本的不断增加,超过70%的样本农民对提高地表水灌溉价格、征收地下水资源费、实行超定额用水累进加价制度等涉及水价方面的改革持强烈的反对态度,导致在水资源管理政策实施过程中,市场或经济手段的应用困难重重,仍旧需要依靠政府行政力量才能得以推行,给社区稳定带来风险。此外,民勤绿洲45.7%的样本农民认为当前的灌溉用水分配不公平,并且农民对水资源分配公平性感知程度与其对水资源管理政策的支持度之间存在统计上的显著相关性。(4)面对农田灌溉配水量的减少,民勤绿洲农民采取的适应策略主要包括提高低耗水经济作物种植比例、减少作物灌溉次数以及采用简易农田节水灌溉技术。总体而言,农民应对变化的适应性能力显著不足。另外,农民的社会心理适应程度偏低,并且他们的社会心理适应度与其对水资源管理政策的支持度之间存在显著正相关关系。而对于政府着力推行,但农民接受程度较低的管理政策,农民往往采取非对抗性的抵制行动策略。(5)为推动参与式灌溉管理,民勤绿洲大力推动农民用水者协会的设立。但研究发现,协会在社区水资源管理中发挥的作用有限,其原因主要包括：在行政村层面,农民用水者协会与村委会的组织架构相重叠,协会的运作仍高度依赖于政府的行政权力和资源；农民用水者协会的组织尺度与社区灌溉水资源管理的实际运行过程之间存在一定的错位；虽然农业女性化趋向明显,但妇女在社区水资源管理决策过程中被边缘化：水资源的“标准化”与“精确化”管理使农民用水者协会没有发挥功能的有效空间和机会。基于研究结论,论文提出了一些针对性的政策建议,具体包括：加强人力资本构建,拓展农户多元生计途径,增强农户适应能力；创新节水农业技术推广模式,增强技术服务在基层的延伸性；加强用水者协会建设,推动农民实质性地参与灌溉用水管理；建立跨部门合作机制,促进水资源合作式管理；稳步推进水价改革,继续探索水权交易等市场手段在民勤绿洲应用的可行模式；加强对水资源管理政策的监测与评估,推动政策学习。更多还原

【Abstract】 Water scarcity is a critical policy issue in the arid regions of northwest China. Since the1950s, this region has experienced serious water resources shortages, drought, and desertification due to population growth, intensive agricultural activities, and poor water resources management. In addition, a projected increase in surface air temperature in north-western China is expected to result in a27%decline in glacier area and more severe drinking and irrigation water shortages by2050. Facing an unprecedented water resources crisis, northwest China has been designated as a pilot area for the development of water-saving practices by the central government. In recent years, the government has made great efforts to alleviate the over-exploitation of groundwater resources, improve the rural irrigation infrastructure and water use efficiency in agriculture.However, in practice, the implementation of water resources management activities is also difficult, primarily because of the lack of support and participation from small-scale farmers and farm communities. This can negatively affect the effectiveness and sustainability of water policies. In this paper, through a case study in Minqin oasis in northwest China, we performed quantitative and qualitative surveys to examine farmers’ responses to water resources management. We presented empirical results of a survey of small-scale farmers regarding livelihood assets, policy perception, social adaptation and community participation. In particular, we explored the reasons why current measures are unable to function effectively at the community level. Some conclusions are as follows:(1) Minqin oasis has been an irrigation-dependent farming area. Land is the main livelihood asset that small-scale farmers rely on. In2008, income from crop production constitutes the largest share of the rural household income (59%). From the perspective of the farmers, water shortages were ranked as the number one constraint by the majority of the respondents. Sandstorm and deterioration of groundwater quality were the second and third ranked constraints respectively.54.8%of the respondents felt that local ecosystem was becoming worse and worse,27.3%responded that there was no change in the ecosystem and only17.9%felt that the ecosystem became more productive. But there was no statistically significant difference among the three groups with respect to the attitudes toward watrer resources management.(2) The water rights reform is promoting the transformation of livelihood systems in Minqin oasis. However, based on the analysis of sustainable livelihood, the development of five different livelihood assets is out of balance. In particular, the government has paid less attention to the creating of human, social and financial assets as a whole. The livelihood transformation lacks internal motivation and vigor. As land is the most important asset for the farmers in Minqin oasis, livelihood security, not profit maximization, is the basic principle in the decision-making processes of the farmers. Thus, the implementation of policy measures for maximizing the economic benefits remains a challenge.(3) The average cost for irrigation water per household is1,651RMB in2008, which accounts for17.1%of the total crop production cost. With increasing costs from official charges and pumping, the majority of the respondents (over70%) hold a negative attitude toward water price reform, including increasing surface water prices, upwardly adjusting the groundwater resources levy, and establishing scalar pricing mechanism. The reform, which should be based on market-driven principles, ultimately becomes an administrative charge. In addition,45.7%of the respondents feel that the current water resources allocation policy is inequitable,37.2%feel that the water allocation policy is equitable, and17.1%hold a neutral attitude. There is a significant difference among the three groups with regard to attitudes toward water resources management.(4) With a reduction in the amount of water available to irrigation, the total income from crop production for small-scale farmers has declined in the short term. Farmers have taken a series of measures to cope with the water scarcity. There are three main coping strategies:developing water-saving cash crops; reducing the frequency of field crop irrigation and; adopting simple water-saving surface irrigation methods. In rural communities affected by water resources management, the majority of farmers use passive coping strategies and their adaptive capacities are very low. In addition, there is a significant positive correlation between small-scale farmers’ social-psychological adaptation to change and their attitudes toward current water resources management.(5) To promote participatory irrigation management, farmer Water Users Associations (WUAs) have been established with the aim of decentralizing water management in the rural communities of Minqin. However, the creation of WUAs do not result in greater efficiency or equity in water resource use. The results of this comprehensive analysis indicate four reasons why WUAs are unable to function effectively:overlapping organizational structures between the farmer WUAs and the villagers’ committees; Mismatch between the scale of the WUA organization and the scale of irrigation water management by the farmers themselves; rural women are marginalized in community decision-making and, therefore, do not play a substantial role in the process of irrigation water management; and inflexibility of IWRM implementation does not allow for WUAs to function.In order to gain support from farmers and farm communities, the study suggests that rebuilding farmer WUAs and promoting the development of community-based water management system should remain a priority of IWRM reform. Management practices can be improved through a series of practical measures. These include clarifying the responsibilities and relationships between farmer WUAs and villagers’ committees; promoting the establishment of natural village-based farmer WUAs that embed informal local institutions and self-organized networks for irrigation water management; and increasing rural women’s participation in WUAs and community water-related decision-making in the context of feminization of agriculture.更多还原