【作者】 陈曦；

【导师】 余瑞祥；

【作者基本信息】 中国地质大学 ， 管理科学与工程， 2010， 博士

【摘要】 当前,全球1/5的人得不到安全的饮用水。在我国,1/4的人口饮用不符合卫生标准的水。城市饮用水存在短缺、污染严重等问题,严重影响了广大人民群众的生命安全。近年来,水源污染事件时有发生,譬如,太湖的蓝澡污染,松花江水质污染事件等。饮用水问题不仅大大降低了国民的福利水平,而且提高了我们建设生态文明社会的成本。加强饮用水源的保护与管理,直接关系到人民群众生活和社会稳定。我国政府高度重视城市居民饮用水源的保护与管理问题,饮用水源的保护与管理是保障城市社会经济持续健康发展的重要内容。目前,我国的饮水资源保护机制尚不完善,饮用水源管理政策中还存在诸多不足,本文通过对饮用水源保护与管理制度的一般分析,试图为饮用水源保护制度创新进行理论拓展,并提供路径选择。论文第一章对水源的基本概念和属性进行了说明,在此基础上,对饮用水源保护研究的国内外现状进行了综述,并对全文的研究思路、主要内容和创新之处进行了说明。论文第二章对水源管理中的三个理论基础进行了阐述。从经济管理角度分析,水源是一种重要的公共物品,其保护行为具有明显的外部性特征,因此,论文对水源保护的外部性及公共物品理论进行了论述。其次,水源管理的一个重要途径是明确产权,将水权理论引入其中。论文对水权制度的相关理论进行了论述,并对发达国家美国、英国、日本、俄罗斯、澳大利亚等国家的水权制度进行了评述；同时,论文对水价理论进行了论述,在此基础上,对美国、英国、法国等国外发达国家的水价制度进行了总结,并对我国水价制度进行了评述。论文第三章提出并论证了城市饮用水源生态经济管理模式的内涵、理论基础及基本内容,分析了政府、企业与居民在这个模式中的行为方式。水源是一种重要的自然资源,其开发、利用及自身循环过程也是一种重要的生态系统。起源于林业等自然资源管理的生态系统管理方法也适合于水资源的管理。在生态系统管理方法的基础上,将经济系统变量有机融入生态系统中的做法,称之为生态经济管理模式。饮用水源生态经济管理模式就是管理者以生态经济效益为基本目标,对开发利用和保护城市水源的生态经济活动所采取的一系列的管理行为,包括行为方式。这种管理模式要求在扩大水资源的内涵、系统服务功能价值及合理定价的基础上,采用经济杠杆和法律法规、行政手段、社会道德等手段政策工具,全面、集约、高效、节约的开发利用水资源,避免开发利用中的浪费和生态环境问题,在开发中保护,在保护中开发。从管理的主要内容来讲,城市饮用水除了合理、有效、公平的分配给居民用户外,还必须重视城市饮用水系统中的生态用水和资源环境保护。从各主体的行为模式来看,政府必须履行公共管理的职能,按照社会福利最大化原则行事,努力实现满足各用水主体需求、有效保护城市饮用水源、达到水资源可持续利用的目标；企业行为模式集中体现在环境责任方面,其中实施1S0140001,构建企业环境文化是企业承担环境责任的核心内容；从水源管理部门的政策规定和政策变化趋势来看,社会公众已成为水源管理中的重要微观主体之一。论文第四章分析了饮用水源生态经济管理的三个主要的运行机制。饮用水源生态经济管理是一个系统工程,包括多种因素及其联接而成的结构、功能和相互关系,以及这些因素产生影响、发挥功能的作用过程和作用原理及其运行方式。从饮用水源生态经济管理模式的内容来看,其运行机制主要是消除水源保护过程中的外部性,包括建立饮用水源保护的生态补偿机制、投融资机制和法律机制。在水源保护过程中,会涉及到各种利益主体之间的相互关系,为了保护水源,利益相关者之间需要通过生态补偿的途径来化解矛盾和冲突。生态补偿机制应该按照“谁污染、谁付费”“谁受益,谁付费”的原则来进行,生态补偿的理论基础是生态系统服务价值理论,而其补偿的标准则是生态系统提供的生态服务价值,现实生活中,经常采用协议的方式来确定生态补偿标准。城市饮用水源保护的投融资机制的建立与完善,需要根据不同的工程类型以明确投资主体,理清责任归属和资金来源,并在融资模式选择、融资方式多样化、依靠经济手段、中央协调方面进行改革与完善。很多城市水环境问题的引起,不是因为保护不力,而在于污染防治不够,污染防治的关键是建立完善相关法律机制,明确相关行为人的法律责任。法律机制是城市饮用水源保护过程中政府职能的核心,也是生态经济管理的主要内容之一。政府在水资源管理中需要涉及到立法、执法、司法与行政等职能,政府通过这些职能来表明对水资源管理与生态环境保护的政策主张。这是水资源保护和污染防治一个非常重要的手段,对破坏水环境的违法行为予以惩罚,使之承担法律责任是法律保障的重要一环。论文第五章以贵阳市红枫湖、百花湖和阿哈水库(简称“两湖一库”)的保护为例进行了实证分析。“两湖一库”是贵阳市重要的饮用水源,其定位先后经历了农业灌溉、工业发电、旅游风景区和饮用水源等几个阶段。“两湖一库”目前采用的主要是授权委托管理模式,其主要的管理特点包括“准军事化”行政执法、设立环境保护法庭、水源保护基金等,目前管理中存在的主要问题包括执法权限有限,与当地政府协调机制不健全,保护基金不足,跨区域性的生态补偿机制不健全,农户搬迁补偿矛盾等方面。为此,论文提出两湖管理局应该加快建立生态补偿机制,多渠道筹集资金,成立生态管理公司等措施来保护水源。论文第六章对全文进行了小结和展望。论文的主要创新点有：(1)将生态系统管理与生态经济活动结合起来,从理论上提出并论证了城市饮用水源生态经济管理模式,并分析了政府、企业与居民在这个模式中的行为方式。(2)提出了饮水源生态补偿机制框架,并从补偿原则、补偿主体和补偿标准等方面进行了分析。(3)以贵阳市“两湖一库”的管理为例,提出建立生态管理公司的设想,并从理论上论证了其可行性和相应的条件。更多还原

【Abstract】 Currently, one fifth of the world’s population cannot get safe drinking water. In China, one fourth of the people drink the water which do not meet the health standards. The shortage of urban drinking water, the serious water pollution and other problems make a severe impact on the lives of the masses. In recent years, water pollution incidents occurred from time to time, such as, the blue green algae pollution in Taihu Lake, the water pollution incident in Songhua River and so on. The problems about drinking water do not only greatly reduce the level of national welfare, but also increase our cost of constructing an ecologically civilized society. The protection and management of drinking water sources is directly related to people’s living and social stability. The Chinese government attaches great importance to the protection and management of urban drinking water source. The protection of drinking water source is a critical part of the strategies to achieve the ecological civilization as well as the contents to ensure the sustainable and healthy development of the cities. However, the protection system of water resources in China is not perfect, and there are still some inadequacies in the policy of water resources management. This paper intends to expand the theory for the innovation of drinking water protection system and also provide some other option by analyzing the drinking water source protection and management system generally.This article firstly illustrates the basic concepts and properties of water resources. On this basis, the study of the drinking water source protection at home and abroad was reviewed; what’s more, the research ideas, the main content and innovations are described.In the article three theories in water management are described. From an economic perspective, the water is an important public good, so its protection has distinct characteristics of externalities. Therefore, the paper discussed the externalities of water resource protection and the public goods theory. Second, it is an important way for water management to clear property rights, and bring water rights theory into the system. The theory of water rights system were discussed, and the water rights systems were reviewed in developed countries such as the United States, Britain, Japan, Russia, Australia and so on. At the same time, the paper discusses the theory of the water price, on this basis the water systems in United States, Britain, France and some other developed countries are summarized, and our water system is reviewed.This paper presents and demonstrates the connotation, theoretical basis and basic content of urban drinking water management model of ecological economy. And it analyzes the behavior of the government, businesses and residents in this pattern. Water is an important natural resource, and the process of its development, utilization, and its circulation is an important ecosystem. Ecosystem management approach, originated in the forestry and other natural resource management, is also suitable for water resources management. Based on the ecosystem management approach, the way of integrating the economic system variables organically into the ecosystem approach was called the ecological and economic management. The ecological and economic management pattern of drinking water is that under the fundamental goal of realizing ecological and economic benefits, the managers take a series of management actions on the economic activities of water utilization and ecological protection, including the behavior. Based on expansion of water content, service value and reasonable pricing, this management model requires using economic levers and laws and regulations, administrative measures, social and moral means and other policy tools, in order to develop and utilize water resources comprehensively, intensively, efficiently and economically. All the measures are aimed at avoiding waste and environmental problems during the utilization and development process. The utilization and protection of drinking water should go together. In the terms of the main contents of management, the government should pay great attention to the ecological water use and environment protection in the urban drinking water system besides distributing drinking water to residential reasonably, effectively, and equitably. From the behavior of each of the main modes, the Government must fulfill the functions of public administration, to act in accordance with the principle of maximizing social welfare, and make efforts to achieve the goals of meeting the needs of the water main, protecting urban drinking water effectively, and realizing sustainable use of water resources. The behavior model of corporations is embodied in the environmental responsibility, and the core content is the implementation of IS0140001 and building corporation environmental culture. From the perspective of policy and regulation made by the water resources management department and the change trend of the policy, the public has become one of the important subjects in water resources management.This paper analyzes three major operating mechanisms in the ecological and economic management of drinking water. It is a systematic project, which includes a variety of factors and the connection structure, function and interrelationships made by them, and the process, principles and its operation mode when the factors make impact and play a role. In terms of ecological and economic management model, its operating mechanism is eliminating the externality in the process of water source protection, including the establishment the ecological compensation mechanism, financing mechanisms and legal mechanisms. In the process of water conservation a variety of interrelationships between stakeholders will be involved. In order to protect water sources, stakeholders need to resolve contradictions and conflicts by the way of the ecological compensation. Ecological compensation mechanism should follow the "polluter pays", "Who benefits and who pays" principle. The theory is based on the ecosystem service value theory, and its compensation standard is the ecosystem service value provided by ecosystem. In real life, the ecological compensation standard is often determined by the way of agreement. The establishment and improvement of the investment and financing mechanisms for the protection of the drinking water source need to clear investment projects, clear accountability and funding according to different types. And it also needs to reform and improve in the aspects of selecting and diversifying financing mode, relying on economic means, the central coordination. The water environmental problems in many cities are not because of inadequate protection, but insufficient pollution. The key of pollution prevention is to establish and improve relevant laws, and make clear of the responsibility of related perpetrators. Legal mechanism is the core of government functions in the process of urban drinking water source protection, but also the main content of ecological and economic management. The legislation, law enforcement, judicial and administrative functions of the government is related in the management of water resource. Through these functions the governments show policies and proposals in the management of water resources and ecological environment protection. This is a very important tool in water resources protection and pollution prevention. By this way, the illegal destruction of the water environment will be punished, so that liability is an important part of legal protection。This article takes the protection of Hongfeng Lake in Guiyang, Baihua, and Aha Reservoir (referred to as "two lakes and a reservoir") as examples to analyze. "Two Lakes and a Reservoir" is an important source of drinking water in Guiyang, whose positioning has gone through some stages such as the agricultural irrigation, industrial power generation, tourism scenic, drinking water sources and so on. "Two lakes and a Reservoir" currently used primarily authorized company management; its main management features include "paramilitary" administrative law enforcement, the Environmental Protection Tribunal, water conservation fund. The main problems in the current management include the limited enforcement authority, imperfect coordination mechanism with the local government is, insufficient protection fund, incomplete inter-regional ecological compensation mechanism, the contradiction in the household relocation compensation. Toward this end, two lakes Authority should take the measures of accelerating the establishment of ecological compensation mechanism, multi-channel fund-raising, establishing ecological management company to protect water sources.Finally it makes a summary and an outlook.The main innovation of this paper is:(1) integrating the ecosystem management into ecological economic activity, putting forward the ecological and economic management of city drinking water source from the theoretical arguments and proving it, and analyzing the behavior of the government, enterprises and residents in this mode. (2) Proposing the framework for ecological compensation mechanism of drinking water sources, and analyzing it from the points of principle of compensation, the compensation of the main and compensation standards. (3) Taking "two lakes of a reservoir" in Guiyang City as an example, proposing the idea of establishing eco-management Company, and theoretically demonstrating the feasibility and the corresponding conditions.更多还原