水资源再配置模式研究

发布时间：2018-01-17 16:19

本文关键词：水资源再配置模式研究　出处：《西北大学》2012年博士论文　论文类型：学位论文

【摘要】：本文利用新制度经济学的基本分析工具和研究方法——案例分析法,对水资源再配置模式进行了系统性研究。首先构建了一个统一的分析框架用于水资源再配置模式的研究。该分析框架从水资源初始产权特征的识别出发作为逻辑起点,通过对该产权状态下交易成本的分析,研究在引入政府行为后最终导出某一种具体的再配置模式。之后在案例分析的基础上进行案例比较和总结,然后提出帕累托改进和纳什均衡两个评价标准对每一种水资源再配置模式进行评价。最后得出研究结论,并基于研究结论提出政策建议。根据政府行为特征的不同,本文定义了三种基本的水资源再配置模式：“政府主导”模式、“政府参与”模式和市场交易模式。对应于三种基本模式选择三个具有代表性的典型案例：宁夏水权转换、张掖农户间水权交易和欧文斯谷到洛杉矶调水的案例,这三个案例也代表着三种主要的水资源再配置类型：部门间水资源再配置、农户间水资源再配置和地区间水资源再配置。案例分析表明：宁夏水权转换案例中,在水资源初始产权界定模糊的状态下,农户和企业之间直接进行水权交易的成本十分高昂,当地政府积极介入并推动一种“工业投资农业节水改造,农业节水用于工业生产”的水资源再配置模式；张掖农户间水权交易的初始环境与宁夏水权转换的初始环境基本相同,只是由当地政府通过间接参与的方式提供制度支持农户间的自主交易行为,因此该案例更多地体现了市场交易的特征；美国欧文斯谷到洛杉矶调水是通过讨价还价的市场机制解决水资源跨流域再配置的典型案例,从中可以发现讨价还价可以实现水资源的真实价值,并且清晰的初始产权界定和恰当的政府行为对于水权市场的建立具有重要意义。这三种主要的水资源再配置模式表明：水资源初始产权界定清晰程度和政府在水资源配置中的角色定位会对水资源再配置效率产生重要影响。本文创新性地提出了水资源再配置模式效率的基本评价标准。在比较各种水资源再配置模式时,应对水资源的初始产权界定程度和政府行为特征进行详细考察,正是这两个主要因素相互作用最终导致了不同的配置模式。评价某一种具体的水资源再配置模式时,利用帕累托改进而不是帕累托最优作为评价标准是较为可行的。只要一种水资源再配置模式的结果是一种帕累托改进,那么该种再配置模式就是可行并且应当受到鼓励的。同时,本文采用纳什均衡作为判断水资源再配置模式是否具有稳定性的分析工具。如果一种再配置模式不符合纳什均衡的基本特征,可以预见该模式在实施和运行中将不会是稳定的,这里的稳定主要指该模式是否具有可持续性和自我可修复性。该评判标准对政府主导和政府参与构建水资源再配置模式具有重要的实践指导意义。根据这两个基本评判标准,本文对宁夏水权转换、张掖农户间水权交易市场和欧文斯谷到洛杉矶调水三种水资源再配置模式的效率进行了具体评价。但是本文并不因此否认“政府主导”或者“政府参与”模式在具体环境中的有效性。利用本文所提出的分析框架,对三种主要的水资源再配置模式进行具体分析和评价后,得出研究结论：水资源初始产权界定和政府行为对水资源再配置模式选择具有重要影响,给定水资源的初始产权,政府行为就是决定水资源再配置模式的重要变量。基于研究结论,并结合我国的实际情况,本文提出具有针对性的政策建议：建立稳定的水权交易制度和广泛的社会参与机制,以及水权交易的补偿机制和激励机制,水资源的管理、委托与所有权需区分开来。这些政策建议体现出水权界定和社会参与的重要性。
[Abstract]:By using the new institutional economics basic analysis tools and research methods -- case analysis on water resources allocation model and conducted a systematic study. Firstly research a unified analytical framework for water resources allocation model. The analysis framework was recognition property characteristics of water resources from the early start as a logical starting point, through the analysis of the transaction cost of the property under the state, in the research into the government behavior are a kind of specific configuration mode. Based on the analysis of the case after case comparison and summary, and then put forward the improved Pareto and Nash equilibrium two evaluation criteria for each water resource reallocation pattern is evaluated. Finally come to the conclusion of the study, based on the research conclusions and policy recommendations.
According to the different characteristics of government behavior, this paper defines three basic water resources re allocation mode: "government leading" mode, "government participation" model and market transaction mode. Corresponding to the three basic models of three representative cases: Ningxia water transfer, Zhangye farmers' water rights trading and Owens the valley to Losangeles water transfer case, these three cases represent three kinds of water resources and water resources configuration type: inter sectoral reallocation, household water resources re allocation and regional water resources allocation. The case study shows that the water right transfer in Ningxia case, the vague definition of water resources in the initial state property rights, water rights transactions between farmers and enterprises direct costs are very high, the local government to actively participate in and promote a "industrial investment of water-saving agriculture, water-saving agriculture for industrial production" The water resources allocation model; initial water rights trading environment in Zhangye among farmers and water right transfer in Ningxia initial environment is basically the same, only by the local government through indirect participation in a way to provide institutional support to independent trading behavior among farmers, so this case shows more characteristics of market transactions; the Owens Valley to Losangeles water diversion is through the market mechanism to bargain to solve water resource re allocation of inter basin typical case, it can be found that the bargaining can realize the true value of water resources, and the initial property right clear definition and proper government behavior has important significance for the establishment of water rights market. These three kinds of water resources allocation model showed that the role of the initial water level and the clear definition of property rights in the allocation of water resources for water resources allocation efficiency has an important effect.
This paper put forward a basic evaluation of water resources allocation model of efficiency standards. After comparing various mode re allocation of water resources, water resources should define the initial property level and the behavioral characteristics of the investigation in detail, it is the two main factors lead to different configuration mode. The evaluation of a the water resources allocation mode, the improvement is not Pareto optimal as the evaluation standard is feasible by Pareto. As long as the result of a water resources allocation model is a Pareto improvement, then the re allocation model is feasible and should be encouraged. At the same time, this paper uses the Nash equilibrium as the judgment of water resources then the configuration analysis tool mode is stable or not. If a configuration mode does not conform to the basic characteristics of Nash equilibrium, the model can be expected in the implementation And the operation will not be stable, stable here mainly refers to whether the model is sustainable and self repair. The standard to the government's leading role and participate in the construction of the water resources allocation model has important practical significance. According to the two basic evaluation criterion, this paper on water right transfer in Ningxia, farmers in Zhangye water rights trading market and the Owens Valley to the Losangeles water transfer efficiency of three kinds of water resources allocation model for the specific evaluation. But this does not negate the "government leading" or "government participation" model in the specific environment is effective.
Using the proposed framework, the three kinds of water resources allocation model for specific analysis and evaluation, draw the conclusion: the definition of original water right and government behavior on water resources allocation mode has an important influence, given the initial property rights of water resources, government behavior is an important variable to determine water resources configuration mode. Based on the conclusion of the study, combined with the actual situation of our country, this paper puts forward some policy suggestions: the mechanisms involved in the establishment of water rights trading system stable and extensive social, as well as the water right transaction compensation mechanism and incentive mechanism, the management of water resources, and to distinguish between the principal ownership of these policy recommendations reflects the importance of water rights and social participation.

【学位授予单位】：西北大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：F062.1

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