社会资本、组织结构与农民用水户协会绩效研究
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摘要
自上个世纪90年代以来，为了解决灌区灌溉管理体制落后、灌溉系统老化失修以及灌溉水资源利用效率低下等问题，我国在一些大中型灌区实施参与式管理体制改革，组建农民用水户协会，以解决灌溉管理中管理主体缺位的问题。尽管近年来灌区的农民用水户协会数量增长迅速，但人们对农民用水户协会的服务功能现状以及影响因素的认识还不够全面和深入。灌溉系统的多中心治理理论，建立在网络、信任、合作基础上的社会资本理论，以及组织结构理论为我们提供了多方位的研究视角。结合这些理论对灌溉水资源管理以及农民用水户协会的运行机制进行综合研究，具有重要的理论和现实意义，对促进农民用水户协会的健康发展也具有重要的参考价值。
本文首先对国内外相关文献和理论进行梳理，从理论上构建了农民用水户协会社会资本—组织结构—协会绩效的分析框架，并以陕西省宝鸡峡灌区农民用水户协会为例，运用因子分析方法，分别对农民用水户协会社会资本、组织结构以及绩效进行分析和评价。在以上研究的基础上，根据因子分析的结果和数据，采用多元回归分析方法以及案例研究法，深入研究社会资本各维度对组织结构的影响，社会资本、组织结构各维度对农民用水户协会综合绩效的影响，以及协会绩效各维度对农民用水户协会满意度的影响。文章最后提出发展社会资本、完善组织结构以及提高协会绩效的对策建议。通过以上研究，本文得出以下结论：
（1）通过对协会社会资本的研究发现：各个协会的社会资本存量差异较大：干渠上游协会的社会资本得分要高于下游的协会，基本符合从上游到下游逐渐减少的规律。这是由于社会资本往往在特定的地域表现出一定的独特性，与文化有关。下游的协会更接近西安、咸阳等中心城市，市场化程度较高，建立在传统网络关系和信任基础上的社会资本会随着市场的不断深化而逐步下降。
（2）对农民用水户协会组织结构的研究发现：在专业化和规范化程度上，干渠上游的协会要高于下游的协会，这与上游协会紧邻西北农林科技大学的地域优势有关；在分权化程度上，干渠下游协会要高于上游协会，这是由于下游协会离中心城市较近，外部信息畅通，用水户的民主和参与意识相对较高。
（3）对农民用水户协会绩效评价的研究可以看出：在财务绩效上，各协会差异不大；在基础绩效上和综合绩效上，干渠上游协会要比中下游协会基础绩效要好些，一方面与下游协会耕地面积逐渐减少、非农收入比重提高有关，另一方面与近年来的城镇化以及高速公路建设有关；在社会绩效上，干渠下游协会要高于上游协会，这是由于下游协会接近中心城市，所接受的外部信息和知识要大于其他协会，受市场经济的冲击，乡绅势力以及宗族意识相对较弱，农村的民主化进程相对较高。
（4）通过实证分析可以得出以下结论。在社会资本对组织结构的影响分析中发现：关系社会资本以及控制变量（协会的规模）对组织结构有显著的影响，而结构社会资本和认知社会资本对组织结构无显著影响。通过社会资本、组织结构对协会绩效的影响的分析可以看出：结构社会资本、认知社会资本、协会的规范化以及协会的规模对协会绩效有显著的影响，关系社会资本、组织的专业化和分权化对协会绩效无显著影响；通过协会综合绩效对协会满意率影响的研究发现，协会的财务绩效以及社会绩效对协会满意率有积极影响，而基础绩效对满意率无显著影响，说明目前大部分协会的灌溉基础设施仍需要进一步的加强和完善。
Since the1990s,in order to solve the problem such as the backward system of irrigationmanagement, the aging and losting of irrigation systems，the inefficient use of water resourcesfor irrigation and so on,we emplemented in a number of large and medium irrigationparticipatory management system, and formed the water user association（WUA）, to solve theproblem of the management absence of the main irrigation.Even though there has beengrowing rapidly irrigation WUA in recent years;however,the WUA service status andinfluencing factors are not understood in-depthly. The Irrigation system of multi-centergovernance theory is based on network, trust and cooperation of the social capital theory, andorganizational structure theory provides us with multiple research perspectives. Based ontheory of the irrigation water management and operating mechanism of farmer water userassociation, a comprehensive study has important,theoretical and practical significance, thenpromotes the healthy development of farmer water user association,also has importantreference value.
This paper has combed the theory and the related literature at home and abroad. Basedon the Social Capital theory,it constructs the framework of the WUA-Structure-PerformanceAnalysis.And with Baoji gorge irrigation district WUA in Shaanxi province for example, weuse the Factor Analysis method, respectively, to make analysis and evaluation of the WUA,Social Capital, Organizational Structure and Performance. On the basis of above research,according to the result of Factor Analysis and Data,and Multiple Regression Analysis methodand Case method,we are in depth study of Social Capital in each dimension of OrganizationalStructure, then we have got the influence of Social Capital, Organization Structure in thedimension of comprehensive performance,and the influence in WUA of in each dimensionof the Association Performance of WUA degree of satisfaction. Finally we put forward thedevelopment of Social Capital,improve the Organizational Structure and improve theAssociation Performance of countermeasures and suggestions.Through the above study,we’vegot the following conclusions:
(1)Measuring the association of social capital,we can know: There are big difference ineach association of Social Capital:the main canal upstream association of Social Capital scoreis higher than the downstream association, which is due to the Social Capital tending to a unique performance in specific area related to culture. At the same time, the lower reaches ofthe Association close to Xi'an, Xianyang City and other cities; a higher degree ofmarket-oriented, established in traditional network relationships and trust on the basis ofsocial capital will gradually decline as the market continues to deepen.
(2)On the results of the measurement of WUA Organizational Structure,we find it: thedegree of specialization and standardization,the association of the main canal upstream ishigher than downstream association, which is brought about by its close geographicaladvantages of the Northwest Agriculture and Forestry University of Science andTechnology;the degree of decentralization, the main canal downstream Association to higherthan the upstream Association, which is closer to the center of the city, the external flow ofinformation, democratic and sense of participation of water users is relatively high.
(3)The WUA of performance evaluation research as you can see, on the financialperformance, each association differs little; and flows on the basis of performance andcomprehensive performance, the upstream association based performance is better than themiddle and lower reaches of association. On the one hand,it is related to the downstreamassociation gradually reducing in farmland area, and the income increasing in proportion ofnon-agricultural; on the other hand,related to urbanization in recent years,and the highwayconstruction; On social performance, the upstream downstream of the main canal associationin not lower than the association of downstream which is due to the closing to the central city,the external information and knowledge accepted are more than other associations.By theimpact of market economy, gentry's power and clan consciousness are relatively weak, andthe rural democratization is relatively high.
(4)The Linear Regression analysis can draw the following conclusions: the relationshipbetween dimensions of Social Capital as well as the control variable scale (association) havesignificant effect on Organizational Structure; the structure and cognitive Social Capital hasno significant effect on Organizational Structure; Structure, Cognitive Social Capital,andSocial Capital Association of standardization and the scale of association to the association'sperformance have significant impact.But the relationship between Social Capital andorganizational specialization and standardization of association have no obvious effect onperformance; Association of financial performance and social performance have a positiveeffect on society satisfaction, and the basic performance has no significant effect onsatisfaction, so most of the association of irrigation infrastructure still need to furtherstrengthen and to be perfect.
本文首先对国内外相关文献和理论进行梳理，从理论上构建了农民用水户协会社会资本—组织结构—协会绩效的分析框架，并以陕西省宝鸡峡灌区农民用水户协会为例，运用因子分析方法，分别对农民用水户协会社会资本、组织结构以及绩效进行分析和评价。在以上研究的基础上，根据因子分析的结果和数据，采用多元回归分析方法以及案例研究法，深入研究社会资本各维度对组织结构的影响，社会资本、组织结构各维度对农民用水户协会综合绩效的影响，以及协会绩效各维度对农民用水户协会满意度的影响。文章最后提出发展社会资本、完善组织结构以及提高协会绩效的对策建议。通过以上研究，本文得出以下结论：
（1）通过对协会社会资本的研究发现：各个协会的社会资本存量差异较大：干渠上游协会的社会资本得分要高于下游的协会，基本符合从上游到下游逐渐减少的规律。这是由于社会资本往往在特定的地域表现出一定的独特性，与文化有关。下游的协会更接近西安、咸阳等中心城市，市场化程度较高，建立在传统网络关系和信任基础上的社会资本会随着市场的不断深化而逐步下降。
（2）对农民用水户协会组织结构的研究发现：在专业化和规范化程度上，干渠上游的协会要高于下游的协会，这与上游协会紧邻西北农林科技大学的地域优势有关；在分权化程度上，干渠下游协会要高于上游协会，这是由于下游协会离中心城市较近，外部信息畅通，用水户的民主和参与意识相对较高。
（3）对农民用水户协会绩效评价的研究可以看出：在财务绩效上，各协会差异不大；在基础绩效上和综合绩效上，干渠上游协会要比中下游协会基础绩效要好些，一方面与下游协会耕地面积逐渐减少、非农收入比重提高有关，另一方面与近年来的城镇化以及高速公路建设有关；在社会绩效上，干渠下游协会要高于上游协会，这是由于下游协会接近中心城市，所接受的外部信息和知识要大于其他协会，受市场经济的冲击，乡绅势力以及宗族意识相对较弱，农村的民主化进程相对较高。
（4）通过实证分析可以得出以下结论。在社会资本对组织结构的影响分析中发现：关系社会资本以及控制变量（协会的规模）对组织结构有显著的影响，而结构社会资本和认知社会资本对组织结构无显著影响。通过社会资本、组织结构对协会绩效的影响的分析可以看出：结构社会资本、认知社会资本、协会的规范化以及协会的规模对协会绩效有显著的影响，关系社会资本、组织的专业化和分权化对协会绩效无显著影响；通过协会综合绩效对协会满意率影响的研究发现，协会的财务绩效以及社会绩效对协会满意率有积极影响，而基础绩效对满意率无显著影响，说明目前大部分协会的灌溉基础设施仍需要进一步的加强和完善。
Since the1990s,in order to solve the problem such as the backward system of irrigationmanagement, the aging and losting of irrigation systems，the inefficient use of water resourcesfor irrigation and so on,we emplemented in a number of large and medium irrigationparticipatory management system, and formed the water user association（WUA）, to solve theproblem of the management absence of the main irrigation.Even though there has beengrowing rapidly irrigation WUA in recent years;however,the WUA service status andinfluencing factors are not understood in-depthly. The Irrigation system of multi-centergovernance theory is based on network, trust and cooperation of the social capital theory, andorganizational structure theory provides us with multiple research perspectives. Based ontheory of the irrigation water management and operating mechanism of farmer water userassociation, a comprehensive study has important,theoretical and practical significance, thenpromotes the healthy development of farmer water user association,also has importantreference value.
This paper has combed the theory and the related literature at home and abroad. Basedon the Social Capital theory,it constructs the framework of the WUA-Structure-PerformanceAnalysis.And with Baoji gorge irrigation district WUA in Shaanxi province for example, weuse the Factor Analysis method, respectively, to make analysis and evaluation of the WUA,Social Capital, Organizational Structure and Performance. On the basis of above research,according to the result of Factor Analysis and Data,and Multiple Regression Analysis methodand Case method,we are in depth study of Social Capital in each dimension of OrganizationalStructure, then we have got the influence of Social Capital, Organization Structure in thedimension of comprehensive performance,and the influence in WUA of in each dimensionof the Association Performance of WUA degree of satisfaction. Finally we put forward thedevelopment of Social Capital,improve the Organizational Structure and improve theAssociation Performance of countermeasures and suggestions.Through the above study,we’vegot the following conclusions:
(1)Measuring the association of social capital,we can know: There are big difference ineach association of Social Capital:the main canal upstream association of Social Capital scoreis higher than the downstream association, which is due to the Social Capital tending to a unique performance in specific area related to culture. At the same time, the lower reaches ofthe Association close to Xi'an, Xianyang City and other cities; a higher degree ofmarket-oriented, established in traditional network relationships and trust on the basis ofsocial capital will gradually decline as the market continues to deepen.
(2)On the results of the measurement of WUA Organizational Structure,we find it: thedegree of specialization and standardization,the association of the main canal upstream ishigher than downstream association, which is brought about by its close geographicaladvantages of the Northwest Agriculture and Forestry University of Science andTechnology;the degree of decentralization, the main canal downstream Association to higherthan the upstream Association, which is closer to the center of the city, the external flow ofinformation, democratic and sense of participation of water users is relatively high.
(3)The WUA of performance evaluation research as you can see, on the financialperformance, each association differs little; and flows on the basis of performance andcomprehensive performance, the upstream association based performance is better than themiddle and lower reaches of association. On the one hand,it is related to the downstreamassociation gradually reducing in farmland area, and the income increasing in proportion ofnon-agricultural; on the other hand,related to urbanization in recent years,and the highwayconstruction; On social performance, the upstream downstream of the main canal associationin not lower than the association of downstream which is due to the closing to the central city,the external information and knowledge accepted are more than other associations.By theimpact of market economy, gentry's power and clan consciousness are relatively weak, andthe rural democratization is relatively high.
(4)The Linear Regression analysis can draw the following conclusions: the relationshipbetween dimensions of Social Capital as well as the control variable scale (association) havesignificant effect on Organizational Structure; the structure and cognitive Social Capital hasno significant effect on Organizational Structure; Structure, Cognitive Social Capital,andSocial Capital Association of standardization and the scale of association to the association'sperformance have significant impact.But the relationship between Social Capital andorganizational specialization and standardization of association have no obvious effect onperformance; Association of financial performance and social performance have a positiveeffect on society satisfaction, and the basic performance has no significant effect onsatisfaction, so most of the association of irrigation infrastructure still need to furtherstrengthen and to be perfect.
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