农民用水者协会形成及有效运行的经济分析
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摘要
我国水资源总量丰富,位居世界第六位,但是人均拥有量不足,仅为世界平均水平的四分之一,是十三个贫水国之一。水资源短缺已成为制约我国经济社会、工农业发展的主要因素,尤其是对用水量占总用水量80%的农业起着决定性的制约作用。工程与技术手段是解决水资源短缺的传统方式,但是,随着工程的复杂程度不断增加,采取工程技术手段来解决水资源短缺问题越来越不现实,事实上,大量研究表明,工程与技术手段解决水资源短缺固然十分重要,但水资源管理不善也是导致水资源短缺的重要原因,由此灌溉水资源的利用管理问题就越来越受到人们的重视。从世界各国的节水经验来看,吸收用水户参与到灌区的管理中是使灌区供水实现良性循环的必要手段,即推行参与式灌溉管理。而组建农民用水者协会是参与式灌溉管理的一种最主要、最常见的模式。
本文在全面、系统综述国内外相关研究成果的基础上,以制度经济学、产权经济学、计量经济学、博弈论等诸多理论做为科学指导,通过定量与定性研究,在理论上分析了以用水者协会为核心的参与式灌溉管理制度形成的动因及效益,分析了用水者协会这种农民参与式管理组织的内在运行机制,以探究协会能够长期持续稳定运行的成因及条件,并以内蒙古世行三期灌溉项目区内的用水者协会为案例,分析了用水户参与用水者协会的诱因、意愿以及影响协会发展的因素,评价了用水者协会运行的绩效与问题,最后得出结论和政策建议,以期为灌溉管理制度的进一步改革提供参考依据,主要研究内容和成果如下:
1、绪论和文献回顾。本部分提出了研究问题和研究目的,介绍了研究思路、方法、内容以及可能的创新,并对前人的理论和实证研究进行了回顾。
2、我国灌溉管理组织制度的演进及现状。本部分主要介绍了我国灌溉管理组织制度的演进历程,并对中国及内蒙古的参与式灌溉管理发展过程及现状进行了较为全面的分析。
3、农民用水者协会形成的动因及制度成本收益分析。在这一部分里,阐述了用水者协会产生的动因,主要是以经济学相关理论为依据,深层次的剖析了用水者协会产生的原因,并对用水者协会形成的制度收益—成本关系进行了研究,探讨用水者协会成立的潜在效益。
4、农民用水者协会有效运行的管理机制研究。分析用水者协会运行管理的基本内容,以实践调研数据为基础,研究了农户对灌溉水费的承受能力。研究结果表明,农民对水费的心理和经济承受能力较强,大部分协会的水费还有上调的空间。同时采用博弈分析方法,证明了用水者协会持续运行的可能性及其条件,最后分析了政府与协会之间的关系,二者在某种意义上是一种合作伙伴关系,即政府可以利用农民用水者协会实现其各项政策目标,而农民用水者协会的运行与发展需要政府的支持,两者互相配合共同促进灌溉事业的发展。
5、农民用水者协会运行的影响因素、绩效及存在问题研究。本部分着重实证分析研究,主要以实地调研数据为基础。首先对农户的参与态度、参与意愿及行为取向进行了描述性统计分析,然后运用Logit模型对农户参与行为进行了实证研究,以揭示农户有效参与用水者协会的内在机理。其次,对用水农户加入用水者协会的诱因以及制约用水者协会持续发展的因素进行了分析,并根据实地调研情况总结出了协会运行的绩效以及目前存在的问题等。
6、结论与政策启示。这一部分归纳本研究的重要结论和观点,并对提高用水者协会的有效运行提出具体政策建议,包括进一步做好宣传工作,增强参与意识,以水资源供给完全成本为基础,建立合理的水价调节机制,降低路径依赖和机会主义行为,降低协会的管理成本,多渠道解决协会的运行经费问题,给予协会更多的权利,加大支持力度,保障协会的健康发展。
Though the water resource of our country is abundant, ranking the sixth place in the world, but the occupancy volume per capita is insufficient, it is only 1/4 of the world standard and it is one of 13 countries which lack of water. Water resource shortage has already become the important restriction factors of economic society and production's development, especially for the agriculture which costs 80 percent of the total amount of the water resource in China. We solve the shortage problem of water resource with the aid of the project and technology means traditionally, but it is uneconomical to invest newly-built project because of the shortage of the resource. In fact, the mismanagement of irrigation water is also one of the most important reasons causing water shortage. Therefore, use and management of irrigation water has been increasingly attached importance to. From the experience of other countries, if want to change this situation and achieve healthy cycle for the agricultural water supply, the water users must participate in the irrigation management in terminal canal system.In other words, must push the participatory irrigation management. So eatablishing the water user association (WUA) in terminal canal system in irrigation districts is the direction and main model of participatory irrigation management.
The thesis summarizes domestic and overseas correlative research findings completely and systematically, and scientifically directed by such theories as institution economics, economics of property rights, econometrics and game theory, together with ration and qualitative research, we analyze the motivation and benefits of participatory irrigation management system which with a core of water user association, also the internal operating mechanism of farmers' participation into management is analyzed theoretically, to find the causes of its sustaining and stable operation. Besides, taking the WUAs of the third agricultural irrigation project area which financed by the World Bank in inner mogolia as the examples, we analyzes the farmers' cause and desire to join in WUA and the factors which infllenced the development of WUA, and then evaluates the operation performance and problems of WUA. Finally, puts forward the concerned policy inspire, hoping to provide some references for the reform of irrigation management institution. The content and conclusion of the thesis includes the five parts as following:
The first part of the thesis consists Chapter One, Introduction, and Chapter Two, Literature Review. In this part, the author states the problem and proposed objective of the research. Past research works in the field have also been reviewed by author in this part.
The second part of the thesis, Chapter Three, is the positive study on the change and present situation of Chinese agricultural water resources management organization institution. This part mainly introduces the evolution of Chinese agricultural water resources management organization institution, and analyzes the process and present situation of participatory irrigation management in China and Inner Mongolia.
The third part of the thesis is composed of Chapter Four.In this part, the author states the motive of appearing of WUA, according to related economic theories, analyzes the underlying causes of WUA's forming. Further more, this paper systematically analyzes the profits and costs of institutional innovation of WUA,and discusses the potential benefits of establishing WUA.
The forth part is concerned with management mechanism on the effective running of WUA. It analyzes the basic contents on running and managing of WUA, and bases on the practical survey data, studies the households’bearing capacity to agricultural water fees, the result indicates that households have good psychological and economic endurance on water fees, most of WUAs still can adjust their water fees. Meanwhile, we takes the game theory to prove the possibility and conditions of WUA's constantly running. Finally, we analyzes the relationship beween government and WUA, in some sense, they are good long term partner relationship, they work coordinately to push the development of irrigation.
The fifth part: Study on the influencing factors, performance and problems of WUA's running. This part focuses on positive analysis, mainly bases on the survey data. Firstly, analyzing the farmer participatory attitude, willing and behavior tropism in the statistical description, and then applying the Logit regression model to study on the farmer's participatory behavior and its factors, disclosing the internal system of farmer’s participatory management in WUA efficiently. Secondly, the author analyzes the farmer’s inducement to join in WUA and WUA's restraint to develop, and then summarizes the performance and present problems of WUA according to actual survey situation.
The sixth part is the thesis conclusion and proposal of government.This chapter has concluded the viewpoints and the important view of research. It has suggested that the specific policy to raise the effective opearating of WUA, including doing a good job in publicity and strengthening the participative sense, reducing the path-dependent and opportunistic behavior, reducing the management cost, giving the WUA more rights , increasing support for the development of WUA and so on. Only by these means can healthy development of WUA be guaranteed.
本文在全面、系统综述国内外相关研究成果的基础上,以制度经济学、产权经济学、计量经济学、博弈论等诸多理论做为科学指导,通过定量与定性研究,在理论上分析了以用水者协会为核心的参与式灌溉管理制度形成的动因及效益,分析了用水者协会这种农民参与式管理组织的内在运行机制,以探究协会能够长期持续稳定运行的成因及条件,并以内蒙古世行三期灌溉项目区内的用水者协会为案例,分析了用水户参与用水者协会的诱因、意愿以及影响协会发展的因素,评价了用水者协会运行的绩效与问题,最后得出结论和政策建议,以期为灌溉管理制度的进一步改革提供参考依据,主要研究内容和成果如下:
1、绪论和文献回顾。本部分提出了研究问题和研究目的,介绍了研究思路、方法、内容以及可能的创新,并对前人的理论和实证研究进行了回顾。
2、我国灌溉管理组织制度的演进及现状。本部分主要介绍了我国灌溉管理组织制度的演进历程,并对中国及内蒙古的参与式灌溉管理发展过程及现状进行了较为全面的分析。
3、农民用水者协会形成的动因及制度成本收益分析。在这一部分里,阐述了用水者协会产生的动因,主要是以经济学相关理论为依据,深层次的剖析了用水者协会产生的原因,并对用水者协会形成的制度收益—成本关系进行了研究,探讨用水者协会成立的潜在效益。
4、农民用水者协会有效运行的管理机制研究。分析用水者协会运行管理的基本内容,以实践调研数据为基础,研究了农户对灌溉水费的承受能力。研究结果表明,农民对水费的心理和经济承受能力较强,大部分协会的水费还有上调的空间。同时采用博弈分析方法,证明了用水者协会持续运行的可能性及其条件,最后分析了政府与协会之间的关系,二者在某种意义上是一种合作伙伴关系,即政府可以利用农民用水者协会实现其各项政策目标,而农民用水者协会的运行与发展需要政府的支持,两者互相配合共同促进灌溉事业的发展。
5、农民用水者协会运行的影响因素、绩效及存在问题研究。本部分着重实证分析研究,主要以实地调研数据为基础。首先对农户的参与态度、参与意愿及行为取向进行了描述性统计分析,然后运用Logit模型对农户参与行为进行了实证研究,以揭示农户有效参与用水者协会的内在机理。其次,对用水农户加入用水者协会的诱因以及制约用水者协会持续发展的因素进行了分析,并根据实地调研情况总结出了协会运行的绩效以及目前存在的问题等。
6、结论与政策启示。这一部分归纳本研究的重要结论和观点,并对提高用水者协会的有效运行提出具体政策建议,包括进一步做好宣传工作,增强参与意识,以水资源供给完全成本为基础,建立合理的水价调节机制,降低路径依赖和机会主义行为,降低协会的管理成本,多渠道解决协会的运行经费问题,给予协会更多的权利,加大支持力度,保障协会的健康发展。
Though the water resource of our country is abundant, ranking the sixth place in the world, but the occupancy volume per capita is insufficient, it is only 1/4 of the world standard and it is one of 13 countries which lack of water. Water resource shortage has already become the important restriction factors of economic society and production's development, especially for the agriculture which costs 80 percent of the total amount of the water resource in China. We solve the shortage problem of water resource with the aid of the project and technology means traditionally, but it is uneconomical to invest newly-built project because of the shortage of the resource. In fact, the mismanagement of irrigation water is also one of the most important reasons causing water shortage. Therefore, use and management of irrigation water has been increasingly attached importance to. From the experience of other countries, if want to change this situation and achieve healthy cycle for the agricultural water supply, the water users must participate in the irrigation management in terminal canal system.In other words, must push the participatory irrigation management. So eatablishing the water user association (WUA) in terminal canal system in irrigation districts is the direction and main model of participatory irrigation management.
The thesis summarizes domestic and overseas correlative research findings completely and systematically, and scientifically directed by such theories as institution economics, economics of property rights, econometrics and game theory, together with ration and qualitative research, we analyze the motivation and benefits of participatory irrigation management system which with a core of water user association, also the internal operating mechanism of farmers' participation into management is analyzed theoretically, to find the causes of its sustaining and stable operation. Besides, taking the WUAs of the third agricultural irrigation project area which financed by the World Bank in inner mogolia as the examples, we analyzes the farmers' cause and desire to join in WUA and the factors which infllenced the development of WUA, and then evaluates the operation performance and problems of WUA. Finally, puts forward the concerned policy inspire, hoping to provide some references for the reform of irrigation management institution. The content and conclusion of the thesis includes the five parts as following:
The first part of the thesis consists Chapter One, Introduction, and Chapter Two, Literature Review. In this part, the author states the problem and proposed objective of the research. Past research works in the field have also been reviewed by author in this part.
The second part of the thesis, Chapter Three, is the positive study on the change and present situation of Chinese agricultural water resources management organization institution. This part mainly introduces the evolution of Chinese agricultural water resources management organization institution, and analyzes the process and present situation of participatory irrigation management in China and Inner Mongolia.
The third part of the thesis is composed of Chapter Four.In this part, the author states the motive of appearing of WUA, according to related economic theories, analyzes the underlying causes of WUA's forming. Further more, this paper systematically analyzes the profits and costs of institutional innovation of WUA,and discusses the potential benefits of establishing WUA.
The forth part is concerned with management mechanism on the effective running of WUA. It analyzes the basic contents on running and managing of WUA, and bases on the practical survey data, studies the households’bearing capacity to agricultural water fees, the result indicates that households have good psychological and economic endurance on water fees, most of WUAs still can adjust their water fees. Meanwhile, we takes the game theory to prove the possibility and conditions of WUA's constantly running. Finally, we analyzes the relationship beween government and WUA, in some sense, they are good long term partner relationship, they work coordinately to push the development of irrigation.
The fifth part: Study on the influencing factors, performance and problems of WUA's running. This part focuses on positive analysis, mainly bases on the survey data. Firstly, analyzing the farmer participatory attitude, willing and behavior tropism in the statistical description, and then applying the Logit regression model to study on the farmer's participatory behavior and its factors, disclosing the internal system of farmer’s participatory management in WUA efficiently. Secondly, the author analyzes the farmer’s inducement to join in WUA and WUA's restraint to develop, and then summarizes the performance and present problems of WUA according to actual survey situation.
The sixth part is the thesis conclusion and proposal of government.This chapter has concluded the viewpoints and the important view of research. It has suggested that the specific policy to raise the effective opearating of WUA, including doing a good job in publicity and strengthening the participative sense, reducing the path-dependent and opportunistic behavior, reducing the management cost, giving the WUA more rights , increasing support for the development of WUA and so on. Only by these means can healthy development of WUA be guaranteed.
引文
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