三条红线刚性约束下流域初始水权分配模式与优化分配模型研究

Clearing the initial water rights is the effective way to implement the most stringent water management system, and it's an important policy guidance of Water Administrative Department of the Chinese government. The research literatures' theoretical thought of initial water rights allocation is developing water rights allocation system and model, to allocate water rights by hierarchy, based on the allocation principles and coordinated discussion mechanism. The research literatures' theoretical thought didn't consider the high transaction cost factors and lacked operability in reality. This project is to improve the allocation method of initial water rights in the river basin, and to promote optimal allocation of initial water rights with thinking innovation and policy design, based on the rigid constraints of three "red lines" with water resources management. This research puts forward initial water rights allocation mode and innovative ideas, adapted to China's national conditions and hydrologic characteristics, to identify priority sequence and unit level of water rights allocation, and clear water rights allocation rules and principles, according to the potential cost-benefit comparison of water rights allocation. Then, this research develops unit levels' diagnostic criteria and model of water rights allocation, based on the idea of three steps for of "pre-allocated theme of allocation mode- the diagnosis of pre-allocated theme - optimal allocation theme of political democratic consultation mechanism. And empirical application in the Yellow River basin tests the feasibility of the new ideas and new methods. This research recommends corresponding water rights system design and implementation method, to provide valuable reference of the theory and policy for Water Administrative Department of the Chinese government.

明晰初始水权是落实最严格水资源管理制度的有效途径，已成为中国政府水管理部门的一项重要政策导向。现有的初始水权分配研究文献，通常都是基于分配原则与协商研讨机制，开发水权分配体系和模型，按照层级结构对水权“一分到底”的理论思路，基本都没有考虑现实中高昂的交易成本因素，缺乏可操作性。本项目旨在探讨在水资源管理“三条红线”刚性约束下，如何通过思路创新和政策设计，完善流域初始水权分配方法。本项目创新提出与中国国情、水情特点相适应的初始水权分配模式，根据水权分配的潜在成本收益对比，判别水权分配的优先序位与分配单元层次，明确水权分配规则与原则。采用“基于分配模式的预分配—预分配诊断—基于政治民主协商机制的优化分配”的“三步走”思路，发展水权分配单元的诊断准则与分配模型。然后实证应用于黄河流域，以检验新思路和新方法的可行性，并推荐相应的制度设计与组织实施办法，为有关政府管理部门提供有价值的理论和政策参考。

完善我国水权制度建设，推进初始水权分配实践，强化水权管理，是有效解决水权群体利益冲突、推进国家水治理体系与治理能力现代化的迫切要求。现状水权按照“流域—省区—市区—县区—用户”层级制度结构进行配置的操作模式，虽然节约了高昂的合作成本，但是以付出较高的管理成本为代价。因此，必须加快创新初始水权分配模式、构建初始水权优化分配模型，以指导我国初始水权配置实践工作，从而既能够体现公平分水、保障提高用水效率和综合效益，又能够有效降低水权管理成本。为此，首先，创新提出了与中国国情、水情特点相适应的初始水权分配模式，即创新提出了初始水权分配的理念与思路、构建了“最优分配单元”体系、判别确认了水权分配的优先序位与分配单元层次，明确了水权分配规则与原则。然后，采用了“基于分配模式的预分配—预分配诊断—基于政治民主协商机制的优化分配”的“三步走”思路，发展水权分配单元的诊断准则与分配模型。主要包括构建了“最优分配单元”体系的预分配模型，建立了初始水权预分配的公平性判别、效率性判别、以及协调性判别的准则和模型，提出了初始水权分配协商机制、初始水权分配的协商博弈机理与潜在收益成本，构建了基于政治民主协商机制的初始水权优化分配。最后，将构建的水权分配单元的诊断准则与分配模型实证应用于黄河流域，检验了新思路和新方法的可行性，并推荐了相应的制度设计与组织实施办法，提出了黄河流域初始水权分配实施方案的制度保障，为有关政府管理部门提供有价值的理论和政策参考。