农业节水技术补偿机制研究
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摘要
水资源是人类生存、生产和生活最基本的生产资料。中国是世界上13个人均水资源最为短缺的国家之一，水资源供需矛盾突出。农业是我国的用水大户，但目前我国的农业灌溉水利用系数平均仅约为0.45，与先进国家农业灌溉水利用系数的0.7-0.8相差甚远。发展农业节水事业，推广农业节水技术，提高有效灌溉率，是有效缓解农业水资源供需矛盾、确保我国粮食安全、加快转变经济发展方式、提高有效灌溉率以及提高农业防灾抗灾能力的重要手段。农业节水意义重大，农业节水技术可行，党和国家对农业节水工作高度重视，然而位于需求终端的农业节水技术使用者——农户却因无力承担高昂的成本而缺乏积极性，灌区水管单位亏损现象普遍存在，更无力投入大笔资金改善灌区骨干工程老化失修严重、功能衰减、灌区续建配套与节水改造投入不足的现状。此外，节水改造降低了农户灌溉用水量，导致灌区农业水费收入下降，灌区水管单位也缺乏推行农业节水技术的积极性。节水农业是一项社会公益性很强的事业，其产生的社会效益、生态效益与经济效益同等重要。因此，必须通过制度创新的手段建立一套推进农业节水技术发展的补偿机制，协调各主体之间的利益，实现效率与公平的兼顾。
基于以上研究背景和现阶段农业节水技术广泛推行的实际需要，本文以农业节水技术补偿机制为研究对象，运用经济外部性理论、公共物品理论、利益相关者理论以及福利经济学等理论，结合第一手实证数据和统计数据，采用描述性统计方法、MNL计量模型方法、博弈论、基于福利经济学的EDM测算方法以及案例分析法，构建了以农业节水技术补偿利益主体、农业节水技术补偿标准测算以及农业节水技术补偿基金来源为核心内容的补偿机制分析框架，并分析了农业节水技术使用主体意愿及影响因素，最终为建立健全我国农业节水技术补偿机制提供了有效且现实可行的政策建议。
研究结论如下：
第一，结合农业节水技术补偿的相关理论对农业节水技术补偿的实质性问题剖析可见，经济外部性理论为农业节水技术外部性内部化提供了两种解决思路，即基于庇古理论的政府供给和基于科斯理论的市场机制；农业节水技术不同的公共物品属性决定了其不同的生产提供方式；利益相关者理论有助于识别农业节水技术补偿机制中各利益主体扮演的角色；福利经济学理论结合EDM方法从理论上丰富并从实践中得出了农业节水技术补偿标准。
第二，基于利益相关者分析理论，明晰农业节水技术提供建设当中所涉及到的各个利益主体以及各利益主体的利益诉求，说明了利益主体在补偿机制中所扮演的角色，指出政府作为公共需要的提供者以及农业节水的最大受益者是首要的补偿主体。同时，采用博弈论分析方法剖析了农业节水治理过程中的利益主体之间的主要利益关系，并引入了解决利益冲突的激励机制，即建立补偿制度。此外，得出实行农业节水技术补偿机制推行农业节水技术应注意采取相关激励措施如明确农业水权、建立水权及水市场、允许水权交易，明晰农业节水工程产权以及改革农业水价等。
第三，立足于农业节水技术使用主体亦即农业节水技术补偿客体——农户的视角，分析调查了农户使用农业节水技术的意愿及其影响因素。以宁夏回族自治区盐池、平罗、沙坡头等三县区调研数据为据，发现246户农户中，愿意使用农业节水技术的农户145户，所占比重最大，为59%；其次是不愿意使用农业节水技术的农户有63户，占调查样本的26%；其余38户持无所谓的态度，占比15%。通过描述性统计分析以及建立MNL计量模型，对显著性影响因素及不显著性影响因素进行了测算及解释，其中户主年龄、农户对农业节水的认识及对节水灌溉设备补偿的满意度、土壤质地、农业水费征收方式对对农户使用节水技术的意愿有显著影响。研究认为应向有利于节水的方向调整农业水费征收方式如按流量征收，做好节水灌溉设备补偿，加强农业节水技术宣传提高农民节水意识以及考虑当地自然资源禀赋以推行农业节水技术。据此验证了建立农业节水技术补偿的重要性，并对农业节水技术补偿的政策保障有所启示。
第四，引入基于福利经济学的经典EDM模型，弥补了当前研究中因忽略消费者受益，缺乏对社会福利影响进行全面测算的不足。通过经典EDM模型测算发现，农业节水技术投入使得生产者剩余、消费者剩余以及社会总剩余全面增加，社会福利变化在产品市场上的消费者与生产者之间分配，缺乏弹性的一方往往受到的影响大于富有弹性的一方，根据消费者剩余及生产者剩余获益的程度，消费者对农业节水技术投入的付费份额为εp/(εp+ηp)，生产者应付份额为ηp/(εp+ηp)。明确补偿标准之外，政府应逐步建立并完善水权交易市场，使得农民能够自由出售节约下来的水资源并从中获益，从而激发农民投资农业节水技术、发展农业节水事业的积极性与主动性。
第五，解答了农业节水技术补偿资金的来源问题，主要来自政府、市场、社会以及三者相结合构成的途径。具体包括公共财政投入、培育节水资本市场、市场交易投入、社会建设资金等渠道。
第六，为保障农业节水技术补偿的顺利实施，结合国外经验及国内现状，本研究从建立完善水权及水市场、健全农业节水投入方式、改革农村水利设施管理体制、制定合理的水价政策、健全农业节水科研推广机制及建立并完善农业节水技术补偿基金等方面提出全面推进农业节水技术补偿机制的实施。
Water resource is the most basic means of production of the human survival, productionand life. China is one of the thirteen countries facing the most serious water shortage problemin the world. It has the apparent conflict between water supply and demand. Agriculture is themajor water users in China. The average utilization coefficient of agricultural water is onlyabout0.45, which falls far behind of the developed countries of0.7-0.8. Promotingagricultural water-saving technology to develop agricultural water saving industry is aneffective way to ease the contradiction between supply and demand of agricultural waterresources, ensure food security in China, accelerate the transformation of economicdevelopment, improve the agricultural water efficiency as well as to improve the ability ofagricultural disaster prevention and resilience. Agricultural water-saving is significant withthe feasible technology, and China government also attaches great importance to it. However,the agricultural water-saving technology demand for the terminal users, that is the farmers,can not afford the high cost and express indifferent attitude. Additionally, the irrigationdistrict water management department loss is widespread, resulted in be less able to investlarge sums of money to improve aging disrepair severe and attenuation function of irrigationbackbone projects. And also with the deficit input, they can not renovate the irrigationdistricts. Additionally, water-saving transformation reduces the irrigation water use amount,led to the decline in water revenues of the irrigation area. Then, the department of irrigationwater is also lack of enthusiasm to implement agricultural water-saving technology.
Water-saving agriculture is one of the strong social welfare industries. It generates social,ecological and economic benefits, which are equally important. Therefore, a compensationmechanism should be established by institutional innovation means to promote agriculturalwater-saving technology development and coordination between the main body of interests toachieve efficiency and fairness balanced.
Considering the actual needs of widespread implementation of agricultural water-savingtechnology nowadays and the research background above, with the economic theory ofexternalities, public goods theory, stakeholder theory and welfare economics and otherdisciplines theory, this work studies the agricultural water-saving technologies compensationmechanism as the research object. Also, the study adopts the detail methods of descriptive statistics, MNL measurement model, game theory, EDM calculation method based on welfareeconomics and the case analysis to analyze the first-hand empirical data. It constructs ananalytical framework with the core contents including the stakeholders’ identification ofagricultural water-saving technologies compensation mechanism, compensation standardestimation of agricultural water-saving technology and the sources of agriculturalwater-saving technology compensation fund. It also points out the willingness and the maininfluencing factors of the agricultural water-saving technology body. And it finally proposessome effective and realistic policy recommendations to establish and improve China'sagricultural water-saving technology compensation mechanism.
The conclusions of this study are as follows:
Firstly, the substantive issues of agricultural water-saving technologies compensationwith the combination of the compensation theories is analyzed, which could be understoodbelow. Economic externality theory provides two solutions for agricultural water-savingtechnology to internalize the externalities. It includes Pigouvian Theory to form government–based supply and Coase's Theory to form market-based mechanisms. Different public goodsattributes of agricultural water-saving technologies determine the different production method.Stakeholder theory is useful to identify the role of various stakeholders in the agriculturalwater-saving technology compensation mechanism. EDM method based on welfareeconomics theory theoretically and positively enriches the water-saving technologycompensation standard.
Secondly, with the analysis of stakeholder theory, the various stakeholders involved aswell as their detail interests and the role they played in the compensation mechanism can beclear. Government as the public goods provider and the biggest beneficiaries of agriculturalwater-saving should be the primary compensation body. At the same time, game theory isused to analyze the main relationship between the stakeholders of agricultural water-savinggovernance, and the incentive to resolve conflicts of interest is introduced, that is, to establishthe compensation system. In addition, the relevant incentives such as clear agricultural waterrights and establish water markets with the trading of water rights, clear agricultural waterconservation projects property rights and reform agricultural water price should be adopted toimplement agricultural water-saving technology compensation mechanism.
Thirdly, on the perspective of agricultural water-saving technology users also as thecompensation object, the farmers’ willingness of using agricultural water-saving technologyand the influencing factors are analyzed. Based on the investigation in the three areasincluding Yanchi, Pingluo and Shapotou of Ningxia Hui Autonomous Region, it is found outthat59%of farmers, the largest share that is145farmers to246farmers are willing to adopt the agricultural water-saving technology, followed by the63farmers who is reluctant to,accounting for26%of the survey sample; the remaining38farmers hold indifferent attitude,accounting for15%. Descriptive statistical analysis and the establishment of the MNLmeasurement model calculate and interpret the significant influencing factors andnon-significant influencing factors. The results indicate that the factors of the age ofhousehold head, the realization of farmers on agricultural water conservation, the satisfactionof water-saving irrigation equipment compensation, soil texture and the way of collectingagricultural water tariff have significant influence on the willingness of farmers to usewater-saving technology. The study points out the methods which are conducive toreorientation of water-saving, including the collection method imposed by water amount,strengthen the compensation of water-saving irrigation equipment and the propaganda ofagricultural water-saving technology to improve farmers' awareness of saving water as well astaking into account local natural resource endowment to the implementation of the agriculturesection water technology. Therefore, the importance of the establishment the compensationmechanism of agricultural water-saving technology and the inspiration for the compensationpolicy protection of agricultural water-saving technology could be verified.
Fourthly, this study introduces classic EDM model based on welfare economics.Comparatively, the current study is not perfect for lacking of comprehensive estimation of theimpact on social welfare which ignored consumer benefit. The Classic EDM modelcalculations indicate agricultural water-saving technology investment increased the producersurplus, consumer surplus, and the overall social surplus. The change of the social welfarecaused by the policy implementation allocates between consumers and producers, the moreimpact will be bear by the less elasticity side. According to the compensation principle of“who benefits and who compensates” and input-output, the welfare distribution of totalsurplus from agricultural water conversation input between producers and consumersdetermines the cost share of agricultural water conversation projects between differentsubjects, also the basic compensation standard. Therefore, consumers should pay the share ofεp/(εp+ηp)to invest in agricultural water-saving technologies, the producers should pay theshare of ηp/(εp+ηp). Besides the compensation standard, a perfect water market built isparticularly important for farms to trade their saved water and increase income, also arousetheir enthusiasm to develop agricultural water conversation.
Fifthly, the problem of the sources of compensation funds to adopt agriculturalwater-saving technology is answered, of which mainly from the government, market, social aswell as a combination of the three constitute ways. In detail, it includes the input of publicfinancial money, water-saving capital markets fostered, the investment from market transactions and social construction funds.
Sixthly, in order to safeguard the smooth adoption of the compensation mechanism ofagricultural water-saving technology, combined with the foreign experience and domesticsituation, this study proposes the ways including perfect water rights and water markets, andexpand agricultural water-saving investment means, reform the management system of ruralwater conservancy facilities, formulate reasonable water pricing policies, improve agriculturalwater conservation research and promotion mechanisms and establish ‘AgriculturalWater-saving Technologies Compensation Fund’ to promote agricultural water-savingtechnology compensation mechanism.
基于以上研究背景和现阶段农业节水技术广泛推行的实际需要，本文以农业节水技术补偿机制为研究对象，运用经济外部性理论、公共物品理论、利益相关者理论以及福利经济学等理论，结合第一手实证数据和统计数据，采用描述性统计方法、MNL计量模型方法、博弈论、基于福利经济学的EDM测算方法以及案例分析法，构建了以农业节水技术补偿利益主体、农业节水技术补偿标准测算以及农业节水技术补偿基金来源为核心内容的补偿机制分析框架，并分析了农业节水技术使用主体意愿及影响因素，最终为建立健全我国农业节水技术补偿机制提供了有效且现实可行的政策建议。
研究结论如下：
第一，结合农业节水技术补偿的相关理论对农业节水技术补偿的实质性问题剖析可见，经济外部性理论为农业节水技术外部性内部化提供了两种解决思路，即基于庇古理论的政府供给和基于科斯理论的市场机制；农业节水技术不同的公共物品属性决定了其不同的生产提供方式；利益相关者理论有助于识别农业节水技术补偿机制中各利益主体扮演的角色；福利经济学理论结合EDM方法从理论上丰富并从实践中得出了农业节水技术补偿标准。
第二，基于利益相关者分析理论，明晰农业节水技术提供建设当中所涉及到的各个利益主体以及各利益主体的利益诉求，说明了利益主体在补偿机制中所扮演的角色，指出政府作为公共需要的提供者以及农业节水的最大受益者是首要的补偿主体。同时，采用博弈论分析方法剖析了农业节水治理过程中的利益主体之间的主要利益关系，并引入了解决利益冲突的激励机制，即建立补偿制度。此外，得出实行农业节水技术补偿机制推行农业节水技术应注意采取相关激励措施如明确农业水权、建立水权及水市场、允许水权交易，明晰农业节水工程产权以及改革农业水价等。
第三，立足于农业节水技术使用主体亦即农业节水技术补偿客体——农户的视角，分析调查了农户使用农业节水技术的意愿及其影响因素。以宁夏回族自治区盐池、平罗、沙坡头等三县区调研数据为据，发现246户农户中，愿意使用农业节水技术的农户145户，所占比重最大，为59%；其次是不愿意使用农业节水技术的农户有63户，占调查样本的26%；其余38户持无所谓的态度，占比15%。通过描述性统计分析以及建立MNL计量模型，对显著性影响因素及不显著性影响因素进行了测算及解释，其中户主年龄、农户对农业节水的认识及对节水灌溉设备补偿的满意度、土壤质地、农业水费征收方式对对农户使用节水技术的意愿有显著影响。研究认为应向有利于节水的方向调整农业水费征收方式如按流量征收，做好节水灌溉设备补偿，加强农业节水技术宣传提高农民节水意识以及考虑当地自然资源禀赋以推行农业节水技术。据此验证了建立农业节水技术补偿的重要性，并对农业节水技术补偿的政策保障有所启示。
第四，引入基于福利经济学的经典EDM模型，弥补了当前研究中因忽略消费者受益，缺乏对社会福利影响进行全面测算的不足。通过经典EDM模型测算发现，农业节水技术投入使得生产者剩余、消费者剩余以及社会总剩余全面增加，社会福利变化在产品市场上的消费者与生产者之间分配，缺乏弹性的一方往往受到的影响大于富有弹性的一方，根据消费者剩余及生产者剩余获益的程度，消费者对农业节水技术投入的付费份额为εp/(εp+ηp)，生产者应付份额为ηp/(εp+ηp)。明确补偿标准之外，政府应逐步建立并完善水权交易市场，使得农民能够自由出售节约下来的水资源并从中获益，从而激发农民投资农业节水技术、发展农业节水事业的积极性与主动性。
第五，解答了农业节水技术补偿资金的来源问题，主要来自政府、市场、社会以及三者相结合构成的途径。具体包括公共财政投入、培育节水资本市场、市场交易投入、社会建设资金等渠道。
第六，为保障农业节水技术补偿的顺利实施，结合国外经验及国内现状，本研究从建立完善水权及水市场、健全农业节水投入方式、改革农村水利设施管理体制、制定合理的水价政策、健全农业节水科研推广机制及建立并完善农业节水技术补偿基金等方面提出全面推进农业节水技术补偿机制的实施。
Water resource is the most basic means of production of the human survival, productionand life. China is one of the thirteen countries facing the most serious water shortage problemin the world. It has the apparent conflict between water supply and demand. Agriculture is themajor water users in China. The average utilization coefficient of agricultural water is onlyabout0.45, which falls far behind of the developed countries of0.7-0.8. Promotingagricultural water-saving technology to develop agricultural water saving industry is aneffective way to ease the contradiction between supply and demand of agricultural waterresources, ensure food security in China, accelerate the transformation of economicdevelopment, improve the agricultural water efficiency as well as to improve the ability ofagricultural disaster prevention and resilience. Agricultural water-saving is significant withthe feasible technology, and China government also attaches great importance to it. However,the agricultural water-saving technology demand for the terminal users, that is the farmers,can not afford the high cost and express indifferent attitude. Additionally, the irrigationdistrict water management department loss is widespread, resulted in be less able to investlarge sums of money to improve aging disrepair severe and attenuation function of irrigationbackbone projects. And also with the deficit input, they can not renovate the irrigationdistricts. Additionally, water-saving transformation reduces the irrigation water use amount,led to the decline in water revenues of the irrigation area. Then, the department of irrigationwater is also lack of enthusiasm to implement agricultural water-saving technology.
Water-saving agriculture is one of the strong social welfare industries. It generates social,ecological and economic benefits, which are equally important. Therefore, a compensationmechanism should be established by institutional innovation means to promote agriculturalwater-saving technology development and coordination between the main body of interests toachieve efficiency and fairness balanced.
Considering the actual needs of widespread implementation of agricultural water-savingtechnology nowadays and the research background above, with the economic theory ofexternalities, public goods theory, stakeholder theory and welfare economics and otherdisciplines theory, this work studies the agricultural water-saving technologies compensationmechanism as the research object. Also, the study adopts the detail methods of descriptive statistics, MNL measurement model, game theory, EDM calculation method based on welfareeconomics and the case analysis to analyze the first-hand empirical data. It constructs ananalytical framework with the core contents including the stakeholders’ identification ofagricultural water-saving technologies compensation mechanism, compensation standardestimation of agricultural water-saving technology and the sources of agriculturalwater-saving technology compensation fund. It also points out the willingness and the maininfluencing factors of the agricultural water-saving technology body. And it finally proposessome effective and realistic policy recommendations to establish and improve China'sagricultural water-saving technology compensation mechanism.
The conclusions of this study are as follows:
Firstly, the substantive issues of agricultural water-saving technologies compensationwith the combination of the compensation theories is analyzed, which could be understoodbelow. Economic externality theory provides two solutions for agricultural water-savingtechnology to internalize the externalities. It includes Pigouvian Theory to form government–based supply and Coase's Theory to form market-based mechanisms. Different public goodsattributes of agricultural water-saving technologies determine the different production method.Stakeholder theory is useful to identify the role of various stakeholders in the agriculturalwater-saving technology compensation mechanism. EDM method based on welfareeconomics theory theoretically and positively enriches the water-saving technologycompensation standard.
Secondly, with the analysis of stakeholder theory, the various stakeholders involved aswell as their detail interests and the role they played in the compensation mechanism can beclear. Government as the public goods provider and the biggest beneficiaries of agriculturalwater-saving should be the primary compensation body. At the same time, game theory isused to analyze the main relationship between the stakeholders of agricultural water-savinggovernance, and the incentive to resolve conflicts of interest is introduced, that is, to establishthe compensation system. In addition, the relevant incentives such as clear agricultural waterrights and establish water markets with the trading of water rights, clear agricultural waterconservation projects property rights and reform agricultural water price should be adopted toimplement agricultural water-saving technology compensation mechanism.
Thirdly, on the perspective of agricultural water-saving technology users also as thecompensation object, the farmers’ willingness of using agricultural water-saving technologyand the influencing factors are analyzed. Based on the investigation in the three areasincluding Yanchi, Pingluo and Shapotou of Ningxia Hui Autonomous Region, it is found outthat59%of farmers, the largest share that is145farmers to246farmers are willing to adopt the agricultural water-saving technology, followed by the63farmers who is reluctant to,accounting for26%of the survey sample; the remaining38farmers hold indifferent attitude,accounting for15%. Descriptive statistical analysis and the establishment of the MNLmeasurement model calculate and interpret the significant influencing factors andnon-significant influencing factors. The results indicate that the factors of the age ofhousehold head, the realization of farmers on agricultural water conservation, the satisfactionof water-saving irrigation equipment compensation, soil texture and the way of collectingagricultural water tariff have significant influence on the willingness of farmers to usewater-saving technology. The study points out the methods which are conducive toreorientation of water-saving, including the collection method imposed by water amount,strengthen the compensation of water-saving irrigation equipment and the propaganda ofagricultural water-saving technology to improve farmers' awareness of saving water as well astaking into account local natural resource endowment to the implementation of the agriculturesection water technology. Therefore, the importance of the establishment the compensationmechanism of agricultural water-saving technology and the inspiration for the compensationpolicy protection of agricultural water-saving technology could be verified.
Fourthly, this study introduces classic EDM model based on welfare economics.Comparatively, the current study is not perfect for lacking of comprehensive estimation of theimpact on social welfare which ignored consumer benefit. The Classic EDM modelcalculations indicate agricultural water-saving technology investment increased the producersurplus, consumer surplus, and the overall social surplus. The change of the social welfarecaused by the policy implementation allocates between consumers and producers, the moreimpact will be bear by the less elasticity side. According to the compensation principle of“who benefits and who compensates” and input-output, the welfare distribution of totalsurplus from agricultural water conversation input between producers and consumersdetermines the cost share of agricultural water conversation projects between differentsubjects, also the basic compensation standard. Therefore, consumers should pay the share ofεp/(εp+ηp)to invest in agricultural water-saving technologies, the producers should pay theshare of ηp/(εp+ηp). Besides the compensation standard, a perfect water market built isparticularly important for farms to trade their saved water and increase income, also arousetheir enthusiasm to develop agricultural water conversation.
Fifthly, the problem of the sources of compensation funds to adopt agriculturalwater-saving technology is answered, of which mainly from the government, market, social aswell as a combination of the three constitute ways. In detail, it includes the input of publicfinancial money, water-saving capital markets fostered, the investment from market transactions and social construction funds.
Sixthly, in order to safeguard the smooth adoption of the compensation mechanism ofagricultural water-saving technology, combined with the foreign experience and domesticsituation, this study proposes the ways including perfect water rights and water markets, andexpand agricultural water-saving investment means, reform the management system of ruralwater conservancy facilities, formulate reasonable water pricing policies, improve agriculturalwater conservation research and promotion mechanisms and establish ‘AgriculturalWater-saving Technologies Compensation Fund’ to promote agricultural water-savingtechnology compensation mechanism.
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