农户参与农田灌溉系统管护研究：资源禀赋、组织支持与治理绩效

To break through the dilemma of self-governance in irrigation systems, the project introduces resource endowment and organization support into analysis and on this basis explores governance performance of farmland irrigation system’s management and maintenance with farmers’ participation. The purpose of this project is trying to settle down key problems of farmers' participation in farmland irrigation system’s management and maintenance, such as incentive mechanism vacancy, path deviation and low performance, etc. Firstly, according to survey data of 2250 households in 150 villages, relative statistical data and case materials derived from 5 provinces in the Yellow River Irrigation District, the project illustrates the internal relationship among resource endowment, organization support and governance performance of management and maintenance of farmers’ participation in farmland irrigation system and explains their index system, based on a multi-dimensional theoretical framework analysis. Secondly, under the condition of farmers’ participation in management and maintenance, the project analyses maintenance status of farmland irrigation facilities using double sample selection model and bilateral constrained Tobit model; Thirdly, the project applying threshold regression and general hierarchical linear model to analyze irrigation water allocation of farmland irrigation system in the case of farmers’ participation in management and maintenance. Then, the project analyzes agricultural production efficiency of farmland irrigation system using quantile regression and heterogeneous stochastic frontier analysis. Finally, analyzes the reciprocal effect of resource endowment and organization support on governance performance using structural equation model, according to these results and several case studies the project not only proposes optimization path and policy programs of farmers' participation in farmland irrigation system management and maintenance, but also provides theoretical basis and decision-making reference for the institution innovation of management and maintenance in farmland irrigation system.

突破农田灌溉系统自主治理困境，引入资源禀赋与组织支持，探究农户参与农田灌溉系统管护的治理绩效，试图解决农户参与管护治理的激励机制缺位、路径偏差及绩效低下等关键问题。本项目以黄河灌区5省为案例，根据150个村庄2250户农户实地调研数据、相关统计数据及案例资料，在构建多维理论分析框架的基础上，阐释资源禀赋、组织支持与农户参与农田灌溉系统管护绩效的内在逻辑关系，并解析其指标体系；采用样本选择模型与双边受限的Tobit模型分析农户参与农田灌溉系统管护的设施维护状况；利用门槛回归及一般分层线性模型分析农户参与农田灌溉系统管护的灌溉用水分配；运用分位数回归及异质性随机前沿分析农户参与农田灌溉系统管护的农业生产效率。最后，运用结构方程模型分析资源禀赋和组织支持对农户参与管护绩效的交互影响，并依据案例与实证分析结果，提出农户参与管护的优化路径与政策方案，为农田灌溉系统管护制度创新提供理论依据和决策参考。

农田灌溉系统治理过程中，忽视不同资源禀赋农户需求偏好的异质性以及不同组织支持维度对农户参与治理意愿与程度的影响差异，会导致农户参与农田灌溉系统治理的路径偏差，降低农户参与治理的心理预期及个人贡献。项目组利用黄河灌区上中下游六省的农户调查数据，从社会信任、组织支持、制度能力和农户分化角度，对“农户参与农田灌溉系统管护研究：资源禀赋、组织支持与治理绩效”进行重点研究。具体成果如下：.（1）本研究创新性地从社会信任、组织支持与制度能力等多个视角出发，探索农户参与农田灌溉系统治理的内在机理，构建了农户参与农田灌溉系统治理绩效评价及其提升路径研究理论框架，为农田灌溉系统长效治理机制的探索提供了经验证据。.（2）本研究从社会信任和组织支持角度，根据集体行动理论、社会资本理论和社会交换理论等，采用有序Probit回归和结构方程模型，探析了社会信任和组织支持对农户参与农田灌溉系统治理直接绩效、间接绩效和最终绩效的影响，为中国农田灌溉系统治理的体制创新提供理论与现实依据。.（3）本研究从村庄制度能力和组织内部合作水平角度，依据公共事务治理理论、公共池塘资源理论和制度能力理论等，运用因子分析法、OLS回归、层级调节回归分析等方法探究了制度能力和合作水平对农田灌溉系统设施供给、灌溉用水秩序和综合治理绩效的影响机理，为农田灌溉系统治理提供全新视角。.（4）本研究基于社会生态系统框架，构建了农户分化、制度变迁影响基层农田灌溉系统治理绩效的理论框架，并从理论层面分析了农户分化与长效治理协调相容的可能性，提出农户分化与长效治理之间的矛盾可通过制度变迁发生扭转，为农户分化背景下村庄灌溉集体行动能力的再建构提供理论支撑。.（5）项目组发表论文共计30篇（SSCI/SCI收录的论文3篇、CSSCI收录的论文15篇、NSFC认定的A类国内期刊论文1篇、NSFC认定的B类国内期刊论文2篇、学位论文11篇）；出版学术著作2部；获得科研奖励3项；培养了20名博、硕士研究生。