国际河流水电合作开发投资—效益分配模式及特征

水与能源安全是全球可持续发展最为核心的问题,其在国际河流区尤为复杂和敏感。中国作为亚洲乃至全球最为重要的上游国,国际河流水资源变化、水电开发影响及跨境水安全维护等,虽受关注,但研究基础较为薄弱。判识出1937-2010年全球国际河流水电合作开发的32个案例,综合分析其开发方式,揭示其投资—效益分配模式与特征。结果表明：① 水电合作开发以河段和双边合作开发为主,缺乏流域层面的合作,形成了投资—效益等比分配、平均分配和差异分配三种模式。② 跨境型河流水电合作的投资—效益分配以等比分配为主,上游国通过向下游国提供发电用水分享其发电效益,下游国则通过补偿上游国的方式推动合作;界河（含界河段）的水电合作开发以平均分配为主。③ 不同发展时期的分配模式差异较明显: 1950年代前以平均分配和等比分配为主;1950-1980年代以平均分配为主;1990年代以后,因案例太少,主要分配模式难以确定。④ 经济发展水平相当的合作国家间主要采用平均分配模式;经济发展水平存在差异的国家间则兼顾采用等比分配和差异分配模式,并实施了更多的补偿措施。

Modes and characteristics of cost-benefit apportionment involved in hydropower cooperation cases on international rivers

Water and energy security are key issues in the sustainable development, which are also complex and sensitive in studies on international rivers. China is the most important upstream state in Asia, and even in the world. Its water resource change, impacts of hydropower development and trans-boundary water security maintenance of international rivers, are paid attention but with weak research. Under the rapidly expanding situation of hydropower developments on the international rivers within or beyond the borders by Chinese companies, characteristics, modes and experiences are urgently needed to be understood in spite of the relative cases in the world. After 32 hydropower cooperative cases with cost-benefit apportionments on 16 international rivers located in 5 continents in 1937-2010 are verified, the modes and characteristics of cost-benefit apportionments can be discovered based on detailed analysis of the cooperative schemes, the main results are: (1) hydropower cases are mainly developed on the reaches of international rivers and between two riparian countries, without cooperation at the river basin level, 3 types of cost-benefit apportionment modes are formed as equal ratio cost-benefit apportionment, equal one and unequal one; (2) on the cross-border rivers, the mode of equal ratio cost-benefit apportionment is the major one, upper-stream states can share the benefits from down-stream ones' power generation due to their water contribution for power generation, down-stream states usually should supply compensation to upper-stream ones in order to get their cooperation; on the frontier rivers/reaches, the mode of equal cost-benefit apportionment is the basic one; (3) the major apportionment modes have obvious differences among different developing phases, the major modes are equal one, and equal ratio one until the 1950s, equal apportionment is the basic mode in the 1950s-1990s, the major modes cannot be determined after the 1990s because of the limited cases; (4) the mode of equal apportionment is mainly used between the states with similar economic level; the states with a certain and big economic gap mainly use the ones of equal ratio one, and unequal one, and among which most of the cases are implemented with compensation schemes.