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。     

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。     

澜沧江—湄公河流域的水资源及其开发利用现状分析

世界大河澜沧江—湄公河流跨亚洲中国、老挝、泰国、柬埔寨、越南和缅甸６ 国, 是亚洲第一国际大河。流域内有多种气候区和地理环境,其水文特征和水资源分布地域差异极大。文中着重对该区流域内的河川径流特征和水资源时空分布规律进行全面的分析,同时对该区流域内的水资源利用现状及其影响进行初步分析。为国际河流的国际合作开发和流域内水资源的可持续利用提供最基本的依据。     

地缘安全视角下的中国国际河流水资源开发利用

全球地缘政治竞争回潮与资源环境危机推动国际河流水资源开发利用成为影响国家地缘安全的关键变量。通过对既有文献的梳理,发现国际河流水资源开发利用在“稀缺-冲突”范式下激化流域各国的矛盾,引发的水资源冲突联合域外势力进一步作用于国家地缘安全;在地缘安全视角下,中国国际河流的水资源开发利用经历了从“弱安全化”到“强安全化”再到“去安全化”的演进;水环境治理、水量分配及水开发利益协调是水资源开发利用中的核心议题,涉及的跨境水资源污染、水权分配以及水电开发争议等问题与国家地缘安全密切相关;东北、西北及西南三大国际河流密集区水资源开发利用方式地域分异明显,在差异化的地缘环境下带来多元的地缘安全威胁;最后基于“一带一路”及“人类命运共同体”等背景对中国未来外交提出建议。     

澜沧江水资源系统变化与大湄公河次区域合作的关联分析

针对澜沧江-湄公河水资源系统变化的跨境影响这一受到国际社会,特别是下游国关注的问题,结合流域各国水需求及区域性协定之规定,对比分析澜沧江大坝建设后对径流的影响,发现：（1）年出境水量呈小幅增长趋势,总体上有利于下游水资源利用;（2）个别年份枯季出境水量明显减少的主要原因是降水少和个别电站运行失误所致,电站本质上不会对下游用水和生态产生实质性危害;（3）出境水量变化主要对下游中上段产生明显影响,越往下游影响力越小;（4）出境水质稳定。建议：尽早制定流域综合规划和国际水分配方案;合理调整水库运行方案,避免出境水量或水位的大幅变化,减少跨境负面影响,维护区域合作。     

中国国际河流水文地理研究进展

中国发育了亚洲主要的国际河流,丰富的跨境水资源在区域“水—能源—粮食—生态”安全维持中发挥着重要作用。近几十年来,受全球气候变化特别是大规模水利水电工程建设驱动,国际河流区水文及生态过程变化与跨境影响等问题备受关注。国内对这些问题的研究,重点聚焦于水文及生态过程变化规律与变化归因、跨境影响与安全风险调控,探讨跨境流域“水—能源—粮食—生态”纽带关系,构建适应全球变化的跨境水资源协调机制等方面,取得了突出的研发成效。面对全球变化影响下日益突出的跨境水安全与生态安全风险问题,国际河流的水文地理研究,更需要借助空天地一体化精准监测技术、现代空间地理信息技术和智能技术等,通过提供可量化、可参与、可公开的研发成果,更好地为国家对国际河流的合理利用与地缘合作、健康维持与风险管控、跨境水外交与环境外交等提供科学依据和决策支持。     

澜沧江—湄公河水资源合作中的水权确权考量

国际河流水资源的“权利”问题研究对于维护国家安全和地区安全、人民生计乃至全球水资源的可持续发展迫在眉睫。现代国际水权是扣除了流域生态需水和流域人口最低需水的水量,每个国家的国际水权水量份额就是水量总量乘以各自流域国家产水贡献率。水资源合作是澜湄合作的旗舰领域。如何推动澜湄水资源合作走深、走实、走远,妥善应对各种风险挑战,为区域可持续发展与共同繁荣提供有力的水安全保障,是澜湄六国面临的共同课题。倡导国际水权确权可以突出澜湄水资源合作的专业色彩、体现水合作对当地水人权的关怀、并能有效反驳“中国水威胁”论调。     

国际水法的发展趋势与中国水法体系的对比分析研究

结合当今国际河流共享淡水资源竞争利用和冲突日趋激烈的状况,通过分析国际河流法中水资源开发利用的条款及发展趋势与我国水法体系原则,认为在我国水法中存在：管理体制不严密,水资源开发利用与保护基本原则不完善,尤其缺乏与水资源紧密相关的水生生态系统保护的原则条款,提出：为加强我国共享水资源合理开发利用与保护,实现区域可持续发展,我国水法应明确规定公平合理利用等基本原则,进一步健全管理机制,加强流域整体开发规划和协调管理。     

中国国际河流研究进展及展望

我国因发育了亚洲大陆的主要国际河流而成为全球最重要的上游水道国。近30年来,在全球化趋势下,国际河流的合理利用与保护、生态变化与跨境影响、地缘合作与安全维护等,广受国际关注,成为地理、生态和地缘政治等学科交叉研究的热点。本文按“国际河流”、“跨境水资源”、“跨境生态安全”等关键词,从《地理学报》及其英文版J. Geographical Sciences中检索近30年来发表的相关文献,以此为主要依据,回顾地理学对我国国际河流研究取得的主要进展,判识存在的问题和所面临的挑战;在此基础上,结合科学发展的趋势和我国地缘合作等重大需求,展望研究前景。     

国际河流流域组织研究述评与展望

作为国际河流长期合作开发的重要保障,国际河流流域组织这一联合制度安排备受关注,但参差不齐的绩效表现致使其可行性与有效性引发学者质疑。我国拥有众多国际河流,与之相关的合作开发是中国周边外交的重要抓手,但针对上述问题的研究未能得到国内学者的足够重视。在此背景下,文章首先回顾、梳理了国际河流流域组织的定义与类型,然后重点研判其制度设计特征和有效性,并指明已有研究所面临的方法困境,最后为解开“流域组织如何促进国际河流有效合作”这一难题提出以下研究建议：1）整合国际河流流域组织有效性评价指标并进行全球范围的评价;2）探明国际河流流域组织制度类型所适用的范围与条件;3）厘清不同国际河流流域组织制度设计特征与治理有效性的关系;4）基于过程视角探求国际河流流域组织有效性达成路径;5）采用超越定性与定量研究的新方法;6）立足地缘文明激发国际河流流域组织成员国的文化认同。     

Progress in the Research on Benefit-sharing and Ecological Compensation Mechanisms for Transboundary Rivers

Transboundary rivers have important geopolitical and geo-economic connotations, but riparian states of transboundary rivers are often driven by their own rapid population growth and economic development to be-come involved in regional conflicts about the development and use of water resources. Therefore, finding a balance between the need for fair and reasonable development of water resources and the effective protection of environment from an ecological perspective has become a major problem faced by the international community. This paper begins with consideration of international water laws related to transboundary rivers and then reviews advances in the research on benefit-sharing, ecological compensation mechanisms, and adaptive management systems. We believe that existing international water laws form a complete legal system and that more attention needs to be paid to transboundary cooperation and sustainable water resource use. With respect to how transboundary water conflicts are resolved, there is a trend to move away from single water resource allocation (a zero-sum game) to benefit-sharing in order to achieve a win-win situation for riparian states, but there are still some difficulties in transboundary ecological compensation. In China, the central government has paid attention to horizontal ecological compensation between upstream and downstream, offering guidance to promote establishment of inter-province ecological compensation. Based on existing practice, horizontal ecological compensations are still in their infancy, small in scale, supported by a weak legal system, lacking market mechanisms to encourage their use and relying on fiscal transfers as the method of payment. In the future, China will need to intensify its research on legal system development, international cooperation, and benefit-sharing as these impact transboundary water resources. Because government can be seen as a management department with multiple identities (enabler, regulator and buyer), to improve adaptive transboundary ecological compensation mechanisms, government must develop as soon as possible data sharing platforms, standards of water consumption behaviors and intergovernmental policies (or ordinances).     

Research progress on international rivers in Asia

With the regional population growth, socioeconomic development, more and more attention has been paid to issues on the shared water allocation and the transboundary eco-security conservation during the development of water resources in the international rivers. In this paper, the existing major problems on transboundary waters in different sub-regions of Asia, such as water shortage, transboundary waters pollution, fragile eco-environment are discussed. Then, the key scientific issues to be concerned in the next study progress on the basis of the analyses of the new research directions and focus fields are raised: (1) unpredicted changes of the hydrologic and water system, and their impacts on the allocation of the sharing waters by global changes; (2) models of the international cooperation on the international rivers on the studies of international and national water laws or regulations, policies, the relative experiences and the case studies; (3) quantificational assessment on environmental flow, available water, and the comprehensive functions and values of the international watercourse system; (4) studies on transboundary aquatic bio-diversity maintenance, transboundary pollution supervision and treatment under the rules and principles accepted by the riparian states; (5) issues on transboundary compensation at the rules of “payments for using”, “payments for harm” and “compensation for benefit”; (6) using advanced 3S techniques to promote the integrated watershed development and management; and so on.     

亚洲国际河流研究进展

1 General situation Entering the 21st century, resource and environmental diplomacy is regarded as a new element for establishing future international patterns of cooperation. Transboundary resources and environmental issues in international river basins …     

基于河流健康及国际法的跨境水分配关键指标及阈值

基于前期研究中获得的8个河流健康主要评价指标、3个主要跨境水分配指标的结果以及指标之间的相关性,确定了河流健康和跨境水分配的关键指标：多年平均水量、最大取用水量和最小维持水量。跟踪查询《国际淡水条约数据库》内1864-2002年应用3个关键指标的38个国际条约及其所涉及28条国际河流的主要水文信息,通过对条约中水分配指标的标准化计算和分析,得到各指标阈值及其区域性特征：① 最小维持水量指标得到普遍应用,其次是多年平均水量指标,而最大取用水量指标应用率明显低于前两个指标。② 应用多年平均水量指标,在界河上基本确定了平均分配方案,阈值为50%;“内河”属性支流的阈值为100%;跨境河流上产生了较多的差额分配方案和较多的上游国用水多于下游国的方案。③ 最小维持水量指标,其应用有从发达地区向发展中地区扩展、从保证用水向维持生态用水发展的特点;当该指标在跨境和界河的河流尺度上用于保证供水时,该指标阈值平均分别为41.7%和50%,且流域国家实力对其影响极为明显,而在跨境河流河段尺度上阈值平均为36.1%;用于维持河道生态水量时,阈值平均为14.7%,并有逐步增长的趋势。     

哈萨克斯坦跨界河流国际合作问题

哈萨克斯坦是中亚地区的“大国”,与四周比邻的国家均存在跨界水体联系,有44%的地表水来自邻国。跨界河流水资源开发利用与生态环境保护问题,是涉及国家政治、经济、安全、外交大局的重大战略问题。通过分析哈国地表水分布特点,简要回顾总结了与其邻国在跨界河流方面的合作情况;对哈国所担忧的水安全问题及采取的主要对策,进行了深入剖析,并就跨界河流管理未来的合作路径、跨界河流利用未来的分水原则、哈俄跨界河流水污染未来的解决途径、中亚国家间解决咸海危机的前提条件等问题,进行了分析讨论;指出对共享水资源的管理既可以成为中亚地区和平的力量,也可能成为冲突的因素,管理这种相互依存的资源是当今国际社会面临的一项关系人类发展的重大挑战。研究哈萨克斯坦跨界河流国际合作及其对核心利益问题的观点、认识、所采取的不同策略,对于处理好中哈跨界河流问题具有积极现实意义。     

Management of transboundary water resources: lessons from international cooperation for conflict prevention

Tensions over freshwater resources may become more frequent as pressures on water resources grow due to increased demand and variability of rainfall. Conflicts may take place between or within countries or between competing sectoral users. This paper focuses on institutional approaches for enhancing cooperation between countries for sustainable development of transboundary freshwater bodies and contributing basins. It is assumed that instead of being zones of conflict, shared water resources can provide a basis for cooperation and benefit–sharing provided that threats to the international waters are recognized and collaborative structures are created. The paper draws upon experiences gained within the international waters focal area of the Global Environment Facility, the main funding mechanism for countries to support the environmental management of transboundary water resources. Lessons for promoting peaceful cooperation for environmental management, benefit–sharing and sustainable use of transboundary freshwater resources are highlighted through examples from Africa, Central Asia and Latin America. Experience shows the importance of processes that bring together all sectors and actors whose actions affect the transboundary waterbody at regional, national and local levels. The development of a science–based diagnostic analysis is essential to identify the threats to the transboundary ecosystem and to break down the issues into manageable parts with the aim of developing a strategic action programme. Ensuring political commitment that can result in institutional, policy and legal reforms in the countries concerned is the key to sustainable development of the transboundary resource.     

Transboundary water vulnerability and its drivers in China

Competitive use of transboundary freshwater resources is becoming one of the key factors influencing regional peace and political relationship among states. In China, 18 major international river basins are concentrated in three regions, of which the total annual outflow at the border is 7320×108 m3, occupying 26.8% of the total annual runoff of China, and the inflow at the border is only 172×108 m3. In this paper, we analyzed the major drivers affecting shared water vulnerability in China, namely: (1) changes in physical conditions affecting the availability of water; (2) competing objectives between economic development and ecological conservation; (3) lack of emergency response mechanisms; (4) unsound administrative institutions; and (5) shortcomings in the development of regional cooperation based on transboundary waters. We concluded by identifying four pathways for reducing vulnerability: (1) encouraging scientific research cooperation; (2) constructing information-sharing channels; (3) establishing early-warning mechanisms; and (4) promoting further coordination and negotiation.     

Research progress of international rivers in China

China possesses over 110 international rivers and lakes, among which 41 are major ones and 15 are of great importance. With the highest concentration of international rivers, the northeast, northwest and southwest regions of China enjoy abundant transboundary resources and pose complicated ecological security issues. Following the 1950s, relevant studies on international rivers fall into three periods: 1) the planned economy period of the 1950s–1980s when border development and basic research were scant; 2) the reform and opening-up period from 1980 to the end of 20th century. Along with the drive of economic globalization and regional cooperation, development of international rivers was thriving, which filled blanks in the research and narrowed gaps with international standards. Relevant studies also provided national and local governments with important scientific grounds for making decisions; 3) since the start of the 21st century, China has integrated its international river studies across sectors and across international borders. Now both government and scientific institutions pay great attention to transboundary environmental issues.     

中国国际河流研究进展

1IntroductionThe increasing momentum of economic globalization and regional geopolitical cooperation no longer stand as the major drivers of a new world order. Resource and environmental diplomacy are now regarded as new elements establishing future international patterns. Transboundary resources and environmental issues in international river basins have attracted increasing global concern and professional attention. The impact of such issues penetrates into national security, international e…