Research on Horizontal Ecological Compensation Mechanisms in River Basins: Pathway Optimization Analysis Based on a Four-Party Game Model

Research on Horizontal Ecological Compensation Mechanisms in River Basins: Pathway Optimization Analysis Based on a Four-Party Game Model | Research Square window.SnipcartSettings = { analytics: { enabled: false } }; (function() { var accessVector = localStorage.getItem('access_vector') || ''; window.dataLayer = window.dataLayer || []; if (accessVector) { window.dataLayer.push({ user: { profile: { profileInfo: { snid: accessVector } } } }); } })(); (function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start':new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0],j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src='https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f);})(window,document,'script','dataLayer','GTM-K279D39R'); Browse Preprints In Review Journals COVID-19 Preprints AJE Video Bytes Research Tools Research Promotion AJE Professional Editing AJE Rubriq About Preprint Platform In Review Editorial Policies Our Team Advisory Board Help Center Sign In Submit a Preprint Cite Share Download PDF Research Article Research on Horizontal Ecological Compensation Mechanisms in River Basins: Pathway Optimization Analysis Based on a Four-Party Game Model Yali Yao, Weiwei Shao, Zhiyong Yang, Jiahong Liu, Guang Han This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-7812816/v1 This work is licensed under a CC BY 4.0 License Status: Under Review Version 1 posted 5 You are reading this latest preprint version Abstract As a key policy instrument for achieving collaborative construction, governance, andsharing of ecosystems within river basins, the horizontal ecological compensationmechanism across river basins is of great significance for establishing an equitableand sustainable water resource management system. This study focused on horizontal ecological compensation within river basins. Based on evolutionary game theory, it constructed a four-party game model for an inter-basin water diversion project, aiming to analyze the strategic interactions among participating entities andtheevolutionary dynamics of their strategies, thereby proposing targeted improvement pathways. Conclusions: (1) Supervision by the regulatory authority is indispensable; (2) The reputational loss (L1) incurred by the upstream area for failing to protect water quality has a stronger motivating effect on its adoption of a cooperative strategythan either the ecological compensation (P1) or penalty (F1) imposed bytheregulatory authority on the upstream area. (3) Policy optimization should prioritizemeasures in the following sequence: improving reputational mechanisms, supplementing economic incentives, and strengthening accountability systems, withafocus on reinforcing them accordingly Horizontal ecological compensation Inter-basin water diversion project Evolutionary game theory Four-player game Pathway optimization Full Text Cite Share Download PDF Status: Under Review Version 1 posted Editor invited by journal 05 Mar, 2026 Reviewers agreed at journal 16 Oct, 2025 Reviewers invited by journal 16 Oct, 2025 Editor assigned by journal 10 Oct, 2025 First submitted to journal 09 Oct, 2025 You are reading this latest preprint version Research Square lets you share your work early, gain feedback from the community, and start making changes to your manuscript prior to peer review in a journal. As a division of Research Square Company, we’re committed to making research communication faster, fairer, and more useful. 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Also discoverable on Platform About Our Team In Review Editorial Policies Advisory Board Help Center Resources Author Services Accessibility API Access RSS feed Manage Cookie Preferences © Research Square 2026 | ISSN 2693-5015 (online) Privacy Policy Terms of Service Do Not Sell My Personal Information {"props":{"pageProps":{"initialData":{"identity":"rs-7812816","acceptedTermsAndConditions":true,"allowDirectSubmit":false,"archivedVersions":[],"articleType":"Research Article","associatedPublications":[],"authors":[{"id":530475373,"identity":"22b7e7d7-543a-487b-bf47-71264b0a71c0","order_by":0,"name":"Yali Yao","email":"","orcid":"","institution":"China Institute of Water Resources and Hydropower Research Department of Water Resources","correspondingAuthor":false,"prefix":"","firstName":"Yali","middleName":"","lastName":"Yao","suffix":""},{"id":530475374,"identity":"03e392fd-fe76-410b-8715-d83ed493f7bf","order_by":1,"name":"Weiwei 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Model","fulltext":[],"fulltextSource":"","fullText":"","funders":[],"hasAdminPriorityOnWorkflow":false,"hasManuscriptDocX":false,"hasOptedInToPreprint":true,"hasPassedJournalQc":"","hasAnyPriority":false,"hideJournal":false,"highlight":"","institution":"","isAcceptedByJournal":false,"isAuthorSuppliedPdf":true,"isDeskRejected":"","isHiddenFromSearch":false,"isInQc":false,"isInWorkflow":false,"isPdf":true,"isPdfUpToDate":true,"isWithdrawnOrRetracted":false,"journal":{"display":true,"email":"[email protected]","identity":"water-resources-management","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":false,"externalIdentity":"warm","sideBox":"Learn more about [Water Resources Management](https://www.springer.com/journal/11269)","snPcode":"11269","submissionUrl":"https://submission.nature.com/new-submission/11269/3","title":"Water Resources Management","twitterHandle":"","acdcEnabled":true,"dfaEnabled":true,"editorialSystem":"em","reportingPortfolio":"Springer Hybrid","inReviewEnabled":true,"inReviewRevisionsEnabled":false},"keywords":"Horizontal ecological compensation, Inter-basin water diversion project, Evolutionary game theory, Four-player game, Pathway optimization","lastPublishedDoi":"10.21203/rs.3.rs-7812816/v1","lastPublishedDoiUrl":"https://doi.org/10.21203/rs.3.rs-7812816/v1","license":{"name":"CC BY 4.0","url":"https://creativecommons.org/licenses/by/4.0/"},"manuscriptAbstract":"\u003cp\u003eAs a key policy instrument for achieving collaborative construction, governance, andsharing of ecosystems within river basins, the horizontal ecological compensationmechanism across river basins is of great significance for establishing an equitableand sustainable water resource management system. This study focused on horizontal ecological compensation within river basins. Based on evolutionary game theory, it constructed a four-party game model for an inter-basin water diversion project, aiming to analyze the strategic interactions among participating entities andtheevolutionary dynamics of their strategies, thereby proposing targeted improvement pathways.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eConclusions: (1) Supervision by the regulatory authority is indispensable; (2) The reputational loss (L1) incurred by the upstream area for failing to protect water quality has a stronger motivating effect on its adoption of a cooperative strategythan either the ecological compensation (P1) or penalty (F1) imposed bytheregulatory authority on the upstream area. (3) Policy optimization should prioritizemeasures in the following sequence: improving reputational mechanisms, supplementing economic incentives, and strengthening accountability systems, withafocus on reinforcing them accordingly\u003c/p\u003e","manuscriptTitle":"Research on Horizontal Ecological Compensation Mechanisms in River Basins: Pathway Optimization Analysis Based on a Four-Party Game Model","msid":"","msnumber":"","nonDraftVersions":[{"code":1,"date":"2025-10-29 17:23:29","doi":"10.21203/rs.3.rs-7812816/v1","editorialEvents":[{"type":"communityComments","content":0},{"type":"editorInvited","content":"Water Resources Management","date":"2026-03-05T07:15:07+00:00","index":"","fulltext":""},{"type":"reviewerAgreed","content":"","date":"2025-10-16T11:57:19+00:00","index":0,"fulltext":""},{"type":"reviewersInvited","content":"","date":"2025-10-16T07:42:58+00:00","index":"","fulltext":""},{"type":"editorAssigned","content":"","date":"2025-10-10T07:55:34+00:00","index":"","fulltext":""},{"type":"submitted","content":"Water Resources Management","date":"2025-10-09T06:54:55+00:00","index":"","fulltext":""}],"status":"published","journal":{"display":true,"email":"[email protected]","identity":"water-resources-management","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":false,"externalIdentity":"warm","sideBox":"Learn more about [Water Resources Management](https://www.springer.com/journal/11269)","snPcode":"11269","submissionUrl":"https://submission.nature.com/new-submission/11269/3","title":"Water Resources Management","twitterHandle":"","acdcEnabled":true,"dfaEnabled":true,"editorialSystem":"em","reportingPortfolio":"Springer Hybrid","inReviewEnabled":true,"inReviewRevisionsEnabled":false}}],"origin":"","ownerIdentity":"a6b4d3ab-f889-4282-8309-c0f5da92239d","owner":[],"postedDate":"October 29th, 2025","published":true,"recentEditorialEvents":[],"rejectedJournal":[],"revision":"","amendment":"","status":"under-review","subjectAreas":[],"tags":[],"updatedAt":"2025-10-29T17:23:29+00:00","versionOfRecord":[],"versionCreatedAt":"2025-10-29 17:23:29","video":"","vorDoi":"","vorDoiUrl":"","workflowStages":[]},"version":"v1","identity":"rs-7812816","journalConfig":"researchsquare"},"__N_SSP":true},"page":"/article/[identity]/[[...version]]","query":{"redirect":"/article/rs-7812816","identity":"rs-7812816","version":["v1"]},"buildId":"8U1c8b4HqxoKbykW_rLl7","isFallback":false,"isExperimentalCompile":false,"dynamicIds":[84888],"gssp":true,"scriptLoader":[]}