【作者】 金京淑；

【导师】 尹豪；

【作者基本信息】 吉林大学 ， 人口、资源与环境经济学， 2011， 博士

【摘要】 农业生态补偿是一种运用财政、税费、市场等经济手段激励农民维持、保育农业生态系统服务功能,调节农业生态保护者、受益者和破坏者之间的利益关系,以内化农业生产活动产生的外部成本,保障农业可持续发展的制度安排。从1999年试行退耕还林工程算起,我国的农业生态补偿已历经10余年的发展。经过10余年的不懈努力,农业生态补偿工作已获得了较为明显的环境效益和社会效益,不仅增强了农民的生态保护意识,使农业生态环境得到进一步改善,而且还实现了部分地区的农民增收和资源优化配置。但总体来看,我国的农业生态补偿工作仍处于起步阶段,还没有形成一套完整的补偿体系:一是补偿标准缺乏灵活性和多样性,激励作用受限;二是融资渠道单一,国家财政负担较重;三是补偿方式单一,缺乏长效机制;四是运行机制存在缺陷,操作缺乏效率。总之,其目标定位、运行模式、体系框架、支持体系等都有待进一步研究和完善。论文从分析我国农业生态环境存在的主要问题入手,阐述开展农业生态补偿的必要性和可行性。在简要回顾我国生态补偿实践发展历程的基础上,运用公共产品理论、环境外部性理论、生态系统服务理论、生态资本理论等相关理论,深入分析我国农业生态补偿过程中存在的突出问题及其成因,总结美、日、欧等国(地区)的农业生态补偿实践经验,阐明构建我国农业生态补偿机制的基本思路,初步构建农业生态补偿的基本框架及支持体系,进而提出完善我国农业生态补偿机制的对策建议。通过以上研究,论文得出了如下主要结论:第一,农业生态补偿本质上是一种激励型制度安排或制度设计,目的在于通过运用财政、税费、市场等经济手段激励农民维持、保育农业生态系统服务功能,调节农业生态保护者、受益者和破坏者之间的利益关系,以内化农业生产活动产生的外部成本,实现农业的可持续发展。作为生态补偿的一种具体形式,农业生态补偿具有补偿目标的多重性、补偿主体的政府倾向性、补偿客体的角色多重性、补偿范围的特定性、补偿方式的多样性等特征。第二,我国的农业生态补偿在生态改善、农民增收和优化资源配置等方面都取得了一定成效,但也存在缺乏长效机制、财政负担较重、“过补偿”和“低补偿”并存、管理成本较高等问题。以退耕还林实践为例分析,其原因在于:一是中央、地方政府、退耕农民三个主要利益相关方预期收益目标存在偏离,增加了补偿政策的实施难度;二是补偿标准的制定缺乏严格的经济学依据,既没有考虑退耕还林产生的边际外部收益,也没有充分考虑地区差异,致使“过补偿”和“低补偿”现象并存。三是对所还林木的公共品属性差异缺少科学界定,生态林和经济林采用相同的补偿标准,影响到补偿政策的执行和管理效率。四是缺少农民参与的政策空间和相关机制,影响了农民的积极性。第三,欧、美、日等国(地区)农业生态补偿实践给我们的启示是:一是要健全农业环境法律法规体系,使得农业生态补偿有法可依,这是有效实施环境管理的基本前提。二是要重视生态补偿项目的成本有效性。通过采用竞标机制、考虑地区差异,有效地降低信息搜集成本以及政策执行成本。三是要构建保障补偿客体利益的运作机制,吸引农民广泛参与农业生态环境保护项目。四是要重视对补偿项目的科学设计和严格监督,完善项目本身和提高管理水平,实现预期的环境目标和经济目标。五是要重视环境教育与经济激励相结合,利用生态伦理道德教育、环境友好生产技术培训放大补偿的经济激励作用。第四,农业生态补偿机制的构建应定位于实现农业可持续发展的战略目标,要按照需要与现实相结合、政府取向和市场取向相结合以及公平性、长期前瞻性、广泛参与性的原则,遵循效率性、可操作性和可接受性的标准来设计补偿框架。就农业生态补偿主体而言,应以政府补偿为主,鼓励社会补偿,倡导自我补偿。就补偿客体而言,应着重农民选择权,以科学合理的制度设计和选择机制来激发他们生态建设的积极性和主动性。就农业生态补偿范围而言,农业生态补偿不仅包括生态环境破坏治理项目(行为),也包括生态环境破坏预防项目(行为)。就补偿的标准而言,要根据现实的生态环境状况、需要完成的任务以及兼顾长、短期利益的原则,区别不同地区、不同时期,分别确定补偿标准。就补偿方式而言,资金补偿和实物补偿等“输血型”补偿形式具有简便、直接、快捷的特性,易于大众接受,便于示范推广,是目前主要的补偿方式。从长远来看,应稳步提升政策补偿和技术智力补偿等“造血型”补偿方式比重。就补偿支付模式而言,要将直接公共支付作为最主要的支付模式,把生态产品认证作为最优先推广使用的市场支付模式,把发展一对一交易和市场贸易支付模式作为今后完善补偿支付体系的努力方向和重要途径。就补偿资金的融资方式而言,除依靠公共财政投入外,还应扩展补偿资金市场化融资渠道,形成多元化的融资机制。第五,为完善农业生态补偿机制,今后要进一步强化对农业生态补偿的科学规划,加快农业生态补偿体系的建设步伐,同时深化对农业生态补偿相关课题的科学研究。一要统一规划,将农业生态补偿分为优先补偿项目和可选补偿项目两个类别,逐步扩展生态补偿的范围。二要坚持政府主导、市场参与的指导思想。三要建立利益相关方广泛参与的运行机制。四要加快完善农产品的生态认证制度。五要深化农业生态系统服务理论、生态补偿相关配套制度、生态补偿组织和管理技术和环境友好型技术等的研究。更多还原

【Abstract】 Ecological compensation for agriculture is a kind of institution arrangements that to stimulate farmers into maintaining agro-ecosystem services; that to regulate the relations between preservers and beneficiaries and destroyers of agro-environment; that to internalize the externality of rural activities; that to achieve sustainable development, by using economical methods , such as finances, taxes and marketing. Starting from its trial of turning cultivated land back into forests and grasslands in 1999, China’s eco-compensation for agriculture has gone through more than 10 years. Now, we have obtained obvious ecological benefits and social benefits. The farmers’consciousness of ecological protection has been enhanced, agricultural eco-environment has been improved, also farmers’ income has been increased and resources allocation has been optimized in a part of region in china。Overall, the eco-compensation for agriculture is still in its infancy, has not formed a complete system of compensation yet. First, compensation standards are lack of flexibility and diversity, incentive function is restricted; second, financing approach is single, national fiscal burden is heavier; third, the compensation mode is single, long-term mechanism has not been built; and the running mechanism is in defect, operation is inefficient. In short, the positioning of objective, operation model, framework, support systems have to be studied and perfected.Based on the issues analysis of eco-environment for agriculture in China, this paper expounds the necessity and feasibility of eco-compensation for agriculture. After reviewing eco-compensation practice sources in China briefly, this paper applies the public goods theory, environmental externality theory, as well as ecological system service theory and ecological capital theory, etc., analyses the highlight problem and causes in-depth that have occurred in China’s eco-compensation for agriculture process, summarizes the experiences that America,EU and Japan have practiced in agricultural eco-compensation. Then this paper sets forth the basic thoughts about construction of eco-compensation mechanism for agriculture, designs preliminary framework of the eco-compensation and the support systems, At the end, to perfect China’s eco-compensation mechanism for agriculture. some countermeasures and recommendations are suggested. There are some conclusions in this paper, these are: Firstly, the essence of eco-compensation for agriculture is an incentive arrangements or system designs, it aims at sustainable development by undertaking fiscal incentives, taxes and marketing means. it guides farmers maintaining and conserving agro-ecosystem service, it regulates the relations between preservers and beneficiaries and destroyers of agro-environment; it internalizes the externality of rural activities. As a specific form of eco-compensation, eco-compensation for agriculture has its own characteristics , such as multiplicity of compensation goals, governmental tendency of compensation subjects, role multiplicity of compensation objects, certain limits of compensation scope, as well as diversity of compensation modes.Secondly, although the accomplishments on better environment and more incomes and resources allocation optimization, the projects of eco-compensation has encountered some problems mainly concerning lack of long-term mechanism, heavy national fiscal burden, as well as coexisting of "over compensation" and "low compensation", and high management costs. There are many reasons for that.⑴Expected interests deviated between central government, local government, and farmers, this increases the difficulty of compensation policy implementation.⑵Determining compensation standard was lack of strictly economical foundation, not considering marginal external benefits produced by forest, also not considering area differences, so, "over compensation" and "low compensation" phenomenon coexist.⑶Because of the lack of scientific definition of forest’s public goods attribute, the implementation of compensation policies and management efficiency are affected. In fact, ecological forest and economic forest are of different public goods attribute, they should be compensated by different standard.⑷Being lack of farmers’participation policy and the related mechanism, farmers’enthusiasm of environment protection are impacted.Thirdly, there are many lessons in eco-compensation for agriculture that the United States, EU, Japan have practiced, these lessons are worthy for us to learn from. (1)Improving the system of agricultural environmental laws and regulations, this is the basic premise of the effective implementation of environmental management. (2)Paying attention to cost-effectiveness of eco-compensation project. We should reduce the costs of information collection, as well as policy implementation costs, through the use of competitive bidding mechanism and considering regional differences. (3)Constructing compensation running mechanisms to ensure the interests of compensation objects. That will attract farmers broadly to participate in the ecological projects of agricultural environmental protection. (4)Attaching importance to scientific design and strict supervision of the compensation projects. Expected environmental and economic goals will be achieved by perfecting the project itself and improving the management level. (5) Importance of environmental education is combined with economic incentives, the function of economic incentive should be enlarged through ecological ethics education and environment-friendly production technology training.Fourthly, construction of eco-compensation mechanisms for agriculture must be positioned to realize the strategic goals of agricultural sustainable development. Compensation framework should be designed according to five principles: the needs combined with realities, government orientation combined with marketing orientation, equity, long-term forward-looking, and wider participation principles; and complying with three criteria: efficiency, operated ability and acceptability criteria. As far as the subjects of ecological compensation for agriculture, government should be the main subject, social compensation should be encouraged, self-compensation should be advocated. As far as the objects of compensation, farmers should have the right to choose, system and selection mechanism should be designed scientifically and rationally to stimulate farmers’enthusiasm and initiative of ecological protection. As far as the eco-compensation scopes for agriculture, eco-compensation for agriculture includes not only the ecological environment governance projects (behavior), but also ecological and environmental damage prevention projects (behavior). As far as compensation standards, according to the reality of the ecological environment states, the tasks that need to complete, and the principles of long-term combined with short-term interests, the standards may be identified differently in two phases. first phase named“cost-recovery phase”, next is“benefit compensation phase”. As far as the eco-compensation approaches for agriculture,direct approaches such as financial or physical compensation are forms with a simple, direct, fast, easily accepted, so they are the main modes. In the long run, indirect ones such as policy and intelligence should be developed steadily, and become more important. As far as the compensation paying modes, public payment will be the most important one, eco-certifies products should be promoted as a high priority marketing mode, open trading and one-to-one transaction are the important ways to be exploited and used in the future. As far as the compensation funds collection, in addition to relying on public finance input, capital marketing financing channels should also be extended, gradually forming a wide range of financing mechanisms.Fifthly, to perfect the eco-compensation mechanism for agriculture, we have to strengthen the scientific planning of ecological compensation for agriculture, accelerate the pace of construction of eco-compensation system for agriculture, at the same time deepen the scientific researches of eco-compensation for agriculture related topics further. (1)Unified planning is necessary, and eco-compensation for agriculture projects are divided into two categories: priority projects and optional project, the range of eco-compensation will be expanded gradually. (2)We must adhere to the guiding principles that the government plays a leading role with the extra help of marking. (3)We must establish the operating mechanism of stakeholders participation; (4)We should speed up the pace to perfect agricultural eco-certification system.(5)We have to research deeply about the theories of agricultural ecosystem services, eco-compensation systems involved in, related organization and management technique of eco-compensation and environment-friendly technologies.更多还原