【作者】 刘飞；

【导师】 王征兵；

【作者基本信息】 西北农林科技大学 ， 林业经济管理， 2012， 博士

【摘要】 森林生态系统在缓解温室效应以及由此造成的生态危机上具有“特殊重要的地位”，因而在全球范围内吸引着科学界的视野。世界各国提出并付诸实践森林生态补偿机制，试图运用经济激励的方式破解人类面临的生态危机这一世界性难题。多年来全球为之付出了巨大的努力和探索，取得了巨大的成效。但是这种解决问题的思维存在着重大的理论缺陷，影响着森林生态服务的可持续供给。严重的生态危机要求科学界和政府决策领域寻求新的思维路径和新的行动策略。基于此，本文以森林生态服务供给为主题，以森林学、生态学、经济学、管理学理论为指导，基于生态功能多重属性视角，系统研究森林生态服务供给机制，试图从新的路径破解这一难题。本文在研究结构上分为四个层次：第一层次从森林生态服务供给研究现状出发，提出生态功能多重属性理论，分析生态功能的自然属性、社会属性和市场属性，阐释了生态功能多重属性价值、生态服务多层次价格、生态服务多类型供给模式，为构建生态服务机制提供了理论分析框架。第二层次是基于生态功能多重属性理论，分析了森林生态功能多重属性价值、森林生态服务多层次价格体系，解析了森林生态服务外部性问题，为建立森林生态服务供给机制提供了前提条件。第三层次依据生态功能多重属性理论，分析了森林生态补偿机制的制度缺陷，提出了生态服务供给理论，重构了森林生态服务供给机制，改进了生态服务供给模式。同时运用比较研究的方法，分析了生态供给模式、政府供给模式、市场供给模式的主要特征、形成条件，适用范围，并提出了三种模式改进的政策建议。第四层次是对黄龙县森林生态服务供给的案例分析，对黄龙县森林的生态功能多重属性价值和生态服务多层次价格进行了初步测算，并且运用森林生态服务供给机制，提出构建黄龙县生态特区的战略构想。本文基于生态系统功能多重属性理论，重构了森林生态服务供给机制，改进了森林生态服务供给模式，得出以下基本观点：森林生态服务机制的形成是基于森林生态资源的相对稀缺性。森林生态功能之所以具有强大的生态价值，一方面是基于自身自然属性的存在价值，另一方面，由于经济社会发展对生态环境的破坏，以及人类对森林生态服务需求的增加，森林生态服务出现相对的供给不足。因此，人类对于森林的行为方式，不是等量补偿森林给社会带来的福利，而是增加对森林生态服务的供给。森林稀缺性显示出森林生态功能的强大价值，可持续性的充足供给的矛盾是人类与森林生态系统的主要矛盾。基于生态资源稀缺性，生态服务机制的形成和完善也呈现出规律性特点：基于生态资源的稀缺性—引起生态功能服务凸显—导致生态功能模拟价值产生—以致生态服务价格形成—生态服务规则完善—生态服务模式改进。生态服务机制的形成过程也是不断反复和完善的过程。生态功能多重属性理论从新的视角揭示出生态服务供给机制的作用机理。森林是具有多重属性的复杂的生态系统。站在不同的视角看待森林，对森林的理解会有很大的区别。站在人类非中心主义的视角，森林本身是具有自然权利的地球生命力的支持系统，它体现出来的价值是基于生态功能的自然属性，由此判断森林的价值不仅应包括森林给人类社会带来的福利，而且还应包括生态系统为维持这些服务必须的支持功能。站在人类基于自身需求的视角看待森林，森林能够给人类社会带来强大的生态功能效益，它体现出来的价值是基于森林生态功能的社会属性，由此判断森林的价值主要包括森林给人类社会带来的福利，而不包括支持这些福利的自身生产系统。站在市场经济的视角看待森林，森林某些生态服务在确定产权后可以转化为生态商品，可以用来交易，它所体现的价值是基于森林生态功能的市场属性，由此判断森林的价值，主要应包括森林生态服务体现出的商品价值。基于生态功能自然属性、社会属性和市场属性多重属性的假设，生态系统呈现出多重属性价值、多层次生态服务价格、多类型的生态服务供给模式。基于生态功能的多重属性，森林生态服务具有多层次价格体系。生态功能的多重属性价值与生态服务的多层次价格存在一定的关联性，但并非同一内涵。生态功能多重属性价值是基于生态服务稀缺性而形成的“模拟价值”；生态服务多层次价格是基于多重属性生态服务供给而形成的“成本支付”。生态服务机制的作用机理并非等值化“购买”森林生态功能价值，而是准确界定森林生态功能外部性内在化的经济成本，确保生态服务的可持续充足供给。因此，森林生态服务价格的形成，是基于生态服务的多重模式，以生态服务价格区间为基础，进行多重属性价值和多重成本因素分析，形成多层次的生态服务价格体系。基于生态功能多重属性理论的森林生态服务供给机制是对生态补偿机制的反思和改进。生态补偿机制存在着严重的制度缺陷，未能解决庇古理论与科斯理论的“共融”问题，未能充分吸收生态学理论，因此从根本上难以有效避免公地悲剧的产生。基于生态功能自然属性的生态学理论、基于生态功能社会属性的公共产品理论、基于生态功能市场属性的现代产权理论、基于生态功能多重属性的生态价格理论克服了生态补偿机制的制度缺陷，形成生态服务机制的新的理论基础。基于生态功能多重属性，森林生态服务供给模式主要体现为生态供给模式、政府供给模式、市场供给模式三种类型。从经济学本质上看，森林生态服务供给实际上是森林生态服务的生产和提供问题，只是由于生态服务的公共物品性质使得其通过市场途径的让渡与一般商品相比具有局限性。生态服务作为一种公共产品，供给的主体是政府。市场供给也是在政府主导下进行，市场供给从属于政府供给，其目的是为了提高政府供给生态公共产品的效率，但市场不可能成为生态服务产品的终极供给者。生态供给是政府供给的一种特殊形态，是政府供给一种改进。因此，三种模式都是在政府主导下在一定范围内其主导作用，最终将融合于政府主导的森林生态服务混合结构供给体系。本文通过对森林与人类社会发展关系的辩证思考，把森林生态功能从单一属性拓展为森林生态功能的自然属性、社会属性和市场属性，揭示了森林生态系统对人类可持续性发展的关系和作用机理，实现了生态学思想和经济学理论以及资源环境学理论有效结合，并提出森林生态服务供给机制和森林生态服务供给模式，奠定了森林可持续发展政策的理论分析框架。更多还原

【Abstract】 Forest ecosystem plays a vital role in mitigating the greenhouse effect and the resultingecological crisis, which attracts worldwide scientific community’s vision. Countries aroundthe world propose and utilize the forest ecological compensation mechanism in order to useeconomic incentives to solve the worldwide ecological crisis that human beings are facing.Although the countries have made enormous efforts and achieved huge success for manyyears, this solution still has some theoretical defects and unsolved problems, which limits thesustainable forest ecosystem service supply. Therefore, the scientific community andgovernments need to think a new way and take new measures to deal with this seriousecological crisis.The theme of this paper is forest ecosystem service supply. From the perspective ofmultiple attributes of ecological functions, this paper aims to find a new way to study thesystem of forest ecosystem service supply by using the theories of forestry, ecology,economics, and management so as to solve this problem. This paper can be divided into fourparts in the structure of the study. The first part proposes multi-attribute theory, revealing theforest ecosystem’s natural attributes, social properties and market attributes, and interpretingthe external multi-level evaluation of the ecosystem functions, the multi-level supply modelof ecosystem services, which provides a theoretical analysis framework of ecosystem services.Based on the multi-attribute theory of ecological functions, the second part analyzes themulti-attribute value of the forest ecosystem, multi-level price of forest ecosystem services,and the forest ecosystem services external problems, which provides a prerequisite for theestablishment of the forest ecosystem services mechanism. The third part is based on multipleattributes and ecological functions of forest ecosystem functions, revealing the deficiencies ofecological compensation mechanism, proposing the theory of ecological services,reconstructing the basic framework of supply mechanism of forest ecosystem services, andimproving the three ecological services supply modes: eco-supply mode, the governmentsupply mode, and the market trading patterns. At the same time this paper analyzes the main types of the ecological supply mode, the government supply mode, and market supply mode,formation conditions, applied scopes by means of comparison and analysis so as to improvethis system with three new modes. The fourth part analyzes forest ecosystem functionmulti-attribute in HuangLong county region, and makes a preliminary evaluation for theecological functions of the forests in HuangLong county region by using the system of forestecosystem services supply so as to propose the strategic vision of building eco-DC inHuanglong county. In accordance to this theory of multiple attributes of forest ecosystemfunctions, this paper reconstructs the forest ecosystem service supply mechanism, andimproves the mode of forest ecosystem services supply, then it reaches the followingconclusions:Forest ecosystem service mechanism is formed in the relative scarcity of forestecosystem services. Forest has a strong ecological value, due to its natural attributes and onthe other hand, due to inadequacy of forest ecosystem services for the environmental damagewith the developing of society and the growth of human needs of forest ecosystem services.Therefore, human beings’ behavior for the forest is not compensating the benefits of forests tosociety, but increasing the supply of forest eco-products. The main contradiction betweenhuman beings and forest ecosystem is whether forest ecosystem supply is sustainable andsufficient or not. The formation of ecosystem service mechanism shows some regularcharacteristics: the scarcity of ecological resources----causing the improvement of ecosystemservices----leading to the production of ecological functions value---forming the price ofecosystem services---completing the regulations of ecosystem services---improving themodes of ecosystem services. Therefore, the process of ecosystem services formation isbecoming better and better.The ecological functions multi-attribute theory reveals the mechanism of the ecosystemservices supply in the new perspective. Forest ecosystem has the value of multipleperspectives based on multiple attributes. Forest ecosystem is a complex ecosystem. From adifferent perspective, the understanding of the forest is very different. In human non-centrismperspective, the forest itself has a natural right to support the vitality of the Earth system,which reflects the value of forest-based natural attributes. The value of forests includes notonly the welfare of human society, but also forest ecosystem services. From the perspectiveof human needs, the forest can bring to human society, a strong eco-efficiency, reflecting thevalue of its forest-based social attributes. The value of forests includes benefits to humansociety brought by the forest, not includes their own supporting production systems. Standingon the perspective of market-based economic behavior, some forest ecosystem services indetermining the property rights can be transformed into eco-products, and can be used to trade. It embodies the value of forest-based market properties, which determines the value offorests, mainly the goods value of forest ecosystem services. On Assumptions based onmultiple attributes of the ecological functions---natural attributes, social attributes and marketattributes, the ecosystem functions have multi-attribute values, the price system of multi-levelecosystem services and multi-condition ecological service supply modes.Based on multiple attributes of the ecological functions, forest ecosystem services havemulti-level pricing system. There are some correlations between the multi-attribute value ofthe ecological functions and the multi-level price of ecosystem services, but they don’t havethe same connotation. Multi-attribute value of ecological functions is an “analog value” basedon the scarcity of ecosystem services, which constitutes the theoretical upper limit of theecological services prices. The supply cost of the ecosystem services is “costs paid” based onmultiple attributes of the ecological functions and ecosystem services supply, whichconstitutes the theoretical lower limit of the ecological services prices. Supply of forestecosystem services is not equivalent to “purchasing” the forest ecosystem services, butaccurate definition of the economic costs in the internalizing process of forest ecologicalfunctions services externality, to ensure continuous and adequate supply of the ecosystemservices. Therefore, the formation of prices of forest ecosystem services is based on themulti-mode ecological services, and ecological services price range for multi-attribute valueassessment and analysis of multiple cost factors, to form multi-condition and multi-levelecosystem services price system.Based on the theory of multiple attributes of the ecological functions, the forestecosystem services supply mechanism is the improvement of the ecological compensationmechanism. There are serious deficiencies in the ecological compensation mechanism Itfailed to resolve the “communion” problem between the Pigovian theory and the Coasetheory, and did not fully absorb the theory of forest ecology, to some extent, in violation ofthe principles of fairness and efficiency, and therefore fundamentally is difficult to effectivelyavoid the generation of the tragedy of the commons. The theoretical basis of the mechanismreconstruction of ecological services has formed, based on ecological theory of the naturalattributes of ecological functions, public goods theory of the social attributes of ecologicalfunctions, Coase’s theory of the market property of ecological functions, and ecological pricetheory of the multiple attributes of the ecological functions to overcome the deficiencies inthe system of ecological compensation mechanism. Reconstruction of forest ecosystemservices supply mechanism must be based on the multi-attribute theory of ecologicalfunctions. By adjusting the multi-regional supply policy of ecological services, improving themain system of the diversified supply, raising the supply funds from multi-channels, and perfecting multi-condition price formation mechanisms and multi-level support mechanisms,the supply of forest ecosystem services will go into the scientific track.Based on the theory of multiple properties, the supply mechanism of forest ecosystemservices is to improve the ecosystem compensation mechanism. Forest ecological benefits ofpublic goods supply mechanism for ecological compensation theory is a reflection of theoryand practice. Seen from an economic essence, the forest ecosystem services supply is actuallythe production and delivery problem of the forest ecosystem services. But due to the nature ofpublic goods, ecological services market has the limitations to make its way through thealienation of goods, compared with the general goods. As public goods, the main supply ofeco-products is the government. Market supply is carried out under the guidance of thegovernment, subordinate to the government’s supply. As a way of economic operation of thegovernment’s supply, its purpose is to improve the efficiency of public goods of forestecosystems, but the market is unlikely to be the ultimate eco-products suppliers. Supply ofecological restoration is a special form and an improvement of the government. Under theguidance of the government, all three modes play their leading roles within a certain range.Finally, three modes will be integrated in the system of government-led forest ecologicalpublic goods supply.This paper expands ecological functions of forests from a single natural attribute tonatural attributes, social attributes and market attributes, reveals relationships and mechanismof the forest ecosystems to the human sustainable development, achieves the effectiveintegration of the ecological thought and economic theory, and proposes mechanisms for thesupply of forest ecosystem services and modes of forest ecosystem services supply to lay thetheoretical framework of analysis for sustainable development of forest policy.更多还原