【作者】 沈田华；

【导师】 彭珏；

【作者基本信息】 西南大学 ， 农业经济管理， 2013， 博士

【摘要】 本研究以完善生态公益林补偿机制为目标,在辨析生态补偿和生态公益林补偿内涵的基础上,借鉴机制设计理论深入剖析生态公益林补偿机制的构成内容,重新架构生态公益林补偿机制,继而对生态公益林补偿机制的关键点——补偿标准进行全面分析,确定补偿标准的计算方法,以三峡水库重庆库区为例,对补偿标准的确定和补偿资金的分摊进行了实证研究。然后在充分借鉴相关研究成果的基础上进行生态公益林补偿的激励相容机制构建,以便为三峡库区生态公益林补偿机制的完善提供理论和实证支撑。最后,考察国内外补偿实践的经验并据此对三峡水库重庆库区生态公益林补偿进行问题研究和政策建议。一、研究的主要内容1、生态公益林补偿机制架构研究。主要是通过对生态公益林补偿的内涵辨析,阐释生态公益林补偿的前提及应遵循的基本原则,并借鉴机制设计理论全面分析生态公益林补偿机制的内容,据此构建出符合我国生态公益林建设现状和要求的生态公益林补偿机制。2、生态公益林补偿标准研究。主要是分析生态公益林补偿的核心内容,并揭示生态公益林补偿与生态公益林供给之间的关系,考察补偿标准的影响因素,并据此确定生态公益林补偿标准的计算公式。3、生态公益林补偿标准的核算。以三峡水库重庆库区为例,根据调查数据,采用CVM方法对三峡水库重庆库区生态公益林生态效益和社会效益进行评估,并根据公式计算出三峡水库重庆库区生态公益林补偿的合理标准。4、补偿资金的分摊研究。首先对生态公益林补偿资金的分摊的必要性和可行性进行剖析,并通过简单实例阐述生态公益林补偿资金分摊的原则,在此基础上,组合运用AHP法和结构熵权法对补偿资金的分摊进行实证研究。5、生态公益林补偿的激励相容机制研究。在借鉴前人研究成果的基础上,首先对生态公益林补偿的激励约束机制进行全面分析,然后对生态公益林补偿保障体系的目标和要素进行分析,并就各要素进行详细的分析和阐释。6、三峡水库重庆库区生态公益林补偿机制的完善。.首先对三峡水库重庆库区生态公益林补偿实践进行审视,并全面考察和学习国内外生态公益林补偿实践的有益经验,据此进行改善建议。二、研究主要结论1、生态公益林补偿具备经济学中交易的一般形态,其实质是一种交易。首先,生态公益林补偿是一种价值实现的途径,调整的是生态公益林相关利益主体之间的利益关系；其次,生态公益林补偿是生态公益林产品或服务功能价值实现的非市场途径,需要进行相应的制度设计才能保障其顺利进行,这显然将产生生态公益林补偿的“交易费用”；最后,生态公益林补偿的过程是生态公益林的维护者和建设者付出无差别的一般人类劳动去维持和发展生态公益林,而生态公益林的受益者(可能是以受益者群体的代表形式出现)在享受生态公益林产品或服务功能的同时付出一定的代价补偿给维护者和建设者,这本身也体现了交易的特性。2、生态公益林补偿应以政府为主导,构建基于交易内涵的生态公益林补偿机制有利于保障各利益相关者的权益。通过理论分析,在生态公益林补偿机制的作用下,补偿主体根据补偿标准筹集资金,采用不同的补偿形式,将资金支付给补偿客体,并需要构建相应的激励相容机制对主客体的行为进行规范和约束。但考虑到补偿主体的多元化和补偿客体的分散性,生态公益林补偿机制中应该引入政府因素,由政府担任生态公益林补偿机制中资金流动的主导者和管理者角色,由其利用行政强制能力向生态公益林各补偿主体分摊生态公益林补偿资金并筹集补偿资金,再将筹集到的补偿资金发放给补偿客体,从而保障各利益相关者的权益。3、生态公益林补偿的核心内容是成本、机会成本和生态及社会效益的补偿,生态公益林的供给与补偿标准正相关,补偿标准的确定需综合考虑各种影响因素,合理地实现补偿的核心内容。根据分析,生态公益林补偿的核心内容包括对生态公益林系统维护和建设成本的补偿、因维护或建设而放弃发展的机会成本损失的经济补偿和生态公益林产品或服务功能的外部效益内部化。运用相关理论考察生态公益林补偿标准和生态公益林供给的关系后可见,生态公益林的供给与补偿标准正向相关。在综合考察了生态公益林补偿标准的影响因素之后,本文提出了综合体现成本和机会成本补偿和效益补偿的生态公益林补偿标准的理论计算公式。S=S(L)+x3/x1·X2[S(H)-S(L)]4、三峡水库重庆库区生态公益林的生态效益和社会效益价值巨大,且呈逐年上升趋势,生态公益林补偿标准也应随之提高,现行补偿标准相对过低。本文根据双边界二分式引导技术的调查数据,采用CVM方法分别构建了三峡水库重庆库区生态公益林生态效益和社会效益价值的logistic回归模型,并据此对三峡水库重庆库区生态公益林生态效益和社会效益的价值进行了评估,评估结果显示,2010年,三峡水库重庆库区生态公益林所发挥的生态效益和社会效益的价值总额为6.17×109元,价值巨大,本文还对2006年～2015年三峡水库重庆库区生态公益林的价值进行了评估和预测,结果显示,价值呈逐年增长的趋势。在不考虑其他因素变动的影响下,生态公益林补偿标准也应随着时间的推移而有所提高。在价值评估的基础上,本文利用公式对三峡水库重庆库区生态公益林补偿标准进行了计算,结果显示,合理的补偿标准应为每年120元/亩左右,大大高于现行标准。5、三峡水库重庆库区生态公益林补偿资金的分摊具备可行性和必要性,分摊时需遵循动机、公平、效率原则,可以采用合理的方法确定各补偿主体应承担的份额。在分析了该补偿标准所需资金在各补偿主体之间分摊的必要性和可行性之后,本文通过住房租金分摊的实例详细说明了补偿资金分摊需要遵循的基本原则,然后基于专家问卷调查数据,首先采用AHP法确定了三峡库区生态公益林各单项生态效益或社会效益在整体中所占的比重,再采用结构熵权法确定了三峡库区生态公益林各单项生态效益或社会效益的补偿主体及其补偿份额,最终计算出各补偿主体应承担的生态公益林补偿资金份额,结果显示,三峡库区生态公益林补偿所需资金应由各级政府承担63%左右,而由生态公益林资源使用者承担37%左右。6、生态公益林补偿机制的运转需要构建相应的激励相容机制,主要包括针对补偿客体的激励约束机制和针对补偿主体的保障体系。实践中,由于生态公益林补偿时主客体的利益目标函数不同,生态公益林补偿机制无法自发运行,需要构建相应的激励相容机制来确保生态公益林补偿机制的高效持续运转,其构成要素包括针对补偿客体的激励约束机制和针对补偿主体的保障体系。其中,激励约束机制主要包括运行主体和对象确定、机制内容及运行方式和方法等,保障体系则主要包括组织保障、资金保障和制度保障。7、三峡水库重庆库区生态公益林补偿工作存在一定的问题,可借鉴国内外生态公益林补偿实践的经验进行完善。通过对三峡水库重庆库区生态公益林补偿工作的现状进行考察后我们发现,当前三峡水库重庆库区的生态公益林补偿实践中还存在一系列问题。而通过对国外和国内生态公益林补偿实践的考察和总结,生态公益林补偿实践已经取得了一定的可供借鉴的优良经验。借鉴国内外补偿实践的经验,我们分别提出了完善三峡水库重庆库区生态公益林补偿机制的基本框架和强化生态公益林补偿激励相容机制建设的相关政策建议。三、可能的创新点1、基于交易内涵的政府主导型生态公益林补偿机制的构建。与其他研究将生态公益林补偿责任视为政府理所应当的责任不同,本研究在深入辨析生态公益林补偿交易“实质”的基础上,全面分析了生态公益林补偿机制的基本框架和生态公益林补偿的激励相容机制,并通过对补偿主体和客体多样性特征的把握,将政府引入生态公益林补偿机制当中,由政府担任生态公益林补偿过程中资金流转的主导者和管理者,从而构建出了基于交易内涵的政府主导型生态公益林补偿机制,并对其运行机理进行了分析。2、重新架构了可行的生态公益林补偿标准确定公式。补偿标准是生态公益林补偿机制研究的关键点之一,合理的补偿标准是生态公益林补偿机制有效运行的基础。关于补偿标准的研究非常多,但总体看来,没有形成统一的确定方法,已有的方法或计算过程太复杂,或存在一定的理论缺陷。本文在深入剖析生态公益林补偿的核心内容后,考察了生态公益林补偿标准与生态公益林供给的关系,并在此基础上综合考虑各方面影响因素,提出了一个可行的生态公益林补偿标准体系,既包括实质为成本和机会成本补偿的最低标准,又包括实质为效益补偿的最高标准,还架构了综合考虑成本补偿和效益补偿的可行的生态公益林补偿标准的确定公式。3、尝试进行生态公益林补偿资金的分摊。依据生态公益林补偿的交易内涵,生态公益林补偿从理论上应该由全体受益者承担,但是由于补偿主体组成的复杂性以及生态公益林效益物质形态的特殊性,前人的研究均未找到合理的方法进行补偿资金的分摊,仅作了以政府为唯一补偿主体前提下的补偿资金筹集研究。本研究在深入分析生态公益林生态效益和社会效益与补偿主体之间错综复杂关系并把握其规律的基础上,尝试着采用基于专家问卷调查的AHP法与结构熵权法相结合对三峡库区生态公益林补偿资金进行了分摊,在生态公益林补偿机制研究中相对比较新颖。4、基于生态公益林补偿内涵的激励相容机制的构建。前人的研究多是基于政府为单一补偿主体下的政府政策激励和约束、资金筹集等方面的保障机制研究,本文基于生态公益林补偿的交易内涵,将补偿主体扩展到多个,政府只是其中一个,在此基础上,借鉴机制设计理论构建了以政府为主导的生态公益林补偿的激励相容机制。更多还原

【Abstract】 This dissertation is aimed to perfect the present ecological forest compensation mechanism through discriminating the connotation of ecological compensation and ecological forest compensation, and having a in-depth analysis of the composition of ecological forest compensation mechanism so as to reconstitute ecological forest compensation mechanism. Then the method of calculating compensation standard is brought forward after a comprehensive analysis on compensation standard which is the key point of the mechanism design theory. The non-economic forest of Three Gorges Reservoir in Chong Qing is taken for an example to analyze and illustrate the compensation standards and the apportionment of compensate funds in empirical research. Then establish incentive-compatible mechanism On the basis of reference to relevant research results to provide theoretical and empirical support for ecological forest compensation mechanism for the improvement of the Three Gorges Reservoir Area. Finally, an investigation on the experience of domestic and overseas is made help analyze and assess the problem&effect of the ecological forest compensation at Three Gorges in Chongqing and put forward some policy recommendations accordingly.First, the main contents of the study:1, Study on Ecological forest compensation mechanism formation. Its formation is mainly through discriminating the connotation of ecological public welfare forest compensation, explaining the premise of ecological forest compensate and the basic principles of mechanism design theory should been followed, and learn from a comprehensive analysis of the contents of the non-commercial forest compensation mechanism, whereby constructed compensation mechanism in line with China’s ecological forest building status and requirements.2, Research on ecological forest compensation standards. The main content of this part is to analyze the core content of the ecological forest compensation, and to reveal the relationship between ecological forest compensation and ecological forest supply, So as to set down the ecological forest compensation criterion formula by investigating all factors that impacted the compensation standard.3, Accounting the ecological forest compensation standards。 This thesis uses the date collected from Three Gorges Reservoir in Chong Qing as a basis and applies the CVM method to assess ecological&social benefits of the Three Gorges Reservoir’s ecological forest. After some related work, reasonable standard of the ecological forest compensation is calculated according to the formula.4, Research on apportionment of the compensation funds. Firstly, The paper analyzes the necessity and feasibility of ecological forest compensation funds apportionment and illustrates the principle of apportioning through some small cases study. Then combine methods of AHP and structural entropy weight to have an empirical research on ecological forest compensation funds sharing.5, Research on incentive compatibility mechanism of ecological forest compensation. This part mainly analysis three sections, a comprehensive analysis of the ecological forest compensation incentive and restraint mechanisms, the ecological forest compensation objectives and elements of the security system, and detailed interpretation of the various elements.6, The improvement of the ecological forest compensation mechanism in Three Gorges Reservoir. Having a review on ecological public welfare forest compensation practices in the three gorges reservoir area of Chongqing and comprehensive study and learn the useful experience on ecological forest compensation practices at home and abroad, thereby pursuant to recommendations for improvement.Second, the main conclusions1, Ecological forest compensation has same general forms of transaction in economics, and its essence is a deal. First, ecological forest compensation is a way to achieved its value and adjust the relationship between the interests of the ecological public welfare forest stakeholders; Second, ecological forest products or services functions are compensated by non-market which need for the appropriate design of the system correspondly in order to protect their smooth progress, at the same time "transaction costs" come into being with it obviously; Finally, undifferentiated and general human labor is provide by the forest defenders and builders to maintain and develop ecological forest in the process of ecological forest compensation, meanwhile welfare beneficiaries (may be based on the form of the representatives of the groups of beneficiaries) have to pay for ecological forest products or services, which in itself also reflects the characteristics of the transaction.2, Ecological forest compensation should be guided by the government, and structure it on the base of conducive transaction to safeguard the interests of the various stakeholders. After a theoretical analysis, the compensation standard will be used as a basis for compensation subject to raise funds which will be paid to the compensation object by different ways. An appropriate incentive compatibility mechanism is also need to build to normalize and constraint the behavior between the host-guest. Taking into account the diversity of the compensation body and dispersion of the objects, government should be added. The government acts as a leader and administrator of the cash flow by using of administrative enforcement to apportion compensation funds, as well as raises the compensation to release the funds for subject matter in order to protect the interests of the stakeholders. 3, The core content of the ecological forest compensation is the cost, opportunity cost, and ecological&social benefits compensation, while the supply of the forest is positively correlated with the compensation standards. So the compensation standards forming need to grasp the essence of compensation and take all the influential factors into consideration when stipulated. According to the previous analysis, the core content of the ecological forest compensation, including the maintenance of ecological forest systems and construction costs compensation, economic compensation for abandoning the development opportunity due to maintenance or construction of the ecological forest and external benefits of ecological forest product or service functions to internalize. We also found that supply of ecological forest and compensation standard have a positive correlation after using the theory of political economics and welfare economics to examine the relationship between ecological forest compensation standards and ecological forest supply. This paper presents a formula to reflect all the factors including ecological forests and opportunity costs of compensation and benefits compensation standard comprehensively. The formula to standardize the compensation criterion is as follows: S=S(L)=X3/X1·X2[S(H)-S(L)]4, The value of Ecological and social benefits of the Three Gorges Reservoir ecological forest is great, and shows an increasing trend, thereby ecological forest compensation standards should also be increases, but the current compensation standard is relatively low. This thesis takes the data collected by using Double-bounded dichotomous boot technology as a basis to build a logistic regression model and then applies the CVM method to reflect the ecological and social value of Three Gorges Reservoir ecological forest, having an assessment of the value and social benefits accordingly. The research show that, in2010, the ecological and social benefits of ecological forest in Chongqing Three Gorges play a total value of6.17×109Yuan, the value is great which is also present a increased trending as the time go after a assessment and prediction of2006to2015without considering other factors. By using the formula to calculate the value of the Three Gorges Reservoir ecological forest compensation standards, the results show that a reasonable compensation standard should be120Yuan per year/acre or so, which is much higher than the current standard.5, Split the ecological forest compensation of Three Gorges in Chongqing is feasibly and necessary, but it should obey principles of motivated, equity, efficiency when determine the reasonable shares that the compensation body should be bore.The necessity and feasibility of the compensation standards require apportion funds between the compensation bodies, the housing rent-sharing is taken as a instance to illustrate the sharing principles, AHP method is put into use to calculate the proportion of the individual ecological benefits or social benefits in the overall,and then apply the structure entropy Method to determine the individual ecological benefits or social benefits subjects and their compensation shares, finally, calculate the share of the compensation body should bear, all of these based on the data from expert questionnaire survey. And It turn out that the government should bear about63%, while37%should be taken by the users.6, In order to guarantee the enforcement of ecological forest compensation mechanism, the corresponding incentive-compatible mechanisms should be set up, including incentive and restraint measures for compensation object and security system for compensation body. The ecological forest compensation mechanism cannot operate spontaneously because of the different interests for the host-guest in practice. Then an appropriate incentive-compatible mechanism is required to ensure the efficient and sustainable operation of the ecological forest, which involved incentive and restraint mechanisms for compensation the object and the main security system for the subject Among them, the content of the incentive and restraint mechanisms is to identify subject and object to determine the operation mode and the content of mechanism, while security system include organizational security, financial security and institutional guarantee.7, There are some problems in ecological forest compensation work of Three Gorges Reservoir, the experience of ecological forest compensation practices at home and abroad can be use for reference. There are still a series of problems in the Three Gorges Reservoir ecological forest compensation after a investigate for the status quo of the Three Gorges Reservoir ecological forest compensation, Foreign and domestic ecological forest compensation practice well relatively and have an shed light on the management for our country. Drawing on the experience of the compensation practice at home and abroad, the basic framework of the Three Gorges Reservoir ecological forest compensation mechanism and policy strengthen the ecological forest compensation incentive compatible mechanisms are put forward.Third, the possible innovation1, Propose a government-led ecological forest compensation mechanism based on the intension of transaction. Be different with other studies of the ecological forest compensation,this study do a in-depth analysis of ecological forest compensation transactions "substantial" and analysis by synthesis is adopted to analyze the basic framework of the compensation mechanism and ecological public welfare forest compensation incentive-compatible mechanisms. The Government is introduced acting as the leader and managers of cash flow in the process of ecological forest compensation because of diversity of subject and object.2, re-structure the possible ecological forest compensation standard to design the formula. The compensation standard is one of the key points of the ecological forest compensation mechanism and the foundation of its operation effectively. The study on compensation standards is excessive, it seems, but there is not a unified method for determining or calculation them or the process is too sophisticated, and even some of them have theoretical defects. This paper put forward a feasible ecological forest compensation standard system though a depth profiling core content of ecological forest compensation and examines the relationship between ecological forest compensation standards and ecological forest supply. What’s more take various influencing factors into account to determine the compensation system which contains a minimum standard in real terms for the compensation costs and the opportunity cost, and a highest standard considering the effectiveness, but also architecture the formula considering the cost and benefits.3, apportion the funds of ecological forests compensation heuristically. according to the connotation of ecological forest compensation transactions. Ecological forest compensation should be borne by all beneficiaries theoretically, but that complex it is for the main component of the compensation as well as special nature to eco-Forest Benefit material, previous studies did not find a reasonable method to apportionment of funds, just did some investigates taking the government as the only compensation subject to the raise of money. This study has a in-depth analysis of the anfractuous relationship between the ecological benefits and social benefits, grasp the laws of it, then using AHP method based on the expert survey and structure of entropy weight wears together to research apportionment of the compensation funds to fill blind spot in the field.4, Build a motivation and restriction compensation mechanism based on the essence of compensation. Previous studies on incentive and restrictive mechanism took the government as the single compensation body. Government is just one of it basing on the ecological forest compensation transactions connotation so the compensation body is extended to more than one in this paper, on this basis, a government-led ecological forest compensation incentive compatibility mechanism build.更多还原