【作者】 赵云峰；

【导师】 侯铁珊； 徐大伟；

【作者基本信息】 大连理工大学 ， 管理科学与工程， 2013， 博士

【摘要】 流域生态补偿研究是国内外生态系统服务支付和生态补偿理论研究领域的重点课题之一。本文在国内外相关研究文献述评的基础上,分析认为不论是在(准)市场机制还是在政府机制下,生态补偿机制的构建是以利益相关者的补偿意愿和支付行为为有效实施的基本条件的。因此,本文定位于生态补偿理论中的“补偿意愿”和“支付行为”问题,将研究对象确定为辽河这个具有跨区域特征的河流,通过对其进行调查分析和实地考察,应用生态价值评估技术和环境经济分析方法,分别从流域居民和地方政府的研究视角出发,基于生态补偿理论研究基础和环境经济管理的原理方法,以流域生态补偿的价值评估及其支付行为为研究主线,以辽河流域及其利益相关者为研究重点,以流域生态补偿制度构建为研究目标。为此,本文首先阐述了流域生态补偿的理论基础构成,并对流域生态补偿进行环境经济理论分析；其次,以辽河流域上游的浑河为具体分析对象,研究了其流域生态补偿的驱动力及其影响因素,建立了流域生态补偿的运行机理模型,并分析和构建了辽河上游浑河水源地的流域生态补偿机制；再次,针对国内外生态系统服务支付理论研究中的前沿热点问题——补偿意愿WTP和受偿意愿WTA之间的差异性问题,开展了辽河流域生态价值补偿意愿的实证性分析检验；然后,对作为流域生态补偿中的主客体进行了分析,提出了基于WTP和WTA的跨区域流域生态补偿支付行为模型,并重点分析了经济个体和地方政府的支付行为、主要特点和相互关系；之后,分析和借鉴美国生态补偿银行制度及其实施流程,对我国流域生态补偿机制的制度设计进行了政策分析；最后,进行了研究结论归纳后,提出了相应的政策建议和研究展望。总之,本文首先在对国内外流域生态补偿的动力机制开展理论研究和案例分析的基础上,通过分析辽河上游浑河流域生态补偿驱动力后,以本文提出的流域生态补偿机制的七个主要驱动力为基础,构建了流域生态补偿的驱动力模型和运行机理模型,探索了我国流域生态补偿的动力机制和补偿机理。然后,对辽河流域开展了基于差异性比较的流域生态补偿价值分析与评估,发现了辽河流域居民支付意愿WTP与其受偿意愿WTA之间差异性存在的主要特征及其本质原因,即引起WTP与WTA差异的原因有收入效应、惩罚效应和模糊性以及社会经济因素。最后,从经济个体和地方政府两个视角出发,在分析流域生态补偿利益相关者的基础上,对流域生态补偿主客体的支付行为开展了探索性研究,构建了基于WTP和WTA的流域生态补偿支付行为模型,提出了两种生态政策导向的受益者支付行为模型,阐述了流域生态补偿支付方的行为特征与相互关系。更多还原

【Abstract】 Ecological compensation of river basin is a key subject in theoretical research of eco-system service payment and ecological compensation in domestic and abroad. Based on the relevant documents’ review at home and abroad, this research proposes that the estab-lishment of ecological compensation mechanism is based on the effective implement of the stakeholders’ willingness to pay of ecological compensation or their behaviors to payment under the conditions of quasi-market and government administration mechanism.Therefore, this research focused on both issues that are willingness to pay and behavior of payment of the stakeholders in ecological compensation theory. Based on the field work and survey analysis of Liaohe river basin, those issues was analyzed by taking Liaohe river basin as a research object, and by applying the evaluation techniques of ecological values and the analytical methods of environmental economics. The value assessment and payment be-havior of river basins’ inhabitants to ecological compensation are considered as this research main issues, which is in the perspectives of both of local inhabitants and government man-agements, on the basis of theoretical researches of ecological compensation and principle methods of environmental economics&management, by taking Liaohe river basin and its stakeholders as an object of study for the system establishment of river basins’ eco-compensation. Firstly, this research stated the theoretical foundation of river basin eco-logical compensation, and analyzed it by applying the theoretical method of environmental economics. Secondly, by taking Hunhe River which is the upstream of Liaohe river basin as a research object, this paper analyzed the driving factors of Hunhe River ecological compensa-tion, established a model of its dynamic mechanism and analyzed the mechanism of ecologi-cal compensation on water source conservation. Thirdly, the disparity of WTP and WTA is one of the front-burner issues of theoretical research on payment of eco-system service in domestic and abroad, this research took an empirical analysis of the willingness to pay eco-logical values of Liaohe river basin. Fourthly, based on the analysis on the subject and object of river basin ecological compensation, this paper putted forward a model of payment behav-ior of river basin ecological compensation on WTP&WTA, and particularly analyzed to the payment behaviors, main characteristics and their interrelations of economical individuals and local governments. Fifthly, this study analyzed and emulated the system and its implementa- tion procedure of eco-compensation banking in USA, in order to taking a policy analysis of river basin ecological system design in China. At last, the study proposed these policy sug-gestions and further perspectives after giving out these conclusions of this research.The main issues of this research are as follows:First, based on theoretical analysis the driving mechanism of ecological compensation in domestic and abroad, on the condition of the analysis on the driving factors of basin ecological compensation related to Hunhe river which is upper stream of Liaohe river, this study put forward seven driving factors of basin ecological compensation, established mathematical model and mechanism model of the driv-ing factors of river basin ecological compensation, and explored the dynamic mechanism and compensation motivation of river basin ecological compensation. Then, in the viewpoint of the inhabitants’ willingness to payment, this paper analyzed and evaluated the value of river basin ecological compensation about Liaohe river basin on the basis of disparity comparing of WTP&WTA, and discovered the main characteristic and essential cause of the disparity be-tween WTA&WTP. These disparities were be caused by income effect, punishment effect, failure of definition and socio-economical factors of Liaohe river inhabitants. Finally, in the perspective of economical individuals and local governments, the study took an exploratory research on the payment behaviors of subject and object of basin ecological compensation based on the analysis of stakeholders of basin ecological compensation. The researcher estab-lished a payment behavior model of basin ecological compensation on the basis of WTA and WTP, and put forward a payment behavior model of beneficiary under two ecologi-cal-oriented policies. Lastly, this research set forth the payers’behavior characteristic and their interaction of river basins’ecological compensation.更多还原