【作者】 王美；

【导师】 翟印礼；

【作者基本信息】 沈阳农业大学 ， 林业经济管理， 2013， 博士

【摘要】 生态文明是现代人类共同的价值追求,林业在生态文明的发展中起到了重要的推动作用。在改善贫困状况中,权属问题是值得关注的。辽宁省农田防护林存在着盗伐、断带和防风效果减弱等不良现象,集体林权改革是否能真正起到改善不良现象的作用,做为公共产品的农田防护林如何发挥正外部效应,激发农户保护及生产的积极性是个重要问题。本研究在总结和整理前人研究成果的基础上,通过对辽宁省农田防护林现状和社会经济问题的调查研究,分析农户对生产和投资农田防护林的意愿查找存在问题,确定实施生态补偿来解决农田防护林中农民收益权的问题,并将补偿利益相关者、补偿运行模式和补偿标准的确定作为专题进行重点研究,提出符合农田防护林特点的科学合理方案。基于政策、调查和农地资源配置模型三方面分析农田防护林实施生态补偿的必要性,研究认为生态补偿是解决农田防护林问题较为合理的方式,进而提出农田防护林生态补偿机制的框架设计,补偿机制包括机制构成要素和机制运行模式,其中要素包括补偿主体、补偿对象、补偿标准和补偿范围；运行模式包括补偿渠道、补偿方式和配套管理对策。界定农田防护林生态补偿利益相关者,并采用博弈模型分析其关系及行为,表明：政府的宏观保护与农户的微观需求存在利益不匹配的现象；采用鹰鸽博弈分析农户之间行为,认为在一定激励机制作用下,农户的行为会由被动接受向主动生产和投资方向转换；补偿资金渠道方面主要有政府补贴和市场融资,其中以政府为主要资金来源介绍了政府补偿的特征、缺点及目前主要以财政转移支付为主；以市场为主要资金来源介绍了市场补偿的特征、缺点,并认为发展碳交易及参与国际造林再造林项目是主要形式。根据补偿渠道来源及公共物品理论将生态补偿方式划分为三种方式,结合文献认为以政府为主导的资金投入是生态补偿的主要方式。通过农地资源配置模型,认为应该把考虑了生态效益的差异补偿给农户,来弥补农地非农化带来的损失；分析农田防护林标准核算的一般方法,并重点介绍了补偿标准中的成本法、生态系统服务功能价值法和林木资产价值评估法。在辽宁省农田防护林生态补偿实践中,首先界定辽宁省农田防护林补偿主体和补偿对象,并基于农户家庭状况和产权情况调查,首先采用卡方检验的方法确定家庭状况、产权状况与农田防护林生产建设、投资和生态补偿意愿的相关性；运用二元Logistic回归分析农户在生产意愿、投资意愿的影响因素,结果表明产权因素的影响最大,充分说明稳定产权关系对农户生产及投资农田防护林的重大意义,验证第二章提出的命题3完整的产权关系对农户意愿有重要影响。而目前的产权关系中处置权的落实较差,影响了农户的意愿,因此建议对农户进行生态补偿。在辽宁省农田防护林生态补偿标准核算与讨论中,采用直接成本和机会成本的方法测算农户的经济损失每亩为3246元；在生态系统服务功能价值估算中主要从减弱蒸发、保育土壤、固碳释氧、净化空气、减灾防护五个方面进行分析,计算出单位面积生态系统服务功能价值每亩为1015元；在林地、林木资产评估分析中,通过农户调查问卷的统计数据,采用实验形数法计算立木材积量,再利用市场价值法计算立木材积收益,最后通过算数平均法和等额年金法两种方法计算不同林龄的收益,对于补偿的金额来说,本研究认为应该实行按照林龄阶段补偿,每亩的补偿价格应在117元-439元之间；三种方法的核算验证第二章提出的命题2生态资源的价值性和命题1外部性的影响性；通过皮尔逊检验对比分析辽宁省农田防护林与山东省农田防护林、福建省沿海防护林、辽宁省森林生态功能价值的结果,并对其进行生态学、经济学与会计学讨论。本研究基于生态补偿机制的设计认为,应根据不同补偿对象和补偿方式确定补偿资金数额,但应重点考虑生态系统服务功能的价值。农田防护林生态补偿的发展对策建议方面,对策建议的制定应与补偿利益相关者及补偿资金渠道紧密相关,本研究主要从两个方面提出建议,第一政府方面,加强生态补偿立法、提高公众生态补偿认知,充分发挥利益相关者的主观能动性,使得农田防护林充分保护生态环境的同时更多增加补偿对象的利益；第二市场方面,发挥生态项目优势、大力发挥农田防护林在平原林业中的贡献作用,加快林业第二产业的升级,为增加农民收入做出贡献。更多还原

【Abstract】 Ecological civilization is the common pursuit of value for modern humans, and forestry has played an important role in promoting the development of ecological civilization. In the development of forestry to eradicate poverty, the ownership issue deserves much attention. There are a series of negative phenomena about farmland shelterbelts of Liaoning Province, such as illegal logging, thrust belt, decreased wind effect and so on. There is uncertainty to improve undesirable phenomena about the measures of Collective Forest Right System Reform. Besides, farmland shelterbelts, as the public product, how to play a positive externality and stimulate farmers’enthusiasm for protection and production is an important issue. In this study, the author summarize and organize the results of previous studies, investigate farmland shelterbelts status and socio-economic problems of Liaoning Province, analyze the farmers’wishes for production and investment for farmland to discover problems, and determine the implementation of ecological compensation to solve farmer’s usufruct. This paper will focus on Stakeholders and compensation operation methods and the determination of compensation standard, as a key research project, in order to put forward scientific and rational solutions to meet the characteristics of farmland shelterbelts.By analyses the necessity that Farmland Shelterbelts execute ecological compensation policies from three aspects:policy, investigation and farmland resource allocation model this study believes that ecological compensation is a reasonable way in solving the Farmland Shelterbelts problems, then the author further proposes that the framework design of ecological compensation mechanism for Farmland Shelterbelts. The ecological compensation mechanism includes major components which is composed of compensation subjects and objects, compensation standard, range of compensation, and operation mode; while the major components contains compensation approaches, compensation methods compensation standard and match-management strategy.This paper defined stakeholders of ecological compensation mechanism for Farmland Shelterbelts and adopt Game model to analyzes its relations and behavior which showed the phenomenon that:The government’s macro protection does not matches farmers micro demand interest of; The eagle pigeon game are used to analysis behaviors among farmers, which indicates that the peasant household behavior convertFrom the passive acceptance to the initiative production and investment direction conversion in a certain incentive mechanism; The channels of Compensation funds mainly include government subsidy and market financing, in which the government, as the main source of funds, introduced the characteristics and disadvantages of government compensation and gave first place to fiscal transfer payment at present. Take the market as the main source of funds, this paper introduces the characteristics and disadvantages of market compensation, and take the development of carbon trading and participate in international reforestation project as the main form. According to the source of Compensation and the theory of public goods, ecological compensation could be divided into three ways and the government-led investment is the main mode of ecological compensation. According to the model of farmland resources allocation, the government should take account of the differences of the ecological benefit and compensate farmers the losses of non-agriculturalization of farmland.This paper analyses general method of Farmland shelterbelts’accounting standard, and mainly introduced the cost compensation standard, the ecosystem service function value and forest assets value assessment method. In the practice of Farmland shelterbelts ecological compensation in Liaoning province, this paper defined Farmland shelterbelts’compensation subject and compensation object of the Liaoning province’s at first, then, chi-square method is adopted to define the correlation between the family situation, property status and Farmland shelterbelts construction, investment, and the will of ecological compensation, which based on the survey of condition and the property right of farm household. Binary Logistic regression is adopted in analyzing the influence factors of production will, investment will, which shows that property is the largest factors, fully explained that stable relations of property right have a great significance to farmers’production and investment of Farmland shelterbelts, proving proposition3which puts forward on the second chapter that full property right relations have important effects on farmers willingness. And the disposition of the present property right relations didn’t work well which affects the willingness of farmers. Therefore, ecological compensation should be paid for farmers.In the accounting and discussion ecological compensation standard of Farmland shelterbelts in Liaoning province,the method of direct cost and opportunity cost are adopted to measure peasant households’economic loss is3246Yuan per MU; In the evaluation of ecosystem service function value,mainly carries on the analysis from five aspects:reduced evaporation, soil conservation, carbon sequestration and release oxygen, purify air, and mitigation protection, which calculated the ecosystem service function value is1015Yuan per mu; The experiment form method. Calculate Timber volume, In the evaluation of forest land and forest assets, This paper analyses the statistics survey of peasant household, stocking volume is obtained by using the experiment form number method; then, using market value method to calculate stocking; finally through two kinds of method:the arithmetic average method and the uniform annuity method, to calculate the profits of different forest age. As for the amount of compensation, this study believes a compensation should be paid in accordance with the forest age stage, compensation price should between117Yuan-439Yuan per MU. Three methods of accounting verify proposition2which put forward at the chapter2------the value of ecological resources and proposition1------the impact of externality. By comparison of Pearson inspection and analysis the value results of Farmland shelterbelts ecosystem service function in Liaoning province and Shandong province farmland shelterbelt, Fujian coastal shelter forest, forest in Liaoning province, and carries on the discussion of ecology, economics and accounting, this study is based on the ecological compensation mechanism design, and that determine the amount of compensation funds should according to different objects and compensation method, but the value of ecosystem services should be considered.On the development measures and Suggestions of Farmland shelterbelts ecological compensation, the development measures and Suggestions should be closely related to the stakeholders of compensation and compensation funds channel, this paper offer put forward the proposal mainly from two aspects. On the one hand, the government should strengthen the legislation of ecological compensation, improve the public cognition of ecological compensation, give full play to the subjective initiative of stakeholders, make the farmland shelterbelt fully protect the ecological environment and increase more interests of the compensation object at the same time; On the other hand, the market should giving full play to the advantages of ecological project, the contribution role of Farmland shelterbelts in plain forestry should be brought into play, and the second forestry industry should be upgraded to make contribution to increase farmers’income.更多还原