【作者】 徐光丽；

【导师】 葛颜祥；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2014， 博士

【摘要】 流域生态补偿作为一种水源地保护的经济手段，其目的是调动水源地生态建设与保护者的积极性，是促进水源保护的利益驱动机制、激励机制和协调机制的综合体。本文以公共物品理论、外部性理论、生态环境价值理论、成本收益理论、可持续发展理论以及生态资本理论为指导，运用定性与定量研究相结合、案例研究、博弈分析等方法，以生产用水和经营用水为例，对流域生态补偿机制，包括补偿主体的界定、补偿标准的确定及补偿方式的选择和对策建议等问题进行了研究。生产用水是指流域水资源中用于农业、工业和居民生活的水资源。农业用水即为第一产业用水，主要包括农田用水、林业用水、牧业用水和农村工副业用水等。工业用水即第二产业用水，这部分用水主要用来维系工业系统运转而消耗的水资源。居民生活用水是指在居民在日常生活中必需的用水，这部分用水本不是用于生产，但因其用水方式类似农业、工业用水，为便于分析归纳为生产用水，包括用于农村居民生活与城镇居民生活的用水两个部分。流域生产用水中补偿主体主要涉及农业生产用水主体、工业生产用水主体和居民生活服务业用水主体。而受偿主体是流域上游的生态服务提供者。确定一个合理的生态补偿标准是保证流域生态补偿机制得以顺利实施的重要条件。针对生产用水，本书对三种生产用水主体分别进行分析，根据不同用水的特点分别确定了其补偿标准的计算方法，农业用水的补偿费用能够用农业用水产出函数，补偿比例和水质的调整系数等计算得到；工业用水的补偿标准根据企业用水量、重复利用率、水质系数确定；居民生活用水的补偿标准则是利用模糊数学评价方法对水资源价值进行评价，然后针对具体流域的实际情况确定水价，进而确定补偿标准。根据泰安市各用水主体的实际情况计算其应对上游莱芜市的补偿金额得到，泰安的农业生产用水主体应向莱芜补偿5753.9万元，工业用水主体应支付56.3万元的费用，居民生活用水主体应向上游支付的补偿费用为4900万元。关于流域生产用水补偿方式的选择，政府补偿和市场补偿都有其优缺点，因此，在针对某流域内的生产用水生态补偿方式的选择时，应当综合考虑多种补偿方式，更好的为流域内生产用水的生态补偿服务。因此，应做到补偿方式和途径的多样化。农业用水主体数量多而分散且具有不确定性，但用水量能够确定，因此，可以由政府或者建立专门的机构协助上游与农业用水主体签订水资源产权协议，进行开放贸易模式的生态补偿。工业用水主体的生态补偿可以根据其不同的规模分别加以确定，大中型企业可以选择与上游进行一对一的市场交易，小型企业可以以缴纳环境税费，通过政府转移支付的方式实现生态补偿，有条件的企业也可以利用生态标记的方式。生活用水主体可以通过自来水公司与上游政府协议补偿，但是其中农村生活用水应该适当降低补偿标准。经营用水是指流域资源水权中用于以水资源作为营利载体的服务业的水资源，其中水电产业、旅游业、流域水产养殖业和内河航运业占的比例较大。流域经营用水中的补偿主体主要涉及旅游业、水电业、水产养殖业、内河航运业的经营主体，而受偿主体为流域生态环境保护做出贡献或放弃发展权的单位、政府及个人等。利用进化博弈理论对补偿主体和受偿主体间的博弈进行分析，得出当补偿额度为R时，上游的受偿主体和下游的经营性用水主体间的协议才能达到一个稳定状态。根据受偿主体的保护成本和补偿主体用水量及用途来分别确定补偿标准。以大汶河流域为例，计算得出大汶河泰安市旅游业经营主体应向上游补偿的费用为0.23亿元。经营用水的生态补偿方式应当使用市场补偿的模式，主要包括两种具体的补偿形式，直接性补偿和间接性补偿。资金补偿可操作性较强，是最直接且最常见的补偿方式，同时保障了流域生态补偿基金来源的稳定。智力补偿是一种“造血”形式的补偿，主要通过对上游劳动力进行培训、生态农业技术培训、无偿的技术指导和咨询、向上游的某些产业输送各类的专业人员等形式实现。通过对大汶河流域生态补偿的实证分析发现，大汶河流域生态补偿从补偿内涵上来看，既有污染补偿也有保护补偿，因而属于广义生态补偿。从补偿标准的制定上看，补偿依据是流域水质状况。这种方法简便易行，操作成本低，但也存在补偿额度偏低、生态补偿量的确定没有考虑水量状况等问题。从补偿方式上看，大汶河流域生态补偿是政府补偿，所以不可避免的存在生态补偿的实施具有短期性，不可持续性、“谁受益谁补偿”原则没有得到充分体现等问题。从补偿原理上看，是跨行政区域补偿。这种生态补偿模式使流域内的外部性内部化，但是大汶河流域生态补偿试点的链条中除了莱芜市和泰安市，没有包含其他的相关地市，因而补偿机制还需进一步完善。因此，从扩大补偿对象、完善补偿标准的制定方法、探索新的补偿方式及形式等方面提出了完善大汶河流域生态补偿机制的建议。更多还原

【Abstract】 As an economic method to protect water source area, Ecological Compensation of RiverBasin which aims to mobilize the enthusiasm of the ecological construction and the protectorsin the water source area，is a synthesis of the interests motivated mechanism, incisivemechanism and coordination mechanism which can promote water resources protection.Based on the theory of public goods, externality theory, ecological environment valuetheory，cost-benefit theory，sustainable development theory and ecological capital theory，by using the method of qualitative and quantitative research, case study, game analysis, etc,this paper conducts an investigation in water ecological compensation mechanism from theperspective of production water and operation water use, including the definition of the mainbody of the compensation, the determination of standard compensation, and the right choiceof compensation method and countermeasure and proposal.According to the purpose，basin water resources can be divided into three parts：production water, operation water and ecological water. Among these， the productionwater is the water resources in basin used for agriculture, industrial and residents living. Theagricultural water is the water being used for primary industry，including farmland water，forestry water，animal husbandry water and rural sideline water, etc. Industrial water is thesecond industrial water, which is consumed mainly for maintaining the industrial system.Residents living water refers to the water vital for residents’ everyday life, containing ruralresidents water and urban residents living water components. The compensation subjects ofthe production water in basin mainly involves agricultural production water body， industrialproduction water body and residents living water body. And the repayment subject iswatershed upstream region who provides ecological services.To determine a reasonable standard of ecological compensation is an important conditionto ensure the smooth implementation of river basin ecological compensation mechanism.Aiming at the production of water, this paper analyzes three kinds of water body, respectivelydetermine the calculation method of the compensation standard according to thecharacteristics of different water. The compensation fees for agricultural water shall becalculated according to it output function， compensating proportion, the coordinationcoefficient of water quality, etc. For industrial water,it can be calculated according to thewater consumption, repeated use of water rate and water quality coefficient. Thecompensation standard of living water for residents is the use of fuzzy evaluation method to evaluate the value of water resources, and then according to the actual situation to determinethe specific basin water price, and then determine the compensation standard. Then accordingto the characteristics of each water respectively to determine the compensation standard, andcalculate the amount of Tai’an should be compensate the upstream laiwu. After calculation,agricultural production water body in Tai’an should compensate57.539million yuan to Laiwu;the industrial water body should compensate563thousand yuan; and the residents livingwater body should compensate49million yuan.As for choosing the compensation modes of production water in a river basin，thegovernment compensation and market compensation have both strengths and weaknesses, soit should put several compensation modes into consideration in the choice of compensationmodes for production water in basin, in order to better serve ecological compensation in theproduction water within a river basin. Ways of compensation mode and compensationapproach should be diversified. Agricultural water subjects have a large but dispersed numberwith uncertainty, but water consumption amount can be determined. The governments orspecialized agencies assist sign the water property right agreements between upstream unitconcerned and agricultural water subjects to implement the open-trade mode of ecologicalcompensation. The ecological compensation subjects of industrial production water can bedetermined by its scale, large and medium-sized enterprises choosing one-to-one up streamtransactions, small businesses paying environmental fees and materializing ecologicalcompensation by means of government transfer payment, qualified enterprises by means ofecological markup. The living water subjects can be compensated by agreements between tap-water undertakings and upstream governments, however rural living water should duly reducecompensate rate.Operation water refers to the water resource used in service industry which takes water asthe profitable carrier, among which hydraulic power industry, tourism, aquaculture and inlandtransportation account for a large proportion. Operation water subjects mainly involve tourism,hydraulic power industry, aquaculture and inland transportation, while the repayment subjectsrefer to the units, governments or individuals who have made contributions to ecologicalenvironment protection or abandoned the right of development in this river basin.The analysis of the game between compensation subjects and repayment subjects bymeans of evolutionary game theory concludes that only when the compensation rate is R canthe agreements between upstream repayment subjects and downstream operation watersubjects reach a state of stability. The compensation standard can be determined by theprotection cost of repayment subjects, the consumption amounts and purposes respectively. The ecological compensation of operation water should adopt the market compensationmode, which mainly includes two concrete compensation modes, namely direct compensationand indirect compensation. Capital compensation, having stronger operability, is the mostdirect and common mode of compensation, also guarantee the steady source of ecologicalcompensation fund. Intellectual compensation, a hematopoietic mode of compensation, isfulfilled by upstream labor training, ecological agriculture technology training, freetechnology guidance and counsels and providing various professionals for some upstreamindustries.It is found in the empirical analysis of ecological compensation of Dawen River Basinthat from the perspective of compensation connotation, the ecological compensation ofDawen River Basin includes both pollution compensation and protection compensation, hencebelongs to the ecological compensation in the broad sense; from the setting of compensationstandard, compensation is based on the water quality, which has the advantage of simpleoperation and low cost and problems of low compensation rate and determination ofecological compensation amount without considering the condition of water and so on; fromthe mode of compensation, the ecological compensation in Dawen River basin belongs togovernment compensation, therefore inevitably there exists such problems as short-term andunsustainable implementation of ecological compensation and failure to fully reflect theprinciple that those who benefit compensate; from the compensation principle, it belongs tocompensation across administrative regions, so this compensation mode internalizes itsexternality; The chain of the ecological compensation piloting spots of Dawen River Basindoesn’t include other relevant cities except Laiwu and Taian, consequently the compensationmechanism needs further perfection. It is presented in this thesis the suggestions of perfectingecological compensation mechanism of Dawen River basin from the perspective of expandingcompensation subjects, perfecting the determination methods of compensation standard andexploring new compensation modes and forms.更多还原