中国西部地区退耕还林政策绩效评价与制度创新

【作者】 张卉；

【导师】 樊胜岳；

【作者基本信息】 中央民族大学 ， 中国少数民族经济， 2009， 博士

【摘要】 退耕还林政策自1999年在西部地区的四川、甘肃、陕西三省试点,2002年全面实施以来取得了显著成效,该项政策对深入推进西部大开发、改善环境、增加投资、扩大消费、促进西部地区经济的持续发展和社会的全面进步起到了重要作用。但是在广大的西部地区,巩固退耕还林成果、解决退耕农户长远生计问题的任务依然十分艰巨。西部退耕还林工程区生态环境虽有局部改善,但仍十分脆弱,稳定性还比较差;退耕还林工程营造的林木大多还处在未成林或幼林阶段,短期内难有经济效益;退耕农户大多还缺乏增收的门路,解决长远生计问题的长效机制尚未建立。针对西部地区退耕还林政策实施过程中的诸多问题,在其成果巩固阶段,本文试图将规范研究与实证研究、定性分析和定量分析结合,将区域经济学、生态经济学和制度经济学的基本原理与西部地区的退耕还林实践有机结合,通过田野调查法、层次分析法、成本—收益法、影子价格法等具体方法对退耕还林的政策绩效做以评价,在此基础上,对关乎工程成败的核心制度—生态补偿制度进行设计和创新,提出市场化的补偿模式构想。本文的主要内容由六个部分组成。导论部分主要介绍研究背景与选题意义、国内外研究状况、以及本文的主要内容和创新点。第一章的内容为制度设计与西部地区的生态环境,分别考察了农村土地制度变迁对西部地区生态环境的影响、生态补偿政策对西部地区生态环境的影响以及退耕还林政策对西部地区生态环境的影响。该章旨在说明生态环境的恶化或改善与制度设计之间存在密切关系,并从整体上交代了本文的写作目的与主题。第二章从经济学的角度对退耕还林中涉及到的:相关主体的目标和利益、主体间的博弈行为、生态补偿、产权制度安排等问题加以分析,为后续章节的研究提供了理论基础。第三章介绍了西部地区的经济社会生态概况、退耕还林工程对西部地区可持续发展的意义以及退耕还林工作在西部十二省区的进展情况,该章界定分析了研究区的现状,是本文实证研究的依据和起点。第四章通过设计指标体系,选取西部地区的甘南藏族自治州作为典型个案,运用层次分析法对该地区退耕还林政策的绩效进行评价,进而指出退耕还林政策在该地区的实施过程中存在的问题。本章是承上启下的一章,既是对现有退耕还林政策的总结评价,又是新制度设计的基础和依据。第五章从制度创新的角度,对现行退耕还林政策加以完善,指出市场在生态建设中的重要作用,构建了市场化的生态补偿模式,并对该模式下农民利益的保障机制进行了探索。此部分是本文写作着力突出的章节。该章既是对写作主题的呼应,又是实证研究的结果,还是理论创新的集合。本文的主要结论有:生态状况的恶化或逆转和制度设计紧密相关:生态建设工程要想达到预期效果,政策和制度设计必须以百姓利益为基础;引入市场的生态补偿制度设计是有效配置资源、保障农户利益、巩固退耕成果、积极推进工作的创新性尝试;退耕还林的制度创新体系中,必需要有一系列机制,如利益保障机制、技术支撑机制、产业扶持机制等来保障农民实现其利益。本文的创新之处主要表现在以下几个方面:一是以时间的顺序结合史实考查建国以来历次重大农村土地制度变迁对农户经营土地行为的影响,以及农户行为随政策变动后对生态环境的影响;二是全面分析政府和农户在退耕还林中的目标利益后,在总结前人研究成果的基础上,将政府的目标和农户的目标结合起来力图建立一个相对完整、综合、全面的绩效评价体系对现有退耕还林政策进行评价;三是将层次分析法运用到绩效评价中,建立退耕还林综合效益评价模型,并选取典型个案得出合理结论;四是针对绩效评价结果发现的问题,提出将市场手段引入退耕还林制度,并对市场化生态补偿制度中的具体问题进行了设计。期望本文的研究能够为西部地区退耕还林政策的进一步实施起到理论和实践上的指导作用。同时,期望本文多学科的研究视角,能推动生态经济学科的建设和发展。更多还原

【Abstract】 The policy of conversion from cropland to forest,which was first tested in Sichuan,Gansu and Shaanxi provinces of west China since 1999 and then had been applied to the whole country by 2002,has made a remarkable effect on advancing the western development,improving the environment,increasing the investment,expanding the consumption,promoting the economy sustainable development and making overall social progresses in west China.But,it is still a long-term and hard task to consolidate the achievements from conversion of cropland to forest and resolve the living problems for the peasants without farmland.Though the local environment has been improved,the stability for the environment in the areas that has just returned cropland to forest is quite fragile.As most of the trees are quite young,economic benefits can not be achieved during a short period.In order to resolve the problems with the conversion of cropland to forest in west China,a new conception of market compensation mode is proposed in the thesis.The core system for the conversion of cropland to forest - the ecological compensation system is redesigned and innovated in this conception on the base of the evaluation through various methods as follows:field investigation,hierarchy analysis,cost-benefit approach and shadow price method.The principles in regional economics,ecological economics and institutional economics are also employed and applied in this thesis.The thesis is divided into six parts:The introduction presents the backgrounds and the significance of this study.The current research status and the innovations are also covered in this part.Chapter 1 presents the influence of the designing systems on the ecological environment in west China.The designing systems mainly include the following three systems:the rural land system,the policy of eco-compensation and the conversion of cropland to forest.A close relationship between the systems and ecological environment are achieved with the analysis.Then,the objective and the theme for the thesis are presented.Chapter 2 analyzes the problems with the applying the policy of conversion from cropland to forest in view of economics,providing theoretical foundations for the following chapters.The problems such as the target and the benefit among the main bodies,the game behavior between the main bodies,the eco-compensation,the arrangement of property right systems,etc.are covered in this part.Chapter 3 studies the current status of economy and society in west China,the significance of the conversion from cropland to forest for western development and the progress situation of the twelve provinces in west China.This chapter is the base for the whole study.A new index system is proposed in chapter 4.In addition,the new designed index system is applied to Gannan Tibetan prefecture.The performance of conversion from cropland to forest is evaluated through hierarchy analysis method,on the base of which the problems caused by the conversion of cropland to forest are generated.This chapter is a connection in the thesis,which is not only an evaluation for the policy of conversion from cropland to forest,but also a foundation for the new systems design.Chapter 5 establishes the market compensation mode according to the current policy of conversion from cropland to forest and the influence of market on the ecological construction.The guarantee mechanism for peasants’ benefit under this mode is also studied in this chapter.This chapter is of the most importance among all the parts,as both the theoretical innovation and the empirical research are concentrated in it.Major conclusions are summarized as follows:1.The system design poses a remarkable influence on the ecological environment;2.For the sake of achieving the expected effect of ecological construction implementation,the people’s benefit must be the ultimate target while designing the polices and systems;3.It is an innovation for the introduction of market compensation, which makes good effects on disposing resources,guarantying peasants’ benefit,consolidating the achievement from returning cropland and etc;4.A series of mechanisms,such as benefit safeguard mechanism, technology supporting mechanism,industry supporting mechanism and etc,must be included in the new systems to guarantee the peasants’ benefit.The innovations of this thesis are as follows:1.The influence of the rural land systems on the behavior of land management in China is studied by years since 1949.meanwhile,This behavior of peasants has an influence on the ecological environment;2.According to the analysis of the target benefit between the government and the peasant,a new evaluation system is proposed on the base of the evaluation for current policy of conversion from cropland to forest,combining the benefits of the government and the peasant;3.A new evaluation model for the effect of conversion from cropland to forest is established employing hierarchy analysis method. Reasonable conclusions have been obtained applying the new evaluation model to a typical case.4.Market means are introduced to the policy of conversion from cropland to forest,and the problems are well resolved in the establishment of market compensation system.The study may afford both theory and practice support for the further implementation of the conversion from cropland to forest in west China.Moreover,the investigation method employing multi-subjects is expected to promote the construction and development of ecological economics.更多还原