【作者】 黄晓玲；

【导师】 杨建州；

【作者基本信息】 福建农林大学 ， 林业经济管理， 2009， 博士

【摘要】 森林认证是全球林业经营的主要模式,必须结合世界范围内的森林认证过程、发展趋势和政府推动治理的转变趋势,从发展的角度来思考未来中国林业企业森林认证的发展趋势及森林认证体系建设的方向。森林认证作为促进森林可持续经营的一种市场机制已经在世界范围内广泛开展,要使中国森林经营及林产工业的发展更好地与国际接轨,必须加快推进中国森林认证工作,完善森林可持续经营标准的指标体系。随着全球经济一体化、贸易自由化进程的加快,森林认证有利于克服林产品贸易的绿色壁垒并改善国际贸易环境,中国林业产业及林产品贸易要实现可持续健康发展,必须遵循森林资源发展规律强调经济发展与环境保护协调发展。鉴于森林认证的迅速发展以及在中国的起步态势,所以研究中国森林认证的进展与存在问题,并对林业企业实施森林认证的动力机制展开系统性研究,进一步探索提升实施森林认证动力的战略选择,具有理论与实践相结合的重要现实意义。该项研究也必将对制定以实现“提高林业生产效率和提高林业企业国际竞争力”的林业综合改革提供强有力的理论与实践指导作用。为此就中国林业发展的现实出发展开林业企业实施森林认证的动力机制研究是一个崭新而又重要的研究命题。本文以林业国际化为研究背景,以林业企业实施森林认证的动力机制为研究主题,以森林生态经济理论、可持续发展理论、系统分析理论、非线性均衡理论、战略管理理论、核心竞争力理论为理论基础,采用重点调查法、动态模型分析法、主成分分析法、多元回归分析法、比较分析法、非均衡分析法、生态经济分析法、案例分析方法、问卷调查与半结构式访谈法等,构建林业企业实施森林认证动力机制的动态描述模型、多元回归分析模型、森林认证系统发展能力建设的合力整合描述模型、林业企业实施森林认证的成本效益量化分析模型,综合利用实地调查数据与统计数据,对林业企业实施森林认证的动力机制的成因和提升林业企业实施森林认证动力的路径选择进行较为深入的研究。文章分为五大部分:第一部分为第一章,阐述论文研究的背景意义、相关研究观点评述、研究目标及拟解决的关键问题、本研究的方法、技术路线及内容框架;第二部分包括第二、三章,主要构建林业企业实施森林认证动力机制的动态描述模型,论证林业企业实施森林认证行为是一种全新的可持续发展模式,进一步展开林业企业实施森林认证的动力机制进行实证分析。第三部分包括第四、五章,分析林产品贸易发展对林业企业实施森林认证的基本要求,并对林产品贸易发展对林业企业实施森林认证动力推动作用的进行规范分析。着重对森林认证发展系统进行结构与功能分析,并对森林认证系统能力建设对林业企业提升实施森林认证动力的互动机理进行分析论证。第四部分包括第六、七章,主要对林业企业实施森林认证的成本效益和生态经济效应进行分析,针对福建省永安林业股份有限公司实施森林认证的行为进行案例分析;第五部分包括第八、九章,提出提升林业企业实施森林认证动力的战略选择,归纳研究结论及有待进一步研究探讨的问题。研究的结果表明:(1)针对林业企业实施森林认证的内在动力机制及其模型的分析表明林业企业实施森林认证的动力在于:林业企业经营者实施森林认证的决策偏好、林业企业森林生态经济效益优化目标、森林可持续经营战略与林业企业可持续发展战略的拟合度、社会周围其它林业企业实施森林认证的状况、林业企业的竞争压力、政府及林业行政管理部门对森林认证的支持力度、市场准入制度变化(林产品国际贸易壁垒)、林产品市场体系规范化制度化状态等要素之间的相互促进关系。社会周围其它林业企业实施森林认证的状况、政府及林业行政管理部门对森林认证的支持力度、市场准入制度变化(林产品国际贸易壁垒高低)、林产品市场体系规范化制度化状态对林业企业实施森林认证模式具有间接影响,通过影响其它诸要素改变林业企业实施森林认证的动力。(2)主成分分析表明林业企业开展森林认证的影响因素归纳为四个因素,分别是:企业的基本情况;对森林认证的重视度;对森林认证的解程度和企业的经营与森林认证的关系。多元回归分析表明在森林认证的重视度方面,只要政府能够增加森林认证的重视度,例如政府能够对森林认证进行必要的支持,那么林业企业准备开展森林认证的发生比将大大增加,数据显示f 2每增加一个单位,林业企业开展森林认证的发生比将增加2.927倍;其次,对森林认证解程度上,模型的模拟发现,林业企业对森林认证的解程度和周围企业是否有准备开展森林认证直接影响到林业企业开展森林认证的发生比,数据显示的结果是f 3每增加一个单位,林业企业准备开展森林认证的发生比将增加1.758倍。(3)通过林业企业实施森林认证与林产品贸易发展的规范分析表明未持有森林认证的代价以及持有森林认证的代价正是当前中国进行林产品贸易所面临的两难抉择,在没有考虑林产品溢价的前提下无论作出何种选择都将导致贸易利润的损失。森林认证制度的出现对维持世界林业的可持续发展无疑产生诸多正面的意义,但另一方面其又为当今国际间林产品贸易的进行提出新课题。提升林业企业实施森林认证动力与推动林产品贸易持续发展应重视规范森林认证手段改善林产品贸易环境,培育专业化的森林认证和林产品贸易人才,政府及林业部门应尽快采取积极有效的措施,开展广泛的宣传和培训活动,以提高相关林业企业和管理人员对森林认证的认识。(4)加强森林认证系统发展能力建设必须突破认证科技支撑较弱的局面,突破认证制度和机制的缺陷,以认证科技创新为先导,认证制度能力建设为基础,认证人力资源开发与管理能力建设为重点,不断推进森林认证系统体系的优化,以提高森林认证发展系统的协调能力和持续能力。森林认证系统发展能力建设受到多方面的综合因素的影响,如森林生态环境承载能力、认证系统自我发展能力、认证系统管理调节能力,同时森林认证系统发展是一个动态的过程,在动态的发展中要受不同作用力的影响。(5)对林业企业实施森林认证的成本效益和生态经济效应进行分析表明森林认证机构、政府及林业行政部门应加快整顿市场经济秩序,政府应该积极采取各种措施增大实行可持续开发利用森林资源的林业企业经营收益,政府应降低不合理开发利用森林资源的林业企业非法所得,林业企业实施森林认证后,在开发中必须要从全局出发,从整体上把握好森林资源开发的经济阈值和生态阈值,进一步提升林业企业实施森林认证的生态经济效应。(6)提升林业企业实施森林认证动力的基本思路和途径是:制定和健全中国规范化的森林认证标准体系;规范森林认证手段改善林产品贸易环境;构建和培育合格的林业企业经营主体;加强林业企业森林认证能力建设;培育专业化的林产品贸易人才;进一步提升林业企业的核心竞争力。更多还原

【Abstract】 Forest certification is the world’s major forest management model. Integrating with the worldwide forest certification process, the development trend and the changing trends for government to promote the governance, we must from a development perspective consider the future of China ’s forestry enterprise development trend of forest certification and forest certification system direction. As a market mechanism, forest certification to promote sustainable forest management has been extensively carried out in the world. In order to better align with the international community, China’s forest management and forest product industry must accelerate the work of forest certification, and improve indicator system for sustainable forest operating standards. With the acceleration of the global economic integration and trade liberalization, forest certification has benefit to overcome the green barriers in forest products trade and improve the international trade environment. in order to achieve sustainable and healthy development, China’s forestry industry and forest products trade must follow the laws of forest resources’development and emphasize the coordination between economic development and environmental protection development. In view of the rapid development of forest certification, as well as the starting situation in China, this paper studies the Chinese progress in forest certification, the existing problems and engages in systematic study on power mechanisms for forestry enterprises to implement forest certification. In addition, further explores the strategic choice to increase the power to implement the forest certification. The paper has important practical significance with the combination of theory and practice. This study is also bound to provide a strong guiding role in terms of both theory and practice for realizing the forestry comprehensive reform " to improve forestry production’s efficiency and forestry enterprises international competitiveness" ,. In all, from China’s forestry development reality, it is a brand new and important subject to study power mechanism for forestry enterprises’implementation of forest certification.Taking forestry internationalization as the research background and power mechanism for forestry enterprises’implementation of forest certification as research topic, with forest ecological economic theory, sustainable development theory, system analysis theory, the nonlinear equilibrium theory, strategic management theory, and the core competitiveness theory as the theoretical foundation, meanwhile, using the focus investigation analysis, dynamic model analysis, principal component analysis, multiple regression analysis, comparative analysis, non-equilibrium analysis, ecological economic analysis, case analysis, questionnaire survey and semi-structured interview method and so on, the paper sets up dynamic description model for power mechanism, multiple regression analysis model, integration force comprehensive description model for the capacity construction of development of forest certification system, cost-benefit quantitative analysis model of forest certification . Comprehensive utilizing of the field survey data and statistical data, the paper in depth researches on the causes of power mechanism for forestry enterprises’implementation of forest certification and on the path selection to promote forestry enterprises’implementation of forest certification.This paper is divided into five major parts:The first part, that is Chapter 1, expounds on the meaning of research background, opinion review of related literature, research objectives and key issues to be resolved, the research methods, techniques and content framework.The second part, including Chapter 2, Chapter 3, mainly creates dynamic description model for the power mechanism, argues that it be brand new sustainable development mode for enterprises to carry out certification, and further empirically analyzes the power mechanism .The third part, that is chapter 4 and 5, analyzes the basic requirements of forestry product trade development on the enterprises’implementation of certification and gives the normal analysis on forestry product trade development’s promotion function impact on the implementation of certification. Emphasis is placed on the structural and functional analysis of the development system of forest certification. And reasons the mechanism of interaction between capability construction of certification system and power of enterprises’implementation of certification.Part IV, including Chapters 6 & 7, analyzes the cost-benefit and eco-economic effects of forestry enterprises’forest certification. It takes Fujian Yongan Forestry Limited Company’s implementation of forest certification as a case analysis.Part V, including Chapters 8&9, explores the strategic choice of the forestry enterprises to implement the forest certification and summarizes the conclusions and the pending questions for further discussion.The results of the study show that:(1) The analysis on inherent power mechanism and model indicates that the power of implementation of certification lies in: the manager’s decision preference for the implementation; the enterprise’s optimal objective for ecologic-economic benefit; the extent of coincidence between the sustainable management strategy of forestry and the sustainable development strategy of enterprises; the situation of other enterprises in certification implementation; competitive pressure of forestry enterprises; the supporting strength of government and forestry administrative departments for certification; policy changes for market admission (forestry product international trade barriers); The mutual promotion relationship of the factors in forestry product market system, such as normalization and institutionalization. The following: the situation of other enterprises in certification implementation; the supporting strength of government and forestry administrative departments for certification; policy changes for market admission(forestry product international trade barriers); normalization and institutionalization of forestry product market system ; All these have indirect impact on the certification modes, by influencing other factors to change the power for implementation.(2) Principal component analysis shows that the reasons for forestry enterprises’implementation of forest certification fall into four factors, namely: the basic situation of enterprises; how much attention paid to forest certification; the level of understanding of forest certification and the relations of corporate management and forest certification. In terms of attention, multiple regression analysis shows that, as long as the government can increase the importance degrees of forest certification, such as the Government on forest certification can make the necessary support, then the forestry enterprises ready to carry out than the occurrence of forest certification will greatly increase. Data shows that f 2 each additional unit, forestry enterprises to develop forest certification will increase the occurrence of more than 2.927 times. Furthermore, the model’s simulation found that the forestry enterprises‘know extent and the preparation to carry out forest certification has a direct affection of the occurrence of forest certification, that is , f 3 each additional unit, the occurrence of forestry enterprises ready to carry out the forest certification will increase more than 1.758 times.(3) The normative analysis of the relationship between the implementation of certification and development of forestry product trade indicates that the cost of non-certification and the cost of certification is the dilemma to be faced in today’s China. Either choice will lead to the loss of trade profit unless taking account of excessive price. The emergency of certification no doubt benefits in sustainable development of world forestry, but on the other hand, new problems arise with the process of international trade. To promote international trade by increasing the power of certification, attention must be paid on: normalizing the means of certification, improving the trade environment, fostering specialized certification and forestry product trade talents. In the meantime, active measures must be taken to better the consciousness of forestry enterprises and managerial persons by publicity and training.(4) The construction of capabilities for the development of certification system must overcome the supporting weakness in terms of technology, and overcome the shortcomings in terms of institutions and mechanism. With technology innovation as guide, construction of certification institution capabilities as base, tapping talent resources and construction of management capabilities as emphasis, constantly promote the optimization of forest certification system in order to improve the system’s coordination and sustainability. The capability construction for the development of certification system should consider several comprehensive factors, such as the carrying capacity of forest eco-environment, self-development capability of certification system, and regulating capability of certification system. In the meantime, the development of forest certification system is a dynamic process, during which subject to different impact forces.(5) The analysis on cost-benefit and eco-economic effects of forestry enterprises’implementation of forest certification shows that: the forest certification bodies, the government and the forestry administrative departments should speed up the steps to rectify market economic order; government should actively adopt various measures to increase the revenue of forestry enterprises insisting on sustainable development and utilization of forest resources; Government should reduce the irrational income from illegal exploitation and utilization of forest resources by forestry enterprises; after the implementation of forest certification, forestry enterprises should adopt an overall point of view, that is, from an overall grasp tap forest resources within economic and ecology threshold value and further enhance eco-economic effects by the enterprises’implementation of forest certification .(6) The basic ideas of enhancing the implementation of forestry enterprises are to: develop and improve the normalization of Chinese forest certification standards; normalize the means of certification and improve forest product trade environment; build and nurture qualified forestry operating organization; strengthen the enterprises’construction for capacity for forest certification; cultivate professional talents for trade in forest products; further improve the forestry enterprises’core competitiveness.更多还原