【作者】 王蕾；

【导师】 崔国发；

【作者基本信息】 北京林业大学 ， 自然保护区学， 2010， 博士

【摘要】 生态补偿是解决自然保护区与保护区社区之间保护与利用矛盾的重要措施。本论文以剖析当前我国自然保护区“没有保护好”的原因为起点,提出了通过起到生态补偿作用的生态效益补助控制保护区社区对自然保护区的干扰从而改善保护区管理的思路。根据这一思路,综合运用生态学、经济学方法对补助的对象、补助的主体、补助的数量、补助的方式四个方面进行了系统的理论分析,提出了定量并有案例支持的生态效益补助方案。论文包括以下内容：首先,在文献综述的基础上,通过经济学的外部性理论和对保护区管理问题的分析揭示了：自然保护区的正外部性由于中国的管理体制、外部性的受益范围和难以通过边际分析量化其价值等原因无法体现到生态补偿上；而中国相当数量的自然保护区“没有保护好”这一问题的主要成因是保护区社区带来的干扰。然后,以此认识为基础,构建了“虚拟地”概念,将环境经济学中的生态足迹计算方法创新性地应用于对保护区人地关系的研究,提出了以虚拟地计算方法为核心的“生态效益补助”方案,较为合理地解决了技术角度难度最大的生态效益补助数量确定问题。接着运用福利经济学中的公共物品理论、利益相关者分析、博弈论和生产函数理论分析了生态效益补助资金的来源渠道和使用路径。最后,再以福建武夷山自然保护区为“生态效益补助”方案的案例点进行了深入的定量研究,以验证和细化理论研究成果。论文研究在生态效益补助方案关键的四方面结论如下：(1)从合理性角度和可行性角度分析,认为只有对保护区社区进行生态效益补助以提高其单位土地面积的经济产出才可能控制保护区社区对自然保护区的干扰。(2)对保护区社区人地关系用生产函数理论进行了分析,提出了多数社区的经济产出是其生产用地面积的单调递增函数；据此,并改进了环境经济学中的生态足迹计算方法,构建了“虚拟地”概念——保护区社区对应于一定的生产生活方式,为了达到当前的人均收入水平和生活质量而占用的土地面积；认为最低限度的生态效益补助实际上是对保护区社区超过环境承载力的居民的补助资金——对保护区内及保护区社区实施生态效益补助且达到一定的补助值,使其“虚拟地”占用满足自然保护区土地利用规划的要求且能够以此补助为基础实现产业结构高级化,从而在不扩大“虚拟地”占用的基础上获得社区居民收入增长；改造了“生态足迹”计算方法——使其能够在中国自然保护区社区的条件下将对土地规模的计算转换到对人口经济数据的统计上,可以从改进后的生态足迹确定的过载人口数量来确定生态效益补助的数量。以这三方面的技术创新为基础,就可以通过计算虚拟占用土地规模求得生态效益补助下限标准：EC=ΔN×yi=[∑(γi×VLi)／∑(γi×Li)—1]×N×yi(3)各利益相关者都应通过财政渠道、市场渠道和社会渠道参与到对保护区社区的生态效益补助中,但财政渠道中的较高层级政府(中央和省级政府)的投入应是生态效益补助的主要资金来源；在资金使用上,只有通过产业结构高级化使保护区社区单位土地面积的产出提高才可能使生态效益补助资金实现初衷。(4)通过调查收集了武夷山保护区社区经济社会发展状况、土地利用数据、当前社区居民生产生活消耗等情况,然后用“虚拟地”计算方法得到武夷山保护区社区应取得的生态效益补助金额的下限125.16万元,并根据生产函数理论对武夷山保护区社区的产业结构高级化路径进行了总结,提出了资金使用最优化建议。论文工作的创新性表现在以下两个层面：①在应用层面,提出了能够控制保护区社区干扰并在现有管理体制和资金条件下兼具合理性和可行性的“生态效益补助”方案,还完整地给出了与当前国家广域政策(主体功能区划、林权改革等)相衔接、与此方案相适应的自然保护区产业结构高级化路径。②在理论层面,为实施“生态效益补助”方案的难点——确定生态效益补助标准给出了创新的思路和定量的依据：根据控制保护区社区的负外部性需要进行生态效益补助,采用“虚拟地”计算方法对补助标准定量。更多还原

【Abstract】 Ecological compensation is an important measure to manage the conflict of conservation and utilization between nature reserve and adjacent community. This dissertation starts from analysis of the reason of "poor conservation", continues to bring out the thought of using ecological benefits allowance, which functions as ecological compensation, to control disturbances of adjacent community to nature reserve, therefore improve its management and administration. Based on this thought, this dissertation uses ecology and economics methods to analyze four aspects of ecological compensation: compensation object, compensation subject, compensation amount, compensation manner, and brings forward a quantitative and case-supported ecological benefits allowance plan.The dissertation includes the following contents:Firstly, based on literature review, the dissertation uses Externality theory to analyze existing problem of nature reserve, points out nature reserve’s positive externalities couldn’t be embodied on ecological compensation because of China’s administration system, benefit scope of externality, difficulty to quantify its value through infra-marginal analysis etc.; and the major reason why there exists a number of "poor conservation" in China is adjacent communities’ disturbance. Secondly, based on the above understanding, the dissertation puts forward a new concept:"virtual land", applies in a creative way the ecological footprint calculation method from Environmental Economics to research of relationship between human beings and land in nature reserve, brings forward "ecological benefit allowance" plan which uses virtual land calculation as core, solves in a reasonable way the technical difficulty in ecological compensation-quantification of ecological benefit allowance. Thirdly, the dissertation uses theory of Public Goods coming from Welfare Economics, stakeholder analysis, Game Theory and Production Function Theory to analyze financial resources and application methods of ecological benefit allowance. Lastly, the dissertation chooses FuJian WuYiShan Nature Reserve as case study for "ecological benefit allowance" plan, deep quantitative research is carried out to testify and detail theoretical research results.Below are the dissertation’s research results on the four key aspects of ecological benefit allowance plan:(1) The only reasonable and feasible way to control disturbances from adjacent communities is to offer them ecological benefit compensation and therefore increase their unit land economic outcome.(2) Use Production Function Theory to analyze relationship between human beings and land in nature reserve, points out most communities’economic outcome is a monotone increasing function of its production land area; Based on this understanding and an improvement of the ecological footprint calculation method from Environmental Economics, put forward the concept of "virtual land"-adjacent community has a certain production and life style, to reach current per capita income and life quality need certain amount of land; The minimum ecological benefit allowance is actually the allowance to adjacent community’s residents for surpassing its environment carrying capacity-offer nature reserve and adjacent community ecological benefit allowance and reach a certain amount level, make their "virtual land " occupation fulfill requirement of nature reserve’s land application plan, and realize upgrade of industrial structure based on the allowance, therefore increase resident’s income without expanding of "virtual land" occupation; Improve ecological footprint calculation method-enable it to transform from calculation of land scale to statistics of population economic data under nature reserve adjacent community’s situation in China, and ascertain amount of ecological benefit allowance from over loading population calculated from improved ecological footprint. Based on the above three technical innovation, we can get minimum standard of ecological benefit allowance by calculating virtual land occupation scale: Ec=ΔN×yi=[Σ(γij×VLi)/Σ(γi×Li)-1]xNxyi(3) All stakeholders should take part in ecological benefit allowance to nature reserve adjacent community through finance channel, market channel and social channel, but investment from the upper government (central and province level government) should be the major financial resource; Talking about application of the allowance, only by increasing unit land outcome in adjacent communities through upgrade of industrial structure, the original intention of ecological benefit allowance could be realized. (4) Through investigation collect FuJian WuYiShan Nature Reserve’s economic social development situation data, land application data, local resident production and life cost data etc., using "virtual land" calculation method get its minimum ecological benefit allowance is￥1,251,600, summarize upgrade route of its industrial structure, and suggest the optimized use of the allowance.The dissertation shows the following two innovations:1) From application layer, bring forward "ecological benefit allowance" plan, which can authentically control disturbances from adjacent communities, and is both reasonable and feasible under current administration system and financial situation. The dissertation also provide corresponding nature reserve industrial structure upgrade route, which could also be link up to current national policy (Regionalization of Major Development Function, Forest Property Reform etc.)2) From theoretical layer, provide innovative thought and quantitative basis for overcoming the difficulty during implementation of ecological benefit allowance plan-to set down the minimum standard:provide ecological benefit allowance based on Negative Externalities need to control adjacent communities, use "virtual land" calculation method to quantify compensation standard.更多还原