【作者】 史淑娟；

【导师】 李怀恩； 党志良；

【作者基本信息】 西安理工大学 ， 环境工程， 2010， 博士

【摘要】 南水北调工程是国家实施跨区域水资源联调的重大工程,而南水北调中线工程是整个南水北调工程的有机组成部分。南水北调中线工程自湖北省丹江口水库引水。秦岭以南的陕南地区大部分处于丹江口水库上游的丹江、汉江流域,其总面积占丹江口水库控制面积的65.6%,年均入库水量占丹江口水库多年平均入库水量的70%。陕西水源区作为南水北调中线工程的主要饮用水源区,需要提高当地的污水排放标准,提高生态建设质量,加大生态建设和水环境保护的投资,来满足南水北调中线调水水质的要求,这无疑在客观上加剧了陕西水源区生态环境保护与当地群众生存权、发展权的矛盾。根据“公平”、“受益者补偿”的原则和我国有关生态补偿的政策与法律条文规定,必须采取适当的措施对水源区进行合理的补偿。跨流域调水生态补偿是调节生态保护者、受益者的利益关系、协调区域发展、促进社会公平的重要举措。本文以南水北调中线陕西水源区为研究对象,对研究区可持续发展协调能力进行评价,以陕西水源区的生态补偿量计算为核心,开展了受水区与水源区之间的补偿量分担比例、建立南水北调中线陕西水源区生态补偿机制、多元化水源区补偿途径探讨等方面的研究。取得的主要成果如下：(1)建立陕西水源区可持续发展评价指标树状体系。以陕西水源区多年生态环境、经济、社会发展状况为基础,运用协调度模型,评价陕西水源区可持续协调发展能力。结果表明：在陕西水源区可持续发展系统中,生态子系统处于弱协调状态,经济子系统、社会子系统均处于弱失调状态,在对水源区进行补偿时,应在水源区生态建设投资、提高农民收入、提高当地政府财政收入、提高人民生活水平等方面侧重考虑。(2)提出从水源区保护和涵养水源所付出的成本、受水区经济可承受能力、水源区的水资源价值及环境容量排污权的损失价值4种途径计算水源区生态补偿量的研究思路。(3)水源区保护和涵养水源所付出的成本补偿包括点源治理补偿、非点源控制管理补偿、损失的发展机会成本补偿。运用平均浓度法,采用有限水文、水质资料估算水源区非点源污染负荷占总负荷比重的70%以上,非点源为水源区水环境污染的主要来源。而关于非点源控制管理补偿的研究目前国内仍比较薄弱,本文把水源区非点源控制管理补偿作为一个重点进行分析。①运用输出系数法分析得出：水土流失、农业化肥污染、农业人口生活污染、未利用土地为水源区主要非点源污染类型；②运用成本核算法计算水源区主要非点源污染类型控制管理费用2006-2015年为54.63×108元/a,2016-2020年为45.92×108元/a；③运用影子价格法计算陕西水源区非点源污染造成的生态价值损失量为140×108元/a；④基于自愿协商手段模型的非点源控制管理补偿量介于非点源控制管理费用与非点源造成的生态价值损失量之间。推荐水源区非点源污染控制管理最低补偿量2006-2015年为54.63×108元/a,2016-2020年为45.92×108元/a。(4)构建了水源区保护和涵养水源所付出的成本、受水区经济可承受能力、水源区的水资源价值和环境容量使用权的损失价值多途径水源区生态补偿量计算模型,通过4种模型计算结果分析比较,认为基于水源区保护和涵养水源成本的补偿量较为合理,推荐陕西水源区生态补偿量2006-2015年为104.09×108元/a,2016-2020年为95.38×108元/a。(5)构建了单指标法、综合指标法和离差平方法3种水源区生态补偿量分担模型,通过对南水北调中线陕西水源区生态补偿量的分担结果分析,认为离差平方法分担结果较为全面、客观。推荐生态补偿量在受水区与水源区之间的分担比例为0.80：0.20。(6)南水北调中线陕西生态补偿区的范围是陕西省宝鸡、汉中、安康、商洛、西安5个地(市)的31个县(市、区)封闭区间；补偿主体为国家、京、津、冀、豫、鄂、陕西水源区；陕西水源区当地政府和人民群众是生态补偿的客体；建立国家、省级及地方的多层次的补偿途径；探讨了以国家补偿为主要补偿形式的补偿基金筹措途径。更多还原

【Abstract】 The South-to-North Water Transfer Project(S-NWTP) is one of the key national inter-basin water resource joint regulation projects. The Middle Line South-to-North Water Transfer Project (MLS-NWTP) is the indispensable part of the S-NWTP. This project transferred water from Danjiangkou reservoir in Hubei province. The major parts of Shaanxi area in the south of Qinling Mountain are located in the upstream of Danjiangkou reservoir, which included Danjiang River Basin and Hanjiang River Basin. It takes 65.6% of the total control area; and the reservoir annual inflow water takes 70% of the reservoir average inflow. As the main drinking water source of the MLS-NWTP, Shannxi water source area should improve the standard of wastewater discharge standard and the quality of eco-construction and increase the investment of the eco-construction and water environment protection. However, it would aggravate the conflicts between the eco-environment protection and the existence and development right of the local people. According to the principle of "justice", "beneficial owner compensation" and related ecological compensation policies and laws, proper countermeasures should be taken for reasonable compensation of water source area. Ecological compensation of inter-basin water transfer is an important mean in adjusting the interest relationship between ecological protectors and beneficial owners, coordinating the regional development, and promoting social fairness.Taken Shannxi water source area of MLS-NWTP as an example, this paper evaluated the harmonious sustainable development ability in the research area. In calculating the ecological compensation in Shaanxi province, the burden sharing proportion between the intake area and water source area was developed. Ecological compensation mechanism of Shannxi water source area was established and put forward the diversification compensation way in water resource. The main research achievements are as follows:(1) A treelike index system of sustainable development built in Shaanxi water source area. Based on eco-environment, economy and social development, the sustainable development ability in this area was calculated by the coordination degree model. It shows that in the sustainable development system of the research area, the eco-subsystem was weak by coordination degree model. The economy subsystem and society subsystem was weak maladjustment. When compensated to the water resource area, it should emphasize particularly on the aspect of ecological construction of research area and the peasant and local government income improvement.(2) Research approach of ecological compensation in the research area was put forward from the following four methods:the cost of eco-environment construction and management in water source area; the economic enduring capacity of intake areas; water resources value of the water source area; lost value of Pollution-Discharge Right of environmental capacity.(3) The compensation of cost in protection of research area and water conservation involve of the compensation of point pollution management, non-point pollution management and the loss right of develop chance. Using mean concentration method, the non-point sources pollution load taken more than the 70% in the total load. Non-point sources pollution was the major source in water pollution of the research area. However, the compensation of control in non-point source pollution was still weak. Therefore, this paper analyzed the compensation of management in the non-point sources pollution specially.①Using the export coefficient method, the water loss and soil erosion, chemical fertilizer losses, farm population life pollution and unused lands were the major type of non-point sources pollution in the research area;②The main non-point source controlling management cost in water source area from 2006 to 2015 was 54.63×108yuan/a and from 2016 to 2020 was 45.92×108 yuan/a which was calculated by cost accounting method;③The ecological value loss of non-point source pollution in Shannxi water source area is 140×108yuan/a which was calculated by shadow price method;④The non-point source control compensation quantity based on the voluntary negotiation model between non-point source control cost and the ecological value loss caused by the non-point source. The minimum compensation in water source area was,54.63×108yuan/a from 2006 to 2015, and 45.92×108yuan/a from 2016 to 2020.(4) The ecological compensation quantity was calculated by the following models:devotion of ecological and environmental construction and management in water source areas; enduring water resources cost capacity in intake areas; water resources value and the loss value of environmental capacity use right; soil and water conservation eco-compensation quantity of the water source area. The results of the four models was the eco-compensation quantity was 104.09×108yuan/a from 2006 to 2015, and 95.38×108yuan/a from 2016 to 2020.(5) The models for eco-compensation fund sharing were established using single index method, aggregative indicator analysis method and deviation square method respectively. The result showed that the model based on deviation square method was reasonable and objective. The proportion of ecological compensation from the benefits of water source area to the water resource area was 0.80:0.20.(6) The eco-compensation area of Shannxi is 31 counties (city and district) in Baoji, Hanzhong, Ankang, Shangluo and Xi’an of Shaanxi province. The compensation subject is the nation, Beijing, Tianjin, Hebei, Henan, Hubei and Shannxi water source areas. In addition, the compensation object is the local government and people of Shaanxi water source area. Several compensation approaches was put forward for the nation, province and local government. The approach of the national financial compensation as the main subject in Chinese eco-compensation policy was discussed too.更多还原