南四湖流域生态补偿机制研究
摘要
随着南水北调东线工程一期工程的即将供水，东线工程沿线的治污工作也在加紧步伐。南四湖是南水北调东线工程的重要调蓄水库，自工程开工以来，为达到国家对于沿线Ⅲ类水质的要求，南四湖流域内各级政府为此投入了大量的人力、物力进行流域内污染治理和生态建设项目，减缓了当地的经济发展速度，当地居民收入水平也因此受到影响，为了区域发展的公平性，有必要对流域内由于工程实施而造成较大损失的企业或个人给予相当的补偿。本文的主要研究内容如下：
（1）分析了流域生态补偿的理论基础，生态服务具有公共物品，外部性等特征，生态补偿要综合运用政府、企业、居民之间的博弈论，各级政府的财政转移支付，照顾区域发展效率与公平理论，实现区域可持续发展理论等。通过国内外生态补偿研究的分析，可以看出目前生态补偿的量化问题是关键，关于生态补偿标准的计算，尽管存在着多种方法，但他们各自自成体系，并没有统一的标准，如何科学、合理的评价生态服务功能，确定合理的生态补偿标准是未来生态补偿研究的重点。另外生态补偿原则为确认生态补偿的责任主体和范围提供了原则依据，但是由于生态系统本身的复杂性，实践中具体操作却并非易事，如何确定生态补偿主题和范围，也是生态补偿研究未来的方向。总结了国内外生态补偿的实践经验，得出国外对于流域补偿涉及范围较小，补偿对象比较明确的，一般采用的是市场交易模式，而对大的流域的生态补偿，由于跨区域或行政区，涉及的范围较广，一般采用的是政府主导模式。
（2）在对南四湖流域社会经济生态现状分析的基础上，认为为了南水北调东线工程的顺利实施，长久运行，为了流域当地经济的健康发展，为了区域发展的协调，有必要构建南四湖流域生态补偿机制，在当前的南四湖流域生态补偿中还存在着诸如补偿范围较小，补偿资金较低的问题。分析生态补偿存在问题，结合理论分析及国内外生态补偿实践经验，提出了南四湖流域生态补偿的对象，补偿的依据与原则，对南四湖流域生态系统服务价值进行了估算，基于重置成本法的南四湖流域生态补偿标准，并基于CVM法，根据调查得到的居民支付意愿（WTP）估算了流域生态补偿的总金额，但是这个金额是比较少的，需要积极申请中央和山东省的财政支持。
（3）研究认为南四湖流域生态补偿机制的实施应以政府主导的模式为主，积极探索市场交易模式，流域内要建立全流域生态共建共享机制，完善财政转移支付，建立生态补偿长效机制，探索流域生态补偿的市场化运转机制，推进流域内“异地开发”政策，政府要制定南四湖流域产业发展规划，防治南四湖水质再次污染。南四湖流域生态补偿资金的来源和综合管理要设立专门的机构——南四湖流域管理局，要建立流域生态补偿的专项立法，使流域生态补偿有法可依，建立南四湖流域水质监测体系为流域生态补偿的财政转移支付提供依据，水污染预防机制保证流域水质安全。
With the development of the Eastern Route Project of the South-to-North WaterTransfer Project, it is about supplying water, pollution control work along the projectis also stepping up the pace. Nansi Lake is an important regulating reservoir in theSouth-to-North Water Transfer Project. Since the start of the project, all levels ofgovernment of the Nansi Lakes basin have put a lot of manpower, material incontrolling pollution and constructing ecological projects in the basin, in order toachieve the requirements of the countries and slow the pace of economic developmentand local residents’income levels. For the fairness of the regional development, it isnecessary to implement greater damage enterprise or individual. The main content isas follows:
(1) Analysis of the theoretical basis for ecological compensation, ecologicalservices have the characteristics of public goods, externalities, ecologicalcompensation requires the integrated use of game theory between government,business, residents, at all levels of government financial transfer payments , take careof the region efficiency and equity theory, and regional sustainable developmenttheory. Through the analysis of domestic and international ecological compensation, itcan be seen that the quantification of ecological compensation is the key. On thecalculation of the ecological compensation standards, despite the existence of avariety of methods, but their respective self-contained, and there is no uniformstandard, and how science reasonable assessment of ecosystem services, determine areasonable eco-compensation standard is the focus of the study of ecologicalcompensation. In addition, the principle of ecological compensation for theconfirmation of the main responsibilities and the scope of the ecologicalcompensation principle basis, but due to the complexity of the ecosystem itself, thepractice of the specific operation is not an easy task. How to determine the ecological compensation subject and scope of the ecological compensation is the future researchdirection. Summed up the domestic and international eco-compensation practiceexperience obtained that if the watershed compensation involves a smaller range andthe object of compensation is relatively clear, generally use market trading patterns, ifthe large basin ecological compensation involved in a wider scope due tointer-regional or administrative region, generally use a government-led model.
(2) On the basis of the ecological socio-economic analysis of the Nansi Lakesbasin , for the smooth implementation of the South-to-North Water Transfer Project,the long run, the healthy development of the local economy, and the coordination ofregional development, it is necessary to build the Nansi ecological compensationmechanism. Now there are many problems such as compensation for the scope ofsmaller, lower compensation funds in the Nansi Lakes basin ecological compensation.Analysis of ecological compensation problems, combined with theoretical analysisand domestic and international eco-compensation practice experience, ensured theobject of the Nansi Lakes basin ecological compensation, principles of compensation,estimated ecosystem services value of Nansi Lakes basin, and eco-compensationstandards of Nansi Lakes basin based on replacement cost,based on CVM method,according to WTP estimates the total amount of the watershed ecologicalcompensation, but the amount is relatively small, need to actively apply for thefinancial support of the central and Shandong Province.
(3) It is consultation that the Nansi Lakes basin ecological compensationmechanism should be implemented in a government-led model, and actively explorethe market trading patterns, the basin to basin-wide ecological Sharing mechanism,improve the financial transfer payment, the establishment of ecological compensationlong efficient mechanism , explore market-oriented operation mechanism forecological compensation, and promote the policy of development in other areas withinthe basin, and the government formulate industry development planning of NansiLakes basin, prevention Nansi Lakes further pollution of the water quality. In order toensure the source and integrated management of the ecological compensation funds ofthe Nansi Lakes basin, it is necessary to create the specialized institution-Nansi Lakes basin Authority and establish the special legislation of the ecological compensation.Sothat ecological compensation laws to go by, the establishment of the Nansi Lakeswatershed and water quality monitoring system to provide the basis for financialtransfers to pay for ecological compensation, water pollution prevention mechanismsto ensure that watershed water quality and safety.
（1）分析了流域生态补偿的理论基础，生态服务具有公共物品，外部性等特征，生态补偿要综合运用政府、企业、居民之间的博弈论，各级政府的财政转移支付，照顾区域发展效率与公平理论，实现区域可持续发展理论等。通过国内外生态补偿研究的分析，可以看出目前生态补偿的量化问题是关键，关于生态补偿标准的计算，尽管存在着多种方法，但他们各自自成体系，并没有统一的标准，如何科学、合理的评价生态服务功能，确定合理的生态补偿标准是未来生态补偿研究的重点。另外生态补偿原则为确认生态补偿的责任主体和范围提供了原则依据，但是由于生态系统本身的复杂性，实践中具体操作却并非易事，如何确定生态补偿主题和范围，也是生态补偿研究未来的方向。总结了国内外生态补偿的实践经验，得出国外对于流域补偿涉及范围较小，补偿对象比较明确的，一般采用的是市场交易模式，而对大的流域的生态补偿，由于跨区域或行政区，涉及的范围较广，一般采用的是政府主导模式。
（2）在对南四湖流域社会经济生态现状分析的基础上，认为为了南水北调东线工程的顺利实施，长久运行，为了流域当地经济的健康发展，为了区域发展的协调，有必要构建南四湖流域生态补偿机制，在当前的南四湖流域生态补偿中还存在着诸如补偿范围较小，补偿资金较低的问题。分析生态补偿存在问题，结合理论分析及国内外生态补偿实践经验，提出了南四湖流域生态补偿的对象，补偿的依据与原则，对南四湖流域生态系统服务价值进行了估算，基于重置成本法的南四湖流域生态补偿标准，并基于CVM法，根据调查得到的居民支付意愿（WTP）估算了流域生态补偿的总金额，但是这个金额是比较少的，需要积极申请中央和山东省的财政支持。
（3）研究认为南四湖流域生态补偿机制的实施应以政府主导的模式为主，积极探索市场交易模式，流域内要建立全流域生态共建共享机制，完善财政转移支付，建立生态补偿长效机制，探索流域生态补偿的市场化运转机制，推进流域内“异地开发”政策，政府要制定南四湖流域产业发展规划，防治南四湖水质再次污染。南四湖流域生态补偿资金的来源和综合管理要设立专门的机构——南四湖流域管理局，要建立流域生态补偿的专项立法，使流域生态补偿有法可依，建立南四湖流域水质监测体系为流域生态补偿的财政转移支付提供依据，水污染预防机制保证流域水质安全。
With the development of the Eastern Route Project of the South-to-North WaterTransfer Project, it is about supplying water, pollution control work along the projectis also stepping up the pace. Nansi Lake is an important regulating reservoir in theSouth-to-North Water Transfer Project. Since the start of the project, all levels ofgovernment of the Nansi Lakes basin have put a lot of manpower, material incontrolling pollution and constructing ecological projects in the basin, in order toachieve the requirements of the countries and slow the pace of economic developmentand local residents’income levels. For the fairness of the regional development, it isnecessary to implement greater damage enterprise or individual. The main content isas follows:
(1) Analysis of the theoretical basis for ecological compensation, ecologicalservices have the characteristics of public goods, externalities, ecologicalcompensation requires the integrated use of game theory between government,business, residents, at all levels of government financial transfer payments , take careof the region efficiency and equity theory, and regional sustainable developmenttheory. Through the analysis of domestic and international ecological compensation, itcan be seen that the quantification of ecological compensation is the key. On thecalculation of the ecological compensation standards, despite the existence of avariety of methods, but their respective self-contained, and there is no uniformstandard, and how science reasonable assessment of ecosystem services, determine areasonable eco-compensation standard is the focus of the study of ecologicalcompensation. In addition, the principle of ecological compensation for theconfirmation of the main responsibilities and the scope of the ecologicalcompensation principle basis, but due to the complexity of the ecosystem itself, thepractice of the specific operation is not an easy task. How to determine the ecological compensation subject and scope of the ecological compensation is the future researchdirection. Summed up the domestic and international eco-compensation practiceexperience obtained that if the watershed compensation involves a smaller range andthe object of compensation is relatively clear, generally use market trading patterns, ifthe large basin ecological compensation involved in a wider scope due tointer-regional or administrative region, generally use a government-led model.
(2) On the basis of the ecological socio-economic analysis of the Nansi Lakesbasin , for the smooth implementation of the South-to-North Water Transfer Project,the long run, the healthy development of the local economy, and the coordination ofregional development, it is necessary to build the Nansi ecological compensationmechanism. Now there are many problems such as compensation for the scope ofsmaller, lower compensation funds in the Nansi Lakes basin ecological compensation.Analysis of ecological compensation problems, combined with theoretical analysisand domestic and international eco-compensation practice experience, ensured theobject of the Nansi Lakes basin ecological compensation, principles of compensation,estimated ecosystem services value of Nansi Lakes basin, and eco-compensationstandards of Nansi Lakes basin based on replacement cost,based on CVM method,according to WTP estimates the total amount of the watershed ecologicalcompensation, but the amount is relatively small, need to actively apply for thefinancial support of the central and Shandong Province.
(3) It is consultation that the Nansi Lakes basin ecological compensationmechanism should be implemented in a government-led model, and actively explorethe market trading patterns, the basin to basin-wide ecological Sharing mechanism,improve the financial transfer payment, the establishment of ecological compensationlong efficient mechanism , explore market-oriented operation mechanism forecological compensation, and promote the policy of development in other areas withinthe basin, and the government formulate industry development planning of NansiLakes basin, prevention Nansi Lakes further pollution of the water quality. In order toensure the source and integrated management of the ecological compensation funds ofthe Nansi Lakes basin, it is necessary to create the specialized institution-Nansi Lakes basin Authority and establish the special legislation of the ecological compensation.Sothat ecological compensation laws to go by, the establishment of the Nansi Lakeswatershed and water quality monitoring system to provide the basis for financialtransfers to pay for ecological compensation, water pollution prevention mechanismsto ensure that watershed water quality and safety.
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