统计与数据科学学院知识库

生态补偿作为激励生态环境保护、约束生态环境破坏的一种经济手段，是调节相关利益者关系，促进区域生态保护与经济社会协调可持续发展的重要举措。自党的十八大报告将生态文明建设纳入“五位一体”总体布局以来，国务院相继出台《关于健全生态保护补偿机制的意见》、《关于深化生态保护补偿制度改革的意见》等重要政策，十四五规划也提出要完善市场化多元化生态补偿，鼓励各类社会资本参与重点区域生态保护修复的新要求。当前，我国积极探索生态补偿机制研究，在重点生态功能区、重要流域开展了一系列生态补偿试点工作，取得了较为丰富的研究成果。但由于补偿利益关系复杂、区域差异化补偿难度较大，现阶段生态补偿仍存在量化机制不完善、补偿标准较低、资金分配与使用不够科学与细化等问题。基于此，本文以生态地位突出的黄河上游区域为例，对基于生态价值核算的区域生态补偿量化问题进行理论与实证研究，以期为合理测算生态补偿标准、科学量化资金分配、细化补偿资金使用方案进而完善生态补偿量化机制提供理论依据和方法参考。

本文在系统梳理国内外研究进展的基础上，首先遵循国际通用标准SEEA2012中心框架及联合国于2021年最新颁布的SEEA-EA，界定生态价值概念和计量范围，以此为基础明确生态补偿的概念和核算范围。通过详细分析相关理论，为基于生态价值核算的区域生态补偿量化研究提供重要的理论依据。其次，提出本文量化研究的总体思路。在剖析生态补偿要素的基础上，围绕“谁补谁”、“补多少”和“如何补”三大核心环节，构建基于生态价值核算的区域生态补偿量化理论框架。以此为基础，按照“生态价值核算—生态补偿标准界定—生态补偿资金分配”的研究路线，对各环节进行量化方法选择与模型构建。最后，以黄河上游省区为例对本文量化框架与模型进行实证应用，系统分析上游区域生态价值时空变动情况，科学测算各省区生态补偿标准及各领域生态补偿资金分配额。结合定量分析结果，对如何有效使用补偿资金进而实现黄河上游区域生态补偿效益最大化目标提出相应对策建议。主要结论如下：

（1）基于生态价值核算的区域生态补偿量化研究，是完善生态补偿机制的重要理论与方法参考。以国际通用标准为依据界定的生态价值概念和核算范围，可为科学量化生态补偿提供有力的理论支撑。效用价值论、“两山”理论等是生态价值核算理论体系的重要理论基础；以外部性理论、公共物品理论等为核心确定的区域生态补偿理论为补偿主客体、补偿标准、补偿模式与方式等提供理论依据；以区域分工理论、协同理论等为核心构建的生态补偿资金分配理论体系是科学分配与有效使用补偿资金的重要理论指导。

（2）在解决“谁补谁”问题方面，生态补偿主客体由生态净价值核算结果决定。用于生态补偿量化的生态系统服务正向价值核算范围包括气体调节、气候调节、净化环境和水文调节服务，可采用当量因子法及改进的生态价值核算模型对其进行核算。生态系统服务负向价值核算范围包括废水排放、废气排放、固体废物排放、化肥环境污染和水资源消耗，可采用功能价值法和替代成本法对其进行核算。生态系统服务正向价值减去负向价值即生态净价值核算结果，若区域生态净价值大于0，则为生态补偿客体，应获取生态补偿；若区域生态净价值小于0，则为生态补偿主体，应支付生态补偿。

（3）在解决“补多少”问题方面，基于生态净价值和生态补偿系数测算了生态补偿标准。生态补偿的本质是既对生态环境保护者予以补偿，又对环境污染和生态破坏者予以惩罚和控制，即生态补偿标准需基于生态损害者赔偿、受益者付费、保护者得到合理补偿的原则进行界定。在生态净价值核算结果基础上，进一步考虑人们的支付意愿和政府财政支付能力等因素测算了生态补偿系数，进而构建了基于生态价值核算的生态补偿标准测算模型，可对区域生态补偿标准进行科学合理的度量。

（4）在解决“如何补”问题方面，区域生态补偿效益评价指标体系是生态补偿资金分配的量化依据。以区域生态补偿效益最大化为目标，构建了一套涵盖生态、经济和社会三大领域的区域生态补偿效益评价指标体系，主要包括生态系统状况、环境治理与污染减排、资源节约与高效利用、经济发展水平、产业结构调整、就业与生活水平、环保观念意识的7类效益28项具体指标。采用客观熵权法测算了生态补偿效益水平影响因素的指标权重，基于权重和生态补偿标准构建了生态补偿资金分配测度模型，可用于测度补偿资金在各领域的具体分配额，进而指导生态补偿资金的有效使用。

（5）研究期内黄河上游省区生态补偿量化结果在时间和空间上均差异显著。从生态价值核算结果来看，2000—2019年黄河上游省区生态价值整体呈增加趋势，在空间上表现为由下游至上游逐渐增加特征。从生态补偿标准测算结果来看，2019年应获取生态补偿的省区按补偿标准大小依次为青海省、四川省和甘肃省，需支付生态补偿的省区为宁夏回族自治区；核算期内青海、四川和甘肃生态补偿额呈不同程度增加趋势，宁夏生态补偿额则大幅减少。从生态补偿资金分配测度结果来看，2020年各省区补偿资金分配额排在前三位的领域依次为环境治理与污染减排、生态系统状况的改善和就业与生活水平的提高，其次为资源节约与高效利用、环保观念意识的提升等方面。在对策建议方面，黄河上游各省区应建立政府和市场相结合的综合性生态补偿模式以拓宽资金来源渠道，探索多元化生态补偿方式以有效使用补偿资金，推动多部门协调联动以提升区域生态补偿政策的综合效益水平。

本研究以区域生态补偿综合效益最大化为目标，以“生态价值核算—生态补偿标准界定—生态补偿资金分配”为研究路线，对基于生态价值核算的区域生态补偿量化进行理论研究与实证应用，以期为完善生态补偿量化机制提供科学依据，进而促进山水林田湖草沙一体化生态保护与社会经济可持续协调发展。

Ecological compensation, as an economic means to stimulate the protection of ecological environment and restrain the destruction of ecological environment, is an important measure to adjust the relationship between relevant stakeholders and promote the coordinated and sustainable development of regional ecological protection and economic society. Since the report of the 18th National Congress of the Communist Party of China incorporated the construction of ecological civilization into the overall layout of the "Five-in-one", the State Council has successively issued important policies such as the Opinions on Improving the Compensation Mechanism for Ecological Protection and the Opinions on Deepening the Reform of the Compensation System for Ecological Protection, and the 14th Five-Year Plan also proposes new requirements to improve market-oriented and diversified ecological compensation, and to encourage all types of social capital to participate in ecological protection and restoration in key regions. At present, China is actively exploring the study of ecological compensation mechanism, and has carried out a series of pilot work on ecological compensation in key ecological functional areas and important river basins, and has achieved relatively rich research results. However, due to the complex compensation interest relationship and the difficulty of regional differentiated compensation, there are still problems such as imperfect quantification mechanism, low compensation standard, and insufficient scientific and detailed allocation and use of funds. Based on this, the thesis takes the upper Yellow River region with prominent ecological status as an example to conduct theoretical and empirical research on the quantification of regional ecological compensation based on ecological value accounting, with a view to providing theoretical basis and methodological reference for reasonable measurement of ecological compensation standards, scientific quantification of fund allocation, refinement of compensation fund use plans and improvement of the quantification mechanism of ecological compensation.

Based on the systematic review of research progress at home and abroad, this thesis first follows the international common standard SEEA2012 Central Framework and the newly promulgated SEEA-EA by the United Nations in 2021, defines the concept of ecological value and the scope of measurement, and clarifies the concept and accounting scope of ecological compensation on this basis. Through the detailed analysis of relevant theories, it provides an important theoretical basis for the quantitative research of regional ecological compensation based on ecological value accounting. Secondly, the general idea of quantitative research is put forward. On the basis of analyzing the factors of ecological compensation, a quantitative theoretical framework of regional ecological compensation based on ecological value accounting is constructed around the three core links of "who compensates who", "how much to compensate" and "how to compensate". On this basis, according to the research route of "ecological value accounting—ecological compensation standard definition— ecological compensation fund allocation", the quantitative method selection and model construction of each link are carried out. Finally, taking the provinces in the upper reaches of the Yellow River as an example, the quantitative framework and model of the thesis are empirically applied to systematically analyze the temporal and spatial changes of ecological value of the upper reaches, and scientifically calculate the ecological compensation standard of each province and the allocation of ecological compensation funds in various fields. Based on the quantitative analysis results, the thesis puts forward corresponding suggestions on how to effectively use the compensation funds to maximize the ecological compensation benefits in the upper reaches of the Yellow River. The main conclusions are as follows:

1. The quantitative research of regional ecological compensation based on ecological value accounting is an important theoretical and methodological reference for improving the ecological compensation mechanism. The concept and accounting range of ecological value defined on the basis of international general standards can provide a powerful theoretical support for scientific quantification of ecological compensation. Utility value theory, "two mountains" theory and etc are the important theoretical basis of ecological value accounting theory system. The regional ecological compensation theory with externality theory, public goods theory and etc as the core provides theoretical basis for the compensation subject and object, compensation standard, compensation mode and method. The theoretical system of ecological compensation funds allocation based on regional division theory, synergy theory and etc is an important theoretical guide for scientific allocation and effective use of compensation funds.
2. In solving the problem of "who compensates who", the subject and object of ecological compensation are determined by the results of ecological net value accounting. The positive value accounting range of ecosystem services for quantification of ecological compensation includes gas regulation, climate regulation, clean environment and hydrological regulation services, which can be calculated by using equivalent factor method and improved ecological value accounting model. The negative value accounting of ecosystem services includes wastewater discharge, waste gas discharge, solid waste discharge, chemical fertilizer environmental pollution and water resources consumption, which can be accounted by functional value method and alternative cost method. The positive value of ecosystem services minus the negative value is the accounting result of ecological net value. If the regional ecological net value is greater than 0, the region is the object of ecological compensation and should obtain ecological compensation. If the regional ecological net value is less than 0, the region is the subject of ecological compensation and should pay ecological compensation.
3. In solving the problem of "how much to compensate", the ecological compensation standard is calculated based on the ecological net value and ecological compensation coefficient. The essence of ecological compensation is not only to compensate the ecological protection, but also to punish and control the environmental pollution and ecological destruction. Therefore, the ecological compensation standard should be defined based on the principles of compensation for the ecological damage, payment for the beneficiaries and reasonable compensation for the protectors. On the basis of the results of ecological net value accounting, the ecological compensation coefficient is further calculated by considering the factors such as people's willingness to pay and the government's financial payment ability, and then the ecological compensation standard calculation model based on ecological value accounting is constructed, which can be used to measure the regional ecological compensation standard scientifically and reasonably.
4. In solving the problem of "how to compensate", the evaluation index system of regional ecological compensation benefits is the quantitative basis for the allocation of ecological compensation funds. Aiming at maximizing the benefit of regional ecological compensation, a set of evaluation index system covering ecology, economy and society is established. It mainly includes 28 specific indicators of 7 kinds of benefits, including the state of the ecosystem, environmental governance and pollution reduction, resource conservation and efficient use, economic development level, industrial structure adjustment, employment and living standards, and environmental awareness. Objective entropy weight method is used to measure the index weights of factors affecting the benefit level of ecological compensation. Based on the weights and ecological compensation standards, a measurement model of ecological compensation funds allocation is constructed, which can be used to measure the specific allocation of compensation funds in various fields, and then guide the effective use of ecological compensation funds.
5. During the study period, the quantitative results of ecological compensation in the upper Yellow River provinces and regions are significantly different in both time and space. According to the results of ecological value accounting, the ecological value of the provinces in the upper reaches of the Yellow River shows an overall increasing trend from 2000 to 2019, which is spatially manifested as a gradual increase from the lower reaches to the upper reaches. According to the calculation results of ecological compensation standards, the provinces that should receive ecological compensation in 2019 are Qinghai Province, Sichuan Province and Gansu Province in order of the compensation standards, and the province that need to pay ecological compensation is Ningxia Hui Autonomous Region. During the accounting period, the amount of ecological compensation in Qinghai, Sichuan and Gansu increase to different degrees, while the amount of ecological compensation in Ningxia decreases significantly. From the measurement results of the allocation of ecological compensation funds, the top three areas of compensation funds allocation of provinces and regions in 2020 are environmental governance and pollution reduction, the improvement of ecosystem conditions and the improvement of employment and living standards, followed by the conservation and efficient use of resources, the improvement of environmental awareness, etc. In terms of countermeasures and suggestions, the provinces and regions in the upper reaches of the Yellow River should establish a comprehensive ecological compensation model that combines the government and the market to broaden the source channels of funds, explore diversified ecological compensation methods to effectively use compensation funds, and promote the coordination and linkage of multi-departments to improve the comprehensive benefit level of regional ecological compensation policies.

Aiming at maximizing the comprehensive benefits of regional ecological compensation, this thesis takes "ecological value accounting—ecological compensation standard definition—ecological compensation fund allocation" as the research route to conduct theoretical research and empirical application of the quantification of regional ecological compensation based on ecological value accounting, in order to provide scientific basis for improving the quantification mechanism of ecological compensation, and then promote the integrated ecological protection of mountains, rivers, forests, fields, lakes, grasslands and sand and the sustainable and coordinated development of society and economy.