流域生态补偿机制的关键问题分析——以南水北调中线水源涵养区为例

Key Issues of Watershed Eco-Compensation Mechanism:A Case Study in Water Source Areas of South-to-North Water Transfer

本文针对处于南水北调中线水源涵养区的陕西省旬阳县的基本情况,探讨了生态补偿的若干理论问题,如为什么要进行生态补偿、谁来补偿和向谁补偿、补偿多少以及如何进行补偿等。笔者认为,由于环境资源产权界定或权利的初始分配不同,造成了流域上下游事实上发展权利的不平等,需要一种补偿来弥补这种权利的失衡以及生态环境保护产生的正外部性;南水北调中线工程下游沿线享受生态服务的地方政府和中央政府应当是提供补偿的主体,而上游水源涵养区的地方政府、企业法人与社区居民等是接受补偿的主体;生态补偿的范围和标准可以分为两部分,包括生态建设和保护的额外成本和发展机会成本的损失;在当前环境资源产权关系界定尚不完善,市场机制还未完全建立的情况下,应强化中央政府对生态补偿的干预力度;在产权界定比较明确,市场经济程度较高的情况,可逐步侧重于利益主体间自愿协商的解决途径。在具体的生态补偿政策实施中,要关注为地方创造发展的机会、空间和政策;生态补偿方式应当多元化;同时要建立生态补偿的监管、评估和激励机制以及合理的干部考核机制。

The paper discusses several key theoretical issues of eco-compensation. Xunyang County in Shaanxi Province, water source areas along South-to-North Water Transfer Middle Line is selected as an example, including the concept of eco-compensation, why should it be done, who should be the main stakeholders to provide the compensation and who should be the main stakeholders to accept the compensation, how much should it be paid and how to compensate, etc. The eco-compensation is a kind of institution arrangement, which is to internalize the externality of the ecological environment, and finally achieve the purposes of conserve the ecological environment and promote the increment of natural capital and ecological service function. Its essence is to adjust and improve the relevant social production relationship in the field of natural resource exploitation and ecological environment conservation, and finally promote the development of natural resources and environment as well as the social productivity. The paper believes that the inequity of the development rights between the upstream and downstream of the watershed caused by the difference of the original allocation of the environmental and natural resources rights should be compensated via the eco-compensation mechanism; the local and central government along the downstream of South-to-North Water Transfer Middle Line should be the main stakeholders who providing the compensation, and the local government, legal entity and community residents of the water source areas of the upstream should be the main stakeholders who should enjoy the compensation; the scope and standard of the eco-compensation could consist of two components, the extra costs arising from ecological protection and construction and the opportunity costs of sacrificing development chances. In the context of imperfect allocation of the environment and natural resource property rights and lack of marketbased mechanism, the intervention and control of the central government on the eco-compensation should be strengthened. Under the condition of clear definition of property rights and high extent of market-based economy, the mechanism of volunteer negotiation and market transaction among the stakeholders could be gradually established. In the process of the implementation of the concrete eco-compensation policies, the policy maker should pay more attention to create the development opportunity, space and policies for the local government and community; the approach and method of the eco-compensation should be diverse; meanwhile, the monitoring and supervision, evaluation and incentive mechanism on the eco-compensation enforcement as well as the reasonable officials assessment mechanism should be established.