基于农户生计的重要生态功能区生态补偿与生态系统服务调控机理研究

Formulation and implementation of ecological compensation policies are mainly dominated by governments at different levels, while these policies often emphasize the goal of ecological protection, but given less concern on ecological compensation affecting the improvement of cost-effectiveness of ecosystem services, and the changes of farmers' livelihoods, which ultimately affect the efficiency and sustainability of ecological compensation projects. Assessment of ecological compensation policy still lags behind practices, and academic researches lack of an unified theoretical framework and analysis tools. There were few researches to integrate the assessment of cost-benefits of ecological compensation based on the ecosystem services and livelihoods of farmers. In this study, we select the Soil and Water Conservation in Loess Hilly Gully of National Key Ecological Function Area as the study area , by using household survey , cost-benefit analysis, spatial analysis, mathematical modeling and other tools to reveal the spatial and temporal patterns of ecosystem services in the study area, evaluate the cost-benefit of ecological compensation, quantify the effects of ecological compensation on farmers' livelihood, analyze the farmers' willingness to accept ecological compensation projects, explain the coupling mechanism among ecological compensation, ecosystem services, and livelihoods of farm households. Finally, we attempt to build an Integrated Ecological Compensation Optimization Model to achieve both goals of ecosystem services and livelihoods of farm households. Some results and suggestions obtained from this research may provide academic basis for further improvement of ecological compensation policies in the National Key Ecological Function Areas.

我国生态补偿政策的制定与实施主要由不同层级的政府部门主导，往往强调生态保护的目标，而对生态补偿在提高生态系统服务的成本效益、以及参与生态补偿农户的生计变化关注很少，而这些最终影响着生态补偿项目的效率与可持续性。学术界对于生态补偿政策的评估仍然落后于政策的实践，学术研究缺乏统一的理论框架和分析工具，整合生态系统服务和农户生计的生态补偿效益细致评估较少。本研究选择黄土沟壑丘陵水土保持国家重点生态功能区为研究区，采用农户调查、成本收益分析、空间分析、数学建模等手段，评估研究区生态系统服务功能及生态补偿效益的时空格局特征，量化农户生计资本对生态补偿的响应机制，分析不同生计状态下的农户参与生态补偿的意愿和受偿意愿，阐明生态补偿、生态系统服务、农户生计之间的耦合机制，构建综合生态系统服务与农户生计目标权衡的生态补偿调控机理模型，研究成果可为进一步完善国家重点生态功能区生态补偿政策提供学术依据。

生态补偿政策对生态系统服务、人类福祉的影响及其相互作用关系的研究具有广泛的社会需求和应用前景，可为区域生态保护政策制定提供科学依据。本项目选取国家重点生态功能区典型区域为研究区，分析生态补偿政策对农户生计的影响，评估分析区域生态系统服务权衡协同关系，揭示不同生计类型农户生态补偿政策的参与意愿及其决策机制，构建基于农户生计与生态系统服务的生态补偿效果评估与调控框架，提出进一步完善生态补偿政策的相关建议。研究发现：（1）生态补偿政策实施并非对所有农户收入提高均具有作用，生态补偿政策对纯农户、兼业农户、非农户收入的影响逐渐减小。（2）大多数农户对生态补偿政策持满意态度，收入减少的农户对生态补偿政策持负面态度，绝大多数农户倾向接受现金补偿，生计资本、生计多样性较高的农户倾向接受就业机会和技术补偿。（3）哈巴湖和六盘山自然保护区对退耕还林生态补偿的预期均值分别是每公顷2584元和4820元，哈巴湖自然保护区95.8%的农户、六盘山自然保护区71.7%的农户生态补偿预期低于新一轮国家生态补偿标准。机会成本和家庭年收入是农户生态补偿预期的重要影响因素。（4）2000-2015年研究区NDVI均值增长了47.8%，气候因素不是研究区植被覆盖度增加的主要原因，通过农户调查，在微观层面显示生态保护政策和农户生计转变对植被恢复起到促进作用。（5）宁夏南部生态功能区生态系统服务功能变化显示，土壤保持、碳固定、产品供给功能都日益增强，且碳固定和产品供给功能间存在较强的协同关系，生态补偿政策对区域生态系统服务提升具有显著作用。综合项目研究结果可见，随着农户参与非农就业而发生生计方式转变，其对自然资源的依赖性下降，这有利于生态补偿和生态保护政策的实施，并共同对区域生态系统服务的提升起到重要作用。但同时，农户生计类型不同，对生态补偿政策的需求不同。生态补偿政策应当基于农户生计类型和区域生态系统服务提升需求进行优化配置，进而提升政策的效率，发挥更大效益。