中国草原生态金融工程研究

发布时间：2018-05-07 08:11

本文选题：草原生态恢复 + 金融工程　；参考：《武汉大学》2012年博士论文

【摘要】：全球拥有非常丰富的草地资源，但一半以上的草原资源退化程度达到轻度和中度。我国是世界上拥有丰富的草地资源的国家之一，草原面积约占国土总面积的41％。但这些地区的生态环境脆弱，一些自然因素（包括降水和气候变化等）和一些人为因素（以过度放牧为代表的掠夺式开发和投入不足等）造成我国90%以上草原存在着不同程度的退化。草地退化造成土地盐碱化、荒漠化和沙漠化等问题，还衍生出沙尘暴等新的生态问题。草原退化带来的恶果在会影响当地的同时，还会扩展至全国乃至全球。因此，草原退化已经成为全球共同关注的一个生态环境问题。我国各级政府和人民逐步认识到草原退化的严峻形势，国家已经在全国13个省（自治区）陆续实施了退牧还草、京津风沙源治理等草原生态治理工程，取得了一定的成果。然而牧区“人矿草畜”之间的突出矛盾并未有效缓解，草原生呈现出“局部改善、总体恶化”、“治理速度赶不上退化速度”的被动局面。这主要是由于：牧区居民具有发展经济、提高生活水平的内在动机，而草原地区具有相对有限的生态负载能力的外在约束，这种内在动机和外在约束在一段时间内很难调和。如何将草原生态恢复与当地经济发展有机整合，为草原地区设计出一个完整、有效的可持续发展模式？在遵循草原生态规律下，探索一条适合人与自然和谐共存的可持续发展模式已成为亟待解决的重大理论与现实问题。本文创造性的提出草原生态金融工程的概念和构想，设计相关的制度，创新性地构造结构化的草原生态金融工程系统。草原生态金融工程系统的主要基本思路是：在“草原统一规划、项目市场化运作、生产分散进行、资金统筹使用”的政策安排原则下，应用杠杆原理，采取“政府引导、牧户经营、社会参与”的建设模式，将草原生态恢复、牧户安稳致富和草原经济发展有效结合，从而实现草原经济和社会的可持续发展。草原生态金融工程系统是一个很大的框架，，牵涉到生态学、系统工程、经济学和金融学等多学科的内容，属于交叉学科的理论延伸和应用。按照理论规范分析与实证数据分析相结合的研究思路，本文可以分为如下两个部分：其一，理论规范分析。以可持续理论为基础，本文系统梳理已有的研究成果，阐述了草原生态金融工程的理论基础，介绍了草原生态金融工程的主要内容，在对其成本收益进行分析的基础上，设计出融资方案、金融服务体系和风险控制体系。其二，实证数据分析。在实地调研和相关数据收集的基础上，本文对草原生态金融工程的成本和收益进行测算和分析，对工程实施可能面临的风险进行数据分析。此外，利用主成份分析法，本文还对草原地区1999~2010年的生态、经济和社会可持续发展状况进行度量，找出影响草原地区可持续发展的指标，验证了草原生态金融工程的科学性。据此，本文的主要内容安排如下：引言部分主要阐明本文的研究背景和研究意义，并对草原生态金融工程等概念进行界定，然后介绍了本文的研究方法、研究思路、主要创新与不足，以及对未来研究的展望等。第一章主要对草原生态金融工程相关的文献做一个详细梳理，主要从可持续发展理论、环境金融与生态融资、草原生态治理、牧民贫困化、生态补偿等方面展开，并在最后对这些国内外相关研究进行了评价。第二章主要阐述了草原生态金融工程的理论基础。作为一项系统工程，草原生态金融工程不但充分吸纳了国内外的实践经验，而且有坚实的理论基础，主要涉及到的理论有：经济学、生态经济学、宏观金融工程和产业金融工程。第三章提出草原生态金融工程的概念，阐述了杠杆原理的运用。在此基础上，总结出草原生态金融工程的主要思路和建设内容，设计出草原生态产业链。第四章首先对当前草原生态破坏造成的经济损失进行估算，然后对草原生态金融工程的实际成本与收益进行定性分析和定量分析，最后论述了草原生态金融工程实施后的在生态、经济和社会三方面存在的正外部性。第五章在对产业资金工程体系进行研究的基础上，对草原生态建设的投融资现状进行分析，进而设计出草原生态金融工程的融资体系和金融服务体系。草原生态金融工程面临的风险问题属于产业风险的范畴，因此，第六章在对产业风险理论进行研究的基础上，进行风险识别分析和度量，并最终提出有效、合理的控制和管理风险的措施。第七章关于草原生态金融工程的实证研究。第八章是结论与政策建议。文章的创新之处体现于以下方面：第一，创造性的提出“草原生态金融工程”概念，为草原地区实现生态系统、经济系统与社会系统的可持续发展和协调发展的研究提供了新思路和新视角。第二，创造性的将金融工程相关理论运用到草原生态治理中，为后人在生态金融理论方面进行拓展和升华提供了一个案例。第三，宏观金融工程理论和产业金融工程理论都是比较新兴的研究方向，相关研究不是很多，本文在主体部分对这些理论在草原的实际应用进行了拓展研究。
[Abstract]:There are very rich grassland resources in the world, but more than half of the grassland resources have been degraded slightly and moderately. China is one of the countries with rich grassland resources in the world. The grassland area is about 41%. of the total land area, but the ecological environment of these areas is fragile, and some natural factors (including precipitation and climate change, etc.) Some man-made factors, such as the predatory exploitation and insufficient investment represented by overgrazing, have resulted in different degrees of degradation in the grassland of more than 90% of our country. Grassland degradation has caused the problems of salinization, desertification and desertification, as well as some new ecological problems, such as sandstorms. The consequences of grassland degradation will affect the local conditions. It will also expand to the whole country and even the whole world. Therefore, grassland degradation has become an environmental issue of common concern worldwide.
The government and people at all levels in our country have gradually realized the severe situation of grassland degradation. The state has already implemented grassland ecological management projects in 13 provinces (autonomous regions) in China, such as returning pasture to grass, and controlling the wind and sand sources in Beijing and Tianjin. The passive situation of "local improvement, overall deterioration", "the speed of governance is not up to the rate of degradation", is mainly due to the inherent motivation of the population of pastoral areas to develop the economy and improve their living standards, while the grassland area has a relatively limited external constraint on the capacity of ecological load, which is within a period of time. It is difficult to reconcile. How to integrate the restoration of grassland ecology with the local economic development and design a complete and effective sustainable development model for the grassland area? Under the grassland ecological law, it has become a major theoretical and realistic problem to explore a sustainable development model suitable for the harmonious coexistence of human and nature.
This paper creatively puts forward the concept and conception of grassland ecological financial engineering, designs the related system and innovatively constructs the structured grassland ecological financial engineering system. The main basic ideas of the grassland ecological financial engineering system are: "the unified planning of grassland, the market operation of the project, the dispersion of production and the overall use of funds" Under the principle of policy arrangement, using the principle of leverage, taking the construction model of "government guidance, herdsman management, social participation", restoring grassland ecology, the effective combination of herdsmen to prosperity and grassland economic development, so as to realize the sustainable development of grassland economy and society.
The grassland ecological financial engineering system is a very big frame, involving many subjects such as ecology, system engineering, economics and finance. It belongs to the theory extension and application of interdisciplinary. According to the combination of theoretical analysis and empirical data analysis, this paper can be divided into two parts as follows:
First, theoretical analysis and theoretical analysis. Based on the sustainable theory, this paper systematically combs the existing research results, expounds the theoretical basis of the grassland ecological financial engineering, introduces the main content of the grassland ecological financial engineering, and sets up the financing scheme, the financial service system and the risk control system on the basis of the analysis of its cost and income.
Secondly, empirical data analysis. On the basis of field investigation and related data collection, this paper calculates and analyzes the cost and income of grassland ecological financial engineering, and analyzes the possible risk of the project implementation. In addition, using the principal component analysis, the ecological, economic and social of 1999~2010 years in the grassland area can be used. The indicators of sustainable development in grassland areas were identified and the scientific nature of grassland ecological financial engineering was verified.
According to this, the main contents of this paper are as follows:
The introduction part mainly clarifies the research background and significance of this paper, and defines the concepts of grassland ecological financial engineering, and then introduces the research methods, research ideas, main innovations and shortcomings, and the prospect of future research.
The first chapter makes a detailed review of the literature related to grassland ecological and financial engineering, mainly from the theory of sustainable development, environmental finance and ecological financing, grassland ecological management, herdsmen poverty, ecological compensation and so on, and the final evaluation of the related research at home and abroad.
The second chapter mainly expounds the theoretical basis of the grassland ecological financial engineering. As a systematic project, the grassland ecological financial engineering not only fully absorbs the practical experience at home and abroad, but also has a solid theoretical basis. The main theories are economics, ecological economics, macro financial engineering and industrial financial engineering.
In the third chapter, the concept of grassland ecological financial engineering is put forward, and the application of lever principle is expounded. On this basis, the main ideas and construction content of grassland ecological financial engineering are summed up, and the ecological chain of grassland ecological industry is designed.
The fourth chapter first estimates the economic losses caused by the current grassland ecological destruction, and then qualitative analysis and quantitative analysis of the actual cost and income of the grassland ecological financial engineering, and finally discusses the positive externalities of the ecological, economic and social three sides after the implementation of the grassland ecological financial engineering.
The fifth chapter, on the basis of the research on the industrial capital engineering system, analyzes the current situation of the investment and financing of the grassland ecological construction, and then designs the financing system and the financial service system of the grassland ecological financial engineering.
The risk problems facing the grassland ecological financial engineering belong to the category of industrial risk. Therefore, on the basis of the research on the industrial risk theory, the sixth chapter carries out the risk identification analysis and measurement, and finally puts forward effective and reasonable measures to control and manage the risk.
The seventh chapter is about the empirical research of grassland ecological financial engineering. The eighth chapter is the conclusion and policy recommendations.
The innovation of this article is embodied in the following aspects: first, the concept of "grassland ecological financial engineering" is creatively proposed to provide new ideas and new perspectives for the realization of ecological system, the sustainable development and coordinated development of the economic system and social system in the grassland area. Second, the creative theory of financial engineering related to the grass is applied to the grass. In the original ecological governance, a case has been provided for the future generations to expand and sublimate the theory of ecological finance. Third, the theory of macro financial engineering and the theory of industrial and financial engineering are both new research directions, and the related research is not much. In this paper, the practical application of these theories in the grassland is expanded in the main part.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：F323.212;F832

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