以成本结构分析为基础的生态治理政策绩效评价

摘要/Abstract

摘要： 构建了生态治理政策的成本结构指数和过程绩效指数，将生态治理结果纳入绩效体系，形成“过程+结果”的综合绩效评价模型体系。对翁牛特旗的生态治理政策绩效进行了计算：中德合作造林的综合绩效指数为0.877 2，退耕还林的综合绩效指数为0.822 9，小流域治理的综合绩效指数为0.716 9，草原禁牧的综合绩效指数为0.411 2。这四种生态治理政策的过程绩效和终端绩效存在差别：中德合作造林、退耕还林工程、小流域治理项目、草原禁牧政策的过程绩效分别是终端绩效的99.86%、91.76%、84.57%和49.75%。该绩效评价模型是不同生态政策绩效分析的新视角，具有重要意义。

关键词: 生态治理政策, 绩效评价, 成本结构, 交易成本

Abstract: The contractual nature of ecological restoration policy enables us to compare and evaluate the performance of different ecological restoration policies from the perspective of transaction cost analysis. In this paper, the ecological restoration policy is divided into three stages:pre-implementation,in-implementation and ex-implementation, on this basis,a measurement model of transaction costs is proposed,and the cost structure index and process performance index of ecological restoration policy are established. Meanwhile,ecological restoration result is integrated into the performance system with the purpose of forming a“process and result”based synthetical performance evaluation mode. As typical example,four kinds of ecological restoration policies which are implemented in Wengniute County,Inner Mongolia,China are analyzed through quantitative analysis and comparison of their synthetical performance,terminal performance and process performance. The synthetical performance index of Sino-German Corporation Afforestation Project and Grain to Green Project were 0.877 2 and 0.822 9 respectively,placing it in the“good”category. The synthetical performance index of Small Watershed Management was 0.716 9 (categorized as“relatively good”). The synthetical performance index of Grassland Grazing Prohibition Project was 0.7169 (categorized as“poor”). The process performance and terminal performance of these four kinds of ecological restoration policies exist differences as well. The process performance and terminal performance between Sino-German Corporation Afforestation Project and Grain to Green Project were very close,the process performance indexes were 99.86 percent and 91.76 percent of terminal performance indexes respectively. The process performance index of Small Watershed Management was 84.57 percent of its terminal performance index,the difference is obvious. The process performance index of Grassland Grazing Prohibition Project was 49.75 percent of its terminal performance index,the difference is significant. The difference between process performance and terminal performance is a key aspect to measure performance differences. The performance evaluation model proposed by this paper has significance for creating a new perspective to different ecological policies' cost structure comparison and performance calculation.

Key words: ecological restoration, performance evaluation, cost structure, transaction cost

中图分类号:

F062.2

刘洋, 樊胜岳. 以成本结构分析为基础的生态治理政策绩效评价[J]. 干旱区地理, 2017, 40(6): 1298-1306.

LIU Yang, FAN Sheng-yue. Ecological restoration policy performance evaluation based on a cost structure analysis[J]. , 2017, 40(6): 1298-1306.

参考文献

[1] 国家环境保护总局. 环境影响评价技术导则——生态影响 (HJ19-2011)[M]. 北京:中国环境科学出版社,2011.[State Environmental Protection Administration of China. The technical guidelines of environmental impact assessment-ecological impacts(HJ19-2011)[M]. Beijing:China Environmental Science Press,2011.]

[2] 国家林业局. 京津风沙源治理工程社会经济效益监测与评价指标[S]. 中华人民共和国林业行业标准LY/T 1758-2008, 2008.[State Forestry Administration. Indicators for monitoring and assessment of socio-economic impacts of the sandification combating program for areas in the vicinity of Beijing and Tianjin[S]. People's Republic of China forestry industry standard. LY/T 1758-2008,2008.]

[3] 樊胜岳,张卉,乌日嘎. 中国荒漠化治理的制度分析与绩效评价[M]. 北京:高等教育出版社,2011:61-108.[FAN Shengyue, ZHANG Hui,Wuriga. Institutional analysis and performance evaluation on China's desertification controll[M]. Beijing:Higher Education Press,2011:61-108.]

[4] 王丹丹,吴普特,赵西宁. 黄土高原退耕还林(草)效益评价研究进展[J]. 西北林学院学报,2010,25(3):223-228.[WANG Dandan,WU Pute,ZHAO Xining. Benefit evaluation of conversion of cropland to forest projectin the Loess Plateau:a review[J]. Journal of Northwest Forestry University,2010,25(3): 223-228.]

[5] 赖亚飞,朱清科,张宇清,等. 吴旗县退耕还林生态效益价值评估[J]. 水土保持学报,2006,20(3):83-87.[LAI Yafei,ZHU Qingke,ZHANG Yuqing,et al. Valuing ecological effects of land conversion project in Wuqi County[J]. Journal of Soil and Water Conservation,2006,20(3):83-87.]

[6] 王立群,乔娜,康瑞斌. 京津风沙源治理工程生态影响及评估研究进展和展望[J]. 林业经济,2013,(6):13-17.[WANG Liqun,Qiao Na,KANG Ruibin. Review of the research on ecological effects and evaluation of sandstorm source control project in and around Beijing and Tianjin[J]. Forestry Economics, 2013,(6):13-17.]

[7] 满明俊,罗剑朝. 陕西省退耕还林工程生态效益评价[J]. 安徽农业科学,2006,34(18):4735-4737.[MAN Mingjun,LUO Jianchao. Evaluation of Eco-economic benefit of farmland returned for woodland in Shaanxi Province[J]. Journal of Anhui Agriculture Science,2006,34(18):4735-4737.]

[8] 王珠娜,潘磊,余雪标,等. 退耕还林生态效益评价研究进展[J]. 西南林学院学报,2007,27(1):91-96.[WANG Zhuna, PAN Lei,YU Xuebiao. Research advances in evaluation on ecological benefits on“Grain for Green”Program[J]. Journal of Southwest Forestry College,2007,27(1):91-96.]

[9] 宋富强,杨改河,冯永忠. 黄土高原不同生态类型区退耕还林 (草)综合效益评价指标体系构建研究[J]. 干旱地区农业研究,2007,25(3):169-173.[SONG Fuqiang,YANG Gaihe, FENG Yongzhong. Research and establishment of the multi-effect assessment index system of the returning farmland to forest project in different ecological zones of Loess Plateau[J]. Agricultural Research in the Arid Areas,2007,25(3):169-173.]

[10] 林毅夫. 关于制度变迁的经济学理沦[C]// 财产权利与制度变迁—产权学派与新制度学派译文集. 上海:上海三联书店、上海人民出版社,1994:371-440.[LIN Yifu. Economic theory of intitutional change[C]// Property rights and institutional change: Property rights school and the new institutional school. Shanghai: Shanghai Triple Bookstore,Shanghai People's Publishing House,1994:371-440.]

[11] MCCANN L. Transaction costs and environmental policy design[J]. Ecological Economics,2013,88:253-262.

[12] MCCANNA L,COLBY B,EASTER K W,et al. Transaction cost measurement for evaluating environmental policies[J]. Ecological Economics,2005,52:527-542.

[13] COGGAN A,WHITTEN S M,BENNETT J. Influences of transaction costs in environmental policy[J]. Ecological Economics, 2010,69:1777-1784.

[14] PANNELL D J,ROBERTS A M,PARK G,et al. Improving environmental decisions:a transaction-costs story[J]. Ecological Economics,2013,88:244-252.

[15] 樊胜岳,兰健,徐均,等. 生态建设政策交易成本及其结构的比较[J]. 冰川冻土,2013,35(5):1283-1291.[FAN Shengyue, LAN Jian,XU Jun. A comparison between transaction cost and structure of ecological construction policies[J]. Journal of Glaciology and Geocryology,2013,35(5):1283-1291.]

[16] 杨小凯,张永生. 新兴古典经济学和超边际分析[M]. 北京:中国人民大学出版社,2000:98-102.[YANG Xiaokai,ZHANG Yongsheng. New classical economics and inframarginal analysis[M]. Beijing:China Renmin University Press,2000:98-102.]

[17] COASE R. The nature of the firm[J]. Economica,1937,16(4): 386-405.

[18] COASE R. The problem of social cost[J]. Journal of Law and Economics,1960,(3):1-44.

[19] CHEUNG S. Transaction costs,risk aversion and the choice of contractual arrangements[J]. J Law Econ,1969,12(1):23-42.

[20] WILLIAMSON O E. The economics of organization:the transaction cost approach[J]. Am J Sociol,1981,87(3):548-577.

[21] DAHLMAN C. The problem of externality[J]. J Law Econ, 1979,11:141-162.

[22] BARZEL Y. Transaction costs:are they just costs[J]? J Inst Theor Econ,1985,141(1):4-16.

[23] NORTH D. Institutions,institutional change and economic performance[M]. Cambridge:Cambridge University Press,1990.

[24] ALLEN D. What are transaction costs[J]? Res Law Econ,1991, 14:1-18.

[25] SOLOMAN B. New directions in emission trading:the potential contribution of new institutional economics[J]. Ecological Economics, 1999,30:371-387.

[26] COLBY B. Transaction costs and efficiency in western water allocation[J]. American Journal of Agricultural Economics,1990, 72:1184-92.

[27] MCCANN L,EASTER K W. Transaction costs of policies to reduce agricultural phosphorous pollution in the Minnesota River[J]. Land Economics,1997,75(3):402-414.

[28] 沈满洪. 论水权交易与交易成本[J]. 人民黄河,2004,26(7): 19-22.[SHEN Manhong. On dealing in water right and cost of dealing[J]. Yellow River,2004,26(7):19-22.]

[29] OFEI-MENSA A,BENNETT J. Transaction costs of alternative greenhouse gas policies in the Australian transport[J]. energy sector,2013,88:214-221.

[30] GALLEMORE C,GREGORIO M D,MOELIONO M,et al. Transaction costs,power,and multi-level forest governance in Indonesia[J]. Ecological Economics,2015,114:168-179.

[31] WIDMARKA C,BOSTEDTA G,ANDERSSONA M,et al. Measuring transaction costs incurred by landowners in multiple land-use situations[J]. Land Use Policy,201,330:677-684.

[32] ADHIKARI B,LOVETT J C. Transaction costs and community- based natural resource management in Nepal[J]. Journal of Environmental Management,2006,78:5-15.

[33] COGGAN A A,WHITTEN S M,BENNETT J. Influences of transaction costs in environmental policy[J]. Ecological Economics, 2010,69:1777-1784.

[34] MARSHALL G R. Transaction costs,collective action and adaptation in managing complex social-ecological systems[J]. Ecological Economics,2013,88:185-194.

[35] WALLIS J J,NORTH D C. Measuring the transaction sector in the American Economy:1870-1970[M]// Long-term factors in American economic growth. Chicago:University of Chicago Press,1986:96-120.

[36] MCCANN L,EASTER K W. Estimates of public sector transaction costs in NRCS Programs[J]. Journal of Agricultural and Applied Economics,,2000,32(3):555-563.

[37] BLORE M L,CUNDILLA G,MKHULISI M. Towards measuring the transaction costs of co-management in Mkambati Nature Reserve,Eastern Cape,South Africa[J]. Journal of Environmental Management,2013,129:444-455.

[38] WILLIAMSON O E. The economic institutions of capitalism: firms,markets,relational contracting[M]. New York:Free Press,1985.

[39] 弗鲁博顿E,芮切特R. 新制度经济学:一个交易费用分析范式[M]. 上海:格致出版社,2006:67-82.[FURUBOTN E, RICHTER R. Institutions and economic theory[M]. Shanghai: Truth &Wisdom Press,2006:67-82.]

[40] 李小云,靳乐山,等. 生态补偿机制:政府与市场的作用[M]. 北京:社会科学文献出版社,2007.[LI Xiaoyun,JIN Leshan,et al. Eco-compensation mechanisms:the role of government and market[M]. Beijing:Social Sciences Academic Press,2007.]

[41] 宋乃平,张凤荣,李保国,等. 禁牧政策及其效应解析[J]. 自然资源学报,2004,19(3):316-323.[SONG Naiping,ZHANG Fengrong,LI Baoguo,et al. Prohibiting graze policy and its effect[J]. Journal of Natural Resources,2004,19(3):316-323.]

[42] 柴浩放,李青夏,傅荣,等. 禁牧政策僵局的演化及政策暗示: 基于宁夏盐池农村观察[J]. 农业经济问题,2009,(1):93-98.[CHAI Haofang,LI Qingxia,FU Rong,et al. The impasse of grazing-ban policy and the future of pasture management[J]. Issues in Agricultural Economy,2009,(1):93-98.]

[43] 齐顾波,胡新萍. 草场禁牧政策下的农民放牧行为研究——以宁夏盐池县的调查为例[J]. 中国农业大学学报(社会科学版), 2006,(2):12-16.[QI Gubo,HU Xinping. Research of the grazing behavior under the grazing ban policy:the research case of Yanchi County in Ningxia[J]. Journal of China Agricultural University(Social Sciences Edition),2006,(2):12-16.]

[44] 王国顺,周勇,汤捷. 交易、治理与经济效率—O.E.威廉姆森交易成本经济学[M]. 北京:中国经济出版社,2005:6.[WANG Guoshun,ZHOU Yong,TANG Jie. Transaction,governance and economic efficiency-transaction cost:economics of O.E.Williamson[M]. Beijing:China Economic Publishing House,2005: 6.]

[45] 张文健,孙绍荣. 机会主义行为的“成本—收益”分析及制度设计启示[J]. 工业技术经济,2007,26(12):73-75.[ZHANG Wenjian,SUN Shaorong. The analysis of the“cost benefit”of opportunism behavior and the inspiration of system design[J]. Industrial Technology & Economy,2007,26(12):73-75.]

[46] 刘明远,郑奋田. 论政府包办型生态建设补偿机制的低效性成因及应对策略[J]. 生态经济,2006,(2):81-85.[LIU Mingyuan, ZHENG Fengtian. The analysis of the inefficient compensative mechanism of government-dominated ecological environment construction and counter measures[J]. Ecological Economy, 2006,(2):81-85.]

[47] 黄雪菊. 中德财政合作造林项目十年发展综述[J]. 国际合作与借鉴,2005,(1):57-60.[HUANG Xueju. A summary of ten years' development of China-German financial cooperation afforestation project[J]. International Cooperation and Reference, 2005,(1):57-60.]

[48] 章红燕,苏明,叶敬中. 国际发展合作的理论与创新:中德财政合作林业发展项目的理念与方法[M]. 北京:中央编译局, 2004:172-183.[ZHANG Hongyan,SU Ming,YE Jingzhong. Theory and innovation of international development cooperation: concept and method of Sino-German fisheries cooperation forestry development project[M]. Beijing:Central Editorial and Translation Bureau,2004:172-183.]

[49] 樊胜岳,陈玉玲,杨建东. 生态建设项目的公共价值绩效及其内部结构——以河北省赤城县为例[J]. 电子科技大学学报 (社科版),2014,16(6):1-7.[FAN Shengyue,CHEN Yuling, YANG Jiandong. Public value performance and internal structure of ecological construction projects:taking Chicheng County of Hebei Province as an example[J]. Journal of UESTC(Social Sciences Edition),2014,16(6):1-7.]

[50] 徐建华. 计量地理学[M]. 北京:高等教育出版社,2006: 226-253.[XU Jianhua. Quantitative geography[M]. Beijing: Higher Education Press,2006:226-253.]