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2026 , Vol. 36 >Issue 3: 209 - 224

DOI: https://doi.org/10.12062/cpre.20250922

社会·经济·生态

从“污染控制”到“协同共治”：新安江横向生态补偿试点的生态质量改善效应评估

  • 孔凡斌 ,
  • 陆雨 ,
  • 徐彩瑶
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  • 1.南京林业大学经济管理学院,江苏 南京 210037;
    2.南京林业大学数字林业与绿色发展研究院,江苏 南京 210037;
    3.浙江农林大学经济管理学院,浙江 杭州 311300;
    4.浙江农林大学浙江省乡村振兴研究院,浙江 杭州 311300
孔凡斌,博士,教授,博导,主要研究方向为生态经济与资源环境经济。E-mail：kongfanbin@aliyun.com。
徐彩瑶,博士,副教授,主要研究方向为生态经济与资源环境经济。E-mail：caiyao@126.com。

收稿日期: 2024-12-19

  修回日期: 2025-09-19

  网络出版日期: 2026-06-05

基金资助

国家自然科学基金面上项目“钱江源区山水林田湖草碳汇服务供需过程耦合机理及碳生态补偿关键机制”（批准号：42371294）; 国 家自然科学基金青年项目“数字乡村建设、森林生态产品价值实现与浙江山区 26 县共同富裕协同机制及政策研究”（批准号：42301328）; 国家 社会科学基金重大项目“山水林田湖草沙一体化保护和系统治理研究”（批准号：23ZDA105）

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From “pollution control” to “collaborative governance”: evaluating the ecological quality improvement effects of the Xin ’ an River horizontal ecological compensation pilot

  • KONG Fanbin ,
  • LU Yu ,
  • XU Caiyao
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  • 1. College of Economics and Management, Nanjing Forestry University, Nanjing Jiangsu 210037, China;
    2. Institute of Digital Forestry & Green Development, Nanjing Forestry University, Nanjing Jiangsu 210037, China;
    3. College of Economics and Management, Zhejiang A&F University, Hangzhou Zhejiang 311300, China;
    4. Rural Revitalization Academy of Zhejiang Province, Zhejiang A&F University, Hangzhou Zhejiang 311300, China

Received date: 2024-12-19

  Revised date: 2025-09-19

  Online published: 2026-06-05

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摘要

新安江横向生态补偿是中国首次探索建立流域横向生态补偿机制的典型实践案例,该实践突破以水质达标为核心的末端治理范式,向统筹生态系统整体功能与区域协同治理的制度模式转型。在实现流域水环境质量改善这一初始目标的基础上,该试点能否进一步推动生态系统服务能力的整体提升,并实现上下游地区生态质量的协同改善,是检验其政策成效的关键所在。该研究基于2007—2023年安徽省和浙江省70个县的面板数据,运用双重差分模型检验新安江横向生态补偿对流域整体和上下游地区的生态质量改善效应、不同试点阶段的政策累积效应、作用机制以及不同试点县改善效应的差异性。研究结果如下：①横向生态补偿显著提升了流域整体的生态质量水平,该结论经过一系列稳健性检验后依然成立。②异质性检验结果表明,横向生态补偿能够显著促进上游地区的生态质量改善,但对下游地区并不显著;从流域整体来看,横向生态补偿的累积效应呈逐步增强趋势;从区域分布来看,随着补偿机制不断优化与考核标准逐步强化,横向生态补偿的累积效应逐步由下游向上游传导,带动区域间生态改善趋于协同,推动上下游“协同共治”格局的形成。③作用机制检验结果表明,上游地区生态改善主要来自工业绿色转型与农业设施化水平的提高,下游地区则主要来自工业绿色转型和生态产业化效率的提升。④横向生态补偿对不同试点县生态质量改善效应的影响存在差异。该研究为完善跨区域生态补偿政策体系,推动流域生态协同共治与差异化激励机制设计提供了实证依据与政策参考。

关键词： 新安江流域; 横向生态补偿; 生态系统服务能力; 政策绩效; 双重差分法

本文引用格式

孔凡斌 , 陆雨 , 徐彩瑶 . 从“污染控制”到“协同共治”：新安江横向生态补偿试点的生态质量改善效应评估[J]. 中国人口·资源与环境, 2026 , 36(3) : 209 -224 . DOI: 10.12062/cpre.20250922

Abstract

The Xin’ an River horizontal ecological compensation pilot represents a typical case of China's first institutional exploration of establishing a horizontal ecological compensation mechanism for watershed governance. This practice breaks away from the traditional end-of-pipe governance paradigm centered on water quality compliance and shifts toward an institutional model that integrates overall ecosys-tem functionality with regional collaborative governance. While the policy initially aimed to improve watershed water quality, a key ques-tion remains whether it can further enhance the overall ecosystem service capacity and promote coordinated improvements in ecological quality across upstream and downstream regions—both of which are critical for evaluating its overall effectiveness. This study used panel data from 70 counties in Anhui and Zhejiang provinces between 2007 and 2023 and applied a difference-in-differences (DID) method to assess the effects of the Xin’ an River horizontal ecological compensation on ecological quality at both the watershed and subregional lev-els. It also examined the cumulative effects across different pilot phases, the underlying mechanisms, and the heterogeneity of improve-ments across pilot counties. The results showed that: ① Horizontal ecological compensation significantly improved the overall ecological quality of the watershed, a conclusion that remained robust under multiple verification tests. ② Heterogeneity analysis indicated that the policy significantly promoted ecological quality improvement in upstream areas, but the effect was not statistically significant in down-stream regions. From a watershed-wide perspective, the cumulative policy effects intensified over time. Regionally, as the compensation mechanism was continuously optimized and assessment standards were gradually tightened, the policy's cumulative effects gradually spread from downstream to upstream, fostering more synchronized ecological improvements and facilitating a collaborative governance pat-tern across regions. ③ Mechanism testing revealed that ecological improvements in upstream areas were mainly driven by green industrial transformation and increased agricultural infrastructure, while improvements in downstream areas stemmed from green industrial transfor-mation and enhanced ecological industrialization efficiency. ④ The ecological impact of horizontal ecological compensation varied across different pilot counties. This study provides empirical evidence and policy insights for improving cross-regional ecological compensation systems, promoting collaborative watershed governance, and designing differentiated incentive mechanisms.

Key words： Xin’; an River Basin; horizontal ecological compensation; ecosystem service capacity; policy performance; difference-in-differences method

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