基于扎根理论的生态产品价值实现制约因素与优化路径——以库布齐“光伏+生态治理”为例

doi:10.11707/j.1001-7488.LYKX20250678

摘要/Abstract

摘要：

目的: 探究内蒙古库布齐“光伏+生态治理”项目中生态产品价值实现面临的关键制约因素及其内在作用机制，提出针对性优化路径，以深化对相关实践困境的理论认知，为同类项目的可持续发展提供决策参考。方法: 采用质性研究范式和扎根理论方法，以库布齐“光伏+生态治理”项目为典型案例，对15位核心或直接利益相关者的半结构化访谈资料进行开放式编码、主轴编码和选择性编码，并结合政策文本、企业资料与实地观察信息进行交叉验证。结果: 库布齐“光伏+生态治理”项目已形成光伏发电、植被恢复、土地改良、生态农业、碳汇增益、生态景观等多重生态产品，但这些复合产品价值并未充分转化为稳定、可持续的经济收益。其制约因素主要集中在4方面：1）政策与制度环境不完善，表现为顶层设计与基层执行存在落差、生态治理配比政策与资源承载力不匹配、生态产品产权界定模糊、产业支持政策缺位以及标准与认证体系不统一等系统性障碍；2）自然与技术条件瓶颈，受限于库布齐地区严峻的水资源短缺和土壤贫瘠等自然本底条件，同时面临板下种植等技术不成熟、适配性差、成本效益失衡以及长期监测数据和科研支撑不足等技术性挑战；3）多元主体协同与利益机制缺失，政府各部门间职能分割与协同不足，光伏企业核心动机（发电收益）与生态投入存在错位，社区/农户参与度低、受益方式单一，且缺乏公平透明的生态收益分配机制；4）认知与能力局限，社会各界对生态产品价值存在认知偏差和误区，专业理论研究与一线实践需求存在脱节，基层执行单位面临专业人才和配套资源不足的困境。结论: 应着力拓宽多元化价值变现渠道，通过发展生态衍生产业、开发权益交易产品、健全生态补偿机制和打造生态旅游品牌等方式实现价值转化；需创新项目实施与运营管理，优化土地流转整合模式，探索适生的复合治理技术，并建立多维度的项目监管和验收机制。通过强化政策协同、技术创新和能力建设，构建起以多元主体协同治理为核心、能够实现治理向产业融合发展的“增值型治理”模式，推动生态产品价值实现的可持续和规模化。

关键词: 生态产品, 价值实现, 光伏+生态治理, 扎根理论

Abstract:

Objective: This study aims to systematically investigate the key constraints and underlying mechanisms affecting the realization of ecological product value in the “photovoltaics (PV) + ecological governance” project in Kubuqi, Inner Mongolia. Based on this analysis, it proposes targeted optimization pathways to deepen the theoretical understanding of practical challenges and provides decision-making references for the sustainable development of similar projects. Method: In this study, the Kubuqi “photovoltaics + ecological governance” project in Inner Mongolia was taken as a typical case. A qualitative research paradigm and grounded theory method were used to conduct open coding, axial coding, and selective coding to semi-structured interview data from 15 core or direct stakeholders. A cross validation was conducted by combining policy documents, enterprise materials, and field observation information. Result: The results showed that the Kubuqi “photovoltaic + ecological governance” project had generated multiple ecological products, including photovoltaic power generation, vegetation restoration, land improvement, ecological agriculture, carbon-sink enhancement, and ecological landscapes. However, the value of these composite products were yet not fully transformed into stable and sustainable economic returns. The main constraints were concentrated in four areas. 1) An inadequate policy and institutional environment, which manifested as a gaps between top-level design and grassroots implementation, mismatches between ecological governance matching policies and resource carrying capacity, ambiguous demarcation of ecological product property rights, absence of industrial support policies, and inconsistent standards and certification systems. 2) Natural and technological constraints, the severe water scarcity and infertile soils conditions in Kubuqi region posed fundamental limitations, and there were technical challenges including immature and poorly adaptable technologies such as under-panel planting, imbalances between costs and benefits, and insufficient long-term monitoring data and scientific research support. 3) Absence of multi-stakeholder coordination and benefit-sharing mechanisms, there existed functional fragmentation and insufficient collaboration exist among government departments. The primary motivation of photovoltaic enterprises—generating revenue from power production—was misaligned with ecological investment. Community and farmer participation remained low with limited benefit channels, and fair, transparent ecological benefit distribution mechanisms were lacking. 4) Cognitive and capacity limitations, there were misconceptions and cognitive biases among various sectors of society regarding ecological product value. There was a disconnect between academic research and frontline practical needs, while grassroots implementation units faced shortages of specialized personnel and supporting resources. Conclusion: To overcome these challenges, the study proposes a systematic optimization pathway that focuses on broadening diversified value realization channels. This involves transforming ecological value by developing eco-derived industries, creating tradable rights-based products, improving ecological compensation mechanisms, and establishing eco-tourism brands. Innovative approaches to project implementation and operational management are essential, including optimizing land transfer and consolidation models, exploring suitable integrated governance technologies, and establishing multidimensional project supervision and acceptance mechanisms. Ultimately, by strengthening policy coordination, technological innovation, and capacity building, a “value-added governance” model can be established, centered on multi-stakeholder collaborative governance and capable of facilitating the integration of governance with industrial development, thereby promoting the sustainable and large-scale realization of the value of ecological products.

Key words: ecological products, value realization, photovoltaics + ecological governance, grounded theory

中图分类号:

S7-9
F307.2

胡乐超,张梓泳,杜雅琦,冯科,吴胜义,王国锋. 基于扎根理论的生态产品价值实现制约因素与优化路径——以库布齐“光伏+生态治理”为例[J]. 林业科学, 2026, 62(10): 196-207.

Lechao Hu,Ziyong Zhang,Yaqi Du,Ke Feng,Shengyi Wu,Guofeng Wang. Constraints and Optimization Pathways for Realizing Ecological Product Value Based on Grounded Theory：a Case Study of Kubuqi’s “Photovoltaic + Ecological Governance” Initiative[J]. Scientia Silvae Sinicae, 2026, 62(10): 196-207.

图/表 5

表1

生态产品价值实现结构访谈样本"

序号 No.	访谈对象 Interviewee role	所属单位 Affiliated unit	主要访谈内容涉及领域 Key interview domains	数量 Count	备注 Remarks
1	分管领导 Supervising leader	达拉特旗县林草局 Dalat Banner Forestry and Grassland Bureau	光伏治沙项目整体情况、林草政策、本地生态产业实践、碳汇探索、土地流转 Overall situation of PV sand control projects, forestry/grassland policies, local ecological industry practices, carbon sink exploration, land transfer	1	核心政策执行与项目管理者，提供宏观地方实践视角 Core policy implementer and project manager, providing a macro-level local practice perspective
2	工程师 Engineer	达拉特旗林草局 Dalat Banner Forestry and Grassland Bureau	防沙治沙技术历程、“光伏+”模式的技术挑战与失败案例、水资源约束、产业困难 History of desertification control technology, technical challenges and failure cases of “PV+” models, water resource constraints, industrial difficulties	1	资深技术专家，提供长期技术实践与基层视角 Senior technical expert, providing long-term technical practice and grassroots perspective
3	项目主管 Project supervisor	达拉特旗能源局 Dalat Banner Energy Bureau	光伏项目审批流程、政府角色、项目管理与调度、企业沟通 PV project approval process, government role, project management and scheduling, communication with enterprises	2	项目审批与监管方，提供政府内部运作视角 Project approval and regulatory side, providing a perspective on internal government operations
4	部门负责人 Department head	鄂尔多斯市林草局 Ordos City Forestry and Grassland Bureau	全市光伏基地规划、政策导向、技术指导角色、产业瓶颈 City-wide PV base planning, policy orientation, technical guidance role, industry bottlenecks	2	市级政策制定与协调者，提供区域性规划视角 Municipal-level policymaker and coordinator, providing a regional planning perspective
5	主任 Director	科研事业单位 Scientific research institution	碳汇项目开发具体挑战（PDD设计、产权、证据链）、地方标准制定、新技术探索 Specific challenges in carbon sink project development （PDD design, property rights, evidence chain）, local standard formulation, new technology exploration	1	技术研发与创新中心负责人，聚焦碳汇方法论 Head of technology R&D and innovation center, focusing on carbon sink methodology
6	科研人员 Researcher	国家级科研机构 National-level scientific research institution	生态产品价值核算理论、目录编制、技术路径、学术争议、宏观政策解读 Eco-product value accounting theory, catalog compilation, technical pathways, academic disputes, macro-policy interpretation	5	参与相关研究与方案论证的研究人员，提供理论支撑与宏观分析视角Researchers involved in related studies and project scheme discussions, providing theoretical support and macro-analytical perspectives
7	企业技术人员 Corporate technical staff	企业 Enterprise	生态产品价值核算评估、项目监测与规划、市场化运营挑战 Eco-product value accounting assessment, project monitoring and planning, market-oriented operation challenges	1	市场服务提供方，提供商业化与应用落地视角 Market service provider, providing commercialization and application landing perspective
8	技术人员 Technical staff	达拉特旗林草局 Dalat Banner Forestry and Grassland Bureau	碳汇交易、生态旅游、价值实现数据统计 Carbon trading, ecotourism, value realization data statistics	1	自然本底资源数据统计与分析，聚集本底数据收集 Natural baseline resource data statistics and analysis, focusing on baseline data collection
9	业务经理 Business manager	企业（能源国企） Enterprise (state-owned energy enterprise)	“光伏+生态治理”项目技术方案研究、生态监测体系、价值核算方法 Research on technical solutions for “PV + ecological governance” projects, ecological monitoring systems, value accounting methods	1	企业侧项目管理者，提供技术实施具体方案，但对宏观及市场层面了解有限 Enterprise-side project manager, providing specific technical implementation plans, but with limited understanding of macro and market levels
合计Total				15

表1

表2

开放式编码示例"

典型原始语句 Typical original statement	概念化 Conceptualization	范畴化 Categorization
国家出台《关于建立健全生态产品价值实现机制的意见》，方向是好的，但地方执行时缺乏具体细则 The state issued the “Opinions on Establishing and Improving the Mechanism for Realizing the Value of Ecological Products”, the direction is good, but localities lack specific and detailed rules for implementation	顶层政策指导与执行落差 Gap between top-level policy guidance and execution	顶层战略与考核压力 Top-level strategy and assessment pressure
自治区要求1 GW光伏必须配套治理6 000 hm²沙地，但后续的验收标准和资金支持不明确 The autonomous region requires that 1 GW of photovoltaics (PV) must be paired with the restoration of 6 000 hm² of sandy land, but the subsequent acceptance standards and financial support are unclear	生态治理配比政策不完善 Imperfect ecological restoration pairing policy	生态治理配比政策 Ecological restoration pairing policy
最头疼的是水，光伏板下想种点东西，但取水许可极难审批，被认为“浪费水” Water is the biggest headache. We want to plant things under the PV panels, but water withdrawal permits are extremely difficult to get approved, as it is considered “wasting water”	水资源管理政策限制 Restrictions from water resource management policies	资源管理政策 Resource management policy
这片林子是集体的，但林子产生的碳汇归谁？没法说清，交易就无从谈起 This forest is collectively owned, but who owns the carbon sink it generates? It is unclear, so trading is out of the question	生态产品产权界定模糊 Vague definition of ecological product property rights	土地与产权制度 Land and property rights system
我们想发展沙棘产业，但缺乏针对性的贷款和税收优惠，企业不敢投入 We want to develop the sea-buckthorn industry, but without targeted loans and tax incentives, companies are afraid to invest	产业支持政策缺位 Lack of industrial support policies	产业支持政策缺位 Lack of industrial support policies
我们做的灌木碳汇方法学，因为“影响全国统一大市场” 被叫停了，无处说理 The shrub carbon sink methodology we developed was shut down because it “affects the national unified market”, and we have no channel for appeal	地方标准认证受阻 Obstruction of local standard certification	标准与认证障碍 Barriers to standards and certification
年降雨量就200 mm，板下蒸发还强，种什么、怎么种都是大难题 Annual rainfall is only 200 mm, and evaporation under the panels is high. What to plant and how to plant it are major challenges	自然本底条件约束 Constraints of natural baseline conditions	自然本底约束 Natural baseline constraints
板下种植技术不成熟，试种过黄芪、甘草，成活率低，成本太高 Under-panel cultivation technology is immature. We tried planting Astragalus and licorice, but the survival rate was low and the cost was too high	技术不成熟与成本高 Immature technology and high costs	技术不成熟与适配性 Technological immaturity and adaptability
前期投入巨大，但生态产品的收益不确定、周期长，社会资本望而却步 The upfront investment is huge, but the returns from ecological products are uncertain and long-term, deterring private capital	经济效益瓶颈 Economic benefit bottleneck	成本与经济效益瓶颈 Cost and economic benefit bottleneck
GEP核算结果差异大，缺乏长期连续的监测数据支撑，市场不认 GEP (gross ecosystem product) accounting results vary widely, lack support from long-term continuous monitoring data, and are not recognized by the market	数据与科研支撑不足 Insufficient data and scientific support	数据与科研支撑不足 Insufficient data and scientific support
我们林草局想推动治沙，但光伏指标是能源局批，用地是自然资源局管，我们很被动，只能做后期技术指导 Our Forestry and Grassland Bureau wants to promote sand control, but the PV quotas are approved by the Energy Bureau, and land use is managed by the Natural Resources Bureau. We are passive and can only provide technical guidance afterward	政府部门职能分割与协同不足 Functional fragmentation and insufficient coordination among government departments	政府角色与部门协同 Government roles and inter-departmental synergy
央企来投资，首要目标是完成光伏装机任务，生态治理是附带的社会责任，除非有硬性考核，否则投入意愿有限 When state-owned enterprises (SOEs) invest, their primary goal is to complete the PV installation quota. Ecological restoration is a secondary social responsibility. Unless there is a hard assessment, their willingness to invest is limited	企业核心动机与生态投入的错位 Misalignment between corporate core motives and ecological investment	企业动机与行为模式 Corporate motives and behavioral patterns
土地流转后，农民除了拿租金，很难参与到板下种植或管护中，技能不匹配，企业也嫌管理麻烦 After the land is transferred, farmers, apart from collecting rent, find it hard to participate in under-panel planting or maintenance. Their skills don’t match, and companies find it troublesome to manage them	社区参与度低与受益方式单一 Low community participation and singular benefit-sharing methods	社区/农户参与受益 Community/farmer participation and benefits
碳汇收益如果能下来，怎么分？给村集体多少？给农户多少钱？给管护企业多少？没有成熟方案，容易引发矛盾 If carbon sink revenues materialize, how will they be distributed? How much to the village collective? How much to the farmers? How much to the management company? There is no mature scheme, which easily leads to conflict	生态收益分配机制缺失 Lack of an ecological benefit-sharing mechanism	利益分配机制 Benefit-sharing mechanism
我们想利用板下空间种高品质牧草，发展高端畜牧业，把“光伏羊”做成品牌 We want to use the space under the panels to grow high-quality forage and develop high-end animal husbandry, turning “PV sheep” into a brand	开发生态衍生产业 Developing eco-derivative industries	生态产业化路径 Ecological industrialization pathway
最直接的就是做碳汇，虽然现在方法学有障碍，但未来CCER市场重启是最大的变现希望 The most direct way is carbon sinks. Although there are methodological barriers now, the future restart of the CCER (China certified emission reduction) market is the biggest hope for monetization	开发可交易的生态权益产品 Developing tradable ecological rights products	权益交易路径（碳汇等） Rights trading pathway (carbon sinks, etc.)
谁保护，谁受益。下游受益地区应该对上游的生态保护者进行补偿，这是最公平的 Whoever protects, benefits. Downstream beneficiary areas should compensate upstream ecological protectors. This is the fairest way	建立保护补偿机制 Establishing a protection and compensation mechanism	生态补偿路径 Ecological compensation pathway
这片光伏基地很壮观，本身就成了景点，可以发展观光旅游，带动周边农家乐 This PV base is spectacular and has become an attraction in itself. We can develop sightseeing tourism, boosting nearby “agritainment” (farm-stay businesses)	挖掘生态景观的文化服务价值 Tapping the cultural service value of ecological landscapes	生态旅游与品牌路径 Ecotourism and branding pathway
我们通过地方国企统一从村民手中流转土地，做成“标准地”再交给光伏企业，避免了企业一家一户去谈判 We use a local SOE to uniformly transfer land from villagers, package it as “standard land”, and then hand it over to PV companies, avoiding company-by-household negotiations	创新土地资源整合方式 Innovative methods for land resource integration	土地流转与整合模式 Land transfer and integration model
我们试验“光伏+枸杞”“光伏+耐阴牧草”，寻找最适合板下环境的物种和种植模式 We are experimenting with “PV + Goji Berry” and “PV + shade-tolerant forage” to find the most suitable species and planting models for the under-panel environment	探索适生的复合生态治理技术 Exploring suitable composite ecological restoration technologies	生态治理模式创新 Innovation in ecological restoration models
项目三年后验收，不光看植被覆盖率，还要评估土壤改良、生物多样性等综合生态效益 The project acceptance after three years not only looks at vegetation coverage but also assesses comprehensive ecological benefits like soil improvement and biodiversity	建立多维度的生态成效评估体系 Establishing a multi-dimensional ecological effectiveness evaluation system	项目监管与验收机制 Project supervision and acceptance mechanism
很多领导认为，投钱治沙只有生态效益，是纯支出，没意识到“绿水青山” 本身能变成“金山银山” Many leaders believe that investing money in sand control only has ecological benefits and is a pure expenditure. They do not realize that “lucid waters and lush mountains” can themselves become “gold and silver mountains”	忽视生态产品的市场价值 Overlooking the market value of ecological products	社会认知误区 Social misperceptions
学者核算的GEP（生态系统生产总值）数字很大，但具体怎么变成真金白银，缺乏可操作的商业模式 The GEP (gross ecosystem product) figures calculated by scholars are large, but there is a lack of operable business models to turn them into real money	理论价值与市场实践的脱节 Disconnect between theoretical value and market practice	专业认知与实践差距 Gap between professional cognition and practice
上面政策很好，但到我们基层，一没专业人才，二没配套资金，三怕做错被追责，只好保守观望 The policies from above are very good, but when they reach our grassroots level, we lack professional talent, and supporting funds, and fear accountability for mistakes. Thus, we can only wait and see conservatively	基层执行资源与创新动力不足 Insufficient grassroots implementation resources and motivation for innovation	地方执行与创新能力 Local implementation and innovation capacity

表2

表3

主轴编码结果"

轴心编码 Axial coding	开放式编码 Open coding	频次 Frequency
政策与制度环境不完善（85） Imperfect policy and institutional environment	顶层战略与考核压力 Top-level strategy and assessment pressure	20
	生态治理配比政策 Ecological restoration pairing policy	14
	资源管理政策 Resource management policy	9
	土地与产权制度 Land and property rights system	13
	产业支持政策缺位 Lack of industrial support policies	18
	标准与认证障碍 Barriers to standards and certification	11
多元主体协同与利益机制缺失（67） Lack of multi-stakeholder synergy and benefit mechanisms	政府角色与部门协同 Government roles and inter-departmental synergy	19
	企业动机与行为模式 Corporate motives and behavioral patterns	20
	社区/农户参与受益 Community/farmer participation and benefits	16
	利益分配机制 Benefit-sharing mechanism	12
自然与技术条件瓶颈（57） Bottlenecks in natural and technical conditions	自然本底约束 Natural baseline constraints	11
	技术不成熟与适配性 Technological immaturity and adaptability	18
	成本与经济效益瓶颈 Cost and economic benefit bottleneck	7
	数据与科研支撑不足 Insufficient data and scientific support	21
拓宽多元化价值变现渠道（50） Broadening diversified value realization channels	生态产业化路径 Ecological industrialization pathway	24
	权益交易路径（碳汇等） Rights trading pathway （carbon sinks, etc.）	16
	生态补偿路径 Ecological compensation pathway	5
	生态旅游与品牌路径 Ecotourism and branding pathway	5
认知与能力局限（35） Cognitive and capacity limitations	社会认知误区 Social misperceptions	16
	专业认知与实践差距 Gap between professional cognition and practice	10
	地方执行与创新能力 Local implementation and innovation capacity	9
创新项目实施与运营管理（20） Innovation in project implementation and operation management	土地流转与整合模式 Land transfer and integration model	13
	生态治理模式创新 Innovation in ecological restoration models	4
	项目监管与验收机制 Project supervision and acceptance mechanism	3

表3

表4

选择性编码结果"

主范畴Main category	作用关系Relationship	关系结构内涵Connotation
制约因素内部关系 Internal relations among constraints	政策制度、自然技术、主体协同与认知能力等因素相互影响Policy, natural-technical, stakeholder coordination, and cognitive-capacity factors interact with each other	4类制约因素相互强化，共同构成生态产品价值实现的基础障碍These constraints reinforce each other and jointly form the basic barriers to ecological product value realization
协同失灵过程 Coordination failure process	制约因素作用于工程建设、生态治理、价值转化和利益联结过程Constraints affect project construction, ecological governance, value conversion, and benefit linkage	多重约束在项目实施过程中集中表现为工程先行、治理滞后，核算交易不畅，主体联动弱和收益共享不足Multiple constraints lead to coordination failures, including construction preceding governance, weak accounting and trading, limited stakeholder linkage, and inadequate benefit sharing
结果表征 Result representation	协同失灵导致生态产品价值实现受阻 Coordination failures constrain ecological product value realization	生态效益虽已形成，但难以量化变现；项目呈现“重建设、轻管护”特征，“治理?转化?共享”闭环尚未形成Ecological benefits have been generated but remain difficult to quantify and monetize; the project is “construction-focused and maintenance-light”, and the “governance-conversion-sharing” loop has not yet formed
优化路径 Optimization pathways	通过价值变现渠道拓展和运营管理创新破解约束Constraints are addressed by expanding value realization channels and innovating operational management	通过拓宽多元化价值变现渠道和创新项目实施与运营管理，推动形成“治理?转化?共享”闭环，实现生态、经济和社会效益统一 By broadening diversified value realization channels and innovating project implementation and operational management, a “governance-conversion-sharing” loop can be formed to coordinate ecological, economic, and social benefits

表4

图1

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