林业科学 ›› 2026, Vol. 62 ›› Issue (10): 208-220.doi: 10.11707/j.1001-7488.LYKX20260032
• 研究论文 • 上一篇
收稿日期:2026-01-18
出版日期:2026-10-10
发布日期:2026-10-16
通讯作者:
赵旭
E-mail:zhaoxu@ctgu.edu.cn
基金资助:Received:2026-01-18
Online:2026-10-10
Published:2026-10-16
Contact:
Xu Zhao
E-mail:zhaoxu@ctgu.edu.cn
摘要:
目的: 揭示林业碳汇项目参与主体的演化博弈规律,识别影响决策的关键参数,通过比较不同政策的边际效用探索最优政策组合,为化解林业碳汇项目违约风险提供理论依据和对策参考。方法: 构建涵盖企业、林农、核查机构和政府的四方演化博弈模型,分析项目开发不同阶段各参与主体的行为决策及其演化路径。在此基础上,结合已公示的林业碳汇项目数据和典型案例,利用MATLAB 2021a软件进行数值仿真。结果: 在项目开发不同阶段,博弈系统收敛于不同的稳定均衡。起步阶段,企业可能出于风险规避或投机目的,采取“圈地外包”的违约行为,同时,林农也可能因缺乏技术指导等选择提前采伐碳汇林。发展阶段,核查机构可能由于成本限制,仅审核申报资料的完整性。成熟阶段,随着碳汇方法学的逐步完善和监管体系的持续健全,企业和林农最终将趋向长期自觉合作,从而保障林业碳汇项目减排量的真实性和持续性。模型仿真结果表明:1) 收益分配不合理是各方违约的主要诱因,通过政策干预缓解企业与林农之间的信息不对称能够显著促进履约行为;2) 相比提高罚款金额,适当提升违约金额度对企业守约的促进作用更为明显,同时政府补贴能够有效提高核查机构的审核质量;3) 政府补贴等激励性政策可有效避免因监管缺位导致的项目质量下降。结论: 应完善全国自愿减排交易信息平台建设,缓解信息不对称;建立以“违约?赔偿”的市场化机制为主、政府奖惩为辅的监管机制;加强政府引导,持续推进碳汇方法学研究和规范制定。
中图分类号:
高康,郭子羽,赵旭. 基于演化博弈的林业碳汇项目建设违约风险防范机制[J]. 林业科学, 2026, 62(10): 208-220.
Kang Gao,Ziyu Guo,Xu Zhao. Mechanism for Preventing Default Risk in Forestry Carbon Sequestration Project Construction Based on Evolutionary Game Theory[J]. Scientia Silvae Sinicae, 2026, 62(10): 208-220.
表1
参数描述"
| 参数Parameter | 参数含义 Description | 参数Parameter | 参数含义 Description | |
| Ra | 林业碳汇项目开发总收益 Total revenue from forest carbon sink project | 政府对核查机构的罚款 Government fines auditing agencies for lax verification | ||
| 企业获得的收益分配比例 Profit distribution ratio for enterprises | 政府对核查机构的补贴 Government incentives auditing agencies for rigorous verification | |||
| Ca | 项目开发成本 Project development costs | Rg | 项目开发后政府的碳减排收益 Government carbon emission reduction benefits following project development | |
| Cb | 项目申报成本 Project application costs | Cg | 政府监管成本 Government regulatory costs | |
| 企业负担的项目开发成本比例 Proportion of project development costs borne by enterprises | Tg | 上级主管部门行政处罚额度 Administrative penalty amount imposed by higher-level competent authorities | ||
| Rw | 企业违约圈地获得的合同转卖收入 Contract resale proceeds obtained by the enterprise through default | Re | 林农自愿认购碳汇的生态补偿量 The amount of ecological compensation voluntarily subscribed by forest landowners for carbon sinks | |
| Cm | 企业圈地支付给林农的违约金 Penalty fees paid by enterprises to forest landowners | 企业违约对减排效果的影响系数 Coefficient of the impact of enterprise default on emissions reduction effectiveness | ||
| Cn | 林农违约支付给企业的违约金 Penalty fees paid by forest landowners to enterprises | 林农违约对减排效果的影响系数 Coefficient of the impact of forest landowners’ breach of contract on emissions reduction effectiveness | ||
| 林农违约行为造成的项目价值损失 Project value loss caused by forest landowners’ breach of contract | 企业?林农共同违约的影响系数 Coefficient of the impact of joint breach of contract by enterprises and forest landowners | |||
| 林农额外木材收益的转化比例 Conversion ratio of forest landowners’ additional timber income | 企业守约开发的概率 Probability of enterprises contract compliance | |||
| R0 | 核查机构的审核收益 Revenue of auditing agencies | 林农守约开发的概率 Probability of forest landowners contract compliance | ||
| 核查机构全面审核成本 The cost of rigorous verification by auditing agencies | 核查机构全面审核的概率 Probability of rigorous verification by auditing agencies | |||
| 核查机构准入审核成本 The cost of lax verification by auditing agencies | 政府严格监管的概率 Probability of government involvement in regulation | |||
| 政府对圈地企业的罚款 Government fines for land-grabbing enterprises |
表2
四方主体支付矩阵"
| 主体策略选择 Strategy selection | 企业收益 Enterprise revenue | 林农收益 Forest landowners revenue | 机构收益 Agency revenue | 政府收益 Government revenue |
| (1,1,1,1) | ||||
| (1,1,0,1) | ||||
| (1,1,1,0) | ||||
| (1,1,0,0) | ||||
| (1,0,1,1) | ||||
| (1,0,0,1) | ||||
| (1,0,1,0) | ||||
| (1,0,0,0) | ||||
| (0,1,1,1) | ||||
| (0,1,0,1) | ||||
| (0,1,1,0) | ||||
| (0,1,0,0) | ||||
| (0,0,1,1) | ||||
| (0,0,0,1) | ||||
| (0,0,1,0) | ||||
| (0,0,0,0) |
表3
四方纯策略均衡解的稳定性分析①"
| 均衡点 Equilibrium points | 特征值 Eigenvalues | 正负性 Positive or negative | 稳定性及条件 Stability and conditions | 理想性 Idealism |
| ESS(条件1) ESS (condition 1) | 不理想 Not ideal | |||
| 不稳定 Unstable | 不理想 Not ideal | |||
| 不稳定 Unstable | 不理想 Not ideal | |||
| 不稳定 Unstable | 不理想 Not ideal | |||
| 不稳定 Unstable | 不理想 Not ideal | |||
| ESS(条件2) ESS (condition 2) | 不理想 Not ideal | |||
| ESS(条件3) ESS (condition 3) | 不理想 Not ideal | |||
| 不稳定 Unstable | 不理想 Not ideal | |||
| 不稳定 Unstable | 不太理想 Not quite ideal | |||
| 不稳定 Unstable | 不太理想 Not quite ideal | |||
| 不稳定 Unstable | 不太理想 Not quite ideal | |||
| ESS(条件4) ESS (condition 4) | 不太理想 Not quite ideal | |||
| ESS(条件5) ESS (condition 5) | 不太理想 Not quite ideal | |||
| 不稳定 Unstable | 不太理想 Not quite ideal | |||
| 不稳定 Unstable | 理想 Ideal | |||
| ESS(条件6) ESS (condition 6) | 理想 Ideal |
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