黄土高原地区水土流失严重，生态环境脆弱，是我国重点生态治理区。1999年，国家在四川、陕西、甘肃3省开展了退耕还林（草）工程试点，拉开了黄土高原退耕还林工程建设的序幕。陕西延安市1999年在全国率先大规模实施退耕还林（草）工程，并成为全国唯一的退耕还林（草）试点市，全市所辖县区均为退耕还林试点县。退耕还林（草）工程建设将生态建设融于农村经济发展中，取得了明显的生态效应，促进了退耕区农村经济的发展。退耕至今十年有余，巩固退耕成果是当前退耕还林工作的重点，而退耕农户长远生计问题的解决与否直接关系到退耕成效的稳固。因此，退耕区农村经济发展是退耕还林（草）工程建设中的焦点问题。作为国家首批退耕还林（草）试点区，延安市已经进入新一轮退耕补助阶段，面临着农村经济可持续发展等问题，如何巩固退耕成果并解决退耕农民今后的生计备受关注。无论从退耕年限，退耕面积，或退耕的人口而言，延安市的退耕还林（草）工程建设都是非常特殊的，具有典型意义。同时，延安曾经是陕甘宁边区政府所在地，革命历史悠久，是中国革命从失败走向胜利的“红都”，延安市的“红色背景”决定了延安市生态环境改善和区域经济发展具有深远的政治意义。及时研究总结延安市生态建设和经济发展的经验、问题，对于巩固退耕还林（草）成果、完善退耕还林（草）政策体系具有现实指导意义。因此，本书《黄土高原退耕区农村经济发展评价及路径选择——基于延安市的实证分析》通过对延安农村经济的研究，探寻黄土高原退耕区农村经济发展的对策思路，为退耕区生态建设和经济发展提供借鉴。本书理论分析与实证调研结合，通过对延安市区域发展相关数据、文献资料的收集，对延安、榆林、甘肃、宁夏、山西退耕农户的问卷调查，采用最小人均耕地面积与耕地压力指数模型、层次分析法等定量研究方法与专家咨询的定性研究方法相结合，分析了延安市退耕还林（草）工程实施状况，揭示了退耕还林（草）工程对农村经济发展的影响机理及结果；评价了延安市农村经济可持续发展态势；进行了延安市农村生态经济分区；分析了延安市农村生态经济发展模式的运行机制；结合黄土高原退耕区农村经济发展实际，提出了黄土高原退耕还林区农村经济发展理念、发展模式、发展机制及发展的对策建议。本书主要研究结论为：（1）延安市通过实施退耕还林（草）工程建设，使80%以上的农民直接受益；1999—2004年间，退耕还林（草）的强度大，2004年以后，退耕还林（草）规模变小；延安北部的县区是退耕还林（草）工程建设的重点区，退耕强度大于南部县区；目前，退耕还林（草）工程缺乏科学合理的长期规划，工程的配套经费不足，补偿机制不健全，林（草）经营管理政策缺乏效率，退耕农户的权益受损，地方政府退耕的执行成本加大，影响退耕成果稳固。针对退耕还林工程建设存在的问题，应从以下5方面予以调整、完善：①建立基于碳汇交易的退耕还林补偿机制，完善补偿体系；②通过退耕林草地的流转，建立退耕区生态养老制度；③完善技术投入体系，调整改造林分结构；④健全后续产业培育机制，中央和地方政府应在市场、资金、技术、农村基础设施上给予支持，降低农户产业发展的成本；⑤建立草畜转化新机制，在遵循自然规律和生态保护的原则下，适当调整封山禁牧政策，试行封山“放牧”政策，用科学的轮封轮牧替代“偷牧”，实现草资源的合理利用，推进畜牧业发展。（2）退耕还林（草）对延安市农村经济的影响分析表明：退耕还林（草）减少了延安市的耕地面积与农作物播种总面积，同期人均耕地面积也呈现出下降趋势，由1997年的0.16公顷/人降为2009年的0.10公顷/人，人均耕地面积减少，致使农村劳动力剩余，农户家庭农业经营规模变小，规模不经济问题日渐突出，农村土地制度创新成为农村经济发展的必然要求；根据最小人均耕地面积与耕地压力指数模型计算表明，1997—2009年，延安市实际人均耕地面积平均为0.123公顷，最小人均耕地面积平均为0.126公顷。耕地压力指数平均值为1.028。总体上，延安市区域粮食安全问题不容忽视，粮食供需矛盾依然存在；退耕还林（草）改变了延安市土地利用结构和农村产业结构，农村劳动力就业结构表现出以农业为主向非农产业转移的特点。退耕还林（草）前的1998年，全市农村劳动力就业结构中，农业劳动力占87.37%，非农业劳动力比重为12.63%，2009年，农业劳动力比重减少到75.16%，非农业劳动力比重为24.84%。农村劳动力就业结构的变化改变了农户的家庭收入结构，退耕还林（草）前，延安市农民人均纯收入中，农户家庭经营性收入的比例达75%以上，其中农业经营性收入为家庭经营性收入的主体，一般占家庭经营性收入的90%左右。退耕还林（草）后，家庭经营性收入下降，但不失主体地位，外出务工收入增加，退耕还林（草）补贴成为延安市退耕还林（草）农户新的收入来源。2009年，延安市农民家庭经营性纯收入比重为64.5%，打工收入比例近22%，转移性收入11%。（3）退耕还林（草）背景下延安市农村经济可持续发展程度逐步提高：在延安市农村经济可持续发展系统中，资源环境子系统对农村经济可持续发展的影响最大，其次为经济子系统，最小的是社会子系统。在确定的指标中，对延安市农村经济可持续发展影响最大的因素分别为水保治理率、农田旱涝保收率、降水量、人均耕地面积和人均GDP。1998年至2009年，延安市农村经济可持续发展程度逐步提高，社会子系统的可持续发展值由1998年的0.1290变化为2009年的0.1495，经济子系统的可持续发展值由1998年的0.1361升为2009年的0.1943，资源环境系统的可持续发展值由1998年的0.2642提高到2009年的0.3004，可持续发展综合值由1998年的0.5293提高到2009年的0.6442，延安市农村经济可持续发展能力逐步提高，从一般可持续状态逐步向较高可持续状态靠拢。（4）由于延安市各县区资源基础的差异，主导产业发展程度的不等，以及退耕规模的影响，各县区农村生态经济在发展过程中形成了较为明显的地域差异。根据延安市农村生态经济区划结果和区划原则，延安市可以划分为三类农村生态经济区，分别是中部旅游业高效农业生态经济区，北部农林（草）牧能源生态经济区，南部农林果牧生态经济区。（5）延安市农村生态经济模式本质上是通过对区域资源优势的合理开发利用而实现生态与经济共赢的经济形式，有明显的地域差异性。延安市中部为旅游业高效农业生态经济模式，延安市北部为农林（草）牧型生态农业模式，延安市南部为农林果牧高效型综合农业生态经济模式，并对吴起模式和纪丰模式进行了实证分析。实践表明，动力机制、生产要素投入机制、产业发展机制、土地流转机制是延安市农村生态经济经济发展模式运行的保障，也是制定农村经济发展对策的基础。（6）黄土高原退耕区农村经济发展路径：黄土高原退耕区农村经济发展面临着多重约束，主要表现为干旱缺水，农村劳动力不足，人力资本存量有限，产业发展资金不足、林（草）经营管理政策缺乏效率等问题。针对这些问题，在发展理念上，黄土高原退耕区要坚持面向国家生态需求、生态与经济互动、统筹城乡、现代农业的发展理念；在发展模式上，由于区域的差异，黄土高原退耕区农村经济发展模式表现出多样性：高效型生态农业建设模式、农果复合型生态农业模式、林（草）牧型生态农业模式、庭院经济模式、立体开发利用模式、农林复合型生态农业模式、农林果牧高效型综合生态农业模式、旅游业带动型模式、生态移民模式、劳务经济增收模式；在发展机制上，需建立生态建设长效激励机制，农村后续产业发展机制，农村劳动力转移机制，农村社会保障机制，农村土地流转机制；在以上发展理念、发展机制的引导下，黄土高原退耕区农村经济发展对策建议主要如下：适时调整、完善退耕还林管理政策体系；健全农村社会保障服务体系，为农民提供免费实用技能培训；加强农田基础设施建设；封山“放牧”，合理利用草地资源；严格控制人口增长；建立政府引导下的黄土高原农村发展基金等。本书的独特之处体现在：（1）在理论层面上，提出基于退耕地流转的生态养老制度，及建立以碳汇交易为基础的生态建设补偿机制，构建了黄土高原退耕区农村经济发展的理论框架。（2）以延安市为例，探讨退耕还林（草）工程建设对农村经济的影响机理。（3）利用层次分析法评估了退耕还林（草）背景下延安市农村经济可持续发展程度。

The soil erosion is serious in loess plateau, and the ecological environment is fragile. It is the key ecological control area in China. In 1999, the state launched a pilot project to return the farmland to forestry (grass) in sichuan, shaanxi and gansu provinces, and began the construction of reforestation and forestry projects in the loess plateau. Shaanxi yan 'an in 1999 in the first large-scale implementation of returning farmland to forest (grass) engineering, and become the only returning farmland to forest (grass) pilot city, the city Xia County area are the pioneer of the returning land from farming to forestry. The construction of returning farmland to forest (grass) project is to integrate ecological construction into rural economic development, which has achieved obvious ecological effect and promoted the development of rural economy in the fallow area. In the past ten years, the consolidation of the fruits of returning farmland is the focus of the current conversion of farmland to forestry, and the settlement of the long-term livelihood of farmers is directly related to the stabilization of the results. Therefore, the rural economic development in the land area is the focus of the project construction. As the national first batch of returning farmland to forest (grass) testing, yan 'an has entered a new round of grain for subsidies stage, facing the issues of sustainable development of rural economy, how to consolidate the achievements of farmland and solve the livelihood of the farmers in the future. No matter from the period of return, the cultivated area, or the population of the fallow land, the project construction of the returning farmland to forestry (grass) in yan 'an is very special and typical. Yanan, once the seat of government of the shanxi-gansu ningxia border region, at the same time, the revolution has a long history, is the Chinese revolution from failure to victory "GongDou", "red" background of yan 'an decided the yan 'an to improve ecological environment and regional economic development has profound political meaning. Timely research summary of yan 'an experience, the problems of ecological construction and economic development, to consolidate the achievements of returning farmland to forest (grass), perfecting the policy of returning farmland to forest (grass) system has practical guiding significance. Book, therefore, the farmland on the loess plateau area of rural economic development evaluation and route choice, based on the empirical analysis of yan 'an "through the study of yan 'an rural economy, explore the farmland on the loess plateau area of rural economic development, the basic countermeasures on is returning farmland area ecological construction and economic development. Book theoretical analysis combined with empirical research, through to the yan 'an area development related data, literature data collection, to yanan, yulin, gansu, ningxia, shanxi farmland peasant household questionnaire survey, the minimum per capita cultivated land and the cultivated land pressure index model, quantitative research methods, such as analytic hierarchy process (ahp) combined with expert consultation method of qualitative research, analyses the yan 'an returning farmland to forest (grass) engineering implementation status, reveals the returning farmland to forest (grass) engineering effects on rural economic development mechanism and the results; The sustainable development trend of rural economy in yanan city was evaluated. The rural ecological economic zone of yanan city was carried out; The operation mechanism of rural ecological economic development mode in yanan city is analyzed. Based on the actual situation of rural economic development in loess plateau, this paper puts forward some Suggestions on the development idea, development mode, development mechanism and development of rural economic development in loess plateau. The main research conclusion of this book is: (1) yan 'an city has directly benefited more than 80% of the farmers by implementing the construction of the project of returning farmland to forestry (grass). From 1999 to 2004, the intensity of returning farmland to forest (grass) was large. After 2004, the conversion of farmland to forest (grass) was small. The county area in northern yan 'an is a key area for the construction of farmland to forest (grass). Currently, returning farmland to forest (grass) engineering lack scientific and reasonable long-term planning, engineering supporting funds inadequacy, compensation mechanism is not sound, lack of forest (grass) management policy efficiency, conversion of farmers' rights and interests is damaged, the local government grain for the execution of the cost increase, influence on solid grain for results. In view of the problems existing in the construction of the reforestation project, the following five aspects should be adjusted and improved: the compensation mechanism for returning farmland to forestry based on the carbon exchange is established, and the compensation system is improved. To establish an ecological pension system for the fallow area through the transfer of the farmland. To improve the technical input system and adjust the forest substructure; The central and local governments should give support to the market, capital, technology and rural infrastructure to reduce the cost of industrial development. Breeding transformation mechanisms, (5), follow the principle of nature and ecological protection, appropriate adjustments to grazing prohibition policy, on a trial basis "grazing" policy to the wheel rotational grazing sealing of the science to replace "shepherd", grass resources reasonable use, promote the development of animal husbandry. (2) the returning farmland to forest (grass) on yan 'an rural economic analysis shows that the influence of returning farmland to forest (grass) reduced the arable land and crop planting area of yan 'an, at the same time the area of cultivated land per capita also present a downward trend, in 1997 from 0.16 ha/person to 0.10 in 2009 hectare per person, per capita arable land decrease, the surplus rural labor force, smaller scale of farm households, scale uneconomical problem increasingly prominent, the rural land system innovation will become the inevitable requirement of rural economic development; According to the minimum per capita cultivated land area and the land pressure index model, the average per capita cultivated land area of yan 'an was 0.123 ha in 1997-2009, and the minimum average per capita cultivated area was 0.126 hectares. The average pressure index for arable land was 1.028. In general, the regional food security problems in yanan city cannot be ignored. The land use structure of yanan city and the rural industrial structure were changed. The employment structure of rural labor was characterized by the transfer of agriculture to non-agricultural industries. Before returning farmland to forest (grass) in 1998, the rural labor force employment structure in the city, the agricultural labor force accounted for 87.37%, the proportion of non-agricultural labor was 12.63%, in 2009, the proportion of agricultural labor force to reduce to 75.16%, the proportion of non-agricultural labor is 24.84%. The change of the rural labor force employment structure changed the family farmers income structure, returning farmland to forest (grass), the per capita net income of farmers in yan 'an, the operating income ratio of more than 75% of farm households, including the main body of agricultural operating income for the family business income, the general family business income accounted for about 90%. After returning farmland to forest (grass), a decline in family business income, but do not break the subject status, migrant workers income increase, returning farmland to forest (grass) subsidies become yan 'an returning farmland to forest (grass) farmers new revenue sources. In 2009, the household income of farmers in yan 'an was 64.5%, and the proportion of migrant workers' income was almost 22%, and the transfer income was 11%. (3) returning farmland to forest (grass) under the background of yan 'an rural economy sustainable development level gradually improve, in yan 'an rural economy sustainable development system, resources and environment subsystem, the biggest influence on rural economic sustainable development, followed by economic subsystem, the smallest is the social subsystem. Among the indicators identified, the factors that affect the sustainable development of rural economy in yan 'an are the water conservation management rate, farmland drought and waterlogging protection rate, precipitation, per capita cultivated land area and per capita GDP. From 1998 to 2009, yan 'an rural economy sustainable development degree gradually increase, the sustainable development of the social subsystem value changes from 0.1290 in 1998 to 0.1495 in 2009, the sustainable development of economy subsystem value from 0.1361 in 1998 to 0.1943 in 2009, the sustainable development of resources and environment system value increased from 0.2642 in 1998 to 0.3004 in 2009, the sustainable development of comprehensive value increased from 0.5293 in 1998 to 0.6442 in 2009, yan 'an rural economy sustainable development ability gradually improve, from the general sustainable state a gradual move to higher sustainable state. (4) due to differences in yan 'an county each resource base, leading industry development degree, and the influence of grain size, each county rural ecological economy in the process of development has formed a relatively obvious regional differences. According to the result of yan 'an rural eco-economic regionalization and the principle of regionalization and yan 'an can be divided into three kinds of rural ecological economic zone, efficient agricultural ecological tourism of central economic zone, north of agriculture and forestry (grass) ecological economic zone of animal husbandry, forestry GuoMu ecological economic zone in the south. (5) the rural eco-economic model in yanan is essentially the economic form of ecological and economic win-win through rational exploitation and utilization of regional resource advantages, and there are obvious regional differences. Yan 'an central for the efficient agricultural ecological economic model of tourism industry, north of yan 'an to forestry (grass) animal husbandry ecological agriculture pattern, south of yan 'an for agriculture, forestry and efficiency of GuoMu comprehensive agricultural ecological economic model, and the wuqi mode and JiFeng mode has carried on the empirical analysis. Practice shows that the dynamic mechanism, the factors of production input mechanism, the industrial development mechanism, the land circulation mechanism is yan 'an rural ecological mode for the economic development of economic security, is also the basis of rural economic development countermeasures. (6) farmland on the loess plateau area of rural economic development path: farmland on the loess plateau area of rural economic development is faced with multiple constraints, main show is dry lack water, rural labor shortage, human capital stock co., LTD., the industrial development fund shortage, forest (grass) problems such as inefficient management policy. In view of these problems, in the concept of development, the loess plateau should adhere to the concept of national ecological demand, ecological and economic interaction, overall planning of urban and rural areas and modern agriculture. On the development model, due to differences in regional farmland on the loess plateau area of rural economic development model showed diversity: type high efficient ecological agriculture construction mode, agriculture fruit compound ecological agriculture, ecological agriculture pattern of forest (grass) herding, courtyard economy mode, three-dimensional exploitation mode, complex ecological agriculture mode of agriculture and forestry, agriculture, forestry and efficiency of GuoMu comprehensive ecological agriculture model, tourism DaiDongXing model, ecological migration model, labor economy increasing mode; On the development mechanism, we need to set up long-term incentive mechanism for ecological construction, rural follow-up industrial development mechanism, rural labor transfer mechanism, rural social security mechanism and rural land transfer mechanism. Under the guidance of the above development concept and development mechanism, the countermeasures of rural economic development in the loess plateau are as follows: adjusting and perfecting the management policy system of returning farmland to forest; We will improve the rural social security service system and provide free practical skills training for farmers. Strengthening the construction of farmland infrastructure; Mountain "grazing", rational utilization of grassland resources; Strictly control population growth; To establish a government guided loess plateau rural development fund, etc. Book unique is reflected in: (1) at the theoretical level, based on woodland circulation of ecological pension system, and establish a carbon sink trade on the basis of ecological construction compensation mechanism, constructing the farmland on the loess plateau area of rural economic development theory framework. (2) take yan 'an city as an example to explore the influence mechanism of the construction of farmland to forest (grass) project on rural economy. (3) analytic hierarchy process was used to assess the sustainable development of rural economy in yanan city under the background of returning cultivated land to forestry (grass).

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