【作者】 骆耀峰；

【导师】 张大红； 刘金龙；

【作者基本信息】 北京林业大学 ， 林业经济管理， 2011， 博士

【摘要】 林权安排是当前国内外林业政策的一个热点和焦点问题。本研究以中国集体林权改革政策在基层的实践机制为研究着眼点,首先系统回顾了公共政策过程理论,制度变迁的理论,社会行动与制度变迁关系理论以及社会实践论理论,为研究奠定了理论基础：分析了集体林权改革政策基层实践的背景和环境,认为需要将集体林权制度改革从林业政策转变到综合农村发展政策；运用公共政策和布迪厄的惯习理论,从行动者惯习与认知角度,分析了基层行动者对自上而下的集体林权改革政策的解构,揭示出基层实践逻辑与国家逻辑的差异；运用场域理论,从资本、权力和网络关系角度,论述了基层行动者以争夺场域内的位置和资本为目标,在基层林业场域内展开相应的行动策略和行动；运用福建、江西和贵州等三省的调查问卷数据,通过计量统计模型分析了基层行动者内部分层和异质性对他们从林业经营中获益的影响和差异；运用主观博弈论的框架,构建出一个“解构·行动·获益”的集体林权改革政策实践框架,解释了集体林权改革政策基层实践与基层林业经营制度变迁的关系；运用“解构·行动·获益”框架论述了集体林权改革政策的变迁方向,对未来集体林权改革政策变迁提出一些建议。本研究综合采用了公共政策、社会学、制度经济学和计量经济学的理论及研究方法,主要包括：运用布迪厄“场域—惯习—资本”社会学研究方法,分析集体林权行动者如何在充斥着各种政治、经济和社会竞争的特定邻里空间中做出行动决策；运用“过程—事件”社会学分析方法,通过案例深入分析基层行动者的实践过程和逻辑机制；运用计量经济学模型(logistic)分析基层相关行动者从集体林权改革中获益的差别化；运用主观博弈模型解释集体林权改革政策基层实践与制度变迁的关系；运用政策过程模型,反思现行的林业公共政策过程。本研究成果主要体现在：(1)综合运用公共政策学、制度经济学、社会学对集体林权改革政策在基层的实践逻辑进行研究；(2)从社会行动者视角,较为全面地论述了集体林权改革政策在基层的实践过程；(3)首次尝试运用“解构·行动·获益”的整合框架来解释宏观政策在基层的实践逻辑,诠释集体林权改革政策的基层行动者展开的综合实践过程；(4)运用主观博弈论研究方法,从基层行动者的政策实践角度,解释集体林权改革的基层实践机制与基层林业经营制度变迁的关系。本文的基本观点和结论是：在当前的基层林业场域内,行动者对集体林权改革政策具有不同的认知与解构逻辑,地方的解构实践与国家管理逻辑也存在差异,这构成了自上而下的集体林权改革政策在基层林业场域中的结构性力量差异；基于资本和权力网络的差异,行动者在基层林业场域中的行动策略和实践过程也具有显著差别,由此造成政策结果和行动者获益的差异以及政策目标的偏移；“解构—行动—获益”的集体林权改革政策的基层实践路径,从行动者的社会实践视角为制度转型期建立新的基层林业经营制度提供了微观动力。本研究提出的政策建议包括：基于政策基层实践过程的行动者视角,集体林权改革政策的变迁需要关注基层行动者的行动能力建设、关注行动者之间的共识构建,关注农村基层行动者的行动环境构建、关注行动者获益的差别化。将集体林改纳入到农村综合型发展政策框架需要将三个核心的原则整合在一起：聚焦于民众；对林改问题的分析与政策处方需要采取综合型整体主义的思路；强调宏观政策与微观基层制度实践的联系。更多还原

【Abstract】 The collective forest tenure reform has been a hot issue in the national public policy and this study is focusing on the local practice mechanism of this reform policy. In the Chapter II of this study, we first review the public policy process theory, theory of institutional change, the relationship between social action and institutional change and social practice theory, which laid the theoretical foundation for the study. The third chapter analyzes environmental and background of the local actor practice in the policy of collective forest tenure reform, and we conclude that the collective forest tenure reform policy needs to be transformed from single forest policy to integrated rural development policy. In the fourth Chapter, using the public policy theory and the theory of Bourdieu’s habitues, from the perspective of recognition and habits of actors, through cases study, we discuss the deconstruction of local actors in the top-down policy of the collective forest tenure reform, analyzing the differences between local practice and national logic. In the Chapter V, using the field theory, from the perspective of capital, power and networking, through case discussing, we analyze that the local actors adopt different action strategies and actions to compete for the position and capital within local forestry field. In the Chapter VI, using the survey data from Fujian, Jiangxi and Guizhou provinces, through developing statistical models, we discuss the different benefit and impact from forestry management among different local actors based on the internal stratification and Heterogeneity. In the Chapter VII, using the framework of subjective game theory, we build a policy practice framework of the collective forest tenure reform, named "deconstruction·Action·benefit", then we use the theory of action and institutional change in the institutional economics and sociology to explain the relationship between local policy practice and local institutional change of the forest management system. In the Chapter VIII, we use the framework of "deconstruction·Action·benefit" to discuss the way of transformation of the collective forest tenure reform policy, and put forward some suggestions for the policy change in the future.In this study, we use a combination of theory and methods such as public policy, sociology, institutional economics and econometrics, Which includes:using the Bourdieu’s sociological research methods like "Field-Habitues-capital" to analyze how various actors in the collective forest tenure reform policy make decision and adopt actions strategies in the particular room filled political, economic and social competition; Using the Sociological theory of "process --event" analysis, through case-depth analysis, we study the process and logic mechanism of local actors’ practice; using the econometric models (logistic), we analyze the differentiation of relevant local actors in the benefit from collective forest tenure reform; using the Subjective game model to explain the relation between local practice and the institutional change in the collective forest tenure reform policy; using the policy process model to reflect the current public policy process in forestry.The achievement of this research mainly reflected in:(1) Integrated use of theory like public policy, institutional economics, and sociology to study the local practice logic of collective forest tenure reform policy; (2) From the perspective of social actors, we take a comprehensive analysis of various local actors’practice process in the collective forest tenure reform policy; (3) We first attempt to use the integrated framework of "deconstruction·Action·benefit " to explain the local practice logic of macro-policy, interpreting how the local actors take integrated practice in the collective forest tenure reform policy; (4) We use the methods of subjective game theory, from the perspective of actors’policy practice, to explain the relationship between local practice of collective forest tenure reform policy and local forest management institutional change.The basic ideas and conclusions of this paper are:currently, within the local forest field, various actors have different recognition and deconstruction logic for the collective forest tenure policy and there are also existing great difference between the local deconstruction practice and national government management logic, which forms the structural power differences in the local forest field around the top-down collective forest tenure reform policy; Based on differences in the capital and power networks, the action strategies and practice of actors are also significant different in the local forest field, which may lead to difference of policy outcomes and benefits of different actors and offset of policy objectives; The interpretation way for the local policy practice logic, which is from deconstruction to action then to benefit differentiation, may provide a framework to explain the relationship between micro-social action and institutional change of local forest management.The policy recommendations include:based on the local policy practice process, from the actors’ perspective, the transformation of collective forest tenure reform policy need to focus on local actors’ capacity building, action consensus building, action environment construction and benefit differentiation of various actors. In order to incorporate the collective forest reform policy into the integrated rural development policy framework, it needs to integrate the three core principles:focus on rural grass-roots actors; take comprehensive ideas to analyze the problems of collective forest tenure reform policy; emphasis on links between macro-policies and micro grassroots practice.更多还原