【作者】 张晓妮；

【导师】 王忠贤；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2012， 博士

【摘要】 建立自然保护区是保护自然资源、生态环境和生物多样性，保存某些珍稀濒危物种、维护自然生态平衡等最重要、最有效的措施之一。对于如何对自然保护区中“共用”自然资源进行有效管理的问题，人们提出了各种理论思路和政策方案，有代表性的诸如进行私有化，由市场机制来发挥作用；或者将自然资源归入国家所有，由政府管制来发挥作用。但是，市场和政府的作用范围是有限的，它们不能解决所有的资源配置问题，而社区在资源配置过程中的作用也不能忽视。中国自然保护区大多位于经济落后的中西部地区和偏僻山区，这些地区居民居住分散，经济文化落后，当地社区传统的生产生活方式对自然资源的依赖性很强，自然保护区的建立，限制了社区对资源的使用，使当地居民失去了管理和使用资源的权利，社区居民为了脱贫和生计不得不铤而走险，对自然保护区的资源造成损害。另一方面，自然保护区的野生动物等伤人损害庄稼等，造成了对当地社区居民的损害，却得不到相应的补偿。事实上，社区在很大程度上以牺牲自身的利益来承担保护的责任，但是这种外部性却没有得到补偿。此外，由于缺乏可替代发展的途径，减少了社区发展的机会，制约了经济发展，加上受地理位置、人口素质等因素的制约，社区的贫困表现出长期和持续的特征，因此，自然保护区社区经济发展的强烈需求成为自然保护区的最大挑战。中国现行的自然保护区是自上而下建立的，强调国家行政管护，在自然资源保护中发挥了重要的作用，但是管理模式单一，与之相应的管理条例与法规，很少考虑到社区利益。“社区共管”模式在一定程度上弥补了保护区封闭式管理模式的弊端，促进了生物多样性保护与社区社会经济的协调发展，对缓解社区发展与资源保护之间的矛盾，减轻社区居民对资源的依赖起到了一定的缓和作用，但是并没有真正有效克服保护区和当地社区以及地方政府的矛盾，其本质上还是属于国家集权的管理模式，因此，亟需对现有管理模式进行创新。本研究在对一些基本概念、范围做出界定后，将管理学、经济学的相关理论相结合，从自然保护区发展及管理现状出发，理清了保护区及其社区的关系，客观分析了保护区对社区利益的损害问题及原因，考察了自然保护区管理模式演变的过程，并对模式进行了相互比较，以3个典型案例分析了我国自然保护区社区共管模式的利弊，在借鉴国外有关国家自然保护区管理模式的基础上，提出“政府主导、社区共管、产业带动”的自然保护区及其社区一体化管理模式，初步构建了一体化管理的评价指标体系和评价方法，并对一体化管理模式的保障措施进行了探讨。本研究的主要研究内容和框架如下：第一章，导论。阐述了研究的背景、目的和意义，综述和总结了自然保护区管理的国内外研究动态，介绍了本文的研究思路和研究方法，提出本文的可能创新之处。第二章，理论基础。在对自然保护区的基本概念和研究范围进行界定的基础上，梳理了经济学、管理学和社会学在本领域的理论成果，如可持续发展理论、外部性理论、自然资源管理理论和参与式管理理论等，并讨论了其对自然保护区的指导作用。第三章，我国自然保护区发展与管理现状。概括了我国自然保护区的发展历程，结合保护区数量和政策的变化，把发展历程划分为4个阶段，对保护区管理现状和法律体系进行了阐述。第四章，对我国自然保护区及其社区的总体认识。从自然保护区的地区分布出发，描述了自然保护区社区发展现状，理清了保护区与社区的关系及对社区的限制与影响，客观分析了自然保护区建设对社区农民政治、经济和社会等方面权益的损害，并对损害的原因进行了探讨，以便为减少损害、保障利益提供基础。第五章，我国自然保护区管理模式演变及比较。考察了我国已经形成的管理模式，把其演变过程界定为“封闭式管理—参与式管理—社区共管模式”，总结了不同管理模式的理论来源和现实发展，并对模式进行了相互比较，选择3个典型案例对社区共管模式进行了介绍和利弊分析，以期望设计新的模式能提取其中有利的因素并解决其存在的深层次问题。第六章，国外自然保护区管理模式及启示。对美国、加拿大、日本等国的自然保护区管理进行了细致的考察，虽然管理体制和方式各有差异，但是总体来看，这些国家都有完善的法律体系、合理的管理机制和健全的管理制度，这些都很值得我国借鉴。第七章，自然保护区及其社区一体化管理模式的构建。针对现有管理模式的不足，以产权和利益相关者理论为基础，提出了保护区及其社区一体化管理模式的内涵，从确定管理目标体系入手，构建了“政府主导、社区共管、产业带动”的一体化管理模式，认为政府的主导作用应该得到充分地发挥，社区共管是发展社区经济、调动社区参与资源保护积极性的最佳选择，产业开发可以带动社区经济发展，最后，对一体化管理评价指标和评价模型框架进行了探索。第八章，自然保护区及其社区一体化管理的保障措施。强调必须用立法来调整相应的关系；建立并完善生态补偿机制是自然保护区发展的必然要求；基于分类体系的重构，为生态保护和资源利用提供良好的空间基础；发挥社会机制的调整作用是促进自觉形成生态保护内部制度的必经之路。更多还原

【Abstract】 Establishment of nature reserve is one of the most important and efficient method toprotect natural resources, ecological environment, biodiversity and rare or endangered speciesas well as maintain natural ecological balance. To protect the common natural resources innature reserve, many theoretical thinking and policy program were put forward, for example,privatization which make market play important role or nationalization which governmentalmanagement play important role. However, market and government have their shortage inaction range thus they can not solve all problems in natural resources allocation. The role ofcommunity in natural resources allocation should not be ignored.Most nature reserves in China locate in the most economic backwardness in the midwestand remote mountainous area where the local people live sporadically and the local economyand culture lack behind developed area, the traditional production and life modes of localcommunity depend much on natural resources. Because the establishment of nature reserves,it is limited for local people to manage and use natural resources,which make local residentslost the utilization rights，thus local residents have to use these resources for their everydaylife in spite of the law and regulation, which actually damage the resources of nature reserves.On the other hand, wild animals often damage crops and local residents, which damage theright of the local residents without compensation. In fact, community extensively sacrificetheir own interests to assume the responsibility of protection, however the externality do notget corresponding compensation. Moreover, because lack of alternative development way，thechance of community development is reduced, which restricted the economic development.Further, because of the geographical position and population quality limitation, the poverty ofthe community has shown long-term and continuous characteristics. So strong economicdevelopment needs of community become the biggest challenge for.nature reserve.Establishment of nature reserves is from top on bottom, which it is emphasized onnational administration and protection and this mode play an important role in nature reserveprotection. However, such management is singleness and often ignore the interests of thecommunity. Community-comanagement supplement above management mode, whichpromote the biodiversity protection and economic development of local community. However,the community comanagement is still a kind of national centralization management which cannot efficiently solve the conflicts between nature reserve and local community. Accordinglynew management mode is urgently needed. In this work, combined the theory of managementand economy after defining the basic concepts and extents, the relationship between nature reserve and community was clarified, the damage problems and its reasons were analyzed, theevolution of management mode was investigated and the different modes were compared witheach other. Based on the above analysis and the abroad management experience, integrationmanagement system was put forward in which government play leading role, communitycomanagement and industry promotion were key points. The evaluation indexes and methodswere primarily established, thereafter supporting measures were discussed.This main research contents and the frame of the thesis are as follows:Chapter1Introduction. The research background, purpose and meaning were introduced,the domestic and abroad nature reserve management were reviewed and then the researchthinking and methods were introduced as well as the possible creative points of the thesis.Chapter2Theoretical basis. Based on definition of basic concepts and extents of theresearch, the theoretical achievements in the field related to economy, management andsociology were reviewed, for example, sustainable development theory, externality theory,natural resources management theory and comanagement theory.. Also the directive functionof above theories were discussed.Chapter3Status and development of Chinese nature reserves. The historicaldevelopment of nature reserves were summarized，in which four historical period weredivided. The management status and law system were summariezed.Chapter4Outline of the nature reserve and community. The status of the community wasdescribed according to the location of the nature reserves. The limitations and effects ofnature reserve on community was clarified. It is objectively analyzed that establishment ofnature reserve damage the political, economic and social rights of local residents. Then thedamage reasons were discussed which was a basis for reducing damage and guaranteeinginterest.Chapter5Evolution and comparison of the nature reserve management. The currentmanagement mode were reviewed and it is summarized that the historical management modepath was close management, participation management and community comanagement inorder. The theoretical source and actual development of above different management modewere summarized and compared. Three typical cases were selected to introduce thecommunity comanagement as well as the pros and cons were analyzed, which was aim todesign new mode to collect the advantage points and solve the underlying problems.Chapter6Foreign nature reserve management mode and enlightment. The nature reservemanagement in USA, Canada and Japan were investigated, in which it can be concluded thatthorough law system, reasonable management mechanism and good management rulesthough they have different management system and management pattern. Their experience aregood referece for our nature reserve management.Chapter7Establishment of integral management mode for nature reserve and community.Based on property and stakeholder theory, the connotation of nature reserve-communityintegral management mode was proposed to solve the current management disadvantages.From the beginning of the establishment of management objective system, the integral management mode was established in which government play leading role, the communityco-manage and industries promote the local community economy. It is emphasized that theleading role of government should be played significantly, community co-management isoptimal selection for development of community economy and mobilizing local residentsenthusiasm on protection of nature reserve, industry development can promote local economy.Finally the evaluation indexes and evaluation model were explored.Chapter8Guarantee measures for integral management of nature reserve and community.It is emphasized that legislation is essential to adjust the relationship between nature reserveand community, establishment and supplement of ecological compensation mechanism isinevitable requirement of nature reserve development. Based on reconstruction ofclassification system, the space basis can be provided for ecological protection and resourceutilization. The adjust function of social mechanism can promote the conscientious formationof ecological protection action and protection rules.更多还原