【作者】 吕晓斌；

【导师】 成金华； 郭凤典；

【作者基本信息】 中国地质大学 ， 资源产业经济， 2013， 博士

【摘要】 自然文化遗产作为自然和文化的载体,使后人通过观赏去体会前人的经历和经验,去感受大自然的宏伟；同时也为人类学、考古学、地理学、历史学及其他社会和自然科学的研究提供了不可缺少的证据。唯一性、不可替代性和破坏过程的不可逆性,使自然文化遗产资源的意义超出了一般的经济资源,成为全人类共同的财富。然而,由于制度的缺陷和管理的不善,我国的公共资源在粗放型的经济发展过程中受到了大规模的侵掠和破坏。这其中,我国公共资源最珍贵的部分——国家自然文化遗产资源——受到的威胁也最为严重,而且有加剧发展的态势。解决遗产地保护和发展的矛盾,实现自然文化遗产开发可持续发展,具有重要的理论价值。关于自然文化遗产保护的制度建设问题是最重要和最亟待解决的,而产权制度的分析又是所有制度建设问题中最基础和最根本的。制度和经验的盲目引进和效仿是于事无益的,先进的制度和成功的经验必须和具体保护目标所处的自然、经济、历史和人文条件相匹配。在资源有限的约束下,如何以最小的成本实现遗产保护效益的最大化,是本文研究的核心问题。本文采用新制度经济学及博弈论的基本分析范式,通过分析自然文化遗产资源产权制度的变迁,查找我国遗产保护中存在的制度问题,分析遗产保护过程中发生的各类冲突的根源,揭示遗产保护的必要条件,研究自然文化遗产保护机制的设计原则,探讨自然文化遗产保护机制创新的途径,提出合理化建议。从内容上本文分为七个部分：第一部分：综合分析了自然文化遗产保护方面国内外的研究现状。通过对自然文化遗产保护的相关理论、研究的宏观背景与国内外相关研究进展及发展趋势综合性的阐述,本文认为根据角度和侧重点的不同,目前的研究可以归为：关于遗产资源的价值评估、遗产资源保护与开发、利用的权衡选择、遗产保护区开发和利用的模式选择、遗产保护中的利益冲突与法律制度建设和遗产保护的社区参与式管理机制等六类。关于遗产保护研究的发展,有两种发展趋势比较明显,即遗产资源保护的自然与文化综合研究和遗产资源保护和开发的制度研究。在此基础之上,本文分析了当前研究存在的问题。认为目前对自然遗产保护管理制度方面的研究,多数停留在对国外成功经验的简单分析,或是对其制度的先进性的简单分析。忽略了国内外不同的自然、历史文化以及社会条件。没有对制度运行所依赖的外部条件进行深入的考察；没有分析在不同的条件下各种制度可能会产生的种种变形。较少的尝试用经济学原理对现象的本质进行解释,不能揭示遗产保护与经济发展冲突产生的根本原因。第二部分：总结了发达国家在涉及自然文化遗产工作中的保护经验文化遗产保护工作在西方发达国家例如美国等国家的发展历程以及主要经验进行了对比总结。之后结合我国的具体情况,得出以下结论：第一、管理隶属关系缺乏规范,是我国自然文化遗产管理机制不顺的原因。遗产单位与一系列相关单位关系混乱的原因主要是其与旅游和文物交易的相关行业间关系并没有形成规范化,并且相关的法律并未建立健全,是的在文化遗产保护进程中往往出现责权不明、在责任上相互推脱、在利益上相互争夺现象的出现。第二、我国的自然文化遗产管理工作,缺乏支持性机构,保护力度也相对薄弱。中国的文化遗产保护工作,参与方仅仅只有相关的科研单位、研究单位和专业协会,民间组织与志愿者以及具有资助性质的组织少之又少,甚至并未出现。国民参与的积极度非常地第三、需要清晰的认识到,管理理念、管理能力同目标相融合才是国外自然文化遗产保护进程中最值得借鉴的经验。他们在这方面的管理经验不会因为遗产资源基础条件的差异性没有办法得以借鉴,也不会因我们国情与其不同而难以适用。现如今国家自然文化遗产管理体制的改革,核心部分并不是一味模仿国外经验,应在改革的进程中穿插美国公益性的管理理念。第三部分：对自然文化遗产资源的经济属性进行了详细的分析。首先,本文认为自然文化遗产本质上是一种特殊的资源,其价值主要体现在其的有用性上,即使用价值上。所谓的自然文化遗产的价值主要表现在人类发现、保护、开发和建造和维修过程中所耗费的人类必要社会劳动以及自然文化遗产开发过程中的外部性补偿。其次,本文认为自然文化遗产具有公共物品的特征,根据自然文化遗产的分类和消费特性,可以将自然文化遗产分为俱乐部物品、公共资源和纯公共物品三种类型。俱乐部物品包含了以观赏功能为主的历史文化遗产、自然遗产和具备观赏价值的自然历史双重遗产,公共资源包含了以科研、观赏为主但未进行开发收费的自然文化遗产、以科研为主单位进行开发收费的自然遗产和文化遗产,纯公共物品包含了濒危的文化遗产和珍惜生物和珍贵自然遗产。最后,本文认为遗产保护行为同样是一种纯公共物品,但其外部性既有正的外部性又有负的外部性。由政府提供遗产保护既有正的外部性又有负的外部性,产生负的外部性的原因主要为存在政府利益和社会利益不完全一致从而产生委托——代理的问题,二是政府自身存在有限理性。在设置自然文化遗产保护制度时需要时将政府保护和民众保护结合起来,达到自然文化遗产的最优保护结果。第四部分：针对自然文化遗产资源的经济属性及经济属性的变迁展开了深入的探讨分析。首先,在产权结构分析的基础上得出了自然文化遗产资源产权多应包含具体内容包括：使用权、所有权和转让权,自然文化遗产的产权主体主要包括全体公民、国家、社会经济实体或公共组织。本文进一步分析了我国自然文化遗产资源的产权结构的特点,认为我国是集体所有制国家,国家是自然文化遗产资源所有权的主体,但在实际操作中,国家必须把这一所有权委托给中央政府各部门和地方政府去管理,因而我国自然文化遗产资源表面上是国家所有,实际则是地方政府和相关部门控制,这就形成了所有权主体分散的状态。这种情形下,由于权利的分属不明确,一旦出现问题,同是所有者的各部门就会互相推诿责任,而公众无力阻止,最后造成责任无人承担。其次,分析了我国自然文化遗产资源产权制度的变迁。认为我国自然文化遗产资源产权制度变迁主要可以划分为公共产品阶段和准公共产品两个阶段。公共产品阶段包括封建社会、半封建半殖民地社会阶段和建国后直到改革开放前。这一阶段自然文化遗产资源主要作为公共产品向大众提供,没有特别的排他机制建立。准公共产品阶段为改革开放至今,又可以以2003年为界分为两个小阶段——产权初步分为经营权和剩余权阶段和进一步细分为经营权、转让权、所有权和开发权的阶段。随着时间的推移我国关于自然文化遗产的产权机制逐步建立并得到完善,在自然文化遗产保护的工作中,发挥了很大的推动效果。第三,本文对我国目前的自然文化遗产资源产权制度做出了评析,认为我国的社会所有制特点决定了自然文化遗产资源的所有权归国家所有,并且不能够进行转让,只能进行经营权流转。目前我国自然文化遗产产权管理主要由地方政府来进行代理。由于地方政府和产权所有者(国家)的目标不一致,容易在自然文化遗产的开发保护中产生委托——代理的问题,有时还会出现寻租和对自然文化遗产的过渡开发的现象。管理部门分割,易出现多头管理的现象,同时导致管理效率和资源利用效率低下。第四,本文从历史分析的角度和比较分析的角度对产权制度和自然文化遗产资源保护的关系进行了详细分析,认为产权制度是自然文化遗产资源保护问题的关键因素。本文认为,虽然在包括封建社会在内的古代社会中,自然文化遗产作为独立的概念还不是很突出。但是,作为一种客观存在,自然文化遗产在事实上存在于历朝历代的社会现实之中。而在历史的发展过程中,当产权得到充分保障时,自然文化遗产资源会得到较好的保护和发展。反之,在其产权不能得到保障时,客观上将必然会造成文化遗产的破坏现象的发生。而在产权制度稳定的情况下,合理的产权结构则更有利于自然文化遗产资源的保护第五,本文讨论了在自然文化遗产资源保护问题上原住居民所拥有的事实上的产权,认为在自然文化遗产资源保护所面临的产权结构中,事实的产权和法律上的产权所包含的权利束往往不一致。本文进一步分析了自然文化遗产资源产权界定中的交易费用,认为由于较高的执行成本导致自然文化遗产资源的产权总是存在一个“公共领域”。之所以对自然文化遗产资源的各种侵权行为会长期反复出现,是因为民众对自然文化遗产拥有私人产权长时间被忽略。遗产资源的产权,表面上归国家或全体人民所有,任何人都没有排他使用权。但实际的操作过程中其实是将资产定义为公有,而后再授予某个个人或单位使用而形成某种占有关系,这样委托代理中的效率损失加产权的排他费用,都通过增加交易费用的方式使社会财富下降,最终是产权制度演化为“公有私用制”。第五部分：研究了前自然文化遗产资源保护中的博弈问题。本文分析了当前自然文化遗产资源保护的发展现状和面临的问题,依据各类保护问题的特征,构建了自然文化遗产保护的博弈模型。本文明确了各方利益主体的利益以及他们之间对待保护的态度,然后运用静态博弈和动态博弈分析方法,构建由政府、企业和群众三方利益主体组成的博弈模型,首先得到了各方利益主体的对待自然文化遗产保护的最优投入,然后运用混合战略纳什均衡,得到各方利益主体对自然文化遗产保护中的收益,以促进各个利益主体更好的保护自然文化遗产。通过博弈模型的推导,研究在遗产资源保护过程中各种冲突的性质,分析问题存在的制度根源,为保护机制的设计提供理论依据。第六部分：自然文化遗产保护机制的设计与政策的建议。保护机制设制应遵循保护和利用并举、分类控制与分区保护、政府规制和市场机制相结合、注重民众参与的原则。我国自然文化遗产保护机制创新应从保护投入机制、保护管理机制创新和保护监督机制创新三条途径来进行实施。第七部分：以登封市少林景区为例对自然文化遗产产权制度进行实证分析以登封市少林景区的自然文化遗产保护现状和问题为例对我国自然文化遗产产权结构和产权制度进行了实证分析。发现,产权不明晰正是导致嵩山少林景区管理混乱的根本原因。混乱的产权结构直接导致了景区管理的混乱,同时景区资源被过度的开发和使用。在分析问题原因之后,本文提出了以下解决对策：一是形成切实可行的规划与决策体系；二是完善法律法规体系；三是正确处理自然文化遗产保护和开发利用的关系：四是要建立引导多元化资金筹集机制；五是加强宣传普及工作,增强全社会的保护意识。更多还原

【Abstract】 As a carrier of the natural and cultural, natural and cultural heritage, make descendants by viewing experience predecessors’ experience and experience, to experience nature’s grand; As well as anthropology, archaeology, geography, history and other social and natural science and the study provides indispensable evidence. Uniqueness and irreplaceability and destroy the irreversibility of the process, make the meaning of the natural and cultural heritage resources beyond the general economic resources, become the common wealth of all mankind.However, due to improper system defects and management, the public resources of our country in the process of extensive economic development by large-scale ravage and destruction. Among them, the most precious part of our country public resources-world natural and cultural heritage resources-the threat is most serious, and has intensified the development of the situation. To solve the contradictory between heritage protection and development, to realize the sustainable development of the natural and cultural heritage development, has important theoretical value. About natural and cultural heritage protection system construction is the most important and most pressing, and the analysis of property rights system is all the system construction question in the most basic and fundamental. System and experience of the blind introduction and imitation is the thing is useless, must advanced systems and successful experience and specific protection goal of natural, economic, historical and cultural conditions.Under the constraints of the limited resources, how to maximize function of heritage protection at minimum cost, is the core of this paper research the problem. In this paper, adopting the new institutional economics and game theory analysis of the basic paradigm, through the analysis of the change of natural and cultural heritage resources property right system, search system problems in heritage protection in our country, analysis of all kinds of conflict in the process of heritage protection, reveal the necessary condition of heritage protection and the design principle of natural and cultural heritage protection mechanism, explores the ways of natural and cultural heritage protection mechanism innovation, and put forward reasonable Suggestions. The dissertation is divided into seven parts:The first part:comprehensive analysis of the natural and cultural heritage protection research status at home and abroad.Through to the natural and cultural heritage protection related theory, research, macro background and the domestic and foreign related research progress and trend of development of a comprehensive elaboration, this paper argues that depending on the Angle and focus, the present study can be classified as:regarding the value of heritage resources evaluation, heritage conservation and the development and utilization of resources of weigh the selection, development and utilization of heritage conservation mode selection, the heritage protection of the interests conflict and legal system construction and the heritage protection of community participatory management mechanism and so on six classes. Regarding the development of heritage conservation research has two kinds of tendency obvious, namely the heritage resources comprehensive research and protection of natural and cultural heritage resource protection and development of system research.On this basis, this paper analyzes the problems existing in the current study. Think the current research on natural heritage protection and management system, most remain in the simple analysis of the successful experience abroad, or for the advancement of the system of the simple analysis. Ignore the different natural, historical and cultural and social conditions at home and abroad. Don’t rely on the external conditions for system operation in-depth study; No analysis under different conditions of various system may produce all kinds of deformation. Fewer attempts to use economics theory to explain the essence of the phenomenon, can’t reveal the fundamental cause of conflict between heritage protection and economic development. The second part:to summarize the experience of developed countries to protect natural and cultural heritageIn this paper, the United States, Italy, Canada, the development of natural and cultural heritage protection, and mainly compares the experience summary. After combining the specific situation in our country, the following conclusions:First, management of subordinate relations lack of specification, it is the cause of the natural and cultural heritage management mechanism in our country. Cultural heritage and tourism, the relationship between cultural relics deals in sectors such as no reach standardization, a variety of laws and regulations has not been set up and perfect, has caused the relationship between heritage unit and related institutions, in the implementation of the protection of cultural heritage in many responsibility unknown, mutual shuffle or the alternative phenomenon.Second, our country’s natural and cultural heritage management, lack of supporting institutions, protect the weaker. In China, in addition to the relevant research institutes and professional associations, funding organizations and volunteer groups rarely, even no. The people involved in degree is low.Third, need to see, abroad in natural and cultural heritage management is the most valuable experience in the management idea, management ability and the management goal. This idea won’t because the system is different and does not apply to the state of the union, also won’t because of resource condition is different and difficult to the basis of using for reference. In the natural and cultural heritage management system reform in our country, the most important, not copy foreign mode, but in reform to carry out the public welfare concept.The third part:the economic attribute of the natural and cultural heritage resources are analyzed in detail.First of all, this paper argues that natural and cultural heritage is essentially a kind of special resources, its value is mainly manifested on its usefulness and use value. The so-called natural and cultural heritage value mainly found in the human in the process of the construction and maintenance, protection, development and the amount of necessary social labor and human external compensation in the process of natural and cultural heritage development.Secondly, this paper argues that natural and cultural heritage has the characteristics of public goods, according to the classification of the natural and cultural heritage and consumption characteristics, natural and cultural heritage can be divided into the club goods and pure public goods and public resources three types. Club item contains mainly ornamental features of historical and cultural heritage, natural heritage and dual heritage has the ornamental value of natural history, public resource contains is given priority to with scientific research, but didn’t charge for development of natural and cultural heritage, the charge is given priority to with scientific research units to develop the natural and cultural heritage, the pure public goods contains the endangered cultural heritage and cherish life and precious natural heritage.Finally, this paper argues that heritage conservation behavior also is a kind of pure public goods, but its externality, there are both positive externality and negative externality. Heritage protection provided by the government, there are both positive externality and negative externality, the causes of negative externality exist mainly government interests and social interests are not identical and thus entrust-agent problem, the second is the government own existence of bounded rationality. When set the natural and cultural heritage protection system is needed to combine government protection and the public, to achieve optimal protection of natural and cultural heritage of the results.The fourth part:in-depth analysis of the economic attribute of the natural and cultural heritage resources property right and its change.First of all, this paper analyzes the natural and cultural heritage resources property right structure. Think the specific content of natural and cultural heritage resources property rights including right to use and transfer of the ownership of the natural and cultural heritage, and natural and cultural heritage of the property right main body mainly includes all citizens, the state, social economic entity or public organizations. This paper further analyzes the characteristics of natural and cultural heritage resources property right structure, think our country is a collective country, state is the main part of the ownership of the natural and cultural heritage resources, but in practice, countries must take ownership of the entrusted to the central government departments and local governments to manage, and so on the surface of the natural and cultural heritage resources in our country is the state, the actual control is the local government and related departments, this creates a ownership dispersed state. This case, because the rights belong to not clear, once appear problem, is the owner of each department will blame each other, and the public is unable to stop, and finally caused the blame no one.Secondly, analyzes the natural and cultural heritage resources property rights system vicissitude. Think our natural and cultural heritage resources property rights system vicissitude mainly can be divided into public goods and quasi-public products in two phases. Public product stages including the stage of feudal and semi-feudal and semi-colonial society and after the founding until the reform and opening up. This one phase natural and cultural heritage resources as public products provided to the public, there is no special exclusive mechanism is established. Quasi-public products stage since the reform and opening up, and can be divided into two small in2003as the world stage, stage of preliminary divided into the management of property rights and residual rights and further subdivided into franchise, transfer, the right of ownership and exploitation stage. As time goes on about property rights mechanism of natural and cultural heritage in China has gradually set up and perfected, the protection of natural and cultural heritage have played a role in promoting.Third, in this paper, the present property right system has made the natural and cultural heritage resources, think our country’s social ownership characteristics determine the ownership of the natural and cultural heritage resources shall be owned by the state, and not be able to transfer, only management rights. At present, China’s natural and cultural heritage property management mainly by local government agency. Due to local governments and property owners do not match the target (state), easy to entrust in the development of natural and cultural heritage protection, the question of agency, sometimes also can appear the rent-seeking and the phenomenon of the transition of natural and cultural heritage development. Administration division, is easy to appear the phenomenon of multiple management, lead to low efficiency of management and resource use efficiency at the same time.Fourth, this article from the perspective of historical analysis and comparative analysis of the Angle of property right system and the protection of natural and cultural heritage resources relations has carried on the detailed analysis, think that property system is the key to the natural and cultural heritage resource protection factors. This paper argues that, although in ancient societies, including the feudal society, the natural and cultural heritage as an independent concept also is not very prominent. However, as a kind of objective existence, natural and cultural heritage in fact exists in the social reality of all dynasties conduct their rein. In the history of the development process, when property rights are fully guarantee, natural and cultural heritage resources will get better protection and development. Conversely, when the property rights cannot be guaranteed, the objective will inevitably bring about the destruction of cultural heritage. And under the condition of the property right system is stable, reasonable property rights structure more conducive to the protection of the natural and cultural heritage resourcesFifth, this paper discusses the natural and cultural heritage conservation issues that residents have in fact of the property right, believe in the natural and cultural heritage resources in the protection of property right structure, the fact of the property and legal property rights that are included in the bundle is often inconsistent. This paper further analyzes the natural and cultural heritage resources property rights definition of transaction costs, that due to higher implementation costs of natural and cultural heritage resources property right there is always a "public sphere". To natural and cultural heritage resources of all kinds of tort behavior will be repeated for a long time, the reason is that our long ignored the people to the natural and cultural heritage has private property rights in fact. Property of the natural and cultural heritage resources is nominally owned by country or all the people, nobody has the exclusive right to use. But the actual operation process is actually will be defined as public assets, then awarded to an individual or entity to use and form some kind of ownership, such principal-agent efficiency loss of the property right to the exclusive cost, make the social wealth by increasing the transaction cost way down, finally is the property right system evolution for the "public private."The fifth part:the former game problems in natural and cultural heritage conservation.This paper analyzes the current development situation of natural and cultural heritage conservation and are faced with the problem, according to the characteristics of all kinds of protection, constructs the game model of natural and cultural heritage protection. This paper made clear the parties between the interests of stakeholders and their attitude towards the protection of, and then USES the static game and dynamic game analysis method, built by the government, enterprises and the tripartite benefit main body of game model, first of all get the interests of all parties subject to natural and cultural heritage protection of the optimal input, then use mixed strategy Nash equilibrium, and get the interests of all parties subject to natural and cultural heritage protection in earnings, each benefit main body in order to promote better protection of natural and cultural heritage. Through the game model is derived, the nature of the conflicts in the process of heritage conservation, root cause analysis problems existing in the system, provide theoretical basis for the design of the protection mechanisms.The Sixth part:the design of the natural and cultural heritage protection mechanism in China are proposed.This paper argues that China’s natural and cultural heritage protection mechanism should follow the protection and utilization and set up system, classification control and protection partition, government regulation and market mechanism, pay attention to the combination of the principle of public participation. Natural and cultural heritage protection mechanism innovation of our country should be the protection mechanism, management mechanism innovation and protect three ways to implement supervision mechanism innovation.The seventh part:Taking Dengfeng Shaolin scenic area as a case study of the cultural and natural heritage property systemIn dengfeng shaolin scenic area’s natural and cultural heritage protection present situation and problems, for example of natural and cultural heritage property right structure and the property right system in our country has carried on the empirical analysis. Found that the unclear property right is the primary cause of songshan shaolin temple scenic spot management chaos. Chaos chaos in the structure led directly to the property right of scenic spot management, scenic spot resources used by excessive development and at the same time. After analyzing the reason for the problem, this paper puts forward the following countermeasures:one is to form a practical planning and decision-making system; Second, perfect the laws and regulations system;3it is right to deal with the relationship of the natural and cultural heritage protection and utilization; Four is to build a new lead diversified fund-raising mechanism; Five is to strengthen publicity work, strengthen the protection consciousness of the whole society.更多还原