【作者】 张明；

【导师】 李智勇；

【作者基本信息】 中国林业科学研究院 ， 生态学， 2014， 博士

【摘要】 国家林业局发布的第八次全国森林资源清查结果显示，我国人工林面积和蓄积快速增长，人工林保存面积达到6933万公顷，继续保持世界首位。我国人工林建设在取得显著成效的同时，由于对人工林生态环境和社会影响的监测和管理重视不够，人工林的健康发展面临地力退化、水土流失、生物多样性降低、保护与利用等生态环境和社会问题的挑战，导致人工林质量不高、生态功能不强、社区利益矛盾等问题依然突出。人工林的生态环境问题全球高度关注，是全球森林研究的热点问题之一。2012年联合国召开的可持续发展会议（RIO+20）发表的共同宣言《我们憧憬的未来》和2011年联合国环境保护署（UNEP）在第26届理事会会议暨全球部长级环境论坛发布的《绿色经济报告》都强调加强人工林建设是推进可持续发展和发展绿色经济的重要手段。林业世行贷款项目十分重视人工林建设对项目区生态环境与社会影响的评价管理，项目采取的生态环境保护、促进社会公平发展等先进理念，体现了人工林发展的主流方向。以林业世行贷款项目为例，开展人工林生态环境和社会影响评价研究，对于提高我国人工林管理水平，提升人工林建设质量，发挥人工林的多种效益，满足社会和人民群众对林业多功能性的需求，具有重要的理论价值以及现实意义。本文在汲取国内外生态环境和社会影响评价相关理论和研究方法的基础上，选取人工林生态环境和社会影响评价指标，构建了人工林生态环境和社会影响评价指标框架，在指标框架下选取案例进行了实证定性分析，在收集统计数据和实地调查数据的基础上进行案例实证定量分析，最后给出政策建议。本文的主要研究结论如下：（1）系统阐述了人工林生态环境和社会影响评价指标标选取原则，结合项目区实地调查结果、世行要求及项目实际需要以及国内外研究成果，生态环境影响分别从水土保持、森林生态系统稳定性、水源涵养、改良土壤四个方面选取了9个指标；社会影响分别从社会公平、经济发展、社会生态三个方面选取了9个指标，构建了生态环境和社会影响评价指标体系。（2）基于对人工林实施前后生态环境和社会指标变化程度的分析可知，世行贷款人工林实施对女性参与项目活动、增加农民收入、群众科技水平、农户参与项目的机会等社会影响以及提高森林郁闭度、植物物种多样性等生态环境影响作用较明显，对民主意识、生态保护理念、林业总产值等社会影响以及土壤侵蚀模数、土壤有机质含量、年径流系数等生态环境影响作用较弱。（3）基于层次分析法（AHP）的指标权重和评价指数的分析结果可知，2013年项目区生态环境指数较2009年提升18.98%，社会指数提升62.01%。2013年生态环境与社会综合指数较2009年相比整体提升约40.5%，项目实施对项目区的生态环境和社会产生了正面影响。（4）基于模糊综合评价（FCE）的指标隶属度和综合评价分析结果可知，2009年项目区生态环境综合等级为3.146，2013年项目区生态环境综合等级为2.405，项目实施对项目区环境呈有利影响，但影响效应不是十分明显。2009年项目区社会综合评价等级为4.137，2013年项目区社会综合评价等级为2.789，项目实施在较短时间内使项目区整体社会状况有较大改善，项目区社会由第Ⅳ级提升为比Ⅲ级稍好的水平。2009年项目区生态环境与社会综合评价等级为3.640，处Ⅲ和Ⅳ级之间，偏向于Ⅳ级，2013年项目区生态环境与社会综合评价等级为2.597，处Ⅱ和Ⅲ级之间，更偏向于Ⅲ级，项目实施使项目区生态环境和社会向良性方向发展，但影响程度一般。（5）人工林项目实施具有增加森林资源，改善生态环境，提高林农素质，美化乡村居住环境，增加林农收入等积极效应。同时，实施不当可能会导致土壤疏松和养分的流失；生态保护目标和增加经济收入之间的冲突；贫困农户和弱势社会群体在项目的计划和实施中被边缘化等问题。为使人工林建设实现经济、生态、社会等多方面的效益，应加强人工林生态环境管理和积极开展社会参与磋商工作，落实生态环境友好的营造林技术，积极帮助项目农民组建新型合作经济组织，提高农民组织化水平；加强对人工林生态环境与社会影响的监测和评价工作，建立评价指标框架，持续跟踪监测项目实施产生的生态环境与社会影响。更多还原

【Abstract】 According to the results of the Eighth National Forest Resource Inventory released by theState Forestry Administration, the area and volume of plantations increasedrapidly in China,the conservation area of plantations reached69.33million hectares and ranks the first in theworld. Remarkable achievements were obtained in the implementationof plantations, butat thesame time, due to ignorance of the monitoring and management of the eco-environmentandsocial impact, the healthy development of plantations were faced with the chanllenges ofeco-environment and social risks, such as degradation of soil fertility, soil erosion, biodiversityreduction, conflict between protection and uitiliazation, that lead to the problems that thequality and ecological functions of plantationsis not high and the benificial contradictionamongin relative community that are still outstanding. Eco-environment problems of plantationsareattention around the world, and is one of the hot issues of global forest.Actively implementedthe eco-environmental and social impact assessment that is an important measure to promotesustainable development and the green economy development, that was emphasized in “TheFuture We Want”issued by the Sustainable Development Conference held by the UnitedNations in2012and “Green Economy Report”issued in the26th Council and GlobalMinisterial Environment Forum held by the United Nations Environmental Protection Agency(UNEP) in2011. The forest project supported by World Bank loan attaches great importance tothe assessment and management ofenvironmentaland social impact in the project areas.Thescientific ideas of the projects, like the eco-environment protection, promotiondevelopment of social justice,that leads themainstream ofthe forest development in the world.Studying on evaluation of eco-environmental and social impact on the plantaions has importanttheoretical value and realistic significance for enhancing the management level of plantations,improving construction quality and exerting multi-benefits of forest to meet the society andpeople’s demand to forest multi-function. Based on the experience of the domestic and international theories and research methods,the index and the framework of evaluation index system of eco-environmental and socialimpact assessment were established. Under the framework of the indicator system, a case areselected to do qualitative and quantitative analysis based on the collecting statistical data andsurvey data, and some policiesarerecommended finally.The main studying conclusions are asfollows:(1)Selection princple of evaluationindex of the eco-environment and social impactisexpounded systematically. Combined with theresults of field investigation from the projectareas,therequirment of the World Bank, the actual needs of the project and the domestic andinternational research results, totally18indicators on eco-environmental impactandsocialimpact are selected, in which, nine indicators for eco-enviromental impact are choosefrom soil conservation, the stability of forest ecosystem, water conservation and soilimprovement, and other nine indicators for social impact are choose from social justice,economic development and social ecology.At the same time, the framework of index system ofeco-environmental and social impact assessment is established.(2)Basis on the comparison analysis of the ecological environment and social imapct databetween the before and after implementing of the plantation, the project implementation hasobviously social impact onfemale invovling in the project activities, increased farmers incomeand the participate opportunity of thefarmers to joinprojects,andobviously eco-environmentalimpact on improved theforest canopy density and plant species diversity; and also has weaksocial impact to promote the awareness of democracy, idea of ecological protection, and weakeffecting oneco-environment about improvement soil quality and soil and water consevation.(3)Basis on the analysis results of the indicator weight and the evaluation index undertheAnalytic Hierarchy Process(AHP):the eco-environment quality in the project area in2013ishigher18.98%than in2009,increased62.01%about social quality, environmentaland socialcomprehensivequality in2013is higher40.5%than in2009. The plantation implementationmade positive effect on environment and socialin the project area. (4)Basis on the analysis of membership grade and systhetical grade under the FuzzyComprehensive Evaluation (FCE): the comprehensivelevelof eco-environmentin the projectarea in2009and2013respectivelyis3.146and2.405. The implementation of the project madeafavorableimpact on the eco-environment in the project area,but theeffectis not veryobvious.The comprehensive evaluationgrade of socialin theproject area in2009and2013respectively is4.137and2.789,the whole social quality of the project area has greatlyimproved through theimplementationoftheproject in a relatively short period. Thequality ofeco-enviroment and social in the projectareais promoted from3.640to2.597.Implementationof the project promoted the eco-environment and social in the project area on the rightdirection, but made normal impact in the project area.(5) Implemented the plantation projectsthat could to increase forest resources, improve theecological environment, improve the quality of forest farmers, beautify the rural livingenvironment, increase farmers’ income and other significant positive effect. But at the sametime, if the project do not implement inappropriatly, some sivilculture activities will likelyresult in loosing soil and loss nutrient; the conflict between the goal of ecological protectionand the increasing economic income; the poor farmers and vulnerable social groups aremarginalized in the planning and implementation of the project. In order to make the plantationto achieve multi-aspects economic, ecological and social benefit, environment managementand society participation program will be launched and strengthened actively, the environmentfriendly sivilculture technologies will be adopted, and help actively the project farmers to buildnew type cooperative economic organizations to promote the organization level of the farmers.The monitoring and evaluation of impact on eco-environment and social will be strengthenedand the evaluation index framework will be established to follow and monitor the tracks of theeco-environment and social impact of the project implementation.更多还原