KMS XINJIANG INSTITUTE OF ECOLOGY AND GEOGRAPHY，CAS
| 生态补偿对农牧交错区农户生计的影响——以新疆阿勒泰地区青河县为例 | |
| 汪菲 | |
| Subtype | 博士 |
| Thesis Advisor | 杨德刚 |
| 2015 | |
| Degree Grantor | 中国科学院大学 |
| Place of Conferral | 北京 |
| Degree Discipline | 人文地理学 |
| Keyword | 生计资本 生计策略 生态补偿 农户 青河县 |
| Abstract | 农户生计的微观机理研究是农村区域可持续发展研究的基础内容之一，也是农牧民增收、农牧业发展、农村生态环境保护三者协调发展亟待解决的关键问题之一。本文针对干旱区农牧交错地带实施的退牧还草、退耕还林等生态工程，在可持续分析框架下构建生计资本评估指标体系，并在新疆阿勒泰地区青河县开展实地调研，对生态补偿对农户生计资本和生计策略的影响机理进行实证研究，探索生计资本与生计策略的相互关系，揭示农牧民生计策略转化的关键影响因子，最后提出干旱区农牧交错地带农户生计可持续发展的政策与建议，为干旱区生态补偿政策的有效实施提供一定的理论借鉴与现实参考。 主要研究结论如下： （1）农牧民生计现状特征。①生计资本。研究区自然资本存量较低，使得丰富的人力资本和较充足的金融资本未能充分发挥形成最佳生计策略，今后需要注重自然资本的保护性发展，并提高其它生计资本之间的转换能力。样本农户的生计资本总指数为2.3603，异质性农户则表现为退耕退牧户最高，依次是退牧户、退耕户。②生计策略。种植业、畜牧/养殖业、外出打工等方式是青河县农户主要采取的生计策略，总体看来从事非农生计活动的农牧民比例较少；退牧户和退耕退牧户家庭选择的生计方式对自然资源的依赖程度高于退耕户。从农户家庭选择生计活动的种类数看来，退耕户最多，退耕退牧户次之，退牧户最少，生计多样化指数分别为1.95、1.50、1.43。 （2）生态补偿对农户生计资本的影响。①生态补偿后，青河县样本户农牧民的生计资本总指数增加，其中农户的物质资本、社会资本、心理资本和金融资本指数增加，自然资本和人力资本指数降低；退耕退牧农户的生计资本总指数增幅最大，依次是退耕户、退牧户。②生态补偿对异质性农户生计资本结构的影响不同，样本农户的生计可持续力是生态补偿前生计可持续力的0.88倍，退耕户、退牧户、退耕退牧户的生计可持续力分别为生态补偿前的1.07、1.00、0.63倍。③生态补偿改变了样本农户、退耕户、退牧户、退耕退牧户与各生计资本之间的相关关系，说明各类生计资本之间还尚未达到相对稳定的相互影响或转换的良好阶段。 （3）生态补偿对农户生计策略的影响。①生态补偿促使农户的生计方式由传统的农牧业向非农产业转变，这种转变力度在退耕户、退牧户、退耕退牧户中存在差异。②生态补偿对异质性农户生计活动结构的影响表现在：退牧户从事畜牧/养殖业的人口比例变化最大，从事打工的人口比例变化次之；退耕户从事种植业的人口比例变化最大，依次是经商和打工；退耕退牧户从事畜牧/养殖业的人口比例变化最大，依次是从事工资性工作、外出打工和个体运输。③生态补偿促进了农户的生计策略向着多元化方向发展，但其驱动能力有限，目前青河县农户的生计活动多样化程度仍然不高；其中退耕户、退耕退牧户、退牧户的多样化指数分别增加了0.40、0.29、0.19。 （4）生态补偿对农户生计资本与生计类型关系的影响。①目前，当样本户拥有比较多的人力、自然和金融资本时，农牧民所采取的生计策略以非农活动为主，而当农牧民拥有比较多的物质资本时，农牧民不愿意放弃其原有的农业生计活动。②物质资本的增加将导致样本户生计策略“非农化”发生的概率减少0.034倍，人力、自然与金融资本可推动“非农化”发生的概率分别增加106.999、6.215和3.700倍。③退耕户、退牧户、退耕退牧户对从事农业或非农生计策略的资本敏感性响应存在差异，且生态补偿对二者关系的影响在样本户和异质性农户中均存在一定差异。 （5）生态补偿对农户生计资本与生计方式多样化关系的影响。①相对于只选择一种类型生计方式的样本户来说，自然、人力和金融资本每提高一个单位，农户选择两种生计活动方式的概率将分别增大124.711、40.650、2.790倍，物质资本每增加一个单位会引起农户选择一种活动的概率提高11.917倍。②自然、人力和金融资本每提高一个单位，农户选择三种生计活动方式的概率将分别增大334.287、145.620、13.184倍，物质资本每提高一个单位，农户选择一种生计方式的概率扩大43.641倍。 （6）本研究最终提出如下政策建议。需优化资源配置，努力实现生计系统与生态环境系统的良性耦合。依据农牧民生计资本与生计策略的不同关系类型，评估现有的生态补偿政策对农牧民生计的影响效果，确定后续生态补偿政策实施过程中异质性农户的最优先补偿对策。分别从农户增强自我发展能力、生态补偿项目实行参与式的管理运作模式、政府创新配套保障支持措施等三个维度提出优化农牧民积极参与生态补偿项目的有效路径建议。 |
| Other Abstract | Microcosmic mechanism research on household's livelihood is an urgent for sustainable development in rural region in China, as well as is an key issue for the coordinated development among farmers’ income, farming and animal husbandry development and rural ecological environment protection. Aiming to restore the ecological service functions of ecosystem, China launched pastureland rehabilitation and cultivated land reforestation projects in agro-pastoral transitional zone. It is a matter of urgency to assess the effectiveness of this project, especially in the rural mountain communities with limited livelihood choices and low adaptive capacity. Thus we established comprehensive evaluation index system to clarify household livelihood status of local communities before and after ecological compensation project. Then a quantitative analysis were adopted to explore how livelihood capitals affect the adaptation activities as well as how different beneficiaries were affected. The results would provide references for building up sustainable livelihoods ways, revising follow-up detailed mechanisms, making the limited funds get more reasonable optimal allocation. The main conclusions are as follows: First, we summarize the characteristics of household livelihood status. Natural capital stock is low in the study area, which makes the rich human capital and more adequate financial capital fails to give full play to form the best livelihood strategy, while future development needs to focus on protecting natural capital and improve the ability to convert other livelihood capital. The livelihood capital index of sample households is 2.3603, and there is an obvious difference in livelihood capital index among heterogeneous households in the study area, with the group of agro-pastoralists has the highest livelihood asset values, then followed by herdsmen and farmers. Depending upon grassland, cultivated land, woodland resource and human input, animal husbandry, planting, part-time job, wage job , business, etc. are the main livelihood activity ways of households in study region, with not high proportion of non-farm strategy by and large. Generally, herdsmen and agro-pastoralists’ dependence on natural resources exceeds farmers’. Seeing from the perspective of households’ livelihood activities diversity, farmers have the highest livelihood types, followed by agro-pastoralists and herdsmen. Second, the impact of ecological compensation on households' livelihood capital. The livelihood capital index of sample households increased after ecological compensation, along with physical, social, psychological and financial capital index increased while natural and human capital index decreased. The impact of ecological compensation on households' livelihood capital structure exist differences among heterogeneous households. The change of livelihood sustainable capacity before and after ecological compensation is 0.88, 1.07, 1.00 and 0.63 times respectively for the sample household, farmers, herdsmen and agro-pastoralists. Ecological compensation change the relationships between various livelihood capitals among heterogeneous households, which means it has not yet reached the stage of a relatively stable interaction or conversion between the various types of livelihood capital. Third, the impact of ecological compensation on households' livelihood strategy. It is ecological compensation that do a great favor for households’ livelihood types transforming from traditional agricultural to non-agricultural industries. The impact of ecological compensation on households' livelihood activity structure also exert dinstinct differences among different beneficiaries group from ecological compensation project. Ecological compensation, an external power injection, promotes households' livelihood strategies towards the direction of diversification, but various constraints limited their driving ability, the current degree of diversification of livelihood activities are still not high in Qinghe County. Fourth, the impact of ecological compensation on the relationship between livelihood capital and livelihood type. On the basis of the sensitivity analysis of on-farm or off-farm livelihood strategies to livelihood capitals at present, the results showed that there is a significant positive relationship between human, natural, financial capital and non-farm livelihood activities, while it is physical capital that drives rural households choosing farm strategies. The probabilities of off-farm livelihood strategy increases by 106.999, 6.215 and 3.700 times if the human, natural or financial capital increase by one unit; the chances of off-farm strategy decrease by 0.034 times when the physical capital increase by one unit. On the basis of the sensitivity analysis of livelihood diversity to livelihood capitals, at present, compared with those sample households who only select one type of livelihood strategy, nature capital have the largest effect on choosing two types of livelihood strategy, followed by the human, physical and financial capital. The probabilities increase by 11.917 times in the event of physical capital increase by one unit, yet those of two types of livelihood activities are bound to multiply by 124.711, 40.650 and 2.790 times severally along with one unit increasing of natural, human and finanical capitals. The chances and probabilities of three types of livelihood activities dramatically go up by 334.287,145.620 and 13.184 times respectively along with the increments per unit of natural, human and financial capitals. At the end, thesis proposed the following policy recommendations. Qinghe County need to optimize the allocation of resources, to achieve a virtuous coupling between livelihood systems and ecological environment systems. According to the different relationships types of different households between livelihood capital and livelihood strategy, also the evaluation the effects of the existing ecological compensation policy on households livelihood, we determined the top priority measures to heterogeneity households in the follow-up of ecological compensation policy. Additionally, we make effective recommendations and optimal path to help farmers and herdsmen participate in ecological compensation project more actively from the following aspects: enhance households’ self-development capacity, implement participatory management operation mode of ecological compensation project and innovation corresponding support measures of the government. |
| Subject Area | 人文地理学 |
| Language | 中文 |
| Document Type | 学位论文 |
| Identifier | http://ir.xjlas.org/handle/365004/14616 |
| Collection | 研究系统_荒漠环境研究室 |
| Affiliation | 中科院新疆生态与地理研究所 |
| Recommended Citation GB/T 7714 | 汪菲. 生态补偿对农牧交错区农户生计的影响——以新疆阿勒泰地区青河县为例[D]. 北京. 中国科学院大学,2015. |
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