兼顾发展权与可持续性的怒江流域开发模式研究
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摘要
经济发展是人类永恒的追求,生存权和发展权也都属于天赋人权。生活在怒江流域的居民也不例外。但经济发展必须同其他因素协调推进。即同时尊重经济规律,自然规律和社会规律。我国《国民经济和社会发展第十一个五年规划纲要》(2006—2010)将国土空间划分为优化开发、重点开发、限制开发和禁止开发四类主体功能区。怒江流域总体上属于限制开发区。而其中的怒江州自2000年全面退耕还林和2003年申报“三江并流”世界自然文化遗产以来,全州58.3%的区域被纳入自然保护区。这部分区域更是属于禁止开发区。怒江流域,尤其是核心区的怒江州主体功能区的重新定位,使这些地区的环境保护和可持续发展问题得到了高度重视,但经济发展问题却相对重视不够,地方经济发展的产业支撑体系至今未能有效健全。以2008年为例,怒江州财政自给率仅22.8%左右,农民人均纯收入1488元,50%的农民群众没有解决温饱。怒江流域的居民为保护环境而客观上牺牲了经济发展,但贫穷的格局依旧未能改变,他们迫切需要发展经济和改善生活。
怒江流域具有丰富的动植物资源,是生命物种的基因库、自然地貌的博物馆；具有丰富的矿产资源和水电资源,是国家重要的战略能源基地和有色金属基地；具有灿烂的民族文化和极高品位的自然和人文景观,是文化的富矿和旅游的天堂。怒江流域具有经济开发的优越条件,但怒江流域更是我国的生态高地和环境脆弱区。限制开发区的区域功能定位是该流域难以绕过的坎。因此,大规模的经济开发,尤其是经济发展与生态环境保护的矛盾在怒江流域表现尤为尖锐。
经过上世纪80年代末以来的酝酿,2003年7月《怒江中下游水电规划报告》终于完成。同年8月,国家发改委主持召开了《怒江中下游水电规划报告》评审会,通过了怒江中下游水电开发方案。此举一石激起千层浪。包括学界、媒体、当地居民及各级政府部门在内的社会各方,以及下游国家的政府和民间组织都纷纷卷入到了“怒江要不要建坝”的激烈讨论中来。这场争论最终以国家领导人作出“慎重研究,科学决策”而暂时搁置。在2010年全国“两会”上,怒江州政府给云南代表团的每个代表递上一份关于怒江水电开发的建议,期望通过“两会”平台,获取国家对怒江水电开发的首肯与支持,更希望纳入国家“十二五”规划。沉寂一时的开发与保护话题再度被引热。但客观地说,关于怒江流域开发与保护的争论至今未达成共识。梳理和对比不同的观点,我们发现“开发派”与“保护派”观点纷争的背后,其实深藏着复杂的生态经济学问题。诸如当生态保护成为优先目标,经济发展受到环境约束的情况下,流域区的发展权(包括地方财政收入、居民经济收入和生活水平)怎么保障?如何建立和形成兼顾人的发展权与经济社会可持续性发展的开发模式?如何建构适应经济开发与生态保护协调的流域开发制度与模式?这些模式的运行机制和实现途径如何?这些问题都值得深入研究。
本文正是通过怒江流域发展权与可持续性兼顾模式的探讨,对上述理论和实际问题进行深入研究,期望对相关的环境经济理论与实践做出一些贡献。
全文由八个部分构成：
第一部分为全文导论。主要交代论文选题的由来和研究意义,前人在这个问题上的研究状况,阐明本文的理论逻辑、研究内容、研究方法和主要创新所在。
第二部分为研究范畴与理论基础的论述。主要阐述研究中所涉及的基本的概念和理论。主要的研究范畴包括发展权、经济公平、环境公平、可持续性等。运用的理论工具包括可持续发展理论、发展权理论、人的二重性理论、及循环经济、绿色经济、低碳经济等生态经济理论。
第三部分从环境公平与可持续发展视角审视怒江流域的生态地位。在对怒江流域生态现状评估的基础上,分析评价怒江流域对当地和下游、对全国和国外的生态影响。也客观地展现了怒江流域生态破坏的现实。
第四部分从经济公平与发展权视角分析评估怒江流域社会经济发展状况。包括经济发展水平、产业结构、增长模式。指出了因环境保护而牺牲经济是怒江流域经济贫困的主要原因。
第五部分怒江流域经济发展与环境保护冲突的实证分析。主要是对怒江流域经济发展与环境保护冲突进行博弈分析和实证研究。
第六部分分析了破解经济发展与环境保护两难境地的国内外经验。包括美国密西西比河流域、英国莱茵河流域、澳大利亚墨累河流域、亚马孙河流域的开发与保护经验,以及国内黑河流域、太湖流域的开发与保护经验。以期为怒江流域的环境友好型经济开发模式的形成提供思路与借鉴。
第七部分探讨可持续性和发展权兼顾的怒江流域开发模式。包括有机农业模式、生态旅游模式、循环经济模式、碳减排约束下的碳汇贸易模式、异地开发模式、生物产业模式、清洁能源模式、水电开发模式等。
第八部分提出了实施和完善上述开发模式的具体措施与配套政策。包括设立“生态特区”,完善生态补偿与生态转移制度,建立和完善资源与环境税制度,构建和完善流域环境保护的民间参与机制,实行最严格的环评制度,加大生态转移民主进程,加强国际环境合作等。
本研究的创新之处表现在以下三个方面：
(1)在选题上。本文以生态经济矛盾上极富典型性的怒江流域为例,探讨了发展权与可持续性兼顾的开发模式。对相关生态经济理论研究和实践发展有启发和借鉴意义。
(2)在研究视角上。本文从环境公平与可持续性视角分析了怒江流域的生态地位,从经济公平与发展权视角分析了怒江流域经济发展状况,从而深刻揭示了怒江流域面临经济发展与生态保护的双重困境；并从兼顾发展权与可持续性的角度系统地提出了怒江流域开发模式。
(3)在研究方法上。本文对怒江流域生态系统类型应用了GIS分析方法；对怒江开发与保护的分析采用博弈论的分析方法；对怒江流域经济发展与环境保护的冲突分析采用了spss分析方法；对怒江流域开发模式生态旅游采用SWOT分析方法；对该流域循环经济发展模式采用技术分析的方法等。
The eternal pursuit of human development, being a systematic project, must be coordinated with economic, social and natural laws. The right to survival and development are fundamental human rights, which also belong to people from the Nujiang Valley. According to the resource environmental bearing capacity, existing development density, development potential and other comprehensive factors, the National Spatial is divided into four functional regions, namely, regions for optimized development, regions for key development, regions for restricted development and prohibited development, as stated in "National economic and social development of the eleventh five-year plan outline"(2006-2010). The four functional regions, which follow the economic strategy and the regional differentiation environmental policy, are respectively arranged different dominant industry and development mode. Since the NuJiang State converted the measure cultivating land into forests in2000, and the government of Yunnan Province declared Three Parallel Rivers as the world's natural and cultural heritage in2003,58.3%of the Nujiang area had been rated as the natural protection zone. The environmental protection and sustainable development attracted much attention, while the economical development attracted much less. The pivotal and local industry has not been set up to support local economy. For example, in2008, the financial self-sufficiency rate just reached22.8%. Per capita net income for peasants in this region was less than one thousand and four hundred and eighty-eighty Yuan. More than50%of the peasants were not provided with adequate food and clothing. Inhabitants along the Nujiang Valley made a significant sacrifice and contribution to the environment protection. However, the poverty and backwardness need to be changed. And, the economy needs to be developed and the livelihood is in urgent need of improvement.
The Nujiang valley is rich in natural resources and human resources to support its economic development. The valley is rich in flora and fauna, being a gene pool of life species and a museum of natural landscapes. It enjoys abundant mineral resources and hydropower resources, making it an important national strategic energy base and non-ferrous metal base. The Nujiang is a bonanza of culture, the paradise for tourism and a good place to nature and humanity. But this area is also the ecological Highlands, since it is environmentally fragile. Its development is limited as large-scale economic development may bring stress and damage to this area due to its environmental fragility.
Based on the brewing since the late1980s,"the hydropower planning report about the middle and lower reaches of the Nujiang valley" was completed in July2003. In August2003, National Development and Reform Commission held the assessment on "the hydropower planning report about the middle and lower reaches of Nujiang Basin" and passed the middle and lower reaches hydropower development program. That attracted so much attention from not only scholars, media, civilian, but also central and local governments, NGOs in the downstream countries, who were involved in the argument about the dam. And then there are diffident views, supporting development and protection. Finally, the argument was set aside momentarily because of the instruction of "careful research, scientific decision" from the national leaders. The government officials of the Nujiang State submitted suggestions on the hydropower development to every representative of Yunnan Province in the National People's Congress and the Chinese People's Political Consultative Conference in2010. Through the Two Sessions, they expected the hydropower development program of the valley to be passed and incorporated in "The Twelfth Five-year Plan". The Nujiang valley is facing the dilemma of economic development and environmental protection, while the debate on the development and protection lasted so many years without a clear conclusion. When ecological protection is put as a priority, while economic development is restricted by environment, how to protect the rights (including local financial income, residential income and living standard) of developing the basin? How to set up the development mode with a balance between human development and sustainable development of economy and society? How to build a mode adapting to both economic development and ecological protection? What would be the operation system and approaches? All these questions require deep research.
The theme of this dissertation focuses on a balanced mode of economic development and substantial development of the Nujiang valley. This dissertation is divided into eight parts. The first is the introduction to the full text. It mainly points out the problem and introduces the concepts.
The second part is the research category and theoretical basis. It mainly expounds the research on basic concepts and theories, including the right to development, economic fairness, sustainability, and environmental fairness. ethical foundation, natural sustainable and economic sustainability. The theory includes the theory of sustainable development, the theory of development rights, the duality theory, and theories of ecological economy including circular economy, green economy, and low carbon economy.
The third part is about eminent ecological status of the Nujiang Valley through the perspective of the environmental fairness and sustainable development. Based on ecological status of the Nujiang Basin, the paper analyzes and values the importance of the Nujiang Valley for the local, national, downstream and international ecological factors. At the same time, it analyzes the ecological damage to the Nujiang Valley.
The fourth part is focused on the social and economic development through the analysis on the economic fairness and the right to development. The paper states the analysis on the Nujiang Valley's resources, level of economic development, poverty and backwardness factors, industrial structure and the growth pattern, economic poverty and social and political stability, respect to the economic development and fairness, and efforts for eliminating poverty.
The fifth part is about the empirical analysis of the conflict between Nujiang economic development and environmental protection. Besides, it puts game analysis to use when analyzing conflict between development and protection. Finally, it states the efforts for resolving the problem.
The sixth part states the domestic and overseas experiences about the development and environmental protection. The main content not only includes the experiences from the developed countries, such as the Mississippi Basin of the United States, Britain Rhine Valley, Australia Murray River valley; but also from the developing countries along the Amazon River. And the domestic advanced experiences include the Heihe River Basin and Taihu Valley, which are expected to be helpful to the future development and protection of the Nujiang.
The seventh part bases on the choices of development mode for the Nujiang, while giving consideration to the sustainability and the right of development. This part respectively states the organic agriculture development, ecological tourism development, circular economy mode, carbon trade, allopatry development mode, bio-industry and clean energy development. Based on all of the choices stated, this part then goes into the development mode and characteristic industries of Nujiang, whose mainstay industry is hydro-electricity.
Expounding the supporting policies and measures of the development mode for the Nujiang Basin based on the right of development and sustainable development is the main content of the eighth part. And then this part states the countermeasures to the development mode of the Nujiang Valley, combining the sustainable economic development with the sustainable environmental protection. Besides, this part also expounds Special Ecological Zones, Ecological compensation and transfer system; the tax system(such as resources tax, environment tax); the cultivation and support on folk environmental organizations; the most strict evaluation system; the ecological emigration; strengthening the International environment cooperation mechanism, etc.
This article went into tentative exploration in three aspects as follows:
1) the selection of the topic
It discusses the development mode balancing development rights and sustainable development, based on the example of the Nujiang Valley, which is very typical in the dilemma between ecology and economy. It can be an inspiration and reference for related theory research and practices in ecological economy and their practices.
2) the research angle
It unveils the dilemma of economic development and ecological protection in the Nujiang Valley, by analyzing this basin's ecological status through the environmental equity and sustainability, and on this basin's current economic situations through the economic fairness and the right to development. It also puts forward a systematic development mode through the balance between development rights and sustainable development.
3) the research methods
It analyzes the Nujiang Valley's ecosystem types with the application of a GIS. The analysis about the development and protection of the Nujiang Valley put game theory to use. Similarly, the analysis on the conflict between the basin's economic development and environmental protection put SPSS to use. At the same time, the analysis of the Nujiang Valley's development mode of eco-tourism is based on SWOT method, and recycling economy development mode on technical analysis methods.
怒江流域具有丰富的动植物资源,是生命物种的基因库、自然地貌的博物馆；具有丰富的矿产资源和水电资源,是国家重要的战略能源基地和有色金属基地；具有灿烂的民族文化和极高品位的自然和人文景观,是文化的富矿和旅游的天堂。怒江流域具有经济开发的优越条件,但怒江流域更是我国的生态高地和环境脆弱区。限制开发区的区域功能定位是该流域难以绕过的坎。因此,大规模的经济开发,尤其是经济发展与生态环境保护的矛盾在怒江流域表现尤为尖锐。
经过上世纪80年代末以来的酝酿,2003年7月《怒江中下游水电规划报告》终于完成。同年8月,国家发改委主持召开了《怒江中下游水电规划报告》评审会,通过了怒江中下游水电开发方案。此举一石激起千层浪。包括学界、媒体、当地居民及各级政府部门在内的社会各方,以及下游国家的政府和民间组织都纷纷卷入到了“怒江要不要建坝”的激烈讨论中来。这场争论最终以国家领导人作出“慎重研究,科学决策”而暂时搁置。在2010年全国“两会”上,怒江州政府给云南代表团的每个代表递上一份关于怒江水电开发的建议,期望通过“两会”平台,获取国家对怒江水电开发的首肯与支持,更希望纳入国家“十二五”规划。沉寂一时的开发与保护话题再度被引热。但客观地说,关于怒江流域开发与保护的争论至今未达成共识。梳理和对比不同的观点,我们发现“开发派”与“保护派”观点纷争的背后,其实深藏着复杂的生态经济学问题。诸如当生态保护成为优先目标,经济发展受到环境约束的情况下,流域区的发展权(包括地方财政收入、居民经济收入和生活水平)怎么保障?如何建立和形成兼顾人的发展权与经济社会可持续性发展的开发模式?如何建构适应经济开发与生态保护协调的流域开发制度与模式?这些模式的运行机制和实现途径如何?这些问题都值得深入研究。
本文正是通过怒江流域发展权与可持续性兼顾模式的探讨,对上述理论和实际问题进行深入研究,期望对相关的环境经济理论与实践做出一些贡献。
全文由八个部分构成：
第一部分为全文导论。主要交代论文选题的由来和研究意义,前人在这个问题上的研究状况,阐明本文的理论逻辑、研究内容、研究方法和主要创新所在。
第二部分为研究范畴与理论基础的论述。主要阐述研究中所涉及的基本的概念和理论。主要的研究范畴包括发展权、经济公平、环境公平、可持续性等。运用的理论工具包括可持续发展理论、发展权理论、人的二重性理论、及循环经济、绿色经济、低碳经济等生态经济理论。
第三部分从环境公平与可持续发展视角审视怒江流域的生态地位。在对怒江流域生态现状评估的基础上,分析评价怒江流域对当地和下游、对全国和国外的生态影响。也客观地展现了怒江流域生态破坏的现实。
第四部分从经济公平与发展权视角分析评估怒江流域社会经济发展状况。包括经济发展水平、产业结构、增长模式。指出了因环境保护而牺牲经济是怒江流域经济贫困的主要原因。
第五部分怒江流域经济发展与环境保护冲突的实证分析。主要是对怒江流域经济发展与环境保护冲突进行博弈分析和实证研究。
第六部分分析了破解经济发展与环境保护两难境地的国内外经验。包括美国密西西比河流域、英国莱茵河流域、澳大利亚墨累河流域、亚马孙河流域的开发与保护经验,以及国内黑河流域、太湖流域的开发与保护经验。以期为怒江流域的环境友好型经济开发模式的形成提供思路与借鉴。
第七部分探讨可持续性和发展权兼顾的怒江流域开发模式。包括有机农业模式、生态旅游模式、循环经济模式、碳减排约束下的碳汇贸易模式、异地开发模式、生物产业模式、清洁能源模式、水电开发模式等。
第八部分提出了实施和完善上述开发模式的具体措施与配套政策。包括设立“生态特区”,完善生态补偿与生态转移制度,建立和完善资源与环境税制度,构建和完善流域环境保护的民间参与机制,实行最严格的环评制度,加大生态转移民主进程,加强国际环境合作等。
本研究的创新之处表现在以下三个方面：
(1)在选题上。本文以生态经济矛盾上极富典型性的怒江流域为例,探讨了发展权与可持续性兼顾的开发模式。对相关生态经济理论研究和实践发展有启发和借鉴意义。
(2)在研究视角上。本文从环境公平与可持续性视角分析了怒江流域的生态地位,从经济公平与发展权视角分析了怒江流域经济发展状况,从而深刻揭示了怒江流域面临经济发展与生态保护的双重困境；并从兼顾发展权与可持续性的角度系统地提出了怒江流域开发模式。
(3)在研究方法上。本文对怒江流域生态系统类型应用了GIS分析方法；对怒江开发与保护的分析采用博弈论的分析方法；对怒江流域经济发展与环境保护的冲突分析采用了spss分析方法；对怒江流域开发模式生态旅游采用SWOT分析方法；对该流域循环经济发展模式采用技术分析的方法等。
The eternal pursuit of human development, being a systematic project, must be coordinated with economic, social and natural laws. The right to survival and development are fundamental human rights, which also belong to people from the Nujiang Valley. According to the resource environmental bearing capacity, existing development density, development potential and other comprehensive factors, the National Spatial is divided into four functional regions, namely, regions for optimized development, regions for key development, regions for restricted development and prohibited development, as stated in "National economic and social development of the eleventh five-year plan outline"(2006-2010). The four functional regions, which follow the economic strategy and the regional differentiation environmental policy, are respectively arranged different dominant industry and development mode. Since the NuJiang State converted the measure cultivating land into forests in2000, and the government of Yunnan Province declared Three Parallel Rivers as the world's natural and cultural heritage in2003,58.3%of the Nujiang area had been rated as the natural protection zone. The environmental protection and sustainable development attracted much attention, while the economical development attracted much less. The pivotal and local industry has not been set up to support local economy. For example, in2008, the financial self-sufficiency rate just reached22.8%. Per capita net income for peasants in this region was less than one thousand and four hundred and eighty-eighty Yuan. More than50%of the peasants were not provided with adequate food and clothing. Inhabitants along the Nujiang Valley made a significant sacrifice and contribution to the environment protection. However, the poverty and backwardness need to be changed. And, the economy needs to be developed and the livelihood is in urgent need of improvement.
The Nujiang valley is rich in natural resources and human resources to support its economic development. The valley is rich in flora and fauna, being a gene pool of life species and a museum of natural landscapes. It enjoys abundant mineral resources and hydropower resources, making it an important national strategic energy base and non-ferrous metal base. The Nujiang is a bonanza of culture, the paradise for tourism and a good place to nature and humanity. But this area is also the ecological Highlands, since it is environmentally fragile. Its development is limited as large-scale economic development may bring stress and damage to this area due to its environmental fragility.
Based on the brewing since the late1980s,"the hydropower planning report about the middle and lower reaches of the Nujiang valley" was completed in July2003. In August2003, National Development and Reform Commission held the assessment on "the hydropower planning report about the middle and lower reaches of Nujiang Basin" and passed the middle and lower reaches hydropower development program. That attracted so much attention from not only scholars, media, civilian, but also central and local governments, NGOs in the downstream countries, who were involved in the argument about the dam. And then there are diffident views, supporting development and protection. Finally, the argument was set aside momentarily because of the instruction of "careful research, scientific decision" from the national leaders. The government officials of the Nujiang State submitted suggestions on the hydropower development to every representative of Yunnan Province in the National People's Congress and the Chinese People's Political Consultative Conference in2010. Through the Two Sessions, they expected the hydropower development program of the valley to be passed and incorporated in "The Twelfth Five-year Plan". The Nujiang valley is facing the dilemma of economic development and environmental protection, while the debate on the development and protection lasted so many years without a clear conclusion. When ecological protection is put as a priority, while economic development is restricted by environment, how to protect the rights (including local financial income, residential income and living standard) of developing the basin? How to set up the development mode with a balance between human development and sustainable development of economy and society? How to build a mode adapting to both economic development and ecological protection? What would be the operation system and approaches? All these questions require deep research.
The theme of this dissertation focuses on a balanced mode of economic development and substantial development of the Nujiang valley. This dissertation is divided into eight parts. The first is the introduction to the full text. It mainly points out the problem and introduces the concepts.
The second part is the research category and theoretical basis. It mainly expounds the research on basic concepts and theories, including the right to development, economic fairness, sustainability, and environmental fairness. ethical foundation, natural sustainable and economic sustainability. The theory includes the theory of sustainable development, the theory of development rights, the duality theory, and theories of ecological economy including circular economy, green economy, and low carbon economy.
The third part is about eminent ecological status of the Nujiang Valley through the perspective of the environmental fairness and sustainable development. Based on ecological status of the Nujiang Basin, the paper analyzes and values the importance of the Nujiang Valley for the local, national, downstream and international ecological factors. At the same time, it analyzes the ecological damage to the Nujiang Valley.
The fourth part is focused on the social and economic development through the analysis on the economic fairness and the right to development. The paper states the analysis on the Nujiang Valley's resources, level of economic development, poverty and backwardness factors, industrial structure and the growth pattern, economic poverty and social and political stability, respect to the economic development and fairness, and efforts for eliminating poverty.
The fifth part is about the empirical analysis of the conflict between Nujiang economic development and environmental protection. Besides, it puts game analysis to use when analyzing conflict between development and protection. Finally, it states the efforts for resolving the problem.
The sixth part states the domestic and overseas experiences about the development and environmental protection. The main content not only includes the experiences from the developed countries, such as the Mississippi Basin of the United States, Britain Rhine Valley, Australia Murray River valley; but also from the developing countries along the Amazon River. And the domestic advanced experiences include the Heihe River Basin and Taihu Valley, which are expected to be helpful to the future development and protection of the Nujiang.
The seventh part bases on the choices of development mode for the Nujiang, while giving consideration to the sustainability and the right of development. This part respectively states the organic agriculture development, ecological tourism development, circular economy mode, carbon trade, allopatry development mode, bio-industry and clean energy development. Based on all of the choices stated, this part then goes into the development mode and characteristic industries of Nujiang, whose mainstay industry is hydro-electricity.
Expounding the supporting policies and measures of the development mode for the Nujiang Basin based on the right of development and sustainable development is the main content of the eighth part. And then this part states the countermeasures to the development mode of the Nujiang Valley, combining the sustainable economic development with the sustainable environmental protection. Besides, this part also expounds Special Ecological Zones, Ecological compensation and transfer system; the tax system(such as resources tax, environment tax); the cultivation and support on folk environmental organizations; the most strict evaluation system; the ecological emigration; strengthening the International environment cooperation mechanism, etc.
This article went into tentative exploration in three aspects as follows:
1) the selection of the topic
It discusses the development mode balancing development rights and sustainable development, based on the example of the Nujiang Valley, which is very typical in the dilemma between ecology and economy. It can be an inspiration and reference for related theory research and practices in ecological economy and their practices.
2) the research angle
It unveils the dilemma of economic development and ecological protection in the Nujiang Valley, by analyzing this basin's ecological status through the environmental equity and sustainability, and on this basin's current economic situations through the economic fairness and the right to development. It also puts forward a systematic development mode through the balance between development rights and sustainable development.
3) the research methods
It analyzes the Nujiang Valley's ecosystem types with the application of a GIS. The analysis about the development and protection of the Nujiang Valley put game theory to use. Similarly, the analysis on the conflict between the basin's economic development and environmental protection put SPSS to use. At the same time, the analysis of the Nujiang Valley's development mode of eco-tourism is based on SWOT method, and recycling economy development mode on technical analysis methods.
引文
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