国家公园型保护地治理制度选择研究：基于社会-生态系统的制度分析

Global expansion of National Parks and their Equivalent Reserves (NPERs) have been presenting the challenges of how to arrange governance structures and institutions for them, hereby urging the development of theories on the institutional-choice for governing NPERs. Taking an NPER as a social-ecological system (SES), the proposal is designed to develop the conceptual framework and scenario models for exploring the institutional-choice for governing NPERs, based on the general framework for analyzing the sustainability of SES developed by Elinor Ostrom, and to generalize theories by refining research findings from case studies based on the conceptual framework and scenario models, therefore to promote the theoretical pursuits and knowledge accumulation on the institutional-choice for governing the NPERs by developing research tools of investigating the institutions of governing NPERs through empirical researches..Main tasks of this research include: 1) To develop the special conceptual SES framework for analyzing the institutions of governing NPERs guided by Ostrom's SES framework. Incorporating the logics of institutional analysis, this process involves literature researches on the NPER governance to sort out the concepts and variables in terms of NPERs' governance and management, to discriminate and define the interactions and the relations among the concepts and variables, and the outcomes from the interactions and relations, and then integrate all the elements into a framework according to Ostrom's SES framework. 2) To develop scenario models for analyzing the institutional arrangements for governing NPERs based on the forgoing conceptual framework. Four typical scenario models, which are models of exploring the vertical governance systems created by the central government, arrangements controlled by local government, co-management structures with community, and polycentric networks among stakeholders, will be posited, tested and refined by mythological triangulation of theoretical analysis and empirical research in line with the theories of institutional-choice of Organization Economics. Meanwhile, new knowledge on NPERs' governance regimes will also be extracted and generalized. 3) To apply the conceptual framework, the scenario models and the theories to diagnosing the development NPERs in China, and to propose adaptive management strategies for the institutional innovation in the process of China's National Park System development and related institution reforms.

中外国家公园及类似保护地（NPER）的建设与管理面临治理结构与制度安排问题，要求发展NPER治理制度选择理论。视NPER为社会-生态系统（SES），本课题以奥斯特罗姆（E. Ostrom）分析SES可持续性的通用分析框架为导引，探索并建立分析NPER治理制度选择问题的研究框架与模型，并基于案例研究，交叉制度分析，提炼NPER治理制度选择理论。课题意在基于一般分析框架和理论，发展分析NPER治理制度选择问题的经验研究工具，推动NPER治理制度选择的理论研究及其知识积累。.课题主要研究内容:1）以奥氏分析SES可持续性的通用框架为导引，结合制度分析逻辑梳理NPER治理文献，识别并定义所需概念和变量，以及概念和变量间互动关系、过程及结果，在展开通用框架时建立分析NPER治理制度的特型SES框架；2）运用前述框架，融合经济学的制度选择理论，交叉经验研究和案例检验，建立并精练研究四种典型NPER治理结构（中央垂直型、地方自治型、社区共管理型、多中心共治型）的情境分析模型；3）面向中国NPER开展诊断研究并提出适应性治理对策，为中国国家公园体系建设和自然保护地管理体制改革提供理论参考。

中外国家公园及类似保护地（NPER）的建设与管理面临治理结构与制度安排问题，要求发展NPER治理制度选择理论。课题意在以奥斯特罗姆的可持续社会生态系统（SES）分析框架为导引，基于案例比较分析和制度分析，发展分析NPER治理制度选择问题的经验研究工具，推动NPER治理制度选择的理论研究及其知识积累。受新冠疫情造成的影响，研究中的实地案例调研难以按计划开展，一手资料收集受限，项目转而调整为基于室内文献开展研究，在原计划的两方面研究任务上取得初步成果：其一，以奥氏通用SES分析框架为指引，梳理影响NPER可持续发展治理制度安排的要素及其因子，转译并初步建立了分析NPER治理制度选择的专用SES框架，为形成解释NPER治理制度安排的逻辑、设计原则的相关理论和模型提供了理论分析框架，也为导引经验研究提供了研究工具。其二，基于编码从案例研究文献文本中提取的信息获得的编码数据，运用QCA方法开展案例比较研究，初步探索了NPER治理制度选择的影响因素的组态路径，为开展理论分析框架导引下的案例研究和理论研究与经验研究交叉提供了研究取径和方法工具。基于二手数据获得的分析NPER治理制度的专门SES框架、NPER制度安排的影响因素的组态路径均有待进一步结合实地调研取得的资料进行调校与精炼。项目主持人申请延长研究期限，以便开展后续研究。