滇西北香格里拉县农牧区生计风险评估(1)

CenterforBiodiversityandIndigenousKnowledgeCommunityLivelihoodsProgramWorkingPaper15CenterforBiodiversityandIndigenousKnowledge(CBIK)Address:3F,Bldg.A,ZhonghuanDasha,Yanjiadi,Kunming,YunnanTel:[phone]Fax:[phone]Contact:QianJie(ExecutiveDirector)E-mail:[e-mail]滇西北香格里拉县农牧区生计风险评估薛辉Assessingtheroleofriskinagro-pastorallivelihoodsinShangrilaCounty,NorthwestYunnanProvinceHuiXue2005年5月2TheCenterforBiodiversityandIndigenousKnowledge(CBIK)wasestablishedinYunnanin1995asanon-governmentalnon-profitresearchassociation.CBIKfocusesontheconservationofbiodiversityandcommunitylivelihooddevelopment,andindigenousknowledgeandinnovationrelatedtocommunityandwatershedresourcemanagement.CBIKfunctionstopromoteknowledgeinnovation,buildcapacityandfacilitatedialogueandcommunicationbetweendifferentstakeholders.CBIK’sCommunityLivelihoodsProgramWorkingPaperseriesprovidesresearchresults,summarizesexperiencesfromprojectsandintroducesnewconceptsandmethods.ThepurposeoftheseriesistoenableCBIKmembersanditspartnerstoobtainconstructivecommentsontheirresearchreports,andtodisseminateunpublishedpreliminaryresearchresults.TheopinionsexpressedintheworkingpapersdoesnotrepresenttheopinionofCBIK.Beforequotingthecontentsofaworkingpaper,pleasecontactwiththeauthor(s).TheprintingcostsofthisworkingpaperweresupportedbytheIDRC-funded‘EnhancingAgro-pastoralistLivelihoodsinNWYunnan’Project3Assessingtheroleofriskinagro-pastorallivelihoodsinShangrilaCounty,NorthwestYunnanProvinceHuiXue(SchoolofResourceandEnvironmentManagement,SimonFraserUniversity,Canada)Abstract:Thispaperreportstheoutcomeof32focusgroupdiscussionsin16communitiesonthetopicsofrisksaffectingagro-pastorallivelihoodsinShangrilaCounty,northwestYunnan.Riskeventsthatwerecommontoallcommunitiesincluded:environmentalhazards(e.g.rainorfloods),animaldisease,croppest/disease,andeconomicrisks(e.g.changeingrainprices).Risksthatwerespecifictosomecommunitiesincludedgrasslanddegradation,forestdestruction,shrinkingNTFPresourcesanduncertaintysurroundinglocaldevelopmentrights.Therisksthatwereconsistentlyratesasmostsevereincludedmarketrisks,grasslanddegradation,inclementclimate,croppestsandforestdegradation.Thoserisksthatwerebothpervasiveandhighlyuncontrollablewereperceivedasthemostsevere.Whenahouseholdfacesanidiosyncraticrisk(e.g.illnessofafamilymember)mutualsupportnetworkswithinthecommunityarethemostimportantrecourse.Whenriskeventsaffectacommunity,mostexpostmitigationactionsaretakenatahigherlevelthanthehamletlevel.Exanteriskmitigationstrategiesincluded:increasingherdsize,incomediversification,moreparticipatory,transparentandinvolvedcommunaldecision-makingprocesses,safety-netbuildingwithinthecommunities(e.g.strengthenedkinshipnetworks),acquiringtrainingandeducation.Thepapermakessomepolicyrecommendations.滇西北香格里拉县农牧区生计风险评估薛辉（加拿大西蒙弗雷泽大学资源与环境管理学院）概要：本文报告了在滇西北香格里拉县的16个自然村进行的32次小组访谈关于农牧区生计中面临的风险的结果。各个调查点普遍面临的风险包括了：气候和环境风险（如下大雨、洪水）、牲口疾病、作物病虫害和经济风险（如粮食价格变化）。影响个别社区的风险包括了：牧场退化、森林破坏、非木材森林小产品的消失以及发展项目中权利得不到落实。最严重的风险包括了：市场风险、牧场退化、恶劣的气候、作物病虫害以及森林破坏。最严重的风险一般都为普遍且无法控制的风险。单个家庭面临的风险事件主要由社区内部的相互支持办法来应付。当风险影响了整个社区的时候，多半弥补行动由自然村以上的机构来执行。事前的应付办法包括了：增加畜群规模、收入来源多样化、社区决策机制的透明化和民主化、社区内部关系网的加强以及获取培训和教育。对此本文也提出了几个相关的政策建议。4Contents1Introduction21.1Risksandriskperception21.2Riskmanagement31.3Constraintsandassets31.4Consequencesofriskmanagementandsustainability42BackgroundofStudyArea53DataandMethods54ResultsandFindings64.1Communitytypes64.2Agro-pastoralproductionsystems74.3Traditionallifestyleandneedsofagro-pastoralcommunities94.4Riskidentificationandperception124.5Riskmanagementandconsequences154.6Commonpropertyresourcesmanagement164.6.1Formsofenvironmentalstress164.6.2Causesofhuman-inducedenvironmentalstressesandsuggestions164.6.3Communaldefactorules185SynthesisandPolicyImplications195Assessingtheroleofriskinagro-pastorallivelihoodsinShangrilaCounty,NorthwestYunnanProvinceHuiXue1(SchoolofResourceandEnvironmentManagement,SimonFraserUniversity)1INTRODUCTIONThispaperexploresthedynamicinterconnectionbetweenrisks,vulnerability,andsustainabilityofagro-pastoralsystemsofnorthwestYunnanProvince,China.Partofawiderstudyinvolvingextensivehouseholdsurveysduringthesummerof2004,thispaperismainlybasedondatacollectedfromfocusgroupsconductedin16hamletsinShangrilaCounty.Specifically,thepaperexploresriskperception,riskmanagementandlivelihooddevelopmentatthecommunitylevel.Theanalysisisputwithinacontextofchangeintimeandanambientpolicyenvironment.Thestudyaimstoimproveunderstandingofhowagro-pastoralcommunitiesmanagetheirlivelihoodsunderthepresenceofcommonrisks,tounderstandtheroleofCommonPropertyResourcemanagement(includingriskmanagement),andtodrawpolicyrecommendationsforpovertyalleviation,disastermanagementandruralsustainabledevelopmentinnorthwestYunnan.1.1RisksandriskperceptionConventionally,riskisdefinedasatangibleentity,suchastheoccurrenceofuncertaineventsorprocesseswhichjeopardizepeople’swell-beingandthatcanbeexpectedtohappenatanytime(Bass,2001).Thefactorsthatcharacterizethewaymanypeopleperceiveriskinclude:a)potentiallosses,b)thesignificanceoft