Livelihood diversification of farmers and nomads of eastern transect in Tibetan Plateau

Livelihoods of farmers and nomads in Tibetan Plateau are severely affected by grassland and herbal resources degeneration. How to help them achieve livelihood diversification is a key sustainable development issue. This paper examines livelihood assets, livelihood diversification level and livelihood strategies of farmers and nomads in 3 regions of eastern transect in Tibetan Plateau. The results show that livelihood diversification is a popular strategy. From high mountain gorge region to mountain plateau region and plateau region, livelihood diversification level is reduced, and livelihood activities and proportion of extended livelihood also decrease. Livelihood assets and livelihood diversification level decrease with the increase of elevation, mainly shown in human assets and natural assets. Livelihood diversification level is highly correlative with livelihood assets, mainly shown in natural assets, human assets and social assets. Livelihood improvement strategies of farmers and nomads are still based on existing livelihood assets, mainly raising livestock and digging herbs, and less farmers and nomads consider off-farm employment or doing business. Nomads in plateau region should learn much from experiences of extended livelihoods of people in high mountain gorge region and mountain plateau region. Therefore, aids of governments should focus on relieving restricted factors of livelihood diversification and help them improve their abilities to build up extended type livelihoods.     

青藏高原东部样带农牧民生计的多样化(英文)

Livelihoods of farmers and nomads in Tibetan Plateau are severely affected by grassland and herbal resources degeneration.How to help them achieve livelihood diversification is a key sustainable development issue.This paper examines livelihood assets,livelihood diversification level and livelihood strategies of farmers and nomads in 3 regions of eastern transect in Tibetan Plateau.The results show that livelihood diversification is a popular strategy.From high mountain gorge region to mountain plateau region and plateau region,livelihood diversification level is reduced,and livelihood activities and proportion of extended livelihood also decrease.Livelihood assets and livelihood diversification level decrease with the increase of elevation,mainly shown in human assets and natural assets.Livelihood diversification level is highly correlative with livelihood assets,mainly shown in natural assets,human assets and social assets.Livelihood improvement strategies of farmers and nomads are still based on existing livelihood assets,mainly raising livestock and digging herbs,and less farmers and nomads consider off-farm employment or doing business.Nomads in plateau region should learn much from experiences of extended livelihoods of people in high mountain gorge region and mountain plateau region.Therefore,aids of governments should focus on relieving restricted factors of livelihood diversification and help them improve their abilities to build up extended type livelihoods.     

青藏高原东部样带农牧民生计的多样化

随着草地退化和药材资源减少,青藏高原东部农牧民的生计受到了严重影响.农牧民如何利用生计资产实现生计多样化是该区域可持续发展面临的关键问题.实地调查采用PRA法,结合调查结果调整了生计资产评估指标,从样带尺度定量分析了高原东部高山峡谷区、山原区和高原区农牧民的生计资产现状、生计多样化特点和今后的生计策略.结果表明:①生计多样化是农牧民普遍采用的生计策略.高山峡谷区农牧民生计多样化水平较高,从事二三产业较多,普遍寻求发展型生计.而随着海拔升高,农牧民的生计多样化水平降低,从事的生计活动类型减少,发展型生计的比例也降低;②海拔较低的高山峡谷区和山原区,生计资产总值高,而海拔越高的高原区,生计资产总值较低,主要反映在人力资产和自然资产上;③居民所拥有的生计资产与生计多样化水平高度正相关;④农牧民近期仍基于生计资产改善生计策略;⑤高山峡谷区和山原区农牧民寻求发展型生计为高原区牧民提供了很好的借鉴.建议政府围绕生计多样化的制约因素进行投入,以提高牧民的能力,协助高原区牧民建立发展型生计.     

青藏高原东部样带农牧民生计脆弱性评估

脆弱性评估为脆弱性地区农户摆脱贫困、区域可持续发展提供科学依据。以青藏高原东部样带为例,基于可持续生计框架,建立了农牧民生计脆弱性评估的指标体系,利用11个乡镇的879户农牧民样本数据,开展了不同地带生计脆弱性评估。该指标体系反映了农牧民面临的主要风险,其生计资产,以及农牧民和政府应对风险的措施。结果表明:高原区农牧民生计脆弱性程度高于山原区和高山峡谷区。高原区的满掌乡最为脆弱,即便有政府的帮助,农牧民也不能应对风险。脆弱性程度高的山原区上部和高原区,处于不能适应的边缘,如不采取措施,当地牧民将不能应对气候变化、草地退化、药材退化等多种风险。导致该区牧民生计脆弱的原因既有各种风险的冲击,也因牧民自身生计资产和适应能力的不足。高山峡谷区和山原区下部的乡镇,农牧民能有效地应对风险,需进一步拓宽第二、第三产业就业渠道。因此,高原区和山原区上部的纯牧区是脆弱区域,政府应采取积极的措施,增强农牧民的适应能力。政府的救助措施应从改善自然资产转变到改善人力资产和金融资产,如技能培训、实行医保和畜病防治全覆盖、提供低息和无息贷款、在黑土滩区全面实行退牧还草、对退化草场进行治理和恢复。     

青藏高原东部山地农牧区生计与耕地利用模式

利用分层随机抽样、参与式农村评估及其工具、地块调查、数理统计等方法,对63个农户、272个地块进行了系统的调查与取样,研究了青藏高原东部山地农牧区金川县克尔马村的生计多样化与耕地利用模式。结果表明:①不同类型农户的生计策略选择、组合及收入不同,生计多样化,引入并扩大非农活动是当地生计策略的发展趋势,但不利的自然环境和社会经济条件以及农户自身素质共同影响了生计和土地利用的可持续性;②各种生计策略对土地利用的影响不同,主要影响土地利用类型和土地利用集约化水平;③以非农活动为主的生计多样化可能是该区构建可持续生计的核心,同时也是实现土地可持续利用的根本途径。     

农户生计资本与生计策略关系的实证分析——以河西走廊沙化土地封禁保护区外围为例

从农户可持续生计框架出发,以河西走廊六县为调研对象,建立了农户生计指标体系并对其进行评估,从而揭示了当地农户生计资本与生计策略之间的影响关系。结果表明:(1)无论是项目组还是对照组,农户的5种生计资本整体比较稀缺,其中自然资本和金融资本极度匮乏,而人力资本、社会资本和物质资本相对较丰富,因此农户生计资本单一且配置极不合理,从而导致农户脆弱性程度高。(2)自然资本、人力资本和物质资本对农户生计策略的影响比较显著,其中自然资本和物质资本丰富的农户往往倾向于选择农业生产,而人力资本丰富的农户往往倾向于选择非农产业。(3)经定量评估对照组农户的农业兼业化程度要比项目组农户高。基于此,政府可以采取诸多措施来改善农户的生计现状,从而提升农户的生计水平,进一步转变当地农业的发展模式,缓解生态压力。     

青藏高原东部山地农牧区生计与耕地利用模式

This study examined livelihood diversification and cropland use pattern in Keerma village, located in Jinchuan County, eastern Tibetan Plateau. Through stratified random sampling survey, participatory rural appraisal, investigation of households＇ plots and statistical methods, 63 households and 272 cropland plots were systemically investigated and sampled. The results show： （1） Different types of household have variety livelihood strategies, portfolio and income. Livelihood diversification and introducing and expanding off-farm activities can be the future trend, whereas, adverse natural environment, socio-economic conditions and peasants＇ capabilities together affect sustainable livelihood and land use. （2） Each livelihood strategy has its own impact on land use, mainly affecting land use type and land use intensi- fication level. （3） Diversification into off-farm activities could be the key of building sustainable livelihood and the essential approach of realizing sustainable land use in the region.     

农户后顾生计来源及其居民点整合研究 ——基于重庆市西部郊区白林村471户农户调查

农户生计资产决定着农户生计方式选择与生计策略行为,作为当前农户主要消费性投资行为的农村居民点建设消费受制于农户所拥有的生计资产量,基于此引导农户的居民点建设消费行为、开展农村居民点整合已成为当前提高农村土地利用效率、改善农户生产生活条件的关键。研究选取重庆市沙坪坝区白林村为样点,采用“PRA (Participatory Rural Appraisal) +3S”相结合的方法,以地理坐标为标识码,建立农户属性数据与地块的空间数据相链接的“农户-土地”数据库。运用该数据库,构建农户生计资产量化指标体系,量化农户生计资产进行农户分化,剖析不同农户的后顾生计来源及其住居意愿,开展农村居民点整合。结果表明,农户生计资产的配置结构差异明显,8%的农户各项资产产值高于平均水平,23%的农户各项资产产值处于中等水平;以农户拥有的自然资产产值为主辅以其他各项资产产值,将农户划分为农业多样化发展型(16%)、农业专业化发展型(8%)、兼业化发展型(23%)、非农多样化发展型(31%) 和非农专业化发展型(22%) 5 类;根据不同生计来源农户的住居意愿并结合国家与地方发展战略,构建了社区型(非农多样化发展型与非农专业化发展型)、组团型(农业专业化发展型)、块状型(农业多样化发展型) 和带状型(兼业化发展型) 4 种农村居民点整合方式。     

大渡河上游不同地带居民对环境退化的响应

Environmental degeneration in the Tibetan Plateau attracts worldwide attention, whereas case studies on how the residents understand and respond to environmental degeneration are scarce. Using a Participatory Rural Appraisal method, this paper investigates how the people in different regions in the upper Dadu River understand and respond to environmental degeneration, based on comparative field surveys in three villages, in which Danzamu village is chosen from villages in the valley region, Kerma village from mountainside region, Rico village from the mountain and plateau region. The results show that: (1) although awakened to environmental degeneration, the residents in different regions have different responses. As agricultural labors have been transferred to the secondary and tertiary industries, population pressure in Danzamu and Kerma villages is mitigated. Residents in Danzamu village actively respond to natural disasters and forest degradation, as their livelihoods never rely on forests and rangelands again. Whereas the residents in Kema village negatively respond to natural disasters, forest and meadow degradation and the ruin of wildlife resources, as their livelihoods still rely on stockbreeding. Labors in Rico village are hard to transfer to the secondary and tertiary industries, so they have to raise more livestock to make a living. Active measures are just taken to avoid livestock loss, not to avoid forest and meadow degradation and the ruin of wildlife resources. So the most fragile region is the mountain and plateau region and mountainside region, not the valley region. (2) Livelihood strategy is the key factor affecting the residents to respond to population pressure and environmental degeneration. So the framework of sustainable livelihood strategy should be used to explain and intervene in issues of population pressure and environmental degradation in ecotones. (3) Transferring agricultural labors to the secondary and tertiary industries were favorable to improving people’s livelihood. It is necessary to reduce the education fees to speed up the pace of labors transferring in the mountainside region. In the mountain and plateau region, preferable ways also include the development of towns, highways, education equipment and other establishments. Foundation: National Natural Science Foundation of China, No.40471009; No.30270256; National Basic Research Program of China, No.2002CB412500; No.2005CB422006; Knowledge Innovation Project of CAS, No.KZCX3-SW-339 Author: Yan Jianzhong, Ph.D., specialized in LUCC, global change and regional responses.     

应对青藏高原东部的草地退化:政府和当地牧民有何差异(英文)

In the last decade, there has been increasing interest in climate change, pasture degradation and its driving forces, and innovations in nomadic pastoralism on the Tibetan Plateau. However, little is known of indigenous strategies of adaptation to pasture degradation, which limits the effectiveness of adaptation strategies planned by local government. This paper analyzes nomads’ strategies of adaptation to pasture degradation on the basis of a field survey of three townships of Dalag County in the source regions of the Yangtze and Yellow rivers. Pastures there have evidently degraded, with pastures in Wasai mainly in a state of slight or medium degradation and those in Manzhang and Jianshe in a state of medium or severe degradation. With the degradation of pasture, the grazing time is reduced, which affects the livelihoods of nomads. Although the Four-Package Project has commenced in this region, there is still severe fodder shortage in winter and spring. The traditional hay storage strategy does not work because of pasture degradation, and few nomads establish fenced and artificial pastures. Therefore, nomads have employed other strategies, such as renting pasture, providing supplementary feed, and diversifying their livelihoods. Local strategies taken by nomads can provide valuable insights into ecological restoration and livelihood improvement in the region and suggest changes to means promoted by local government. It is necessary to seek new means that combine the best aspects of nomadic pastoralism with modern stockbreeding technologies to help nomads adapt to pasture degeneration and improve their livelihoods.     

黄土高原农户可持续生计评估及未来生计策略——基于陕西延安市和宁夏固原市1076 户农户调查

农户可持续生计问题是黄土高原自实施生态退耕政策以来备受关注的关键科学问题之一。通过构建可持续生计效益评价模型, 对农户可持续生计效益进行了分级评价, 并分析了不同类型农户的可持续生计效益差异。结果表明:① 具有较高可持续生计效益指数的农户生计收入构成趋向于多元化, 不同生计策略收入所占比重也趋向平均化, 而生计效益指数较低的农户主要依赖于外出打工、卖粮菜等个别生计策略;② 各类型农户的人均生计效益指数和人均年收入排序呈现出:发展果园型>做小生意型>外出打工型>大棚种植型>舍饲养殖型。基于可持续生计效益评价并结合主体功能区战略, 提出4 种黄土高原未来生计策略:① 推进人口城镇化, 有序引导生态脆弱地区人口外迁;② 促进农地流转, 扩大农业生产规模;③ 拓展生计策略, 增强收入来源多样性;④ 加强技术培训, 提高农户非农生计可持续性。     

COVID-19风险冲击对疫区农户生计资本的影响及其抵御效应——以湖北、安徽、重庆为例

新冠肺炎(COVID-19)疫情给农户生计发展带来了重大风险,而生计资本是抵御疫情冲击、阻断返贫危机的关键。论文以重点疫区湖北省及周边地区为研究区域,基于可持续生计分析框架,从生计资本“结构—存量”多维视角出发,采用内生转换回归模型分析疫区465户农户生计资本对疫情风险的抵御作用。研究发现：① 重点疫区农户生计资本总量不高,疫情可能诱发生计脆弱性但不是唯一要素,基层公共卫生建设也极为重要;② 生计资本对疫情风险有显著抵御效应,人力资本维度作用更为凸显,物质资本占比过高反而会削弱疫情应对能力;③ 农户生计资本结构与存量分布不均,家庭劳动力、健康投入、财富积累、居住环境、社会阅历等是核心要素;④ 疫后生计恢复主要依赖于人力与金融资本的积累,而帮扶关键在于应急和兜底保障,要根据区域农户生计特征拟定差异化的疫情常态防控举措。     

贫困山区脱贫农户的生计可持续性及生计干预——以陇南山区为例

增强贫困山区脱贫农户的生计可持续性不仅是新时期农村扶贫的现实需求,更是推动乡村振兴的客观要求。论文从生计资本、生计策略及生计环境出发,建立了脱贫农户的生计可持续性评价指标体系,利用陇南山区脱贫农户的入户调查资料,评估贫困山区脱贫农户的生计可持续性、识别脱贫农户的生计障碍。研究发现:① 从川坝河谷区、半山区到高山区,从早期脱贫到后期脱贫,脱贫农户的生计可持续性依次降低,且务工型与农工互补型脱贫农户的生计可持续性强于其他生计方式农户;② 陇南山区生计不可持续脱贫农户比重达28.83%,高山区、传统务农型及后期脱贫户中生计不可持续农户比重较高,而川坝河谷区、农工互补型与务工型及早期脱贫户中该比重较低;③ 生计不可持续脱贫户均面临着多元生计障碍,其中近2/3的农户面临多维资本—环境阻滞型与多重要素阻滞型障碍;④ 针对生计不可持续脱贫农户面临的多元生计障碍,需分类实施多维生计干预。     

大渡河上游不同地带居民对环境退化的响应

青藏高原的环境退化引起了极大的关注,但农牧民如何认识和响应环境退化,还缺乏实证研究.采用参与性农村评估法,对大渡河上游不同地带典型村（位于河谷区的丹扎木村、中山区的克尔马村和山原区的日科村）的农牧民进行调查和对比分析.研究表明：①大渡河上游不同地带的居民对环境退化具有不同的响应过程.河谷区通过劳动力向二、三产业转移,缓解了人口压力,采取积极的措施来应对自然灾害和森林退化;中山区以劳动力向二、三产业转移和发展畜牧业来缓解人口压力,没有采取积极的措施应对环境退化：山原区的劳动力不能转移到二、三产业,只能通过增加牲畜数量来解决生计,牧民仅采取一些积极的措施来应对草料不足的问题和雪灾等自然灾害.在大渡河上游,最脆弱的区域是中山区和山原区,而不是人口压力大的河谷区.②生计方式是影响居民响应人口压力和环境退化的关键因素.基于居民的生计方式来解释和解决生态脆弱区的人口压力和环境退化问题,将是一个新的方向.③劳动力向二、三产业转移有利于居民改善生计.降低教育收费和进行基础设施建设,将加快劳动力向二、三产业转移.     

生态补偿方式对农户可持续生计影响分析

对长汀县2000年以来的生态补偿措施进行分类,总结出各生态补偿方式的具体形式和补偿客体;并基于可持续生计分析框架,系统阐述了各生态补偿方式对农户生计资本、生计策略和生计结果的影响．结果表明,现金补偿部分缓解了因封山育林等措施对农户生计造成的不利影响;实物补偿增强了主要参与农户的物质资本,并确定了以农业为主的生计策略和相对稳定的纯收入;政策补偿主要使主要参与农户获得具有稳定产权的山地资源;技术补偿和产业补偿的作用相对较弱．最后,为增强今后各类农户可持续生计,提出技术补偿、政策补偿和产业补偿方式方面的具体对策．     

Comprehensive Evaluation of Farm Household Livelihood Assets in a Western Mountainous Area of China: A Case Study in Zunyi City

As the foundation of farm household structure, livelihood asset status is the basis for farmers to gain opportunities, adopt livelihood strategies, resist livelihood risk, and engage in positive livelihood achievements. Quantifying farm household assets identifies future development trends that are fundamentally necessary to predict farm household vulnerability and strategy, as well as understanding farmers’ current living situations. Using Zunyi City in China’s western mountainous area as a case study, we conducted stratified sampling and participatory rural investigation appraisal to collect data on the attributes of farm households’ livelihood assets and livelihood strategies to establish an index evaluation system and enable evaluation and analysis of farm households with different livelihood strategies. Our research indicates that due to structural differences, total livelihood assets of farm households with different livelihood strategies are similar. Rural households have an abundance of natural and material assets and deficiencies in human, financial and social assets. Non-rural households and part- time households are abundant in human, financial and social assets and deficient in natural and material assets.     

Research Progress on Farmers’ Livelihood Transformation and Its Ecological Effects—A Review

Farmers’ livelihoods and their impacts on the ecosystem are important indicators of human-land relationships. Appropriate livelihood strategies for farmers can meet the needs of human well-being and promote the sustainable use of natural resources, thereby maintaining the health and stability of natural ecosystems. Scholars have carried out a great deal of research on the changes in farmers’ livelihoods, as well as the driving mechanisms and ecological effects, but there are still many controversial issues about the ecological effects of farmers’ livelihood transformation. On the basis of collecting and sorting out the relevant literature, this paper analyzes the previous research results on the transformation mechanism and ecological effects of farmers’ livelihoods, and further explores the coupling relationship. Through the analysis and summary, we find that the choice of farmers’ livelihoods is affected by natural factors, subjective willingness and social policies. The transformation of farmers’ livelihood changes the ways of production, consumption and resource utilization, which in turn profoundly affects the evolutionary process of the natural ecosystems. This paper establishes a research framework for the livelihood transformation mechanism of farmers and its ecological effect, and finally summarizes two directions that need to be studied further in the future: (1) Exploring the interactions between the driving factors of farmers’ livelihood transformation; and (2) Exploring a win-win sustainable mechanism for farmers’ livelihood needs and natural resource utilization.     

The Dominant Livelihood Types of Farm Households and Their Determinants in Key Ecological Function Areas

The dominant livelihood types of farm households have become increasingly differentiated in recent years, which has attracted the attention of researchers. Identifying the characteristics and driving factors of household livelihood differentiation is of great significance for revealing man-land relationship and policy making. Based on the interview data of farm households in typical villages in key ecological function areas of Ningxia Hui Autonomous Region in China, we analyzed the pattern of the dominant diversified livelihood types and the livelihood characteristics among different farm households. Then we assessed the driving forces of livelihood diversification by optimal scaling regression. The results indicated that: (1) In the study area, the dominant livelihood types show two trends of agriculturally dominant livelihood (accounting for 53.07%) and non-agriculturally dominant livelihood (accounting for 46.93%). Moreover, farm households in the agro-pastoral areas are mainly agriculturally dominated (accounting for 75.68%), while farm households in the mountainous areas are mainly non-agriculturally dominated (accounting for 66.93%). (2) The labor allocation and income source of different types of farm households are consistent with their dominant livelihood types. The farm households with agriculturally dominant livelihoods have more natural resources than those with non-agriculturally dominant livelihoods. In terms of housing conditions, farm households with agriculturally dominant livelihoods are inferior to those with non-agriculturally dominant livelihoods. (3) The farm labor, dependency ratio, agricultural income, supplemental income and locational conditions have negative impacts on the non-agricultural trend of farm household livelihood decisions, while off-farm labor, non-farm income, education level and the per capita amount of compensation have significant positive impacts on it.     

“阿者科计划”对农户生计的影响分析——基于DFID可持续生计框架

农户生计状况是实现乡村振兴和乡村可持续发展过程中需要关注的重点。文章以阿者科村为案例地,通过笔者亲身驻村经历和入户调查获取数据,基于DFID可持续生计框架构建了农户生计资本评价指标体系,详细分析了“阿者科计划”这种结构与制度因素的转变对当地农户生计的影响,并探讨了其中的影响机制。研究发现：1）乡村旅游发展使农户参与其中,成为村集体公司员工或自主开展旅游经营,旅游与传统的生计方式共同构成了了农户多样化的生计组合;2）农户生计策略出现转型和分化,形成了旅游主导型、旅游务工型、参与旅游型、务工主导型和半工半农型5种类型农户;3）不同类型农户的生计水平和各生计资本组合形式存在差异,其中生计资本总量由高到低依次为旅游主导型、旅游务工型、参与旅游型、务工主导型、半工半农型;4）“阿者科计划”形成了在政府和高校支持下,农户内生动力充分发展的长效机制,旅游成为农户传统生计的重要补充,提升了其生计资本。     

秦巴山特困区农户生计资本及生计策略研究——以商洛市为例

基于秦巴山商洛地区农户问卷调查数据，在可持续生计框架下，聚焦不同群体之间生计资本状况，并探讨其农户生计资本对生计策略选择的影响以及生计资本的耦合性。结果表明：（1） 山区农户生计策略出现明显分化，依据非农收入比重分为纯务工型、务工主导型、兼业型和纯农型4种类型。（2） 调研样本中农户生计资本有限和不均衡，呈现金融资本和社会资本相对较高，自然资本、人力资本偏低的特征。非贫困户中兼业型生计资本总值最高，务工主导型、纯务工型次之，纯农型最低；贫困户中务工主导型生计资本总值最高，纯务工型、兼业型次之，纯农型最低。（3） 非贫困户中人均耕地面积、人均林地面积、耕地质量、职业技能水平、政治资源、就业网络对纯务工型农户向务工主导型、兼业型转变有着积极影响，家庭人均收入、男性劳动力比例则具有负向影响；家庭人均收入和职业技能水平对于纯务工型向纯农型转变有负向影响。贫困户中人均耕地面积、人均林地面积、政治资源对纯务工型农户向务工主导型、兼业型和纯农型转变具有正向影响，家庭人均收入、劳动力教育水平、职业技能水平、联系成本则具有负向影响。（4） 非贫困农户生计资本耦合度依次为兼业型＞务工主导型＞纯务工型＞纯农型；贫困农户则为兼业型＞纯务工型＞务工主导型＞纯农型。因此，开展农户可持续性生计研究，对于农户减贫、促进乡村地区发展具有重要意义。