A review of resources and environment carrying capacity research since the 20th Century:from theory to practice
FENGZhiming1,2,, YANGYanzhao1,2, YANHuimin1,2, PANTao1,2,3, LIPeng1 1. Institute of Geographic Sciences and Natural Resources Research,Chinese Academy of Sciences,Beijing 100101,China2. College of Resources and Environment,University of Chinese Academy of Sciences,Beijing 100049,China3. Key Laboratory of Land Surface Pattern and Simulation,Institute of Geographic Sciences and Natural Resources Research,Chinese Academy of Sciences,Beijing 100101,China 收稿日期:2016-11-10 修回日期:2017-02-20 网络出版日期:2017-03-20 版权声明:2017《资源科学》编辑部《资源科学》编辑部 基金资助:国家重点研发计划(2016YFC0503500)西藏重大科技专项(Z2016C01G01) 作者简介: -->作者简介:封志明,男,河北平山人,博士,研究员,主要从事资源开发与区域发展研究,旁及资源科学的理论与方法探讨。E-mail:fengzm@igsnrr.ac.cn
关键词:资源环境承载力;资源承载力;环境承载力;环境容量;承载力 Abstract Carrying Capacity(CC)was first coined in biology and ecology in the 1920s,and later developed rapidly in related sciences such as natural resources science and environment science. The concept of Resources and Environment Carrying Capacity(RECC),from theoretical investigation to practical implementation,has become an effective and operational tool to describe development restrictions and quantify regional sustainable development. RECC research has become a hot topic methodologically and theoretically in ecology,geography and natural resource and environment. It primarily focuses on the ultimate limit of population and economic development on earth. After briefly looking at the origin of the concept and early headway,we summarize RECC research from land resource carrying capacity,water resource carrying capacity,and environmental carrying capacity(environment capacity). The following evaluating methods,including ecological footprint and virtual land (or the biological productive land by ecological footprint),water footprint and virtual water (or the global flow of virtual water),emergy analysis and virtual energy(or energy equilibrium),are considered as important research progresses in the past century. However,there is still lack of a standard set of evaluation theories and methodologies for RECC research in China and globally,leading to much debate over the objectivity and comparability of resultant figures. Concerning this issue,we propose that RECC research in the future should pay more attention to enhancing exploratory studies in basic theories and carrying mechanisms,thresholds determination and synthetical calculation,technological standards/manuals setting,measurable assessment and systematical integration. More effort is needed to promote the standardization,digitalization and systematization of RECC research in China before according with national practical and operational demands.
Keywords:resources and environment carrying capacity (RECC);resources carrying capacity;environment carrying capacity;carrying capacity -->0 PDF (837KB)元数据多维度评价相关文章收藏文章 本文引用格式导出EndNoteRisBibtex收藏本文--> 封志明, 杨艳昭, 闫慧敏, 潘韬, 李鹏. 百年来的资源环境承载力研究:从理论到实践[J]. , 2017, 39(3): 379-395 https://doi.org/10.18402/resci.2017.03.01 FENGZhiming, YANGYanzhao, YANHuimin, PANTao, LIPeng. A review of resources and environment carrying capacity research since the 20th Century:from theory to practice[J]. 资源科学, 2017, 39(3): 379-395 https://doi.org/10.18402/resci.2017.03.01
承载力概念的起源可以追溯到马尔萨斯时代。1798年马尔萨斯发表了著名的《人口原理》,不仅为承载力概念赋予现代内涵,而且对后世达尔文的生物学和生态学发展乃至对20世纪的人口学和经济学研究都产生了深远影响[21]。1838年,Verhulst根据马尔萨斯的基本理论提出著名的逻辑斯蒂方程,成为承载力概念最早的数学表达式[22]。1921年,帕克和伯吉斯将承载力概念扩展到人类生态学中,认为承载力是在某一特定环境条件下(主要指生存空间、营养物质、阳光等生态因子的组合),某种生物个体存在数量的最高极限[23]。由此可知,关注极限容纳量是早期承载力概念的主要特点,但承载机制问题尚未得到重视,且研究对象的范畴也极其有限。1922年,Hawden等从草地生态学角度提出了新的承载力概念:承载力是草场上可以支持的不会损害草场的牲畜数量[24]。该定义明确了动物种群和环境状态间的相互作用,将关注焦点从最大种群平衡转移到环境质量平衡,由绝对数量转向了相对平衡数量,并突出了承载体在承载力定义中的作用。十几年后,Leopold也给出了相似的定义,即认为承载力是区域生态系统能够支撑的最大种群密度变化的范围[25]。 资源环境与种群(人口)数量之间关系的理论探讨与预测是这一阶段承载力研究的基本特点,其主要思想是将资源环境对种群(人口)的限制性用环境容纳能力表现,在理清承载力概念基本内涵的同时,还提出了相应的数学表达式。这不仅使人类意识到资源环境对发展的限制作用,还为后世承载力研究的拓展乃至20世纪后期可持续发展理论的产生起到重要启示和奠基作用[17](图1)。 显示原图|下载原图ZIP|生成PPT 图1百年来国内外资源环境承载力研究的重要事件 -->Figure 1Milestones of study on carrying capacity of resources and environment at home and abroad in the past two hundred years -->
2.2 承载力概念的拓展与完善——基于资源环境科学的认识
20世纪60-70年代,随着资源耗竭和环境恶化等全球性问题的爆发,人们逐渐意识到生态系统与人类之间的相互矛盾与依存关系。承载力研究范围迅速扩展到了整个生态系统。相比环境容量,承载力研究更多考虑环境变化和人类活动对生态环境的影响[26]。研究目的由种群平衡延伸到社会决策,承载本质由绝对上限走向相对平衡,研究对象日趋复杂,概念核心由现象描述转向机制分析,承载理念由静态平衡转到动态变化,进而深化到系统可持续发展[27]。1972年,Meadows等所著《增长的极限》[28]便是其中的杰出代表,不仅阐明了环境的重要性以及资源与人口之间的基本联系,还为可持续发展思想奠定了科学基础。20世纪70-80年代, FAO和联合国教科文组织(UNESCO)先后组织了承载力研究,提出一系列承载力定义和量化方法[29,30];1995年,Arrow等发表“经济增长、承载力和环境”一文[31],引发了人们对环境承载力相关问题的高度关注。当前,承载力研究在人口[32,33]、区域[34,35]、城市[36-38]、自然资源[39-41]、生态系统管理[42-44]以及环境规划和管理[45-47]等领域都得到了广泛的应用,同时也催生了诸如生物物理承载力(Biophysical carrying capacity)、文化承载力(Cultural carrying capacity)和社会承载力(Social carrying capacity)等一系列外延概念和量化模型[48,49] (表1)。 Table 1 表1 表1承载力概念的演化与发展 Table 1Development of the concept of carrying capacity
20世纪70年代,随着世界范围内工业化和城市化进程的加速,传统的单要素资源环境承载力研究已难以解决社会发展所遇到的新问题,于是资源环境综合承载力研究逐渐成为承载力理论研究深化的重要方向。国外相关研究最早可追溯至1948年威廉·福格特所著《生存之路》,书中首次将人类对资源环境的过度开发导致的生态变化称为“生态失衡”,并明确提出区域承载力概念以反映区域资源环境所能承载人口与经济发展的容量[54]。1972年,罗马俱乐部发表的《增长的极限》利用系统动力学模型对世界范围内的资源环境与人口增长进行定量评价,构建了著名的“世界模型”,深入分析了人口增长、工业化发展与不可再生资源枯竭、生态环境恶化和粮食生产的关系,认为全球的增长将会因粮食短缺和环境破坏在某个时段达到极限[28],由此提出了经济“零增长”的发展模式。报告一经发表便引起了世界范围的对资源环境承载力的强烈关注。 中国涉足以资源环境诸要素综合体为对象的区域承载力研究始于20世纪90年代,****们尝试从自然资源支持力、环境生产支持力和社会经济技术水平等角度,通过构建综合评价模型对区域资源环境承载力状况进行评估[1,9,116,117]。此外,日益严重的生态破坏问题亦引起学界的重视,出于保持生态系统完整性考虑,反映区域资源环境综合承载力的生态承载力概念逐渐兴起,其中以高吉喜等人提出的概念最具代表性:“生态承载力是指生态系统的自我维持、自我调节能力,资源与环境子系统的共容能力及其可维持的社会经济活动强度和具有一定生活水平的人口数量”[118]。该概念不仅强调了特定生态系统所提供的资源和环境对人类社会系统的支持能力,涵盖了资源与生态环境的共容、持续承载和时空变化,而且考虑了人类价值的选择、社会目标和反馈影响[2,5]。此后,许多****从系统的整体性、稳定性和可持续性出发,以区域“自然—经济—社会”复合生态系统的协调发展为目标,对生态承载力的概念、本质及指标体系进行了系统研究[119-122],研究区域方面则以生态脆弱地区、城市地区以及流域等典型生态系统的承载力为主[123-125]。 综上所述,如果根据承载主体的涵盖范围来划分,可将承载力分为两类:第一类是以某一具体的自然要素作为研究对象,又称为单要素承载力研究,如土地资源、水资源、矿产资源承载力等;另一类是从区域整体的角度出发进行的综合承载力研究,诸如区域承载力、生态承载力等。单要素承载力是综合承载力研究的前提,综合承载力研究是对单要素承载力在区域尺度上的系统集成,因而必须是在作为其组成要素的主要资源环境承载力问题已经基本解决的基础上才能进行(图2)。鉴于目前单要素资源环境承载力研究的基本问题尚未完全解决,综合承载力的研究只能停留在概念泛化层面,很难进行精细量化的深入研究。 显示原图|下载原图ZIP|生成PPT 图2单要素资源环境承载力与资源环境综合承载力的关系 -->Figure 2Technical flowchart between signal factors of RECC and comprehensive RECC -->
进入20世纪,水资源安全问题已成为国际社会关注的重点问题之一,世界各国都在努力探索应对水资源危机的新途径。20世纪90年代初,“虚拟水”概念的提出为上述问题提供了一种新的研究与解决思路,并迅速成为水资源研究热点领域。 1993年,英国****Allan首次提出“虚拟水”(Virtual water)[135],并将其定义为生产农产品所需要的水资源量,在此之前,Allan还曾经使用过“嵌入水”(Embeded Water)等近似概念[136-138]。虚拟水概念提出的初衷是为贫水国家和地区维护其水资源安全提供一种新思路,即通过进口水资源密集型的农产品来减少水赤字[136]。随着研究的不断深入,虚拟水概念逐步扩展到服务、加工、材料,以及服务过程中和材料形成过程中所消耗的水资源[139,140],从而也派生出了诸如虚拟水贸易(Virtual water trade)、虚拟水含量(Virtual water content)、虚拟水流(Virtual water flow)、虚拟水平衡(Virtual water balance)等子概念。 受“生态足迹”理论启发,2002年,Hoekstra进一步提出了“水足迹”(Water Footprint)[141]概念,即虚拟水,通过整合人类活动所消费产品和服务过程中对水资源的使用和污染状况,以对产品和服务的潜在水资源占用进行定量核算,以直观呈现人类消费和全球水资源占用之间的联系。水足迹主要由蓝水(Blue water)、绿水(Green water)和灰水(Grey water)三部分组成,从研究对象看,包括国家水足迹(Nation’s water footprint)和个人水足迹(Individual water footprint),分别用来估算国家、地区或个人生产或消费的产品和服务的水资源量。 虽然当前水资源承载力尚未有统一的理论和方法框架,但水足迹的提出仍不失为其研究提供了很好的研究思路:即从消费角度入手,籍由虚拟水概念实现消费品与所含水资源之间的连通,进而用一定消费水平下可维持的区域人口数量作为水资源承载力的衡量指标,实现了评价指标的统一。此外,虚拟水概念的引入可进一步获得区域水资源自然承载力以及水资源的对外依存度等数据,有利于全面把握区域水资源安全状况[142]。程国栋院士指出,虚拟水战略是缓解我国水资源短缺矛盾、保证我国水资源安全的新举措,特别对化解我国西北内陆干旱区水资源短缺具有重大意义[143]。 值得注意的是,相对于学术界的热议,“虚拟水”战略却很少能够在现实中得以实际应用。究其原因,在于传统的“虚拟水”战略只强调通过贸易的手段节约农业需水,但如果所节约的水量无法被二、三产业吸收以产生更大的效益,所节约的水资源反而成为了一种浪费[144]。因此,只有通过发展二、三产业,使水资源能够在三次产业间流动起来,方为“虚拟水”战略实施的关键。
4.3 资源承载力与“虚拟能量”:能量平衡与能值分析
人类生态系统是一个统一的有机体,资源、环境、社会经济要素之间的相互影响与相互作用关系十分复杂。因此,单一要素所代表的区域承载力具有一定的局限性和片面性,如何对资源环境系统全要素或多要素承载力的综合量化进行系统研究成为重点和难点。 自然界的能量是平衡、可相互转化的。从能量系统理论角度,所有系统均可视为能量系统,故而自然环境与社会经济的关系均可转化为能量分析[145]。但由于在能量分析时,不同种类、性质能量的能质各异,难以直接对比和计算[146,147],导致出现了“能量壁垒”问题[148],而能值理论与分析方法的出现为解决这一问题提供了新思路[149]。 能值(emergy)分析由美国生态学家Odum于20世纪80年代创立,其与能路语言、系统分析方法相结合,可作为环境核算和生态经济系统分析的共同尺度。在能值分析理论中,系统中经济、资源环境等要素均以太阳能值作为统一衡量标准,克服了传统方法的局限性,为资源合理利用以及资源环境价值评估提供了度量标准和科学依据,因而被广泛用于不同尺度的生态经济系统分析与模拟、国际贸易评估、资源环境的管理与研究等领域[150-159]。 Odum将能值定义为某一流动或储存的能量中所包含的另一种能量的数量[160]。单位能量(物质)所含的太阳能量称为太阳能值转换率,是度量某种能量(物质)能质的尺度,能值转换率越高,表明该种能量(物质)的能质越高,在能量系统中的等级也越高[161]。从中可以清楚地看出,所谓能值,实际与“虚拟土地”、“虚拟水”相似,即实质不存在,但可以通过转化而来的一种“虚拟能量”。借助能值理论和分析方法,可将各种生态系统和生态经济系统的能流、物流和其他生态流进行统一度量,方便比较和分析。以能值为量纲,将不同种类、能质、能量转换成同一标准的能值进行衡量和比较,便可得到一系列反映资源生态与经济效率的能值综合指标,如净能值产出率(net emergy yield ratio,NEYR)、能值投入率(emergy investment ratio,EIR)、能值货币比(emergy dollar ratio,EDR)等。与此同时,表征自然资源承载能力的指标也应运而生,如能值承载力(emergy carrying capacity,ECC)、废弃物能值比(waste to renewable ratio,WRR)等。这些指标极大的深化了资源环境承载力研究的理论与方法,对推动研究的定量化具有重要意义。 相较于传统的资源环境承载力理论而言,能值分析理论为承载力评估确立了一个衡量的统一标准,具有划时代的意义。但是,相较于其先进的理论而言,能值分析的方法论研究却处于一个较为滞后的状态,主要表现在能值转换率的计算较为繁杂、能值流程图尚未有一个较为科学而全面的绘制方法、能值计算过程中对研究对象的区域性和动态性考虑不周等[162-164]。有鉴于此,未来能值分析需要在能值的量化、综合评价方法优化等多方面进行改进,以进一步完善能值分析理论[163]。
5 结语
从20世纪初期承载力概念提出,到21世纪初期成为可持续发展的重要判据,历经百年,承载力研究与可持续发展相适应,已由传统的土地资源承载力、水资源承载力等单项承载力发展到资源、环境、生态、资源环境承载力等综合承载力。特别是2000年前后,生态足迹、虚拟水和能值分析等资源环境综合研究理论和方法的兴起与发展,极大地推动了资源环境承载力研究的定量化和模式化,承载力日益成为描述发展限制的一个重要概念和关键指标。纵观资源环境承载力研究的百年历程,承载力概念的演化与发展,不仅体现了人类对人与自然关系的认识深化过程,而且表达了不同发展阶段和不同约束条件下,人们对资源环境限制性的认识与响应过程。可以说,资源环境承载力不仅是区域可持续发展的内生变量,而且已成为区域人口与经济规模和发展方式与速度的刚性约束[165,166]。 作为生态学、地理学、资源环境科学等学科的研究热点和理论前沿,资源环境承载力研究不仅是一个具有人类极限意义的科学命题,而且是一个具有实践价值的人口与资源环境协调发展的政策议题,甚至是一个涉及人与自然关系、关乎人类命运的哲学问题[167]。资源环境承载力研究事关资源环境“最大负荷”这一基本科学命题,尽管起步较早,但直到20世纪70年代方进入系统发展时期,限于相对较短的发展历史,统一的理论基础和方法体系尚未完全成形,有关承载力基础理论与实践依据的争论时有发生。鉴于此,为进一步解决资源环境承载力研究面临的理论与实践问题,需着力突破: (1)理论基础上,资源承载力的科学基础是资源可得性、最大持续产量与资源支持力,环境承载力的科学基础则是环境容量、环境吸收或同化能力与环境支撑力;虽然资源承载力、环境承载力各有一套自己的理论基础,但均相互独立、导致资源环境承载力研究缺乏统一的科学基础,承载机理和演化机制等基础理论研究亟待加强。 (2)技术方法上,资源环境承载力分类研究已比较系统,但资源环境承载力综合研究相对薄弱,且承载力评价多偏重于封闭系统和静态研究,系统开放与承载动态研究需要加强;此外,资源环境承载力的阈值界定与关键参数率定,资源环境承载力定量评价与综合计量是资源环境承载力研究由分类走向综合、由静态走向动态、由定性走向定量的关键技术方法所在,有待突破。 (3)实际应用上,考虑到资源环境承载力对区域发展的指导意义,理论探索与实证研究相结合已成为未来发展的重要方向,目前亟待建立资源环境承载力的评价标准与技术规范,研究发展资源环境承载力动态评价与监测预警系统,并在国家生态文明先行示范区或资源环境压力较大地区等开展先行示范,促进资源环境承载力研究向规范化与标准化、数字化与系统化转变,使之更好地服务于国家和地区可持续发展需要,满足资源环境承载力动态评价与监测预警的部门实用化与业务化需求。 The authors have declared that no competing interests exist.
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