【作者】 宋立清；

【导师】 韩立民；

【作者基本信息】 中国海洋大学 ， 渔业经济与管理， 2007， 博士

【摘要】 近十年来,随着中国捕捞能力的不断膨胀,近海渔业资源迅速减少。特别是《中日渔业协定》、《中韩渔业协定》和《中越北部湾渔业协定》的签署和相继生效,中国沿海渔场大幅度收缩,大批渔船因此不得不撤出传统作业渔场,海洋渔业发展面临前所未有的严峻挑战。为解决沿海渔民日益严峻的生计问题,农业部于2002年作出决定,对沿海渔民实行转产转业政策,目标是力争用5年左右时间,减船3万艘,使约30万渔民实现转产转业。几年来,经过全国上下的共同努力,中国的减船转产工作取得了一定的成效,捕捞渔船总量得到降低,部分渔民实现转产。但总的看,该项工作并未取得预期的成效,大批渔民仍然滞留在海洋捕捞业,渔业生产维持在一个低效水平上,减船工作的难度越来越大,过度捕捞的压力不降反增,这就迫使我们重新认识中国沿海渔民转产转业这一问题的复杂性和艰巨性。对于转产转业问题产生的原因,笔者研究后认为,沿海渔民的转产转业是产业结构演化和城乡二元经济发展的必然结果,是海洋生态环境恶化、渔业资源过度利用和国际海洋渔业资源管理体制演变下的必然选择。从表面上看,中国沿海渔民转产转业问题是由三个双边渔业协定的相继签订实施引起的,客观上也表现为船多鱼少、人多鱼少的矛盾,但该问题背后起支配作用的是渔业资源的特性,即共有财产特性或曰公共池塘资源特性。尽管由这一财产性质所引发的公地悲剧具有普遍的意义,但悲剧并非是公地的宿命,渔业问题的根源是捕捞业事实上存在着的自由准入机制。渔民转产转业工作的本质是解决捕捞能力与渔业资源再生能力相适应的问题,最终目的是实现渔业资源的可持续利用。因此,不能把渔民转产转业作为一个简单问题加以对待,要看到纷繁复杂的渔业问题的本质和根源。笔者认为,自由准入机制内含非理性激励,激励渔民过度利用资源,无效率地利用资源,最后必然导致渔业劳动力和捕捞能力双过剩问题。在这种情况下,单靠政府鼓励渔民减船转产,不可能从根本上解决问题,必须着眼于制度建设,力求消除过度捕捞产生的根源。如果头痛医头、脚痛医脚,转产转业问题或可见效于一时,却终难避免该问题的再次复发。对于当前普遍存在的转产转业难的问题,笔者运用推拉理论,结合中国海洋渔业实际,初步建立起形象直观的渔民转产转业宏观受力模型,对渔民转产转业行为中的受力因素进行了系统分析。笔者认为,虽然当前中国面临非常强的渔业资源约束,转产转业受到一定程度的收益拉力,政府也在积极推动渔民转产转业,但受国家财力所限,政府的推动力表现不足,加之转产转业受到较强的成本、惯性和制度三重阻力,渔民转产转业的动力总体上没有明显超出阻力,这是造成渔民转产转业难的一个根本原因。为进一步说明这个问题,笔者继而从“经济人”假定出发,在合理借鉴托达罗模型的基础上,改进并建立了劳动力就业转换的一般模型,并运用该模型来分析中国沿海渔民转产转业行为,进一步得出结论:渔民从事渔业生产的目的是追求经济利益最大化,其转产转业行为是在成本与收益比较下理性决策的结果。在考虑到转产转业的成本因素后,如果从事其他行业比捕捞业盈利更多,渔民就会选择从捕捞业退出,转入高盈利行业。反之,如果转产转业的收益不抵成本,渔民的转产转业行为就很难发生。当前,沿海渔民转产存在渔船沉淀成本高、再就业机会少、转产所需资金大等不利因素,这使得渔民转产转业无利可图,从根本上制约了转产转业工作的进程。如果捕捞渔业在当下仍然有利可图,要想让渔民主动放弃主要经济来源,冒着失去生活依靠的风险去寻找净收益不确定性的新工作,这的确有违经济学常规。关于转产转业的路径,作者在分析国内外经验后认为,将海水养殖业、水产品加工业和休闲渔业作为渔民转产转业的目标产业加以选择,这符合世界产业结构演化和劳动力迁移的一般规律。需要指出的是,面对大量的渔业过剩人口,单凭渔业行业自身,其对劳动力容纳能力有限,渔业产业的发展有其自身的规律性,很难解决如此众多的过剩劳动力的就业问题,这就迫使部分渔民最终不得不跳出渔业,离开渔村,实现异地迁移就业,也就是要走城镇化之路。在论文最后一章,笔者借鉴渔业发达国家的成功经验,指出解决渔民转产转业问题的根本之道在于渔业制度创新。不论是从理论层面,还是从各国实践层面,ITQ制度都堪称为渔业问题的一个根本解。运用ITQ制度,可以有效解决遍布于全球范围内的过度捕捞问题,切断造成渔民转产转业问题的根源,实现渔业资源的可持续利用。为此,我们有必要从现在开始,着手做好制度实施前的一系列相关准备工作。着眼于我国沿海渔民转产转业问题根本解,本文在借鉴国内外渔业发展实践的基础上,提出了我国渔业制度变革的理想模式——基于产权的共同管理,并相应提出了从减船、产权、自主管理三方面共同推进的多维政策路径,为最终解决我国渔民转产转业问题提供了现实对策。更多还原

【Abstract】 With constant inflation of the fishing capacity in nearly a decade,inshore fishery resources have being reducing sharp in China. After the signature and entry into force of the " Sino-Japanese fisheries agreement "," Sino-South Korean fisheries agreements " and " Sino-Vietnam fisheries agreement of northern Gulf " in succession,coastal fishery fields have been decreasing on a large scale than ever and large quantities of fishing boats have to be withdrawn from traditional fields, which encounter marine fishing an unprecedented rigorous challenge in China. In order to solve the problem of increasingly serious livelihood of the coastal fishermen,the Ministry of Agriculture made a policy of transferring fishermen to other industries in 2002, striving to reduce 30,000 fishing boats and realize 300,000 fishermen’transfer within about 5 years.Due to joint efforts nationwide in recent years, China has scored some achievements in the course of reducing boats and transferring fishermen, including reduced total fishing boats and realized transfer of part fishermen. However, there has not witnessed progresses as assumed on the whole as most fishermen still keep their previous occupation with a low level production. Actually there are more and more difficulties in reducing fishing boats and even bigger pressure of overfishing. Thus we are compelled to re-recognize the complexity and toughness of the undertakings of transferring coastal fishermen.As for the reason of fishermen’transfer, the author considers that it is inevitable thanks to structural change of the industry and binary economic development in urban and rural areas, which are coupled with deteriorated marine eco-environment, over-used fishery resources and changed international management system on marine fishery resources. Outwardly,it is the signature and enforcement of the three fishery bilateral agreements that force the fishermen to transfer to other industries, as they have resulted in comparatively more boats or fishermen but limited fishery resources. Whereas the dominated reason lies in the resources’characteristic of common property resource or common pool resource, which usually bring tragedy for the resources. And the root of problems in fishing industry lies in the free entrance mechanism. As transferring the fishermen is centering in fishing’s compliance with the regeneration of fishery resource and sustainable utilization of it finally, thus we need to attach much importance to the fishermen’transfer to find out the root cause of complicated problems in fishery.The author also holds the idea that,the free entrance system contains irrational stimulation , which stimulates the fishermen using the resources excessively and inefficiently and finally generates a double redundancy problem of both fishery labor and fishing capacity inevitably. In this case,it can’t solve the problem basically merely depending on the government encouraging the fishermen to reduce their boats and switch to another industry. So we must focus on the construction of system,and try to eliminate the root which generates excessive capture. If cure somebody of his/her head when he/she has a headache,or cure somebody of his/her feet when he/she has a hurt in his/her feet,maybe the case of transfer can take effect for a while,but the problem can’t be settled ultimately.As to the widely existed problem of difficulty in transfer, the author applies the Theory of Push & Pull,in conjunction with the practice of Chinese ocean fishery , initially establishes a visual intuitional macroscopic mechanical model of the fishermen’s transfer,and analyses the mechanical factors in the activity of the fishermen’s transfer systematically. In the author’s opinion,our country is facing a strong restriction of fishery resources at present,the profit pulling force impacts on the transfer to some extent,and the government also actively impulses the fishermen’s transfer , but the government’s impulse represents deficiency limited by the country’s financial resource,and transfer falls under somewhat strong resistance of cost, inertia and system, so the impetus of the fishermen’s transfer doesn’t obviously overcome the resistance as a whole. This is the fundamental cause which generates the difficulty in fishermen’s transfer.Further,proceeding from the assumption of economic man and the Todaro Model , the author improves the general model of employment transfer which is used for analyzing the practice of transferring coastal fishermen in China. A conclusion is consequently made: fishermen work for maximum profits. Whether they decide to change their careers depends on how much is the cost and the return they will receive. If they can gain more when occupying in other industries,they will just make a switch, and will refuse otherwise. Currently , there are some negative factors bottlenecking the transfer of coastal fishermen,such as high sunk cost of fishing boats,few reemployment opportunities and much capital needed, which may indicate no profits for their . Given fishing is still profitable, it is certainly a violation of convention in economics that fishermen were required to abandon their current jobs at the risk of losing their living to search for new ones that seems to only bring uncertain income.With regard to the target industries of transfer,the author after analyzing the experience home and abroad agrees that,it conforms to the general law of the world industry structure evolution and labor migration to focus on saltwater aquaculture,aquatic processing and leisure fishery. One thing needs to be pointed out that the fishery alone is hard to absorb such a large quantity of surplus fishermen due to its capacity and development regularity. And in consequence some fishermen are compelled to leave fishing and their villages and earn their livings in other places, namely new cities and towns established in the process of urbanization.In the last chapter of this paper,drawing on successful experiences of fishery-developed countries,the author concludes that the radical solution for fishermen’transfer lies in fishery system innovation. Proved by both the theories and many countries’practices,the Individual Transferable Quotas (ITQ) system can serve as an ultimate solution for the problems existed in fishery industry. It can,by cutting the root baffling the transfer,solve the problem of overfishing which is common in the world at large so as to realize sustainable use of fishery resources. For this reason,we should spare no effort to prepare a series of elementary work for implementing ITQ system. To apply it more efficiently in the future,we should enhance traditional fishery management,strengthen the establishment of the system of fishermen allowance and fishing-access permit,tighten input controls so as to avoid periodical inflation of fishing capacity. And the realization of fishermen’s transfer backed by increased government policies actually will reduce the cost of implementing ITQ system as much as possible in the coming years.更多还原