【作者】 赵丽丽；

【导师】 万荣；

【作者基本信息】 中国海洋大学 ， 渔业经济与管理， 2009， 博士

【摘要】 渔业资源是一种排他性弱、排他成本高、使用中却具有竞争性的共有流动性资源。由于资源保护者很难排除他人对保护成果的使用,往往会产生许多“搭便车”者,因此没有哪一个个体愿意单独进行资源保护,结果就产生了“共有品悲剧”。从共有产权制度安排的文献来看,在如何避免“共有品悲剧”方面,存在着三种观点:一是通过创设并执行私有产权来解决;二是通过将管理资源的权利交给外部人(如政府)来解决;三是将共有资源的管理权下放给使用者,让其进行管理。当前,中国海洋渔业现有的“命令与控制”式的管理机制在渔业资源的共有和洄游跨界性质前提下,不但缺乏诱导渔民养护资源的激励机制而且还鼓励渔民千方百计增加短期收益。从20世纪80年代中后期至21世纪初,中国海洋捕捞渔船的持续增长、渔业资源的持续衰退,说明中国政府集中控制的渔业资源管理制度在一定程度上已经失灵,要使渔业彻底摆脱过度投资和过度利用的宿命,就必须依靠制度创新。基于社区的渔业管理,要求政府和渔民群体共同承担渔业资源养护和利用的权利和责任,其核心理念是对公共渔业资源的使用权应授予依赖其生存的渔民群体。这种管理模式在国外渔业管理中已经取得了一定成绩。在相关基础理论的研究中,本文总结了当前渔业管理中存在的三种范式,即政府主导的命令与控制式的渔业管理、市场主导的确立私有产权式的渔业管理和社区主导的集体产权式的渔业管理,通过阐述近一个世纪以来世界渔业管理方式的演进过程,剖析了三种渔业管理范式的产生背景和作用机理,对各种管理范式的优缺点进行了归纳总结;研究了社区理论的相关概念、特征、功能和社区分类以及社区理论的起源和发展;从参与的概念与类型、参与式理论和参与式管理三个方面对参与理论进行了研究探讨。随后本文研究了基于社区的自然资源管理,从其内涵、研究现状和基本要素三个方面展开研究;在此基础上,本文展开对基于社区渔业管理的研究,先是明确了基于社区渔业管理的概念和内涵,分析了基于社区渔业管理的产生原因,研究了这种管理制度的设计原则和政府的角色定位以及相关法律制度建设问题。在基于社区渔业管理案例研究中,本文选择了有开展社区渔业管理成功经验的日本作为研究对象,其具体情况与中国相似,有借鉴价值。系统研究了日本开展社区渔业管理前的背景、渔业管理的特点以及实施社区管理的具体措施,总结其成功经验,为中国实施基于社区的渔业管理制度提供借鉴。在中国渔业管理现状及实施基于社区管理分析的研究中,本文先是对中国海洋渔业管理制度演变历程作了回顾,并阐述了渔业管理现状。对中国大陆现有的社区式渔业经营管理案例,分集体产权模式和行业协会模式两方面进行了研究。分析了中国实施基于社区渔业管理制度的必要性,研究了实施此管理制度的三个前提条件:政府有把权利下放给渔业社区的政治意愿;有完善的制度作为保障;有适当的组织承担管理职能。从组织、制度、法律和效果四个方面分析了中国实施基于社区渔业管理制度的可行性:目前现有的渔村组织提供了一定的组织保证;村民自治、村籍制度等正式制度和意识形态、社会关系网络、身份承诺、熟识信用、声誉机制等非正式制度提供了制度保证;《物权法》和《渔业法》提供了法律保证;社区管理有利于保护渔业资源,能有效的促进渔业可持续发展,提供了效果保证。在中国基于社区渔业管理的实施路径研究中,本文提出中国渔业管理制度变迁的目标是实现中国渔业可持续发展,保证渔业资源能够持续、效率的开发利用,使广大渔民能够安居乐业。明确了从强制性制度变迁到供给主导型制度变迁再到诱致性制度变迁的变迁方式,在上述基础上,本文研究了中国实施基于社区渔业管理制度的具体路径:由政府、专家、渔民代表共同组成中国海洋渔业管理协会,负责全国海洋渔业资源管理;实施基于总可捕量前提下的社区捕捞配额制度并辅以禁渔期、禁渔区等措施保护渔业资源并维持渔民生计;完善《物权法》,修订《渔业法》,将总可捕量(TAC)制度、社区捕捞配额(CFQ)制度法制化;在保护渔业资源、控制捕捞努力量和发展远洋捕捞方面提供配套措施。最后本文得出的结论是:社区管理是市场机制和政府管理不可替代的一种渔业管理方法;渔业资源的可持续管理需要相关社区的积极参与;外部干预可以重建有效的渔业资源社区管理的作用机制。更多还原

【Abstract】 Marine fisheries resources are common pool resources of non-excludability and rivalry in consumption. Therefore, it’s very difficult to exclude the non-protectors to utilize the marine fisheries resources. In other words, there often be many free-riders, and it’s a very common phenomenon. Then there will be no one willing to conserve the fisheries individually. The result of the commons’tragedy in the case of marine fisheries resources is out of question. In the view of literatures of institution arrangement about common property rights, there are three standpoints about how to avoid the occurrence of the commons’tragedy: one is to create private property rights to deal with the problem; the second is to allow the third party (such as government) to be responsible for the fisheries management; the third is to transfer management right of common resources to a lower level (like users of the resources).Currently, the active management mechanism of command and control in China’s marine fisheries and the nature of commons and migratory transboundary, not only run short of encouragement mechanism which induces fishermen to conserve marine fisheries resources, but also try every possible to encourage fishermen to increase short-run incomes. Those indicate that China government’s marine fisheries resources management system of the command and control has been failed to some extent. If China government wants to get rid of the foreordination of overcapitalization and overutilization in marine fisheries resources, it must depend upon institutional innovation. With the development of market economy and government management, community-based fisheries management was developed as an approach to deal with the puzzledom in marine fisheries management.Community-based fisheries management is a management system which the government and fishermen groups take on the rights and responsibilities of conservation and utilization of marine fisheries resources jointly.The dissertation firstly studies on the three paradigms of fisheries management and the related concepts, types as well as functions of the theories of community and participation. Followly, the dissertation researches the connotations, status quo of studies and the essential elements of community-based natural resources management, then researches the concepts, connotations, causes, design principles of systems, function of government as well as the related law problems of the community-based fisheries management.The author obeys the following two principles when selects the other nations and areas’community-based fisheries management to carry out the cases studies: one is the nation or area has the successful experiences of implementing the community-based fisheries management; the other is the nation or the area’s situations are similar to China’s and the China can learn much from its practices.The author finds that there is no organization which organizes fishermen to produce and work efficiently and provides general services for fishermen, together with protects fisheries resources and fishermen’s rights and interests via studying on the performances of fishermen associations as a virtual community. Followly, the author analyzes the three premise conditions of China’s implementing community-based fisheries management: (1) the government has the political will to transfer the rights to fisheries communities; (2) there is perfect system to provide kinds of guarantee; (3) there is proper organization to be charged with management function. On the basis of those, the dissertation analyzes the feasibility of China’s implementing community-based fisheries management from the organization, system, law and effects: the active fishing village organization provides with organizational guarantee; the formal institutions (such as villager self-government, village native system and so on) and the informal institutions (such as ideology, social relationship networking, identity promises, credit of knowing well, reputation mechanism and so on) provides with institutional guarantee; Real Right Law of the Peoples Republic of China and Fisheries Law of the Peoples Republic of China provides with legal guarantee; community-based fisheries management system can play the role of protecting fisheries management and maintaining the development of fisheries resources, then guarantee the execution effects of these fisheries management system. The author points out the objects and principles of institution change of China’s fisheries management system, and identifies that the way of institution change is from the compellent institution change to supply-led institution change, then to induced institution change. On the basis of the above, the author research the idiographic path of China’s implementing community-based fisheries management: China’s Marine Fisheries Management Association consisted of government, experts and fishermen deputy jointly is responsible for the marine fisheries resources management; community fishing quota under the total allowable catches is executed mainly while the other measures (such as the time closures, area closures and so on) are implemented assistantly to protect the fisheries resources to maintain the fishermen’s livelihood; to perfect the Real Right Law, revise the Fisheries Law and legalize the Total Allowable Catches system and Community Fishing Quotas system; and to provide with political guarantees in the terms of government function change, strengthening the investigation and research of fisheries resources, perfecting the statistic of fisheries data, enhancing the fisheries law enforcement, programming the special fisheries rights project rationally, implementing vessels buy-back energetically, developing distant water fisheries vigorously and developing recreational fisheries actively.Ultimately, the author concludes the dissertation: community management is an approach to fisheries management which can’t be replaced by market mechanism and government management; sustainable management of fisheries resources needs related communities’active participation; external intervention can rebuild the effective impact mechanism of fisheries resources community management. In the process of implementing community-based fisheries management, in order to achieve the sustainable development of marine fisheries resources, it should focus on harmonizing the relationship between government and fishermen via community and make use of the roles of market, government and community adequately.更多还原