公共池塘资源管理的制度分析

【作者】 和莹；

【导师】 常云昆；

【作者基本信息】 西北大学 ， 西方经济学， 2007， 硕士

【摘要】 自然资源是人类生产生活的物质基础，是实现可持续发展的根本条件，然而由于它的公共池塘资源属性，即人们共同使用整个资源整体，但分别享用资源单位，理性的个人行动往往会导致资源使用的拥挤或退化，这是我们目前存在的资源环境问题的根源所在，而且随着经济的发展，自然资源与经济、环境之间的矛盾越来越加剧，由于经济发展对自然资源的大量耗竭，自然资源已经由对经济发展支撑的作用变成了限制、约束因素，而且人类生存的生态环境也随之被破坏。因此，如何合理地开发利用自然资源，维持自然生态与人类经济发展的均衡，促进人类社会的可持续发展是我们目前面临的严重问题。基于此，本文从制度分析的视角出发，着重探索具有公共池塘资源属性的自然资源管理的有效制度安排。文章共分五个部分：第一部分是导言，首先介绍了论文的研究背景和意义，即自然资源问题的现实严重性以及理论上对于解决公共池塘资源管理问题的局限性；其次对于目前国内外在公共池塘资源管理方面的文献作了简单综述；最后介绍了文章的分析方法和思路，即公共政策与制度分析的研究方法，从自然资源的物的属性出发，分别探讨了它与经济增长的关系，以水资源为例的自然资源产权制度，以及政府作为主体在自然资源管理中的作用和存在的问题的分析思路。第二部分介绍了自然资源与经济增长的关系，首先概述了自然资源的概念、分类、特征以及属性，其次从两个方面论述了自然资源与经济增长的关系：1，为经济增长提供物质和能量的支持；2，从资源的诅咒(Curse of Natural Resources)角度论述了自然资源与经济增长的负向相关关系。第三部分着重探讨了自然资源产权制度的确立问题，首先从产权、自然资源产权、自然资源产权的特殊性，以及我国自然资源产权制度变迁的角度对自然资源产权制度进行了概述，其次以水资源为例，详细地从水资源产权的界定(界定的必要性、界定前提、界定方案的设计和实施)以及水权市场的建立两个方面探讨了水权制度的确立问题。第四部分讨论了政府部门在自然资源管理中的作用，从其管理自然资源的比较优势出发，探讨了它在自然资源管理、自然资源产权界定中的重要作用，并且通过主客观两方面因素的制约以及C-D差距模型着重分析了在自然资源管理中的政府失灵问题，最后通过奥斯特罗姆的多中心治理理论为改进政府自然资源管理效率提供了建议。第五部分是对全文的总结，文章得出结论对于具有公共池塘资源属性的自然资源的管理而言，应该继续加强完善我国的资源产权制度，建立资源产权流转市场，在政府主导作用的前提下积极引入社会公众的参与，建立自然资源管理的多中心体制制度。更多还原

【Abstract】 Natural resources, the one works as the material basis of the production activities and daily life for human beings, is also the essential requirement to achieve sustainable development. While due to the Common-pool Resources attributes it possesses, say people share the entire resources, but adopt the resource units respectively, the rational individual activities always lead to the invasion and obsolescence in the natural resources. This is the root why the current resources and environment problems exist, and with the development of the economy, the inconsistency between natural resources, economy, and environment becomes more and more severe. Because the development of economy depletes great amount of natural resources, the support effects from natural resources to economy developments have become the limitation factors, and the environment people live has also been destroyed simultaneity. So, how to exploit natural resources appropriately, keep the consistency between natural resources and the economy development, and also improve the sustainable development are the serious problems we have to face now.For the aforementioned reasons, this dissertation starts from the institutional analysis, try to explore the effective institutions for the natural resources management.The first part of this dissertation is introduction, which firstly introduced the analysis background and significance, the actual ponderance of the natural resources problems and the theoretical limitations on solving this problem; and the went to the literature reviews on this topic; finally the analytical method and logic were introduced as well, say the IAPP method, started from the attributes of natural resources, respectively discussed the relationship between natural resources and economy growth; set water resources as the example to investigate the property right of natural resources; the principal role the government play in natural resources management and its problems.The second part introduced the relationship between natural resources and economy growth, firstly the concept of natural resources, its classification, characteristics and attributes were described; secondly, the relationship between them was discussed from two aspects: 1, natural resources support economy growth the materials and energies. 2, based on the theory of "Curse of Natural Resources", the negative relationship between them was explained.The third part of this dissertation was moved on to the discussion of property rights of natural resources, firstly the concept of property right, the property right of natural resources, the particularity of natural resources property right, and the transition of the natural resources property right institutions were introduced; then the water resources was used as a case to discuss the establishment of water property institutions from both of the define of water resources property (the necessity, the premise, the design and implement of the scheme) and the establishment of water market.The fourth part emphasized the roles the government plays in the natural resources management, started from its comparative advantages in managing natural resources, its important role in natural resources management and property rights define process were discussed, and from both of the subjective and objective aspects, and the C-D difference model the "Government Failure" problems in natural resources management were analyzed; finally the way to improve the government efficiency in natural resources management was proposed by the "Polycentric" theory from Ostrom.The part five is the conclusion of the dissertation, the conclusions were as follows: for the natural resources management, we should strengthen and perfect the property right of natural resources continuously, and try to establish the natural resource property right exchange market, and also on the basis of government’s instruction, join the public, establish the polycentric institutions of natural resources management.更多还原