【作者】 张士军；

【导师】 慕永通；

【作者基本信息】 中国海洋大学 ， 渔业经济与管理， 2013， 博士

【摘要】 “中国蛤类产业结构与特征研究”是国家贝类产业技术体系“十二五”期间的重点任务之一,旨在系统解答有关我国贝类产业“是什么”、“为什么”、“好不好”、“怎么办”等问题。蛤类作为滩涂贝类的一种,近年来逐渐暴露出许多发展中的问题。由于过度采捕、不科学养殖、海洋污染、以及对海洋工业的让渡,蛤类的生存环境日趋恶劣,作业和生产空间日趋缩小,产业结构不尽合理,经济效益日趋下滑,蛤类产业已经走到了一个不可持续发展的边缘。蛤类产业能否健康可持续性发展,取决于政府外控、行业自调、社区服务共同协作,地方政府、科研机构、养殖协会、龙头企业、个体业户等多方积极参与的结果。长期以来,蛤类产业的发展一直被动的受制于市场的拉动,致使该产业快速发展,过度膨胀,短时期内,政府得到预期的外显政绩、业户得到暂时的经济利益、市场得到丰富的消费产品,似乎达到一种“多赢”的完美结局。但是,在这种虚假繁荣的背后,也带来了一系列的负面效应,隐藏着潜在的风险。要消除蛤类产业的这种负面影响,保持蛤类产业的可持续性发展,有必要建立一种长效的调控机制,而这一调控机制的建立和有效运转,有赖于重新梳理蛤类产业发展动态,厘清蛤类产业结构、特征及演进趋势。作为上述贝类研究体系的重要组成部分,本研究项目的主旨在于“探索贝类产业结构和贝类产业链研究的基本框架、主要内容和方法,系统开展蛤类的产业链结构、特征和绩效研究”。作为一项开创性的研究,论文以“红岛蛤蜊”产业为例,再现红岛蛤蜊产业的发展历史、演变规律、发展趋势,总结红岛蛤蜊产业的基本结构、运行状况及特征,厘清产业链和价值链构成,测度红岛蛤蜊产业的经营绩效,试图达到“窥一斑而见全豹”的效果,以此映射蛤类产业的结构、特征和绩效。为达成这一研究目标,本研究以“红岛蛤蜊产业”为研究对象,通过问卷调查、参与式观察、实地考察、典型业户入户调查、专家访谈、走访行业协会和政府主管部门等方法,对红岛蛤蜊产业发展动态、产业结构、产业链及价值链构成、产业组织、产业管理、产业演进趋势、产业发展战略等角度进行精细化研究。重点研究内容包括：(1)系统梳理蛤类、蛤类产业结构的概念体系,客观描述蛤类产业的规模分布和空间分布；(2)摸清红岛蛤蜊产业的规模结构、空间分布结构、经营主体结构、市场结构、劳动力结构、技术结构、三产结构、所有制结构、管理主体结构等结构特征；(3)厘清红岛蛤蜊产业链的构成、上下链的传递过程及产业链的组织模式；(4)构建红岛蛤蜊产业的价值链,测算价值链诸节点的价值增值；(5)测算典型养殖模式的成本收益情况,考察典型涉蛤关联产业的经营实态；(6)探寻红岛蛤蜊产业发展过程中存在的主要问题和制约因素。本研究填补了渔业经济与管理领域的研究空白,全面、系统地掌握了这一典型地域产业的微观基础和结构性特征,厘清了红岛蛤蜊产业的结构特征、经营行为和产业绩效,以及产业管理和产业发展战略,为理解这一产业提供了大量翔实的一手数据,形成了诸多基于事实的、可信的研究结论,为政府实施调控提供了可靠的实证依据,为相关研究者开展类似研究提供了方法论启示。论文形成的重要结论有：(1)从产业链的视角,归纳出两类产业链演进路径,即从蛤蜊育苗、养殖到终端消费为主线的纵向产业链演进路径,和为纵向产业链服务的横向产业链演进路径。总体来看,目前红岛蛤蜊纵向产业链较为完善,发展也比较成熟,而横向产业链发展比较滞后,亦有相当大的发展空间。(2)养殖密度过高是引发红岛蛤蜊品质低下的重要诱因,种质资源退化、海洋环境变化等姑且系蛤蜊品质低下的直接原因,但问题在于,这一行为背后的激励机制才是产品品质变化的根本原因,而将目光聚焦于养殖模式的变更并大规模开发深海资源、大力发展底播增殖等政策,并逐渐形成路径依赖,将会带来远期的不可控风险。(3)在市场利益驱动、物流快速发展和提倡发挥地区比较优势的今天,红岛地区由于受自然条件与生产成本的局限,指望所谓技术飞跃与巨额投资来解决蛤蜊苗种问题并不是最佳选择。从近期来看,继续推动“南苗北养”模式,地方互补,同时在加强检疫、筛选的基础上继续从南方引进优质苗种。(4)红岛蛤蜊产业链现有的组织模式效率低下,连接松散。从有效组织模式来看,蛤类产业的健康可持续运行,前提是建立以养殖者、管理者和科研单位“三足鼎立”的组织体系。养殖者在该体系中必须进行科学合理养殖生产,从重视量的堆砌转变为追求质的精进；管理者要保证体系整体的正常运行、生产者的正常生产,并在当时的环境下应因选择合理的对策、做出有效率的行政介入；科研单位要给予社会科学研究特别是制度研究更多的关注、支持,向管理者和养殖者提供准确的信息和可靠的依据。(5)在红岛蛤蜊价值链不同环节中,加工环节和销售环节的价值增量程度较高。不同养殖户、不同养殖模式、不同养殖海区、不同投苗密度、甚至不同养殖规模,其养殖环节的价值增值能力可能不同；不同的蛤蜊产品加工者,不同的蛤蜊产品加工形态,不同的加工程度,其加工增值程度亦存在很大差别；不同批发零售商,不同等级或产地的蛤蜊产品,不同的流通渠道,其价值增值程度也存在一定差异,相比较而言,红岛蛤蜊的价值增值情况并不容乐观。(6)包括“红岛蛤蜊”在内的中国蛤类产业仍处于不完全的产权制度之下,尽管海域使用金和养殖许可证在产业进入或排他性方面有一定的制度保障,但仍未摆脱与公共物品性质的系统关联。为建立明晰的产权,降低外部性影响,就要打破当前密集的海域使用格局,合理划分海域使用区,预留合理发展海域。公共政策目标是应当基于既有条件改善现有制度安排,提升管理绩效,而不是将目标继续转移到开发新的海域资源。研究中也有了一些重要的发现：比如养殖户---收购商---大批发商---批发商---零售商之间的定价机制是什么?首次销售价格的形成机制是什么?从养殖---捕捞---加工、收购---分拣---批发等无一体化经营模式的症结是什么?分散养殖局面如何进行整合,采用什么方式进行整合,谁来主导其整合?“南苗北养、北蛤南运”这种跨区养殖模式的生态---经济---社会效益是什么,怎样进行测度和评估?受个人认知能力和其他客观条件限制,尚不能对这些问题进行精准回答,寄希望在后续的研究中继续对上述问题进行专题研究,并将持续关注这一产业的最新发展。更多还原

【Abstract】 The research on structure and characteristics of China clam industry is one of the important tasks of the national’twelfth five-year plan’ shellfish industry system. It aims to systematically answer the ’what’,’why’,’good or not’, and ’how’ question in China shellfish industry.Clam industry, a mudflat shellfish, in recent years gradually has been presented many problems in the process of development. Due to excessive exploitation, unscientific aquaculture, marine pollution and marine industrialization, calm’s living environment is increasingly deteriorated, and meanwhile development space becomes increasingly narrow. Facing to unreasonable industrial structure and lower economic benefit, clam industry has come to the brink of an unsustainable development. Whether clam industry could develop in healthy and sustainable way or not, depends on the coordination of government external control, self-regulation and community service, but also the participation of local government, scientific research institutions, farming association, the leading enterprises and self-employed individuals. In the long run, the passive position of clam industry relying on the pull of market has resulted in fast development and excessive expansion. So, in the short run the government may achieve the explicit performance, and the operator may get the temporary benefit, then the market seems to become prospective and achieve a ’win-win’ perfect result. Actually, it has brought a series of negative effects and potential risks behind it. It is necessary to establish a long-term control mechanism to eliminate the negative effect of clam industry and keep the clam industry sustainable development. Of course, the effective operation mechanism links to analysis of clam industry development trends and categories of clam evolution structure and characteristics.As a part of the shellfish research system, the purport of this study is to explore the shellfish industry structure, to know the basic framework, main content and method of shellfish industry chain, and to carry out the clam industry chain structure, the characteristics and performance systematically. As a creative study, study on Red Island clam industry, which describes its development history, evolution and development trends, sums up basic structure, operation condition and characteristics of the Red Island clam, and clarifies the industry chain and value chain, also measures the business performance of Red Island clam industry, then tries to achieve the perceptive effect on clam industry structure, characteristics and performance.To achieve the research target, a series of methods, including questionnaire survey, participating observation, field survey, typical household survey, expert interviews, visit to industry associations and government departments, are adopted. The study concerns not only the clam industry development trends, industrial structure and industrial organization; but also value chain, industry management, industry evolution process and perspective strategy in Red Island. It includes:(1) systematically clarifying the concept of clam industrial structure and objectively describing clam industry scale distribution and spatial distribution;(2) ascertaining not only scale structure, spatial structure, operation structure and market structure, but also labor structure, technical structure, ownership structure and management structure characteristics in Red Island;(3) clarifying industrial chain formation, chain of transmission process and organization mode of industrial chain in Red Island;(4) constructing value chain and measuring the point which produces the value;(5) measuring benefits of typical clam stakeholder and investigating operation situation of relevant clam industry;(6) exploring the main development problems and restriction factors in Red Island.This study, which fills in a research gap in the field of fishery economics and management, comprehensively masters the microeconomic foundation and structural features of typical regional industry; and clarifies its structural characteristics, management behavior, industry performance, industry management and development strategy in Red Island; then finds out a large number of informative data which forms many useful conclusions. The study provides some empirical proof to help the government to carry out regulation and control, and meanwhile supply a methodological enlightenment for related researchers. A few important conclusions are formed as follows:(1) Based on the industry chain theory, two types of industrial evolution path are refined. One, that is the vertical industry chain evolution path in principle, is from clam’s breed, raise to the terminal consumption. Another, that is the horizontal evolution path in supplement, compensates vertical industry chain research. Overall, currently the vertical clam industry chain in Red Island is relatively perfect and more mature. However, horizontal industry chain development lags behind a lot, so more extensive development space should be recognized.(2) Higher aquaculture density is the main factor leading to Red Island clam quality degradation. Assumed Clam species resource and Marine environmental changes directly result in low quality, the fundamental cause leading to the change of the product quality is the incentive mechanism behind these behaviors. If we focus on policies including the cultivation mode changes, large-scale development and proliferation of deep-sea resources, etc, and pay more attention to path research method, the uncontrollable risks would be brought out in the long run.(3) Nowadays, considering profit-driven factor, logistics rapid development and regional comparative advantages in the priority, but also the limitation of region natural conditions and the investment cost, it is not optimal choice to solve the problem of clam breed by so-called technological leap and huge investment. In the short term, it is available and effective to introduce the south high quality clam species resource by promoting ’breedings in the south and raising in the north’ mode and cooperating among regions with the supervision of quarantine and screening.(4) Currently, Red Island clam industrial chain and its organization mode are less efficient and linked. Based on effective organization mode, whether clam industry could achieve the health and sustainable operation or not, depends on the establishment of premise, that is, so called ’separation of three powers’ organization system including breeders, managers, and research units. Breeders in the system must carry out scientific and reasonable farming production,, from concerning the quantity into pursuing the quality; Managers ensure the effective operation of the system as a whole, including normal production, reasonable selection corresponding to the condition and efficient intervention; Research units should focus on social science research, especially rule and regulation research, and meanwhile provide accurate information and reliable reference for managers and breeders.(5) In the different segments of the Red Island clam value chain, the processing segment and selling segment are higher in the value increment. Not only different breeders but also different breeding mode, area, density and scale, could lead to different value increment result in the different breeding segments. The level of processing value increment presents the distinguished difference under these influences below including:firstly different clam product processors, processing patterns and processing degree; then different wholesale and retailer, different clam product rank or origin, different marketing channels. So, actually Red Island clam value increment situation should be not optimistic.(6) China clam industry including Red Island clam has been facing the obscure property rights rule, although marine space use rental and aquaculture permission license supply some guarantee and safeguard for industry entrance and exclusivity. However these are not enough to get rid of the characteristics associated with the public goods. In order to set up clear property rights and reduce the external impact, it is necessary to break the current pattern of marine space which is intensively exploited, to project the reasonable marine exploration space, and to reserve appropriate marine area for development. Public policy target should be based on the existing conditions to improve the existing institutional arrangement and promote management performance, rather than moving to exploit new marine resources.Also, are some important findings in the study as follows:what is pricing mechanism amongst culturists, purchasers, superior wholesalers, inferior wholesalers and retailers? What is initial selling price formation mechanism? Why has there been no business model which integrates aquaculture, catch, process, purchase, sort and wholesale? What is the key point? How to integrate the separate aquaculture situation? In which way the integration could be done? Who would dominate this action? Where are its ecological, economical and social benefits from the cross-region aquaculture mode, that is,’breeding in the south and raising in the north, catching in the north and transiting in the south’? How to measure and evaluate them? Restricted by personal cognitive abilities and other objective conditions, these questions above cannot be found out precisely. In subsequence these problems will be put on the special study, and meanwhile the latest industry development will be concerned.更多还原