【作者】 张红智；

【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】 海洋捕捞业既面临着如何实现自身可持续发展的问题,也肩负着为人类整体的可持续发展作出贡献的使命。指标体系是将海洋捕捞业可持续发展思想从概念转化为行动的桥梁与纽带。目前我国还未建立起有效的国家一级的海洋捕捞业可持续发展指标体系。本文试图对我国的海洋捕捞业可持续发展指标体系提出一个概念性的框架,并指出建构我国海洋捕捞业可持续发展指标体系亟待解决的理论问题和实际问题。依据这一思路,作者将本论文的主题确定为“海洋捕捞业可持续发展及其指标体系研究”。本研究的总体目标是,系统阐明海洋捕捞业可持续发展及其指标体系的建构理论、方法和程序,以此为基础,结合中国特别是中国海洋捕捞业的具体情况,提出中国建构国家级海洋捕捞业可持续发展指标体系的概念性框架以及在此过程中所面临的政策议题和应优先开展的活动领域。为达成上述总体目标,本研究确定了五大子目标:一是从认识论层面系统梳理可持续发展的思想渊源和可持续发展指标体系建构的方法论传统;二是了解与渔业密切相关的农业和林业可持续发展指标体系的建构情形;三是从整体论的视野出发分析海洋捕捞业与可持续发展的关系,四是掌握国内外在海洋捕捞业可持续发展指标建构方面的进展情况、研究取向和存在的问题;五是建构我国海洋捕捞业可持续发展指标体系的概念性框架以及在此过程中应优先解决的理论问题和实际问题。全文包括绪论和七章正文。绪论。主要介绍了本文选题的背景,研究目标、内容与方法,阐述了本文的创新点与局限性。第一章,阐述了可持续发展概念的认识论渊源、指标体系研究的方法论传统和可持续发展指标体系的建构理论、方法和程序。第二章,阐明了农业可持续发展指标体系和林业可持续发展指标体系的建构方法、研究成果和研究取向及其对海洋捕捞业可持续发展指标体系建构的启示。第三章,就海洋捕捞业的发展历史和现状及其面临的不可持续发展问题进行了介绍,并提出建构中国海洋捕捞业可持续发展指标体系面临的政策性议题和应优先开展的研究活动,以及明确了海洋捕捞业可持续发展指标体系的作用。第四章,介绍了国际政府间组织(特别是联合国系统的一些机构)、非政府组织和各国已经推出了哪些可持续发展指标框架,哪些框架获得了较为广泛的认同,建构国家一级海洋捕捞业可持续发展指标体系应遵循的一般性程序,重点是海洋捕捞业可持续发展参考系统的设计、建构(包括目标的确定、指标和参考点的选取)以及执行,包括对系统绩效的测试,系统建构的数据需求,成本—效益问题,制度方面的要求,能力建设和协调,以及相关研究对中国建构海洋捕捞业可持续发展指标体系的启示。第五章,阐明了有关海洋捕捞业可持续发展指标体系国内外开展的工作、取得的成果和存在的问题。第六章,阐述了海洋捕捞业及其诸维度(生态、经济、社会和治理)与可持续发展的关系,指出海洋捕捞业是一个系统,由“生态子系统、经济子系统、社会子系统和治理子系统”构成,只有当每一子系统都实现了自身的可持续性时,海洋捕捞业才可能实现自身的可持续发展。并进而以“维持海洋生态系统的完整性和健康状态、海洋捕捞业的经济可持续性、沿海渔区的社会可持续性和海洋捕捞业治理的可持续性”为目标,提出了基于生态维度、经济维度、社会维度和治理维度的我国海洋捕捞业可持续发展指标体系的概念性框架。针对我国海洋捕捞业可持续发展指标体系的建构提出一些亟待解决的理论问题和实际问题。第七章,在全文研究的基础上,形成本研究的结论并提出建构我国海洋捕捞业可持续发展指标体系的相关政策建议。为有效达成预期研究目标,本论文采用了一个“结构化的方法论框架”,其核心是“比较案例研究法”。这一方法的设计集中围绕在如何实现本研究所确立的目标,即辨明指标体系的理论基础和要素构成。在分析和评估海洋捕捞业指标体系的建构过程中,本研究交叉采用了解释性模型、理想型和规范框架。解释性模型和结构化评估框架的运用是比较案例研究的一种常用方法。本论文的创新点,主要体现在如下方面。一是在研究领域上,本论文从整体论的角度出发,系统研究了海洋捕捞业可持续发展及其指标体系的基础理论,建构方法、建构程序和实际性问题。二是在研究方法上,本论文以人类认识发展的基本规律为主线,系统梳理了“可持续发展”从“理念”到“概念”再到“行动”的简要过程,而“海洋捕捞业可持续发展”以及“海洋捕捞业可持续发展指标体系”在国际上之所以成为一大热点和前沿研究领域,正是国际社会力图把可持续发展从概念转化为行动的一种努力。三是本研究表明海洋捕捞业可持续发展指标体系建构不仅是一项多学科研究领域,也是一项政策性极强的科研议题,并进而指出建构中国海洋捕捞业可持续发展指标体系的正确顺序。四是明确指出海洋捕捞业由“生态子系统、经济子系统、社会子系统和治理子系统”构成,海洋捕捞业可持续发展必须以“维持海洋生态系统的完整性和健康状态、海洋捕捞业的经济可持续性、沿海渔区的社会可持续性和海洋捕捞业治理的可持续性”为目标。此外,本研究还指出了“(海洋)渔业资源可持续利用”不等同于“(海洋)渔业可持续发展”。笔者清楚地意识到,本研究存在诸多明显的局限性。一是研究时效性问题。论文写作过程中,国际社会正开展多项研究且进展迅速,因而难免出现挂一漏万的问题。二是数据局限性问题。指标是一个政治敏感性议题,再加上时间和资金的限制,本研究无法获取诸多与本研究密切相关的数据。三是模型局限性问题。模型是对现实的一种解释,是组织思想和概念的一种方法,模型不是现实本身。通过各种模型和框架,本研究对各种指标体系予以评估和比较,并观察指标的效果及其应用所面临的议题。对指标结果的解释需要进一步的实地验证和连续的评议和解释过程。此外,政策模型本身有一种固有的主观性。更多还原

【Abstract】 Marine capture fisheries not only faced with how to achieve their own sustainable development,but also shoulders the mission of contributing to the sustainable development of the whole mankind.The indicator system is a bridge that brings the thinking of "sustainable development of marine capture fisheries" from concept to action.China has not yet established an effective national sustainable development indicator system for marine capture fisheries.This paper attempts to develop a conceptual framework for China’s sustainable development indicator system for marine capture fisheries,and deal with some theoretical and practical problems related to it.Based on this thinking,the author identified the subject of this paper as "Study on the sustainable development indicator system for marine capture fisheries".The overall objective of this study is to clarify the establishment theory,methods and procedures of sustainable development indicator system for marine capture fisheries systematically.On this basis,combined with China,especially China’s specific circumstances of marine capture fisheries,the author proposed a conceptual framework for China’s sustainable development indicator system for marine capture fisheries and some policy issues and research activities which should be given priority to in relation to it.In order to achieve these general objectives,this study identified five sub-objectives: First,from the epistemological level,the author straightened the ideological origins of sustainable development and the methodology for the establishment of sustainable development indicator system systematically.Secondly, the author introduced the establishment circumstances of sustainable development indicator system for agriculture and forestry which closely related to fisheries.Thirdly, from the perspective of the holism,the author analyzed the relationship between marine capture fisheries and sustainable development.Fourthly,the author tried to master the progress,orientation and the problems related to the establishment of the sustainable development indicator system for marine capture fisheries both home and abroad.Finally,the author developed a conceptual framework for China’s sustainable development indicator system for marine capture fisheries,and deal with some theoretical and practical problems related to it.The whole paper includes an introduction and seven chapters.Introduction.It introduces the background of the subject,the study objectives, content and methods,describes the innovation and limitations of this paper.Chapter 1 reviews the epistemology origin of the concept of sustainable development,the traditional methodology of the study on indicator system and the theories,methods and procedures of the establishment of the sustainable development indicator system.Chapter 2 expounds the establishment methods,the results and the orientation of the study on the sustainable development indicator system for agriculture and the sustainable development indicator system for forestry,as well as the inspiration to the establishment of the sustainable development indicator system for marine capture fisheries.Chapter 3 introduces the history and the current situation of the marine capture fisheries as well as the issues of unsustainable development which faced to it,and proposes the policy issues and research activities which should be given priority to in relation to develop China’s sustainable development indicator system for marine capture fisheries,as well as makes clear the role of the sustainable development indicator system for marine capture fisheries.Chapter 4 introduces some sustainable development indicator frameworks which has been launched by international intergovernmental organizations(in particular some agencies in the United Nations),non-governmental organizations and some countries,and which frameworks have gained more widely recognition.It also introduces the general procedures of developing national sustainable development indicator system for marine capture fisheries.The focus should be on the design, establishment(including target identification,indicator and reference point selection), and implementation of the sustainable development reference system for marine capture fisheries.It includes the testing to system performance,system development data needs,cost-effective issues,system requirements,capacity building and coordination,and the inspiration by some related study to the development of China’s sustainable development indicator system for marine capture fisheries.Chapter 5 expounds on the work carried out,the results achieved and the problems in the issue of the sustainable development indicator system for marine capture fisheries both home and abroad.Chapter 6 expounds the relationship between marine capture fisheries as well as its various dimensions(ecology,economy,society and governance) and the sustainable development.It has been pointed out that the marine capture fisheries is a system which is made up of the "ecological subsystem,economic subsystem,social subsystem and governance subsystem".Only when each subsystem realizes its own sustainability that marine capture fisheries can make true its self-realization of the sustainable development.With the target of "maintaining the integrity and health of marine ecosystems,the economic sustainability of the marine capture fisheries,the social sustainability of the coastal fishing community,and the governance sustainability of marine capture fisheries",it establishes a conceptual framework of China’s sustainable development indicator system for marine capture fisheries which is based on the ecological dimension,economic dimension,social dimension and governance dimension,it also proposes some theoretical and practical issues which are anxious to be solved in relation to the establishment of China’s sustainable development indicator system for marine capture fisheries.Chapter 7,on the basis of this paper,forms this study’s findings and proposes policy recommendations related to the development of China’s sustainable development indicator system for marine capture fisheries.In order to achieve the intended study objective effectively,this paper uses a "structured methodology framework".The core is "comparative case study method". This approach focuses on how to achieve the established objectives of this study, namely,to identify the theoretical basis and elements of the indicator system.In the analysis and assessment of the development process of sustainable development indicator system for marine capture fisheries,this study intersectantly uses an explanatory model,ideal type and normative framework.The use of the interpretative model and the structured assessment framework is a relatively common method in comparative case study.The innovations of this paper is mainly in the following aspects.First,in the study fields aspect,from the perspective of the holism theory,this paper investigates the basic theory,development methods,development procedures and practical issues related to the sustainable development indicator system for marine capture fisheries systematically.Second,in the study methods aspect,the paper takes the basic law of human understanding development as the main line,and straightens the brief process of the "sustainable development" form the "idea" to the "concept" and to the "action" systematically.It is the international community trying to turn the "sustainable development" from concept to action that the "sustainable development indicator system for marine capture fisheries" has become a hot study field and the front in the international community.Third,this study shows that the development of the sustainable development indicators system for marine capture fisheries is not only a multidisciplinary study field but also a research issues with strong policy,and still further,it points out the correct sequence for the Establishment of China’s sustainable development indicators system for marine capture fisheries.Fourth,it clearly points out that marine capture fisheries is made up of "ecological subsystem,economic subsystem,social subsystem and governance subsystem",and we must take "maintaining the integrity and health of marine ecosystems,the economic sustainability of the marine capture fisheries,the social sustainability of the coastal fishing community,and the governance sustainability of marine capture fisheries" as the target of marine capture fisheries sustainable development.In addition,the study also points out that "sustainable use of(marine) fisheries resources" does not equal "sustainable development of(marine) fisheries".The author is well aware that there are many obvious limitations in this study.The first limitation is the prescription issues.In the writing process of this paper,the international community is undertaking a number of studies and progress rapidly,thus the omission problems is inevitable.The Second limitation is the issue of data.The indicator is a politically sensitive topic,combined with the constraints of time and money,this study can not gain many data which is closely related to this study.The third limitation is the model issues.The model is an interpretation to reality,and it is a way to organize thinking and concept,model is not the reality itself.Through a variety of models and frameworks,this study assesses and compares various indicator systems,and observes the effect of the indicator and the topic faced with its application.The explanation of the indicators results need further field verification and continuous evaluation and interpretation.In addition,the policy model itself has a inherent subjectivity.更多还原