【作者】 朱玉贵；

【导师】 万荣； 慕永通；

【作者基本信息】 中国海洋大学 ， 渔业经济与管理， 2009， 博士

【摘要】 休渔制度自古以来一直都是渔业资源养护与管理的手段之一,尽管对其效果的评价褒贬不一。从全球范围看,现有关于休渔效果的研究,主要是利用生物模型、经济模型或现场观测方法对其施行效果予以评估。1995年以来,伏季休渔制度在中国成为一种覆盖面最广、影响力最大、涉及渔民渔船数量最多、管理任务最重、最具实质性意义的渔业资源养护和管理措施,其实施效果因而直接关乎中国海洋渔业资源可持续利用水平的高低。鉴于此,有必要对其实施效果予以系统评估,看其是否果真如预期般促进海洋渔业可持续发展,是否还存在亟需解决的问题,以及如何解决这些问题。目前,中国对伏季休渔制度的研究主要是集中于两个方面:一是如何进一步完善伏季休渔制度;二是伏季休渔制度的效果如何。其中,在中国伏季休渔效果研究上,现有研究大多关注的是“短期生物学效果”,尽管2006年程家骅对中国伏季休渔制度的生态效果、社会效果及经济效果首次开展了比较系统地研究,但其侧重点仍然是生物学的短期效果。正如任何其它制度一样,伏季休渔制度也带有正向激励和反向激励,从而对渔民行为和渔业绩效产生影响。从系统论的角度看,伏季休渔制度的绩效可从其产生的生物、经济、社会、渔政和国际效应方面加以衡量。本论文力图从系统论的视角出发,构建并应用伏季休渔制度分析框架,对中国伏季休渔制度所产生的生物、经济、社会、渔政及国际效果予以全面评估,提出中国渔业资源养护和管理的未来努力方向以及本领域后续研究的建议。为达成上述目标,本论文在“渔业管理措施施行效果分析的一种概念性框架”和“制度分析与发展框架”的基础上,构建并应用休渔制度分析框架,据此对中国伏季休渔制度施行效果进行理论预期,通过案例分析对理论预期结果予以实证检验,最后指出中国渔业资源养护与管理的努力方向及后续研究建议。本论文共分为七个部分。绪论部分就本研究的必要性、研究目标、研究内容、研究方法、关键术语、创新之处和局限性以及本论文结构做了说明,其余部分的主要内容概括如下:第一部分“休渔制度及其实施效果的分析框架”所包括的主要内容有:(1)渔业管理措施施行效果分析的一种框架;(2)制度分析与发展框架;(3)休渔制度及其施行效果的制度分析框架的构建。第二部分“休渔制度的理论基础”将剖析:(1)休渔制度的思想渊源与发展变迁;(2)渔业管理理论;(3)渔业管理制度理论。第三部分“中国伏季休渔制度的出台背景、演进和配套措施”将阐述:(1)中国伏季休渔制度出台背景;(2)中国伏季休渔制度演变过程与具体内容;(3)中国伏季休渔制度的配套措施。第四部分“关于休渔制度效果的理论预期”将研究:(1)捕捞能力未过剩与未过剩时的休渔效果;(2)休渔制度单独实施及与其它管理制度共同实施时的预期效果;(3)中国伏季休渔制度效果的理论预期。第五部分“案例分析”,将运用上文确定的研究方法与分析框架,开展以下研究:(1)经合发展组织对相关国家实施休渔制度的研究结果;(2)中国伏季休渔制度效果案例分析,研究中国伏季休渔制度的生物效果、经济效果、社会效果、渔政效果及国际效果。第六部分“结论与建议”将凝练本研究的基本结论,阐明中国渔业资源养护与管理的未来努力方向,提出本领域后续研究的方向。本论文的主要结论是,伏季休渔制度为缓和渔业资源基础薄弱和捕捞能力严重过剩这一矛盾起到了一定的积极作用,但是这一积极作用仅仅是暂时的,因此,伏季休渔制度是一种治标而不治本的渔业管理制度。另外,本论文研究表明,中国海洋渔业资源利用的现有制度安排、资源本身的生物物理性质和渔民的心理及行为三者之间的不相匹配,这是导致中国海洋捕捞能力严重过剩从而渔业资源衰退甚至枯竭的根本性原因。因此,要确保中国渔业资源处于良性循环和可持续利用的状态,实现海洋渔业可持续发展目标,需要构建激励相容的渔业管理制度,因而,本论文建议应将中国渔业管理制度的改革方向定为实施捕捞限额制度。关于本研究的后续研究方向,本论文的主要建议是:(1)系统收集有关中国海洋渔业的生物、经济和社会的时间序列数据以及渔政管理效果和周边国家反应方面的信息;(2)构建渔业管理措施绩效评价指标体系;(3)对休渔制度与两种或两种以上制度共同实施时的效果进行理论预期和实证研究;(4)在开展每一个休渔效果案例分析时,尽可能从生物、经济、社会、渔政及国际效果分别对其进行系统考察;(5)研究中国实施捕捞限额制度的可行性及具体实施方案;(6)对休渔制度施行效果进行多角度、多视野、多层次的研究。更多还原

【Abstract】 Since ancient times, time and area closures system has been considering to be one of the most important approaches to conserve and manage the fisheries resources, though it is commended ranging from praise to criticism. However, the methods to evaluate its effects are mainly to make use of biologic models, economic models or marine in-situ observations from the global scope.Since 1995, the summer fishing moratorium system is the most covering surface, influence surface, task management, fishing vessels and fishermen involved and substantiality taken on measure of protection and management in terms of the China’s current fisheries resources management. Therefore, to some extent, the summer fishing moratorium effects stand or fall determine the sustainable development level of China’s marine fisheries resources directly. Thus, it’s necessary to analyze its effects by the numbers to examine that it has promoted the sustainable development of marine fisheries whether or not as expected, dealt with the all preconcerted problems whether or not and how to deal with those problems still in exist.Presently, the researches on China’s summer fishing moratorium system are focusing on the following two aspects: one is how to perfect the summer fishing moratorium further; the other is what are the effects of the summer fishing moratorium? Thereinto, in terms of the effects, the main attentions are paid on the biologically short-term effects. Though Chen Jiahua has researched firstly on the effects of zoology, society and economy more systemically in 2006, he emphasized particularly on the studies of biologically short-term effects all the time. Each institution contains some incentive mechanism (including positive incentives and negative effects), and this mechanism effects fishermen on their behaviors and the fisheries performances. Generally speaking, fisheries performances are evaluated according to biologic, economic, social, fishery administrative and international effects from system theory. Therefore, this dissertation is to attempt to explore the biologic, economic, social, fishery administrative and international effects of the summer moratorium from the perspective of institution analysis, and develop some interrelated political suggestions and some advice to follow-up researching directions on the basis of the above studies.In order to achieve the above targets, this dissertation adopts the following research framework and research methodology. In terms of the research framework, this dissertation is to construct the framework of institutional analysis of the time and area closures system on the basis of the conceptual framework of implementation effects analysis of fisheries management measures and the institutional analysis and development framework. In terms of research methodology, this dissertation makes use of the theoretical expectation method combined with case analysis to research the implementation effects of China’s summer fishing moratorium.This dissertation consists of the seven chapters. Thereinto, the introduction involves the research necessity, research targets, research contents, research methodology, key terms, innovations, limitations and the framework of this dissertation. The remains are introduced respectively as follows: The first chapter“Institutional Analysis Framework of Time and Area Closures System and Its Effects”mainly involves: (1) the conceptual framework of implementation effects analysis of fisheries management measures; (2) the institutional analysis and development framework; and (3) the construction of the framework of institutional analysis of the time and area closures system and its effects.The second chapter“Theoretical Basis of Time and Area Closures System”introduces: (1) thought origin and development change of Time and Area Closures System; (2) theory of fisheries management; and (3) theory of fisheries management system.The third chapter“China’s Summer Fishing Moratorium Enactment Context, Development and Supporting Measures”introduces: (1) context of coming on with China’s summer fishing moratorium; change process and concrete content of China’s summer fishing moratorium; and (3) matching measures of China’s summer fishing moratorium.The fourth chapter“Effects of Time and Area Closures System: Theoretic Expectation”researches: (1) effects of time and area closures when fishing capacity is excess and fishing capacity isn’t excess; (2) expectation effects when the time and area closures system is implemented solely and the time and area closures system is combined with other management systems jointly; and (3) theoretic expectation of implementation effects of China’s summer fishing moratorium.The fifth chapter“Case Analysis”research the following context based on the above research methodology and analysis framework: (1) the research results of the time and area closures system about some interrelated countries which was taken by Organization for Economic Co-operation and Development; (5) case analysis of China’s summer fishing moratorium, namely researching the biologic, economic, social, fishery administrative and international effects of China’s summer fishing moratorium system.The sixth chapter“Conclusions and Suggestions”summarizes the main research conclusions of this dissertation, and develops some countermeasures and measures aiming at improving the implementation effects of China’s summer fishing moratorium system, points out some advice to follow-up researching directions and some interrelated suggestions.Therefore, this dissertation concludes: though the summer fishing moratorium plays some positive role in the mitigating inconsistency of weak fisheries resources basis and serve overcapacity, the positive effects are merely temporary. Consequently, the summer fishing moratorium system is just an ad hoc approach to fisheries management. Besides, this dissertation research reveals that the actual institutional arrangements and the biophysical characters of fisheries resources don’t match with the mind and behavior of fishermen and this is just the root reasons resulting in the serious overcapacity thus fisheries resources declining and exhausting. Therefore, it’s necessary to construct fisheries management system of incentive compatibility in order to achieve the sustainable development of fisheries resources utilizations. As a result, this dissertation makes suggestions that the innovation way of China’s fisheries management system should be to implement fishing quotas system.There are still many problems awaiting to be studied and dealt further in that this dissertation can’t deal with all problems in the course of studying. Thus, this dissertation eventually develops some follow-up researching directions as follows: (1) research the implementation effects indicator system of time and area closures system systematically and penetratingly; (2) construct the indicator system of evaluating the performance of fisheries management measures; (3) review more about theoretic expectation effects of time and area closures system combined with more than one fisheries management system jointly; (4) research the effects from the perspective of biologic, social, fishery administrative and international effects as far as possible when carrying out each case analysis of implementation effects of time and area closures system; (5) research the feasibility and material implement scheme of carrying out the fishing quotas system, and (6) research the implementation effects of time and area closures system from more perspectives, views and arrangements.更多还原