中国近海渔业捕捞能力的控制与量化研究
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摘要
在我国近海,捕捞能力的持续增加给渔业资源带来了沉重的压力,几乎所有近海渔场都出现了不同程度的资源衰竭。渔业资源的日益衰退使近海捕捞渔业的发展呈现出不可持续性,渔区经济与渔民生活受到很大影响。因此,控制与削减我国近海的捕捞能力,已成为发展我国沿海渔业经济的一个急需解决的大问题。本文就是在这样的背景下,通过理论分析、模拟分析与实证研究,为我国近海捕捞能力的有效控制提供政策建议。为便于阐述,本文将研究划分成七章:
第一章简要介绍了本研究的背景、意义与研究框架。通过系统介绍捕捞能力的概念、相关研究的国际国内背景,指出无论在国际还是在国内,加强捕捞能力控制的研究已成为渔业管理工作者的最为迫切的任务。特别的,在我国开展这项研究,有利于维护我国在世界渔业中负责任国家的形象,保证我国在世界海洋渔业资源的再分配中处于主动地位;有利于恢复和养护我国自身的近海渔业资源,保证海洋捕捞渔业与沿海渔区经济的可持续发展。通过控制我国近海的捕捞能力,能有效的在我国海洋捕捞渔业中大量减少人力、物力资源的浪费,促进捕捞活动与环境和自然资源的协调,在渔区建设资源节约型和环境友好型社会。本章为本文的研究界定了范围、确定了技术路线并概括了研究中可能的创新点。
第二章以实际分析的方法对已有捕捞能力管理制度进行评析。通过对现有渔业管理制度的回顾与评述,从理论分析与实证研究两方面说明,尽管已有的渔业管理制度对渔业资源的利用、保护和恢复已经起到了一定的作用,但对捕捞能力的控制作用还很不够,特别是当他们单独实施时,其效果一般都不理想。由此本章提出,开展制度创新,加强现有渔业管理制度间的互补研究,是进一步开展捕捞能力控制研究需要迫切解决的问题。
第三章从理论分析的角度对解决近海过度捕捞问题进行探讨。在从理论与实际两方面分析了我国近海捕捞能力过剩的经济根源后,本文指出:捕捞渔业生产中严重的外部不经济性导致海洋生物资源的利用成本太低,必然引起近海捕捞的过度投资和资源的过度利用,是近海捕捞能力过剩的主要经济原因。并由此推论:缺乏有效管理的近海捕捞渔业必然会产生过度捕捞。基于这样的分析结果,本章将解决外部性的相关理论运用到我国近海捕捞的具体实际,探讨解决我国近海捕捞能力过剩的经济途径,认为:税费制度可能成为解决近海过度捕捞的有效经济手段。接着本章进一步从经济、产业政策及资源保护三方面分别论述了在近海捕捞渔业中征收税费的合理、合法与必要性,并利用经济模型就征收税费对控制近海捕捞能力的影响进行了定性分析,确认了税费制度的有效性。
从第四章开始,进入了本研究主要的创新部分。为了便于下文从数量上分析税费对控制捕捞能力的影响,本章对中国近海捕捞能力进行了系统的量化研究。在比较了联合国粮农组织(FA0)推荐的三种计量捕捞能力的数学方法后,本文选择数据包络分析法在国内首次对我国近海近十三年的捕捞能力进行了较为系统的计量。研究中发现:能力产量与渔业资源的相关性较目前的统计产量更显著,因此将能力产量作为渔业管理的指标较统计产量能更敏感的发现捕捞渔业中存在的问题;而能力利用度在地区间和不同年份间的比较中作为资源水平与捕捞强度的综合指标,有利于对近海渔业管理的绩效进行量化比较。为了验证这一点,本章应用能力利用度作为指标对我国近海捕捞能力进行了实际分析,表明:我国黄渤海渔区中的渤海区资源衰竭与捕捞过度的程度都比较严重,需要引起高度重视。通过采用能力产量与能力利用度两个指标对我国近年来的渔业管理政策进行评价,本文认为:1999年之前的渔业管理政策对捕捞能力的有效控制总的来说作用不显著。但从1999到2004年,由于我国政府高度重视捕捞能力的缩减工作,实施了一系列的渔业政策,产生了比较明显的综合成效。
在第四章捕捞能力量化分析打下的基础上,承接第三章得出的税费对捕捞能力控制的有效性结论,第五章进一步对资源税费在捕捞能力控制中的作用进行了量化的模拟与实证研究。首先,利用我国近十三年的渔业统计数据,通过计量经济学模型,建立了能力产量与收入间、能力利用度与能力产量间以及单位能力产量收益与能力利用度间的数量关系,并利用这一系列模型就不同费率条件下征收税费对近海近十年捕捞能力控制的影响与设定控制目标下征税方案的制定进行定量模拟分析,成功的说明了不同费率对捕捞能力控制的不同效果;然后,根据调查得到的福建省东山县单船底拖网渔业的生产数据,对税费在实际生产中对捕捞能力变化的可能影响进行了实证分析。模拟与实证分析都表明:只要征收费率得当,税费对捕捞能力的控制作用是比较明显的。而目前我国近海捕捞渔业征收的渔业资源增殖保护费之所以不能起到控制捕捞能力的作用,主要原因是因为其费率过低。另外,税费政策能有效提高捕捞行业的整体生产效率,这是税费政策较其他渔业管理措施的优势所在。研究还表明,若在执行税费政策的同时,能根据渔区的实际情况规定渔区雇工的最低工资,则可以在达到控制同样捕捞能力数量的目标的同时降低费率,增加税费制度在渔区的可行性。
根据前面五章的研究结果,第六章对捕捞能力控制制度的改进与完善进行了更深入的讨论。通过对现有捕捞能力控制制度的再思考,本文认为:目前我国对基于收益的近海捕捞管理的经济手段的研究与实践都比较薄弱。在借鉴国外关于渔业管理制度改进的构想,结合国内渔民转产转业成功经验的调研之后,本文提出了改进与完善捕捞能力控制制度的建议,认为:在我国近海捕捞渔业中,加大资源保护费的征收力度,加强各项管理制度间的相互配合,构造控制捕捞能力的“组合解”,充分发挥政策组合的“推-拉”综合效应,能有效抑制近海捕捞能力的盲目增长。
第七章为全文总结。对全文的主要工作与结论进行了概括与总结,并指出了本研究的局限性以及今后的研究建议。
In China the continuing increase of fishing capacity brings fishery resource more and more heavy press.The fishery resource is crocking up in almost every Chinese fishing ground.Because of the crocking up of fishery resource,the inshore fishing fishery in China cann't be developed continuously.The economy in fishing area and the living of fisherfolk are affected badly.So it is in dire need to control and cut Chiness inshore fishing capacity for developing inshore fishery economy.In this background,through theory analysis, simulation analysis and demonstration,the policy suggestiong was made by this thesis to effectively control Chinese inshore fishing capacity.For convenience,this thesis was carved up seven chapters.
In chapter 1,a brief introducetion of the background,purpose and outline of this study were given.By systemic introducing the concepts of fishing capacity and the international and demestic research background on the fishing capacity,it was pointed out that the research of controlling fishing capacity was becoming the most exigent task for the scientists in the whole world who devoted into the study of fishery management.Especially, it was helpful for keeping China as a responsible country and guanrenteeing Chinese adventaged status in the reallocating of the global oceanic fishing resources;it was helpful for resuming and conserving inshore fishing resource in our country and assuring sustainable development to Chinese fishing fishery and the economy of fishing area. Through controlling Chinese fishing capacity in inshore fleets,a great deal waste of manpower and material resources may be effectively reduced,a society where resource was economized and environment was protected can be builded.In this thesis,the research bound and the technical route were confirmed,and the possible innovation points were summarized.
In chapter 2,the current management systems to control fishing capacity were evaluated with practical analyzing method.After reviewing and evaluating the current management systems,it was explained from theory and demonstration that the effect of these systems is not enough valid for controlling fishing capacity,although they had already some action for using,protecting and resuming fishery resource.Especialy when these systems were carried out solely,the effect was always not ideal.According the above conclusions,the chapter suggested:it was exigent for more research on controlling fishing capacity to innovate the current fishery management systems and strengthen the research on cooperation between them.
In chapter 3,the problem on settling the over fishing in Chinese inshore sea was discussed with theoretical analyzing method.The economic root for overplus of fishing capacity of Chinese inshore fleets was analyzed from theoretic and practical aspects.It was pointed out in the chapter that serious diseconomy externalities made the productive cost be too low in utilizeing ocean fishery resource,arosed over investing and over utilizing in fishing,so it was a major cause for overplus of fishing capacity of Chinese inshore fleets.It deduced by the above analysis:the over fishing is inevitable if the inshore fishing fishery cann't be effectively managed.Base on the above conclusion,the economic track to settle overplus of fiahing capacity of inshore fishing fleets was explored in this chapter by bringing the theory of resolving externalities to the practice of Chinese inshore fishery.So a conclusion was educed:the system of tax or fee may become an effective economic instrument for settling the problem of over fishing.After the rationality of taxing from inshore fishing fleets was dissertated through three aspects of economy,industry policies and resource protecting,the qualitative analysis was made by economic model for evaluating effect of taxing to control fishing capacity.The validity of the taxing system was also more affirmed.
From chapter 4,it was begun for the major innovative parts in this thesis.The chapter studied the measuring of fishing capacity for Chinese inshore fleets,so as to quantitatively analyze the effect of controlling fishing capacity by collecting tax in the following text. After comparing three mathematic methods recommend by FAO for measuring fishing capacity,data envelopment analysis was chosen in this thesis and the fishing capacity of Chinese inshore fleets in thirteen years was systemic measured in the first time.It was discovered in the research:the capacity ouput had more distinct relativity with fishery resource than the statistic yield's,so it may be more sensitively to find the problems in fishing fishery than the statistic yield if capacity output would be as an index of fishery management.In addition,capacity utilization can be as an integrative index of resource level and fishing intensity in comparing between different area and different years.It makes for comparing performance in inshore fishery management from quantity.To validate it, Chinese inshore fishing capacity was practically analyzed by the index of capacity utilization.It was found that the resource declining and over fishing in Bohai Sea were the worst in Chinese maritime space.It should be attached much importence for the fishery management departments.By evaluating to Chinese policy of fishery management in latest years with indexes of capacity output and capacity utilization,it was pointed out in the chapter:the effect of policy for controlling fishing capacity was not distinct before 1999, but from 1999 to 2004,the compositive effect was a bit obvious,because Chinese government thank much of the curtailment of fishing capacity and carried out a series of fishery management policies.
Based on the quantitative analysis of fishing capacity in chapter 4 and the conclusion of taxing validity for controlling fishing capacity in chapter 3,the simulation and demonstration were done in chapter 5 for studying the effect of taxing from quantity to control fishing capacity.Firstly in this chapter,using Chinese statistical data of fishing fishery in latest thirteen years,the quantity relation models were set up between the capacity output and the income,the capacity utilization and the capacity output,and the income by an unit capacity output and capacity utilization with econometrics models,then using the serious models,the quantitative analyzing was successfully achieved to simulate the effect of controlling fishing capacity by collecting tax in different rates in latest ten years,and to establish a future tax scheme for certain controlled aim.It can explain different controlling effect for fishing capacity by different tax or fee rate.After the above simulation analyse,according to the practical production data of the otter trawls fishery in Dongsan country,demonstration analyse was accomplished for the effect of probable variation for fishing capacity in practice by collecting tax.These analyse made it more clear that tax or fee will be effective for controlling fishing capacity as long as the rate is appropriate high.But why protecting fee for fishery resource proliferation can't effectively control fishing capacity in China? Its major cause is that the taxing rate is too low.In the same time,the production efficiency of fishing fishery will be efficiently increased by taxing policy.It is more superior to other fishery management instruments.Moreover,when the tax or fee policy was been carried out,the minimum wage of employe was regulated in the light of the fact of the fishing area;the fee rate would be decreased when the aim for controlling same fishing capacity was achieved.This would make the tax or fee system more feasible in the fishing area.
According to the research outcomes,the improvement on the system of controlling fishing capacity has been further discussed in chapter 6.Based on the foregoing research, the system for controlling fishing capacity was considered again.The chapter thought:in Chinese inshore fishing management,the research and practice for economic methods based on income was weak.Again,using the foreign conceiving for improving the fishery management system for reference,and investigating demestic successful experience of fishers' transferring job,some suggestion was put forward to improve the current system of ontrolling fishing capacity.It was suggested in this paper:in Chinese inshore fishing fishery, it would be effective for controlling fishing capacity to increase the rate of resource protecting fee and strengthen mutual cooperation between each management system.
In chapter 7,the thesis was summarized.The major work and conclusions in this thesis were gathered up.The localization in this research and the suggestiong for future study were indicated.
第一章简要介绍了本研究的背景、意义与研究框架。通过系统介绍捕捞能力的概念、相关研究的国际国内背景,指出无论在国际还是在国内,加强捕捞能力控制的研究已成为渔业管理工作者的最为迫切的任务。特别的,在我国开展这项研究,有利于维护我国在世界渔业中负责任国家的形象,保证我国在世界海洋渔业资源的再分配中处于主动地位;有利于恢复和养护我国自身的近海渔业资源,保证海洋捕捞渔业与沿海渔区经济的可持续发展。通过控制我国近海的捕捞能力,能有效的在我国海洋捕捞渔业中大量减少人力、物力资源的浪费,促进捕捞活动与环境和自然资源的协调,在渔区建设资源节约型和环境友好型社会。本章为本文的研究界定了范围、确定了技术路线并概括了研究中可能的创新点。
第二章以实际分析的方法对已有捕捞能力管理制度进行评析。通过对现有渔业管理制度的回顾与评述,从理论分析与实证研究两方面说明,尽管已有的渔业管理制度对渔业资源的利用、保护和恢复已经起到了一定的作用,但对捕捞能力的控制作用还很不够,特别是当他们单独实施时,其效果一般都不理想。由此本章提出,开展制度创新,加强现有渔业管理制度间的互补研究,是进一步开展捕捞能力控制研究需要迫切解决的问题。
第三章从理论分析的角度对解决近海过度捕捞问题进行探讨。在从理论与实际两方面分析了我国近海捕捞能力过剩的经济根源后,本文指出:捕捞渔业生产中严重的外部不经济性导致海洋生物资源的利用成本太低,必然引起近海捕捞的过度投资和资源的过度利用,是近海捕捞能力过剩的主要经济原因。并由此推论:缺乏有效管理的近海捕捞渔业必然会产生过度捕捞。基于这样的分析结果,本章将解决外部性的相关理论运用到我国近海捕捞的具体实际,探讨解决我国近海捕捞能力过剩的经济途径,认为:税费制度可能成为解决近海过度捕捞的有效经济手段。接着本章进一步从经济、产业政策及资源保护三方面分别论述了在近海捕捞渔业中征收税费的合理、合法与必要性,并利用经济模型就征收税费对控制近海捕捞能力的影响进行了定性分析,确认了税费制度的有效性。
从第四章开始,进入了本研究主要的创新部分。为了便于下文从数量上分析税费对控制捕捞能力的影响,本章对中国近海捕捞能力进行了系统的量化研究。在比较了联合国粮农组织(FA0)推荐的三种计量捕捞能力的数学方法后,本文选择数据包络分析法在国内首次对我国近海近十三年的捕捞能力进行了较为系统的计量。研究中发现:能力产量与渔业资源的相关性较目前的统计产量更显著,因此将能力产量作为渔业管理的指标较统计产量能更敏感的发现捕捞渔业中存在的问题;而能力利用度在地区间和不同年份间的比较中作为资源水平与捕捞强度的综合指标,有利于对近海渔业管理的绩效进行量化比较。为了验证这一点,本章应用能力利用度作为指标对我国近海捕捞能力进行了实际分析,表明:我国黄渤海渔区中的渤海区资源衰竭与捕捞过度的程度都比较严重,需要引起高度重视。通过采用能力产量与能力利用度两个指标对我国近年来的渔业管理政策进行评价,本文认为:1999年之前的渔业管理政策对捕捞能力的有效控制总的来说作用不显著。但从1999到2004年,由于我国政府高度重视捕捞能力的缩减工作,实施了一系列的渔业政策,产生了比较明显的综合成效。
在第四章捕捞能力量化分析打下的基础上,承接第三章得出的税费对捕捞能力控制的有效性结论,第五章进一步对资源税费在捕捞能力控制中的作用进行了量化的模拟与实证研究。首先,利用我国近十三年的渔业统计数据,通过计量经济学模型,建立了能力产量与收入间、能力利用度与能力产量间以及单位能力产量收益与能力利用度间的数量关系,并利用这一系列模型就不同费率条件下征收税费对近海近十年捕捞能力控制的影响与设定控制目标下征税方案的制定进行定量模拟分析,成功的说明了不同费率对捕捞能力控制的不同效果;然后,根据调查得到的福建省东山县单船底拖网渔业的生产数据,对税费在实际生产中对捕捞能力变化的可能影响进行了实证分析。模拟与实证分析都表明:只要征收费率得当,税费对捕捞能力的控制作用是比较明显的。而目前我国近海捕捞渔业征收的渔业资源增殖保护费之所以不能起到控制捕捞能力的作用,主要原因是因为其费率过低。另外,税费政策能有效提高捕捞行业的整体生产效率,这是税费政策较其他渔业管理措施的优势所在。研究还表明,若在执行税费政策的同时,能根据渔区的实际情况规定渔区雇工的最低工资,则可以在达到控制同样捕捞能力数量的目标的同时降低费率,增加税费制度在渔区的可行性。
根据前面五章的研究结果,第六章对捕捞能力控制制度的改进与完善进行了更深入的讨论。通过对现有捕捞能力控制制度的再思考,本文认为:目前我国对基于收益的近海捕捞管理的经济手段的研究与实践都比较薄弱。在借鉴国外关于渔业管理制度改进的构想,结合国内渔民转产转业成功经验的调研之后,本文提出了改进与完善捕捞能力控制制度的建议,认为:在我国近海捕捞渔业中,加大资源保护费的征收力度,加强各项管理制度间的相互配合,构造控制捕捞能力的“组合解”,充分发挥政策组合的“推-拉”综合效应,能有效抑制近海捕捞能力的盲目增长。
第七章为全文总结。对全文的主要工作与结论进行了概括与总结,并指出了本研究的局限性以及今后的研究建议。
In China the continuing increase of fishing capacity brings fishery resource more and more heavy press.The fishery resource is crocking up in almost every Chinese fishing ground.Because of the crocking up of fishery resource,the inshore fishing fishery in China cann't be developed continuously.The economy in fishing area and the living of fisherfolk are affected badly.So it is in dire need to control and cut Chiness inshore fishing capacity for developing inshore fishery economy.In this background,through theory analysis, simulation analysis and demonstration,the policy suggestiong was made by this thesis to effectively control Chinese inshore fishing capacity.For convenience,this thesis was carved up seven chapters.
In chapter 1,a brief introducetion of the background,purpose and outline of this study were given.By systemic introducing the concepts of fishing capacity and the international and demestic research background on the fishing capacity,it was pointed out that the research of controlling fishing capacity was becoming the most exigent task for the scientists in the whole world who devoted into the study of fishery management.Especially, it was helpful for keeping China as a responsible country and guanrenteeing Chinese adventaged status in the reallocating of the global oceanic fishing resources;it was helpful for resuming and conserving inshore fishing resource in our country and assuring sustainable development to Chinese fishing fishery and the economy of fishing area. Through controlling Chinese fishing capacity in inshore fleets,a great deal waste of manpower and material resources may be effectively reduced,a society where resource was economized and environment was protected can be builded.In this thesis,the research bound and the technical route were confirmed,and the possible innovation points were summarized.
In chapter 2,the current management systems to control fishing capacity were evaluated with practical analyzing method.After reviewing and evaluating the current management systems,it was explained from theory and demonstration that the effect of these systems is not enough valid for controlling fishing capacity,although they had already some action for using,protecting and resuming fishery resource.Especialy when these systems were carried out solely,the effect was always not ideal.According the above conclusions,the chapter suggested:it was exigent for more research on controlling fishing capacity to innovate the current fishery management systems and strengthen the research on cooperation between them.
In chapter 3,the problem on settling the over fishing in Chinese inshore sea was discussed with theoretical analyzing method.The economic root for overplus of fishing capacity of Chinese inshore fleets was analyzed from theoretic and practical aspects.It was pointed out in the chapter that serious diseconomy externalities made the productive cost be too low in utilizeing ocean fishery resource,arosed over investing and over utilizing in fishing,so it was a major cause for overplus of fishing capacity of Chinese inshore fleets.It deduced by the above analysis:the over fishing is inevitable if the inshore fishing fishery cann't be effectively managed.Base on the above conclusion,the economic track to settle overplus of fiahing capacity of inshore fishing fleets was explored in this chapter by bringing the theory of resolving externalities to the practice of Chinese inshore fishery.So a conclusion was educed:the system of tax or fee may become an effective economic instrument for settling the problem of over fishing.After the rationality of taxing from inshore fishing fleets was dissertated through three aspects of economy,industry policies and resource protecting,the qualitative analysis was made by economic model for evaluating effect of taxing to control fishing capacity.The validity of the taxing system was also more affirmed.
From chapter 4,it was begun for the major innovative parts in this thesis.The chapter studied the measuring of fishing capacity for Chinese inshore fleets,so as to quantitatively analyze the effect of controlling fishing capacity by collecting tax in the following text. After comparing three mathematic methods recommend by FAO for measuring fishing capacity,data envelopment analysis was chosen in this thesis and the fishing capacity of Chinese inshore fleets in thirteen years was systemic measured in the first time.It was discovered in the research:the capacity ouput had more distinct relativity with fishery resource than the statistic yield's,so it may be more sensitively to find the problems in fishing fishery than the statistic yield if capacity output would be as an index of fishery management.In addition,capacity utilization can be as an integrative index of resource level and fishing intensity in comparing between different area and different years.It makes for comparing performance in inshore fishery management from quantity.To validate it, Chinese inshore fishing capacity was practically analyzed by the index of capacity utilization.It was found that the resource declining and over fishing in Bohai Sea were the worst in Chinese maritime space.It should be attached much importence for the fishery management departments.By evaluating to Chinese policy of fishery management in latest years with indexes of capacity output and capacity utilization,it was pointed out in the chapter:the effect of policy for controlling fishing capacity was not distinct before 1999, but from 1999 to 2004,the compositive effect was a bit obvious,because Chinese government thank much of the curtailment of fishing capacity and carried out a series of fishery management policies.
Based on the quantitative analysis of fishing capacity in chapter 4 and the conclusion of taxing validity for controlling fishing capacity in chapter 3,the simulation and demonstration were done in chapter 5 for studying the effect of taxing from quantity to control fishing capacity.Firstly in this chapter,using Chinese statistical data of fishing fishery in latest thirteen years,the quantity relation models were set up between the capacity output and the income,the capacity utilization and the capacity output,and the income by an unit capacity output and capacity utilization with econometrics models,then using the serious models,the quantitative analyzing was successfully achieved to simulate the effect of controlling fishing capacity by collecting tax in different rates in latest ten years,and to establish a future tax scheme for certain controlled aim.It can explain different controlling effect for fishing capacity by different tax or fee rate.After the above simulation analyse,according to the practical production data of the otter trawls fishery in Dongsan country,demonstration analyse was accomplished for the effect of probable variation for fishing capacity in practice by collecting tax.These analyse made it more clear that tax or fee will be effective for controlling fishing capacity as long as the rate is appropriate high.But why protecting fee for fishery resource proliferation can't effectively control fishing capacity in China? Its major cause is that the taxing rate is too low.In the same time,the production efficiency of fishing fishery will be efficiently increased by taxing policy.It is more superior to other fishery management instruments.Moreover,when the tax or fee policy was been carried out,the minimum wage of employe was regulated in the light of the fact of the fishing area;the fee rate would be decreased when the aim for controlling same fishing capacity was achieved.This would make the tax or fee system more feasible in the fishing area.
According to the research outcomes,the improvement on the system of controlling fishing capacity has been further discussed in chapter 6.Based on the foregoing research, the system for controlling fishing capacity was considered again.The chapter thought:in Chinese inshore fishing management,the research and practice for economic methods based on income was weak.Again,using the foreign conceiving for improving the fishery management system for reference,and investigating demestic successful experience of fishers' transferring job,some suggestion was put forward to improve the current system of ontrolling fishing capacity.It was suggested in this paper:in Chinese inshore fishing fishery, it would be effective for controlling fishing capacity to increase the rate of resource protecting fee and strengthen mutual cooperation between each management system.
In chapter 7,the thesis was summarized.The major work and conclusions in this thesis were gathered up.The localization in this research and the suggestiong for future study were indicated.
引文
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