【作者】 任勇；

【导师】 白永秀；

【作者基本信息】 西北大学 ， 人口、资源与环境经济学， 2008， 博士

【副题名】以铜川市为例

【摘要】 矿业城市为我国地区经济乃至整个国民经济的发展做出了重要贡献。但近几年来,有不少矿业城市面临着矿竭城衰的威胁。如果按照市场化的城市发展方式任意发展下去,这些城市将会由于人口的流动、产业的衰退、产业集聚经济的消失而萧条。因此,对于矿业城市的发展,我们必须促进其产业的转型,调整和优化产业结构;对于正在衰退的产业,我们必须建立起相应的产业补偿和生态补偿机制,寻求合适的接续产业,实现产业的可持续发展。为此,探讨最佳的矿业城市产业转型模式就显得尤为紧迫和重要。本文共九章,第一章作为导言,阐明了本文的选题背景、意义及研究的方法与创新,从第二章开始,文章首先对矿业城市产业转型模式研究的相关文献进行了综述,重点对我国近些年来关于矿业城市转型模式的研究进行了述评,在此基础上,界定了矿业城市的涵义,明确了矿业城市产业结构特征及产业演进特征。鉴于矿业城市产业结构的单一性及演进上的突发性、分散性和阶段性,引申证明了矿业城市产业转型的必要性和必然性,并为此深入探讨了矿业城市产业转型的理论依据,如主导产业选择理论、资源产业关联理论和循环经济及生态经济理论等。其次,文章重点就矿业城市现有模式进行研究。在比较分析国内外较为典型的转型模式如美国休斯敦模式、法国鲁尔模式、日本九洲模式、我国阜新模式和恒山模式等模式的基础上,概括总结了现有矿业城市产业转型的模式,共有五种,分别是企业能力再造模式、产业区位转移模式、产业延伸模式、产业创新模式以及复合模式。为了确保模式选择和模式界定的科学性和可操作性,文章还对影响模式选择的因素一一进行了深入分析。这些因素包括资源开发的阶段因素、资源开发的规模因素、产业政策因素、区位因素以及产业转型的外部性因素等。随之,文章就如何促进矿业城市产业转型进行了对策分析,依次提出了矿业产业前期开发、增产期、稳定期及衰退期实施转型的策略;提出城市发展与资源生产区位适当的分离,具体包括资源生产区位的非城市化和资源开发行为的企业化;还提出对衰退产业应当给予退出援助,对新兴产业发展应给予支持和诱导,同时强调必须加强生态环境的治理和保护,促进城市生态系统的建设。最后,文章依托前面对矿业城市产业转型模式铺垫性研究,针对铜川市实际,就铜川市产业转型模式的选择问题进行了深入细致地探讨。在充分论证的基础上提出了铜川市的产业转型模式,即“产业延续+接替产业+新区城乡一体化”复合型模式,并随后就如何实施这一模式使其真正发挥效益提出针对性政策与建议。文章末尾还就有待进一步研究的问题进行了认真总结,如接替产业的选择标准问题等。论文的创新之处主要有以下几点:第一,本文认为,矿业城市产业转型本质是一种指导思想,而不是形式;是一个过程,而不是结果。以往的研究认为,矿业城市产业转型是基于矿竭城衰而不得已的选择。这种解释是从中观和微观的角度来认识这一问题的,有些片面。本文认为,矿业城市产业转型更应该从宏观的角度去理解,即矿业城市的产业转型是基于科学发展观、谋求可持续发展而展开的。因此,矿业城市的产业转型不能在矿竭城衰的时候开始,而是在矿业城市的开发期、成长期、成熟期及衰退期都应给予重视。尤其在我国整体技术水平不高,整体矿业开发和利用水平处于国际同产业低端的情况下显得尤为重要。第二,明确界定了主要几种矿业城市产业转型模式的特点、适用对象及优缺点。文章在对现有具体矿业城市产业转型模式的比较分析以及对影响模式选择的关键因素分析的基础上,概括总结出了现有的全部主要矿业城市产业转型模式,包括企业能力再造模式、产业区位转移模式、产业延伸模式、产业创新模式、复合模式等,明确界定了主要这几种转型模式的特点、适用对象及优缺点。第三,创新性地构建出了铜川市产业转型新模式,即“产业延续+接替产业+新区城乡一体化”复合型模式。在大量规范和实证研究的基础上,密切结合铜川市矿业产业现状,尤其针对煤炭及载能产业的衰退成因,利用铜川近十年来的产业发展的时间序列数据,用计量经济学的方法进行分析论证,创造性地构建了铜川市产业转型的基本模式,即“产业延续+接替产业+新区城乡一体化”复合型模式。第四,本文重点运用了数理模型的分析方法。如对铜川市主导产业的选择分析以及矿业产业外部性博弈分析,都运用了数理模型,从而增强了研究的严谨性、科学性和有效性。论文主要结论包括,第一,认为导致矿业城市产业转型困难的主要原因是:路径依赖导致资源枯竭型城市的产业结构呈现非均衡性;沉淀成本的存在导致产业结构具有刚性;非资源型产业发育不足,同时缺乏产业集聚的效应。第二,产业模式的科学合理选择必须综合考虑资源开发的阶段、规模、产业政策和外部性等因素。特别是外部性因素涉及矿业城市转型过程中的环境成本,对于矿业城市的可持续发展具有重要意义。第三,矿业城市产业转型模式可能在转型过程中依靠市场机制得以自发解决,但是如果能在充分利用市场机制的前提下,协调和完善政府职能,有意识地、前瞻性地处理和解决“资源配置的不可逆性”导致的难题,能更有力地推进城市衰退产业转型。更多还原

【Abstract】 The mining cities in China have made significant contributions for the development of regional economy and even the entire national economy. However, as the increase in energy consumption and the result of many years of mining, most mining cities face the threat of ore exhaustion. If develops arbitrarily according to the way of market-oriented urban development, these cities will suffer economic depression with the population flowing, the industry’s recession and the loss of industrial cluster. Thus, we must promote the transformation of the mining industry city, choose a suitable replacement industry for these cities. We also have to establish the ecological compensation mechanism of the resources industry, for those industries which decline, and adopt a more efficient way to solve many difficult problems which the mining industry cities face during their transition period.This dissertation has nine chapters totally. The first chapter expounded the studies background, meaning, method and innovation. From chapter 2 to chapter 7, the author studied the research literature about the mining city transition mode; the definition of mining city and industrial characteristics; the basis of mining cities ’transition; the main factors which affect selecting the model of mining city transition; and the Countermeasures that can promote this transition. Based on this, author summarized several kinds of fundamental modes about mining city industry reforming, took Tongchuan as the empirical study object, and proposed Tongchuan’s industrial reforming pattern. Firstly, some literatures about transition mode of mining cities were reviewed, and then, author defined the meaning of the industrial city, explained the characteristics of the mining city’s transition. according to this, author also proved the necessity and the inevitability of mining city industry reforming. Next, the article regards the leading industry theory, the resource industry theory and the neoclassic economic growth theory as the basis to analyze the mining city industry transition. Author focused on the model of Houston, France Ruhr model, Hengshan and Fuxin model of our country; summed up five basic model, such as the ability recycling business model, industry location transfer model, industrial extension model, industrial innovation model and composite model. The thesis also has analysis about the model selection factors, for example, the stage of development of resources, the scale of resource development, industrial policy, and so on. The author proposed the corresponding Countermeasures, as well as. Finally, depending on those foregoing statements, the author proposed Tongchuan’s industrial transition pattern, that is "the industrial extension + substitutional industry + newly developed area city and countryside integration" the multi-skill pattern.Some innovations of this paper are mainly in the following points: The first, this text think, the essence of industry conversion of the mineral industry city is a kind of instruction thought, not form;is a process, not result. The former research believed that the mining city industry transition is forced by the ore exhaustion. This kind of explanation is somewhat one-sided. This article holds that we should understand from the macroscopic angle, viz. the mining city’s industrial transition is based on the scientific development concept and pursuits the sustainable development. The second definitely definitioned the characteristics of a few main mineral industry transformation mode of the city industries and apply object and merit and shortcoming. Comparative study methods are used thoroughly. The author selected representative study object at home and abroad, summarized their unique respectively, such as Houston model, the Germany’s Ruhr model, Fuxin and Hengshan model of China. Then author drew some useful insights, such as establishing the coordination agency, formulating scientific development planning, recycling regional competitive advantage to attract foreign investment and creating networks of enterprises, and otherwise. Third, this article takes the Tongchuan city as the typical case of the mining city’s industry transformation. On the basis of empirical research above, and combine the situation of the industrial recession in Tongchuan city, I use the time-series data over the past 10 years of various industries in Tongchuan, and then, draw the conclusion of determining the industrial transition pattern and the countermeasure for Tongchuan city with econometrics’ method. The author proposed Tongchuan’s industrial transition pattern, that is "the industrial extension + substitutional industry + newly developed area city and countryside integration" the multi-skill pattera.Fourthly, this article uses the analytical method of mathematics model.Such as predominate analysis and the mineral industry industry.The paper main conclusions include, first, it believed that some problems cause the mining cities’ transition difficulties: the way dependence causes the non-equalization industrial structure of exhaustion resources city; the present precipitation cost’s existence causes the industrial structure has rigidity; etc. Second, it is of importance to consider resources development stage, scale, industrial policy and external factors when we select the industrial model. Especially external environmental costs are of great significance for the sustainable development of mining city. Third, the mining city industry transition pattern depending upon the market mechanism in the reforming process may solve spontaneously. However, if we can make full use of market mechanism and improve the functions of the government, we may more effectively promote the industrial transition of recession city.更多还原