【作者】 刘若昕；

【导师】 谢地；

【作者基本信息】 吉林大学 ， 法经济学， 2013， 博士

【摘要】 对区域经济差异进行各层次分析的起点是不同经济增长理论的逐渐演进。新制度经济学将制度作为经济增长的内生要素，与资本、劳动力、技术一起成为能够影响经济绩效的关键环节。尽管地理条件、自然资源禀赋以及初始经济发展状况同样会影响区域经济差异的现状，但是上述条件是客观存在或已沉淀的事实而无法改变，制度却可以通过强制性或诱致性的变迁而实现创新，从而促进经济增长进程、促进区域经济的协调发展。一般认为将影响增长绩效的制度分为正式制度及非正式制度。正式制度又可以分为经济制度、政治制度及政治力量。经济制度为参与经济活动的主体提供了行为激励；政治力量由两种情况组成——法律上的和事实上的政治权力。法律上的政治权力是由一个社会的政治制度衍生而来的权力；而政治制度，与经济制度一样，决定了对主要行为者所施加的限制和产生的激励，只不过是其体现在政治领域中。从非正式制度对于经济增长的影响来看，非正式制度主要通过降低交易成本来提升效率。制度在区域层面对经济增长的影响主要体现在其对区域劳动力、资本、技术三大生产要素的结构性影响，制度通过将其他生产要素有结构地组织起来，从而构成经济长期增长的根本动力。我国转轨以来的经济生活充分体现了制度变迁理论中强制性制度变迁及诱致性制度变迁的结合，并以诱致性制度变迁为未来制度变迁基本动力。由于地方政府特殊的双重身份，其在区域制度变迁中扮演着重要的角色。地方政府间竞争的本质正是一种正式制度的变迁，而且地方政府间竞争的主要内容正是一种制度竞争。因此对于地方政府而言，在竞争中取得竞争优势的就必须在以下的制度构建中有所突破和创新：首先，充分保护产权；其次，充足公共产品供给；再次，改革政府与企业之间的关系；复次，推动行政改革；最后，创建良好的法治环境。建立在上述五个综合层面上的地方政府竞争能够避免资源争夺性的对抗竞争，导向合作的竞争，进而推动区域经济的协调发展。作为正式制度中最为重要的一种表现形式，法律制度的构建对于一个国家乃至一个区域都具有重大的意义。而对于经济发展而言，所需要的就不仅仅是法律制度，而是综合的法治环境。我国转轨以来的经济发展经验告诉我们，法律制度的构建并不是我国经济增长的主要动力，也不是我国区域间经济差异形成的主要原因，但随着经济发展阶段的延伸，法治对经济发展的作用将日益凸显。目前我国区域间在立法水平及司法案件审理情况两方面存在较大差异的重要原因是地区间经济发展的差异，但是随着法治建设的推动，又将会对区域经济差异现状产生改观。因此法治水平与区域经济的差异之间存在的是一种双向因果关系。作为正式制度的另一种表现形式，政策对我国区域经济的影响同样不能忽视。作用于区域经济差异的政策主要可以分为国家层面的区域经济政策与地方层面的地方发展政策。在使用的手段上，国家区域经济政策往往采取财政、金融、管制等多方面手段综合运用的方式，协调区域间经济的发展。而地方政府所采取的地方发展政策是地方政府根据自身禀赋、发展水平、产业结构等特点而制定的一系列有针对性的规范性文件，它与国家区域经济发展政策之间的关系既有权限位阶上的冲突关系，也有互相吸收互促进的融合关系。为了推动地区经济的快速增长，地方政府需要在以下几个方面制定相关政策：首先，完善基础设施等外在环境的政策，为区域经济发展创造良好的硬环境。其次，改善投资环境的政策，其中包含各种对投资软环境的建设内容；最后，吸引人力资本的政策，主要应从就业、教育、科技投入等方面加以推动。同时，除了对增长的关注，地方政府还应当秉持可持续发展的观念，从生态环境、社会协调发展、民主建设、个体幸福这几个方面制定长期的积极政策，最终推动区域经济的整体发展。在对地方政府发展政策的关切中，企业发展政策、地方保护主义政策及公共投资政策是最值得学术界以及地方政府官员关注的领域。在企业发展政策问题上，由于企业及企业家活动对于经济、区域经济增长起到了至关重要的推动作用，因此有必要制定相应的促进企业活动的地方政策。作为经济发展最有活力的部分，非国有企业的分布、规模、绩效在我国各地区之间仍然存在较大差异，在对我国各省域私营企业的实证分析中，本文发现地方经济的开放程度与企业家活动水平正相关、企业所得税占税收收入的比例与企业家活动水平呈较弱正相关、知识产权水平与企业家活动水平正相关、丰富的教育资源对企业家活动亦具有推动作用。在地方保护政策问题的探讨中，可以发现我国20世纪90年代开始推行的各项分权政策被认为是地方保护主义出现乃至盛行的根源，在分权的制度体系下所形成地方政府间的利益冲突必然会对地方政府产生实施地方保护主义政策的激励。尽管地方保护主义政策中的行政垄断行为属于我国的反垄断法律体系中被禁止的行为，但是由于我国反垄断法自身的一些有待完善的方面，使得这部法律在实施过程中遇到了困难。地方政府所采取的地方保护主义政策仍缺乏上位阶法律制度的有效规范。从经济学的理论进行分析，地方保护主义政策在短期内会给本区域的税收、就业乃至增长带来推动效应，但从长期发展的角度，地方保护主义政策对产业结构、资源配置效率均会产生不利影响，同时还会产生基础设施建设水平滞后、寻租的现象。因此在未来的地方政府政策中，应当推行区域一体化发展相关政策的制定和执行、对官员晋升考核制度进行调整，并进一步完善并落实反垄断法及其配套法规的规定。在对地方政府公共投资政策所进行的论述中，我国地方政府公共投资必须关注如下问题：公共投资的结构性问题、公共投资规模问题及公共投资过程中效率问题。针对这些问题，就必须对政府公共投资进行结构调整、关注投资过程中的制度构建，并且适度增加人力资本公共投资。目前，在我国发达地区与落后地区之间在公共设施存量、地方政府财政能力方面仍然存在重大差异，而且同样重要的是，在不同地区之间在公共投资项目选择、决策作出、预决算、招投标、监管等项目执行过程中的制度环境也存在差异。在对投资构成中制度构建问题的关注中，笔者认为必须构建起对公共投资决策的前期项目评估、项目选择和预算、项目执行、及项目审计和评估在内的综合制度体系。本文的主要创新包括：一是本文的制度分析包括对正式制度中的法律制度及政策的分析，并兼顾非正式制度。这一视角有别于大多数学者以产权研究及其它特定经济制度的分析来代替制度分析的方式，具有更好的制度分析的完整性。二是本文将法学的一些基本概念、原则如法治、地方立法权、司法独立纳入了对制度的经济分析，并建立起了这些法学的基本概念、原则与相关政策之间的联系，进一步将法律与政策作为正式制度的整体，来论述其对区域经济差异的影响。三是本文所收集的各种统计资料亦不仅仅局限于经济学领域，还包括法学领域中的立法、司法环节，由于法学统计资料具有零散分散的特点，故加大了收集统计资料的难度。但这种研究无疑更有利于经济学与法学研究的有机融合，推进相关问题的法经济学研究。更多还原

【Abstract】 The starting point of multilevel analysis which carried out on the regionaleconomic difference is the evolution of different theories of economic growth. Newinstitutional economics take the institution as an endogenous economic growth factor，along with the traditional production factors such as capital, labor and technology.Despite the geographical conditions, natural resources endowment and the initialdifferences in economic development also played an important role in regionalinequalities, the abovementioned element is the objective existence or has beenprecipitated which can’t be changed, while institution can achieve innovation bymandatory or induced institution changes, so as to promote the economic growthprocess, promote the coordinated development of regional economy.The institution which will affect the growth performance in general can bedivided into formal institution and informal institution. As for the formal institution,we can divide it into economic institution, political institution and political power.From the three different levels of formal institution analysis, the economic institutionprovide the subject who participate in economic activities a behavior incentive.Political power is composed of two kinds of circumstances, de jure and de facto power.De jure political power is derived by the political institution. And political institution,just as the economic institution, define the restrictions imposed on the actors andproduce incentives, but reflected in the political realm. Political institutions mainlyinclude the composition of the government, democratic or dictatorial or autocratic, andso on. In terms of the influence of informal institution for economic growth, theinformal institution usually promote efficiency by reducing transaction cost.The impact that institution exerts on regional economic growth reflected inregional labor force, capital and technology. By organizing the former factor,institution forms the basic dynamism of long run growth. The history since China’seconomic transition can be deemed as the combination of forcible institution-change induced institutional change, and induced institutional change will be the fundamentalmode of Chinese institutional change. Regarding the dual identity of local government,it played a vital role in regional institutional change.The nature of the competition between local governments is a formal institutionchange, and the main content of the competition between local governments is acompetition of institutions. For local governments, therefore, to gain competitiveadvantages in the competition must achieve breakthrough and innovation in thefollowing system: first, the full protection of property rights; Second, satiate the publicgoods supply; Thirdly, reform the relationship between the government and enterprises;Fourthly, promoting administrative reform; Finally, create a good environment of ruleof law. Based on the above five comprehensive levels, local government competitioncan avoid confrontational resource competition, induct cooperative competition, thuspromote the coordinative development of regional economy.As an important manifestion of formal institution, the construction of legal systemis of great significance for a country or a region. But legal system is far from enoughfor economic development, we need a comprehensive rule of law environment.Experience of transition economic development in our country has showed that theconstruction of legal system is neither the mainspring of economic growth in China,nor the main reason of China’s regional economic differences. At present, ther isobvious disparity in the regional legislative level and judicial courses, this kind ofdisparity is mainly caused by the differences in regional economic development, butthe promotion of rule of law will also affect the pattern of regional economicinequalities. So rule of law level and the regional economic inequalities formed abidirectional causality.Also as a kind of formal institution, the policy which will affect regionaleconomic inequalities can be divided into regional economic policies on national level,and local development policy on subnational level. According to the content, nationalregional economic policy can be divided into aid policy, preferential policy andbalance policy. In the use of the national regional economic policy, it often adopt fiscal, financial, regulative and other means. And to measure the effect of policy, it needscomprehensive consideration of economic system, the existing economic system andenvironmental factors and management factors. The making of local governmentdevelopment policy is according to their endowment, development level and industrialstructure. The relationship between local development policy and regional economicpolicys is either conflictive or combining. In order to promote the region’s rapideconomic growth, the local government needs to formulate relevant policy in thefollowing aspects: first, perfecting the policy of infrastructure as the externalenvironment; Second, improving the investment environment policy, including variousof investment soft environment construction of the content; Last, human capital policy,mainly from the aspects such as employment, education, science and technology input.Meanwhile, local governments should also adhere to the concept of sustainabledevelopment, focus on the ecological environment, social coordinated development,the construction of democracy, and individual wellbeing etc. which can ultimatelypromote the overall development of regional economy.In concern for the local development policy, the enterprise development policy,local protectionism policy and public investment policies are three most important areafor both academics and local government officials. In enterprise development policyissues, due to the crucial role that enterprise and entrepreneurial activities played ineconomy, it is necessary to make policies to promote business activities accordingly.As a part of the most dynamic economic development, the distribution, size andperformance of the non-state-owned enterprises still exists big difference regionally, inthe empirical analysis of the private enterprise in provinces domain, this paper foundthat the local economy’s openness and entrepreneurial activity levels are related; theproportion of enterprise income tax in tax revenue is weake related to theentrepreneurial activity level; intellectual property and entrepreneurial activity levelsare related; the rich education resources also account for promoting entrepreneurialactivity level.In local protection policy discussion, The decentralization policy China began to promote in the90s is considered as the reason for local protectionism, the conflict ofinterest between local governments under the decentralized system inevitably lead tothe implementation of local protectionism policies. Though the administrativemonopoly issue was defined as a prohibited behavior in our country’s Anti-MonopolyLaw, due to the imperfection of Anti-Monopoly Law, implementation encounteredhuge obstacle. That means that the local protetionism policy are lack of regulationfrom higher legislation level. In economic theory, local protectionism will promotetaxition, employment and regional growth in short term, but in the long run, localprotectionisn will jeopardize the efficiency of resource allocation and industrialstructure, and lag the infrastructure construction, provoke rent seeking.Therefore, localgovernment should advocate regional integration policy, adjust the official promotionsystem, and complete and implement Anti-Monopoly Law.We believe that local public investment policy should take structural,scale andefficiency problem into account. To achieve that, policy should be made to adjuststructure of public investment, promote investment efficiency, and increase humancapital investment. Nowadays, regional disparity not only exist in fiscal ability andinfrastructure stock, but also in the institutional envoinment throughout the investmentprocedure. As policy recommendation, the author argued the necessity forcomprehensive system of pre-evaluation, project choice and budgeting,implementation, audit, and post-eveluation.The possible innovation point include: First of all, analysis of formal institutionand informal institution compose the institutional analysis method of this paper, whichdistinguished with most scholars who use specific institution analysis (such as propertyright) as institutional analysis itself. Therefore this dissertation provide bettercompleteness. Second of all, absorbing a few basic conception of legal science duringeconomic analysis of institution, for example, rule of law, subnational legislationauthority and judicial independence etc. Then it built up the connection between theseconcepts and related policy. Furthermore, while taking law and policy as a whole bodyof institution, we argued its influence on regional inequalities. Lastly, the statistic data in this dissertation are not limited within economic domain, but also include the data oflegislation, judicial courses in legal science. In consideration of scattered anddispersive feature of legal statistic data, the difficulty of collecting data is increasedwhich improved combination of law and economics.更多还原