【作者】 王瑞；

【导师】 魏建；

【作者基本信息】 山东大学 ， 法经济学， 2017， 博士

【副题名】以黄河三角洲高效生态经济区为例

【摘要】 改革开放以来,我国区域发展战略经历了从非均衡向均衡发展,从强调效率优先到兼顾公平的战略调整过程。"十一五"之后,在经济转型和金融危机的双重背景下,区域发展战略做出了进一步调整,主要表现为大量地方性发展规划得到国务院的批复成为国家战略。这些指导地方发展的规划由国务院批复,因而被称为"国家区域发展战略"(以下简称国家战略)。与"四大板块"战略覆盖多个省份不同,这些战略的实施范围多被限制在一个省的某个区域之内,以增强政策的精准性和有效性。此外,这些战略还承担着应对金融危机保持经济平稳增长以及在经济转型背景下探索新的发展模式的重任。但由于这些战略数目众多,具有"泛化"的倾向,引起了一些争论。作为对这些争论的回应,也为了更好的考察这些国家战略的有效性,判断其既定目标和任务是否完成,本文就"国家区域发展战略"对区域发展的影响展开研究。在上述背景下,该选题具有较强的理论和现实意义。本文基于 "国家区域发展战略"的主要特征及其承担的主要任务展开分析。在研究方法上,主要采用案例分析、比较分析以及计量分析法。全文整体上分为四个部分:第一部分在概念界定基础上,分析了区域战略产生的现实依据和理论依椐,并对"国家区域发展战略"的主要特征进行了总结,同时从三个方面总结了区域战略影响区域发展的理论基础,并从激励抑制的视角分析了"国家区域发展战略"对区域发展的影响,然后就案例选取及后文的研究逻辑作了说明;第二部分对黄三角战略进行了解读,并从整体上总结了黄三角战略实施以来取得的成绩及存在的主要问题;第三部分以黄三角战略为例研究了国家战略对投资、经济效率、产业结构及生态环境的影响;第四部分是全文的结论,并根据黄三角战略的实施情况提出了相应的对策建议。具体来看,各部分研究内容如下:第一部分首先分析了区域战略产生的现实依据和理论依据,并总结了 "国家区域发展战略"的四个主要特征:应对金融危机,寻求新的经济增长极;鲜明的发展主题,差异化的功能定位;问题导向与主体功能相结合;试点先行,探索新的发展模式等。其次,从区域分工、非均衡发展以及可持续发展等方面论述了区域战略实施的理论基础,再次,从激励抑制的视角分析了"国家区域发展战略"对区域发展的影响:一是在战略制定上,通过"央地"互动,提高地方政府积极性;二是通过战略的权威性及其"法定"地位,保持政策的连贯性,从而有利于投资者形成稳定的区域发展预期;三是通过推动省级层面协调机制的构建,促进区域合作发展;四是通过权力让渡,鼓励地方先行先试,提高地方积极性及创造力。最后,特别指出,本文并不是从全国的角度分析国家战略对区域格局的影响,而是研究某一战略的实施对规划区域发展的影响。为此,考虑到战略代表性以及数据、资料的可获得性,决定以黄河三角洲高效生态经济区为例展开分析;在具体的研究逻辑上,按照总体分析及重点研究相结合的方式进行。按照上述案例研究的逻辑,第二部分对黄三角战略的实施情况进行了总体分析。首先,对黄三角战略进行介绍;其次,从推进制度和配套政策两个方面对战略批复之后该地区采取的措施进行了梳理;最后,结合规划内容从目标完成、经济实力、发展速度、港区经济、平台载体、优势产业、基础设施、民生社会发展以及生态环境等方面对黄三角地区取得的成绩进行了总结,并指出当前面临的主要问题,如经济发展与生态环境之间的矛盾依旧突出,区域一体化程度较低,经济结构不合理的格局尚未改变,土地、资金等要素供求矛盾突出,县域经济发展不平衡以及某些领域的改革亟待进一步深化等。第三部分基于战略所承担的任务以及黄三角战略的生态经济区定位,从经济量的扩张、质的提升和生态环境的角度就该战略对区域发展的影响进行重点研究。具体地,分别就国家战略对区域投资、产业结构调整、经济效率改进以及生态环保的影响展开分析。投资方面,首先分析了战略实施之后黄三角地区投资的变动情况,并就国家战略影响投资的机理进行了总结,认为国家战略从以下四个方面影响区域投资:一是政府直接投资增加目标地区投资规模;二是国家战略通过影响国企布局增加区域内国企投资;三是国家战略有利于形成稳定的投资预期;四是国家战略促使区域政策"洼地效应"形成。然后,本文采用GMM法就国家战略对区域投资的影响进行了实证研究,结果表明自战略实施之后,相关政策的推进带来了区域投资的显著增加,具有明显的促进效应,在一定程度上验证了政策"洼地效应"的存在。经济效率改善方面,本文采用DEA及Malmquist指数法对黄三角的高效经济进行了测度。结果表明,黄三角地区综合生产效率波动较大,总体处于较低的水平,从规模效率与纯技术效率的对比来看,两者均与生产前沿面有较大距离,但纯技术效率值相差较大,说明在效率改进方面,黄三角地区还有较大的技术改进空间,同时适时扩大经济规模也有助于效率的提高。此外,实证分析的结果进一步表明,国家战略的实施对地区规模效率的改进具有明显的促进作用,对纯技术效率的变动有促进作用但不显著,但在二者的合力作用下,可以共同促进综合技术效率的提升。产业结构调整方面,本文首先总结了战略实施前后黄三角地区产业结构变化情况,认为国家战略通过设定产业发展目标、改善地区发展环境影响区域产业结构调整。然后,本文利用黄三角19个县市的数据进行了回归分析,静态模型的结果表明:"国家区域发展战略"的实施对该地区具有明显的结构调整效应,降低了一二产业的比重,显著性地提升了第三产业的比重,推进了该地区产业服务化进程。与静态模型相比,动态模型的结果显示:国家区域战略对产业结构调整的影响方向没有变化,但对第三产业的占比及服务化进程的作用不再显著,这与黄三角处于工业化阶段有很大关系。生态环境方面,本文对黄三角战略实施之后生态环境变化进行了总结并指出了当前临的主要问题:一是节能减排空间进一步压缩;二是自然保护区保护任务难度较大:三是海洋环境面临巨大挑战;四是跨区域环境污染、保护与治理难度较大。此外,本文还以二氧化硫和废水排放量作为被解释变量就国家战略对环境污染的影响进行了实证研究,结果表明国家战略的实施并未显著降低废水以及氧化硫的排放量,环境改善效应并不明显。第四部分对全文的主要结论进行了总结,并从以下以几个方面就黄三角地区未来的发展提出了对策建议:一是加强规划衔接,政策协同,形成政策合力;二是强化生态优先的发展理念,实施更加严格的环保制度;三是统筹沿海开发,形成发展合力;四是强化改革创新,健全率先发展新机制;五是围绕高效生态,强化产业升级。此外,该部分还对未来的研究进行了展望。尽管黄三角战略的案例分析不能代表所有战略实施的影响,但提供了研究"国家区域发展战略"对区域发展影响的分析思路以及可供借鉴的经验。本文的案例研究对总结黄三角战略批复以来取得的成效与存在的问题具有参考价值,有利于督促战略的实施,发现实施过程中存在的缺陷,尤其是随着形势的变化,调整实施方案,以适应新的状况,更好的发挥区域战略的作用。更多还原

【Abstract】 Since the reform and opening up,China’s regional development strategy has experienced a adjustment process from non-equilibrium to balanced development,from the emphasis on efficiency to take into account the fairness.After the "11th Five-Year",in the dual background of economic transformation and financial crisis,regional development strategy made a further adjustments,and a large number of local development plannings which get the approval of the State Council have become the national strategy.These plannings for the development of local development approved by the State Council,are known as the "national regional development strategy"(hereinafter referred to as the national strategy).Different from "four plates"strategic,the implementation of these strategies are limited to a certain region within a province,in order to enhance the accuracy and effectiveness of the policy.In addition,these strategies also bear the responsibility to maintain stable economic growth in the financial crisis and to explore new modes of development in the context of economic transformation.However,due to the large number of these strategies,the tendency of generalization" has aroused some controversy.As a response to these controversies,also in order to better study the national strategy,determine the objectives and tasks completed,this paper study the influence of "national regional development strategy"on regional development.In the above background,the topic has a strong theoretical and practical significance.This paper is mainly based on the main features of the "national regional development strategy" and the main task of its commitment.In the research methods,case analysis,comparative analysis and quantitative analysis were used.The whole text is divided into four parts:In the first part,based on the definition of the concept,this paper analyzes the realistic basis and theoretical basis of the regional strategy,and summarizes the main characteristics of the "national regional development strategy",then summarizes the theoretical basis of regional strategic impact on regional development from three aspects and the effect of "national regional development strategy" on regional development from the perspective of the "incentive suppression",and then explains the research logic and the case selection.In the second part;the paper made a interpretation of the Yellow River Delta strategy,and on the whole achievements and the main problems are summarized since the implementation of the Yellow River Delta strategic;in the third part where Yellow River Delta strategy was taken as an example,the paper study the influence of national strategy on investment,economic efficiency,industrial structure and ecological environment;the fourth part is the conclusion and also put forward corresponding countermeasures and suggestions according to the implementation of the strategy of Yellow River delta.Specifically,the contents of each part of the study are as follows:The first part first analyzes the realistic basis and theoretical basis of the regional strategy and summarizes the four main characteristics of the national regional development strategy":to deal with the financial crisis,seek new economic growth pole;special development theme.different function orientation;problem oriented and main function;pilot,explore the new development mode.Secondly,this paper discusses the theoretical basis of the implementation of regional strategy from the aspects of regional division of labor,unbalanced development and sustainable development,Thirdly,from the perspective of the "incentive suppression" the paper effect of national development strategy on regional development:the first is that in the strategy,through the interaction between the central and local government,improve initiative of local government;the second is through the authority of the strategy and its legal status,maintain the continuity of the policy,which is conducive for investors to form stable expectations of regional development;the third is that through promoting the construction of coordination mechanism at the provincial level,to promote the development of regional cooperation;the forth is that through the assignment of power,encourage local pilot,improve local initiative and creativity.Finally,it is pointed out that this paper is not to analyze the impact of national strategy on regional structure from the perspective of the whole country,but also to study the effect of the implementation of a certain strategy on regional development.Therefore,taking into account the strategic representation and data availability,decided to analyze the Yellow River delta efficient ecological economic zone;in the concrete research logic,the paper combined the overall analysis and focus research.According to the logic of the case study,the second part analyzes the implementation of the strategy of the yellow triangle in general.First of all,the Yellow River Delta strategy was introduced;secondly,from two aspects of promoting system and supporting policies measures taken for the region were summaried after the approval of the strategy;finally,combining with the planning content from the target,economic strength,development speed,port economy,platform carrier,advantage industry,infrastructure,people’s livelihood and social development and the ecological environment,the achievements were summaried in the Yellow River Delta,and points out the current main problems,such as the contradiction between economic development and ecological environment is still outstanding,the degree of regional integration is low,the unreasonable economic structure pattern has not changed,the contradiction between supply and demand of land,capital and other factors is prominent,the development of county economy is imbalanced andneed to further deepen the reform in certain areas etc..In the third part,based on the strategic positioning of ecological economic zone of the Yellow River Delta and the task of the strategy.the paper focus on the impact of the strategy on the economy from perspectiv of quantity expansion and quality improvement and the ecological environment.Specifically,it analyzes the impact of national strategy on regional investment,industrial structure adjustment,economic efficiency improvement and ecological environmental protection.In the part of investment,the paper first analyzed the changes of investment in the Yellow River delta after the implementation of the strategy,and summarized the mechanism of influence of national strategic on investment from the following four aspects:the first is that government direct investment increase investment scale in target area;the second is that the national strategic affected the layout of state-owned enterprises to increase investment;the third is that the national strategy is conducive to form a stable investment expectation;the foth is that national strategy promote the"depression effect" of regional policy.Then,this paper uses the GMM method carry on the empirical research,the results show that the implementation of the strategy has obvious promoting effect for increaseind investment,and verify the exist of"depression effect" of the policy in a certain extent.In terms of economic efficiency,this paper uses DEA and Malmquist index to measure the efficiency of the economic efficiency of the yellow triangle.The results show that the comprehensive production efficiency in the Yellow River Delta fluctuations and the overall level is relatively low,from the comparison of scale efficiency and pure technical efficiency,both have large distances with the production frontier,but the pure technical efficiency value is larger,which indicat that improvement in efficiency in the Yellow River Delta has great technical improvement space and at the same time to expand the economy also helps to improve efficiency.In addition,the empirical analysis results show that the implementation of the national strategy had obvious role in promoting the improvement of regional scale efficiency,and promoted the pure technical efficiency changes but not significant,but in the interaction of the two,jointly promote the improvement of comprehensive technical efficiency.In terms of industrial structure adjustment,this paper summarizes the changes in the industrial structure in Yellow River Delta area before and after implementation of the strategy,and pointed that the national strategy influence the regional industrial structure adjustment by setting the industry development goals and improve regional development environmental.Then,the paper made static and Dynamic Empirical Research,the static model shows that:the implementation of national regional development strategy has a significant effect on the structural adjustment of the region,reducing the proportion of the first or second industry,significantly improved the proportion of the third industry,and promote the process of the regional service industry.Compared with the static model,dynamic model results shows that:no change in the directionin of the impact of national strategic on regional industrial structure adjustment,but the impact on the third industry and the process of service function is no longer significant.It has a great relationship whit the stage of industrialization in the Yellow River Delta area.In terms of ecological environment,the paper summarized changes in the ecological environment of Yellow River Delta after implementation of strategic and pointed out the main problems:the first is the further compress of the space of energy saving and emission reduction;the second is the protection of nature reserve area is difficult;the third is that the marine environment is facing great challenges;the forth is that the protection and management of cross regional environmental pollution is difficult.In addition,this paper also carries on empirical research on the influence of national strategy on environmental pollution with sulfur dioxide and wastewater emissions as the explanatory variable.The results show that the implementation of the national strategy did not significantly reduce the emissions of waste water and sulfur dioxide,environmental improvement effect is not obvious.The fourth part is the conclusion,and puts forward some countermeasures and suggestions for the future development of Yellow River Delta area from the following several aspects:the first is to strengthen the planning,policy coordination,policy formation ability;the second is strengthen the ideas of ecological priority,and implemente more stringent environmental protection system;the third is make the overall planning of coastal development;the forth is to strengthen the reform and innovation,lead in the development of new mechanism;the fifth is to strengthen industrial upgrading based on efficient ecology.In addition,the future research is prospected.In short,although the case analysis of the Yellow River Delta strategy does not represent all of the implementation of the strategy,but provides experience for reference.This case study has a reference value for the summary of the achievements and problems of Yellow River Delta after the implementation og the Strategy,and it is conducive to the supervision of implementation of the strategy,find defects exist in the implementation process,especially with the change of the situation,adjust the implementation of the program,in order to adapt to the new situation andto play a better role.更多还原