【作者】 罗芳；

【导师】 衣保中；

【作者基本信息】 吉林大学 ， 区域经济学， 2012， 博士

【摘要】 现代港口是一个国家或地区经济有效参与经济全球化并保持在国际竞争中主导作用的重要基础设施。由于港口与贸易、金融、制造业之间的相互依存和促进关系，港口一直被看成是地区经济的增长点，是国民经济发展的基础和先行产业，是保障国民经济正常运行和人民正常生活的重要支撑，在经济和社会发展中发挥着巨大的作用。长三角地区的港口群是我国目前沿海五大港口群中港口分布最为密集、吞吐量最大的港口群。该港口群的良好运作与发展，对我国尤其是长三角地区的经济、社会发展、国家安全具有重要意义。但近年来，由于地方保护主义和个自为政的港口发展格局，导致各港口在其发展中只考虑个体利益，呈现无序竞争的状态，各港口盲目扩大规模，竞相压低服务价格等，造成投资浪费和低效益运营。从目前的情况来看，港口群内部的不协调主要表现在：一是港口结构性矛盾突出，比如中小泊位占85%，缺乏大型专业化集装箱、矿石、原油等深水泊位，适应大型船舶靠泊的集装箱码头和大宗散货码头明显不足；二是港口重复建设严重，一些区域内港口盲目发展、设置过密，经济腹地重叠，码头功能雷同，一般散杂货码头明显过剩，低水平重复建设现象较为严重，特别是中小港口的规模扩张，必然带来能力的过剩，造成浪费和损失，也对港口的健康发展带来隐患；三是港口功能定位不明确，缺乏一个有力的组织来规划各港口的功能及地位，各个港口为了自身的经济利益争相采取竞争措施，造成了地方发展与区域发展总体环境的不一致。同一港口群内各港口之间不论是在硬件设施，如航线的开辟、集装箱码头的建设等，还是软件环境，如信息的共享、相关经验的借鉴等，都不能形成优势互补、合理分工的局面，影响港口群的总体竞争力；四是港口间无序竞争激化，港口业中地方割据势力及地方保护主义比较严重，各港口为了争夺货源，竞相采取恶性的压价竞争，造成以巨大的投入换得低廉回报的局面，经济效益严重滑坡，严重阻碍了港航企业生产经营的进一步发展。因此，研究港口群的协调发展及治理机制，具有重要的理论与实践意义。本文从区域港口群的角度，着眼于市场整体的竞争机制的分析与设计，研究港口群内部的不良竞争现象及治理措施，对合理的竞争机制进行科学的设计，从而优化港口群内部的竞争环境，使港口群的运营取得最大的社会效益与经济效益，实现社会资源的优化配置和港口的协调发展。本文首先对港口经济理论、港口分工理论、政府管制与市场失灵理论、竞争合作理论等相关理论的发展与主要研究情况进行了综述和总结。对国内外主要港口群发展实践的主要情况进行了介绍。然后，对长江三角洲港口的演变历史，长江三角洲港口的发展现状、长江三角洲主要港口进行了重点介绍，着重分析了上海国际航运中心与其他港口之间的吸引辐射情况。本文重点研究了长江三角洲港口的合理分工和科学定位，以及协调发展中出现的不良竞争问题，对不良竞争现象的主要表现进行归纳剖析。文章的核心部分是对长江三角洲港口群不良竞争治理机制进行了科学的设计，主要涉及港口间不良竞争的主要变量、治理港口间不良竞争的机制模型、治理机制的实现措施等，并且就实现治理港口间不良竞争机制的制度建设提出了建议。文章提出的主要建议有：建立利益奖惩机制，包括建立新型的“利益分享机制”，客观地协调好港口政策和区域政策的关系，解决港口群发展中的公平和平衡问题。在港口政策调整过程中，应充分遵循利益分享的原则，充分发挥长三角地区的特点，合理地共同分享利益。此外，利益奖惩机制还包括建立新型的“利益补偿机制”，使损失的利益合理地实现补偿，通过规范的利益转移来实现，实现效率与公平的统一。建立联席会议制度，通过制定联席会议制度来管理和规范各港口的经营行为，形成合作机制，对率先开展恶性竞争的港口，联席会议参与者即众多港口对其进行惩罚，使地区内众多港口避免恶意竞争行为，此部分提出了联席会议制度的有效条件模型，可以为地区的宏观管理者提供决策参考。开展组织治理。港口群协调发展是一个系统工程，涉及方方面面的利益和关系，没有中央政府、地方政府的协调是很难进行的。建议完善“区港互动、港港协同”的长三角港口群合作机制；并且进一步发挥长三角经济合作协商制度的功能，负责解决港口群经营中的合作与互利问题，形成可行的利益分配方案。港口群的协调发展与恶性竞争的治理，是一个十分复杂的问题，并且许多难点已经存在相当久远，造成这些问题的许多内部及外部的因素也具有很大的不确定性和难以操控性。因此，本文中的一些分析，主要是基于理论的研究，往往具有一定片面性，据此提出的一些相关建议，也仅仅是解决此问题的初步尝试或者设想，还有待于实践的检验和进一步的深入研究。更多还原

【Abstract】 Modern port is a vital important fundamental facility leading a country orregion joining economic globalization and maintaining the leadership ininternational competition. Due to the mutual dependence and promotionbetween port and trade, finance, manufacturing, ports have always beentreated as the growing point of regional economics, the basis and leadingindustry of national economic development, important support of nationaleconomic regular operation and people’s normal life, which also play animportant role in economic and social development.The Yangtze River Delta ports group is the most densely distributed andlargest cargo throughput port of the biggest five ports group in currentdomestic coastal port groups. This port group’s operation and development isextremely important for our country’s economic and social development,country security, especially for Yangtze River Delta. However, during recentyears due to regional protectionism and individual development status, eachport considers their own benefit when developing, which causes disorderlycompetition, blind expansion of scale, driving down service prices, investmentwaste and inefficient operation.From the current situation, the internal disorder among ports mainlyexpresses in the following points: the first one is the ports structurecontradiction, such as the medium-small berths account for 85%, the largescale professional container, ores, crude oil are insufficient; the second one isthe ports’repeated construction. Ports in some region develop blindly,construct too densely, economic hinterland overlaps, ports’function similar.What’s more, some general bulk cargos are obviously excessive and low-levelrepeated construction situation is serious, especially the medium-small sizedports’scale expansion, which causes the capability excessive, waste, loss andwill bring health security problem; the third one is the port position is not clear.Some effective organization should be founded to plan the function andposition for each port in order to avoid the difference between regional andoverall environment. All the ports in the same ports group can’t form into mutual complementary advantages and rational distribution in hardwarefacilities as new route’s planning, container port construction, and softwareenvironment as information sharing, experience reference because of differenteconomic benefit, which will lead to the whole competitiveness of the portsgroup; the fourth one is the disordered competition is becoming serious. Theregional protectionism of ports causes unhealthy cutting down prices, gaininglittle return from large investment, obtaining decreasing economic benefit forresource competition, which hampers the port enterprises’development. So, ithas important theory and practical meaning to study the ports’coordinatedevelopment and governance mechanism.This paper focuses on the analysis and design of overall marketcompetition mechanism, studies the management measures of the unhealthycompetition phenomenon inner ports group from the region ports group pointof view, in order to design a reasonable competition mechanism scientifically tooptimize the internal competition environment of ports group, to enable theports management to obtain the maximum social and economic benefit, toachieve the social resource optimization configuration and ports coordinationdevelopment.This paper firstly reviews and summarizes the port economic theory, porttheory division of work, government management and market failure theory,competition cooperation theory and the other related theories’developmentand main research situation. Then it introduces the primary situation of thedomestic and international main ports groups’development. Afterwards itemphasizes the Yangtze River Delta ports’evolve history, current developmentsituation and the main ports in this region, especially the analysis on attractionand radiation situation between Shanghai international shipping center and theother ports.This paper focuses on the rational division of work and scientific positionfor Yangtze River Delta ports and the unhealthy competition problemsemerged in the coordination development whose main performances are alsoconcluded and analyzed in this paper. The core of this paper is to scientificallydesign the unhealthy competition management mechanism of Yangtze RiverDelta, which includes the main variables of the unhealthy competition amongports, the management mechanism model of unhealthy competition among ports, the implementation measures of management mechanism. Thencorresponding suggestions are concluded to achieve the management policyof unhealthy ports competition mechanism.This paper raises the following suggestions:Benefits reward and punishment mechanism should be established,including coordinating the ports and regional policy objectively, solving the fairand balance problem in ports group development. During the adjustingprocess of ports policy, benefit sharing principle should always be complied toexert the characters of Yangtze River Delta region and share the benefitrationally. What’s more, benefits reward and punishment mechanism shouldalso include new“benefit compensation mechanism”to rationally compensatethe lost benefit by standardized benefit transferring to achieve the integrationof fair and efficiency.Co-conference system should be established to form cooperationmechanism by managing and standardizing all the ports’managementbehavior. The co-conference participants should punish those ports who leadthe unhealthy competition firstly to avoid the rest of the ports’in this regionfollowing behavior. This part raises the effective condition model ofco-conference for the reference of regional macro administrators.Organized management should be developed due to the ports groupcoordination development is a systematic project including all different benefitsand relationships which are hard to be carried out without the centralgovernment and local government’s coordination. The cooperation mechanismof Yangtze River Delta named“Interactive region and port, interactive port andport”, should be perfected to exert the function of cooperation system inYangtze River Delta, to solve the cooperation and mutual benefit problem inports group management, and to form practical benefit allocation program.The management of coordination development and unhealthy competitionincludes a lot of very complicated problems, some of which have been existedfor a really long time and the internal and external causing factors are alsouncertain and hard to manipulate. So some analyses in this paper based ontheoretical research are partial and primary attempt resolve of this problemwhich requires being practically checked and further researched.更多还原