【作者】 张建秋；

【导师】 耿明斋；

【作者基本信息】 河南大学 ， 区域经济学， 2012， 博士

【摘要】 由于中国二元的经济特征，在工业化的内涵和衡量上，国内学者普遍采取二分法。具体说，国内学者与国外学者对工业化内涵的界定普遍认为是全面的结构性变迁过程。而在工业化进程的衡量上，受计划经济时期重工业优先发展和城乡二元管理体制的影响，在相当长时期内经济社会结构的变迁主要体现在工业内部的自循环，作为解释现实的结构性指标，国内学者更多地采用经济发展水平与产业结构来衡量工业化进程。为了全面反映工业化对区域经济社会结构变迁的影响过程，本文在经济发展水平与产业结构的基础上，加入了工业结构、人口的空间结构以及人口的就业领域结构等指标，并利用阶段阈值法对相应指标进行无量纲化处理，采用加法合成法计算了以河南省为代表的传统农区的地区工业化综合指数。结果表明：传统农区工业化的空间结构已经由平面型过渡到金字塔型，并有进一步向橄榄型演变的趋势；经济发展水平与工业结构的贡献均衡程度对区域工业化进程的快慢具有重要影响；采掘业等初级原材料工业支撑的区域更容易导致工业化进程的相对滞后。从全面结构变迁的角度来看，工业结构尤其是制造业结构的变化对工业化进程的快慢具有重要支撑作用。本文通过计算制造业区位基尼系数进一步验证了制造业性质的空间差异与工业化进程空间分异的一致性：资源型产业由于对劳动力吸纳能力较弱导致其对工业化进程的影响程度较弱；各个区域都有较大需求、产品运输成本相对较低的制造业由于空间集聚程度较弱，其对工业化进程空间分异的影响程度也较弱；只有空间聚集程度相对适中且吸纳劳动力越多的制造业的空间布局才能更好地反映工业化进程的空间分异。本文试图从全新的角度解释传统农区工业化空间分异的内在机理，传统农区工业化的共性与特殊性就成为分析问题的起点。作为欠发达区域，传统农区的工业化属于次生工业化范畴，其运行机制是以外部先进生产要素体系的引入为前提条件。但是传统农区的工业化又具有自身的特殊性质，这种特殊性主要体现在传统农区工业化首先是在没有资本、技术、区位、政府政策倾斜等优势的区域产生，这与一般的次生工业化区域明显不同。从相对角度来说，外部工业化的生产要素并不会主动融入传统农区的经济社会结构之中，而是通过本地企业家的创业与创新行为被动融入的。本文把这种特殊性称之为“次生中的次生”性质，与此相对应，工业化在空间上的突破就具有相当程度的“内生”性质。工业化水平的高低以及发展速度的快慢取决于传统农区异质性的内部条件与同质的外部工业化环境之间的适应程度，本文进一步把这种适应程度称之为内生能力。本文认为各个区域正是由于内生能力的差异才导致对产业形成与发展具有重要影响的偶然事件向必然事件转化的能力不同，进而导致工业化进程的空间分异。正是由于传统农区工业化的内生性质与内生能力，一般性的次生工业化理论并不能很好地解释传统农区工业化的空间分异这一现象，本文试图从内生能力的角度把被主流经济学遗忘的市场化条件重新纳入到分析框架之中。但是由于内生能力的影响因素过于复杂，要想把内生能力定量化是非常困难的。本文注意到内生能力是市场化条件的反应，而区域市场化条件与企业家的创业行为以及与此有关的创新行为有很强的正相关关系。因此，本文就用创业行为与创新行为作为衡量区域内生能力的代理指标，并分别用城镇个体和私营企业从业人员比率与每万人拥有的专利申请数量进行度量。分析结果表明，创业行为与创新行为的空间差异有效解释了传统农区工业化的空间分异现象，创业行为与创新行为尤其是创业行为对传统农区工业化空间分异的贡献要远远大于已知的物质资本、人力资本、开放程度等因素的贡献。根据上述思路，具体章节安排如下：第一章为引言。主要从选题背景和意义、研究范围的界定，研究思路、研究方法以及创新之处等五个方面进行论述，对本文的相关研究做一概述。第二章为文献回顾与评述。本章是对已有的相关理论和国内外研究现状进行回顾和评述，主要包括工业化理论与区位理论两个方面。在前人研究的基础上发现问题，寻找解决问题的切入点和突破口，为本文的深入研究奠定坚实的理论基础和提供较为完善的分析框架。第三章为传统农区工业化概述。本章的主要目的是对传统农区工业化涉及到的相关问题进行概括与归纳，具体包括工业化的运行机制、工业化的模式、工业化进程的影响因素等三个方面。试图从中梳理出传统农区工业化次生中的次生这一特殊性质，为传统农区工业化空间分异的解释寻找分析的切入点。第四章为传统农区工业化空间分异的综合评价与演变路径。本章主要是对传统农区工业化进程在空间上的分异进行定量分析。为了克服过去工业化衡量标准的结构性扭曲，本章构造了综合衡量工业化进程的评价指标体系：利用人均GDP来衡量经济发展水平，利用三次产业增加值比重来衡量产业结构的变化，利用制造业增加值占总商品生产部门增加值的份额来衡量工业结构的变化，利用人口城镇化率来衡量人口流动的空间结构的变化，利用三次产业就业结构来衡量劳动力就业领域结构的变化。并运用阶段阈值法对指标体系进行无量纲化处理，采用加法合成法测算了以河南省为代表的传统农区的地区工业化综合指数，还原工业化全面的结构性变迁历程。第五章为传统农区制造业空间聚集的演变趋势与特征研究。上一章的重要结论是经济发展水平与工业结构的贡献均衡程度对区域工业化进程的快慢具有重要影响，也就是说制造业的性质与空间布局最能反映工业化的空间分异现象。为了进一步验证这一判断，本章利用制造业区位基尼系数来衡量二位数制造业在空间上的聚集程度，用制造业区位基尼系数的历史比较来说明制造业在空间上的适应性程度的变化。试图找出制造业的性质与空间聚集程度的特征，最终得出制造业的性质与空间布局对工业化进程的空间分异具有重要影响这一结论。第六章为内生能力与传统农区工业化空间分异的分析框架。以上两章是对工业化以及支撑工业化的制造业的空间分异进行了定量研究，本章和下一章将为这种空间分异现象提供解释。本章将从传统农区工业化次生中的次生这一特殊性质作为分析问题的切入点，探讨传统农区工业化与一般性的次生工业化之间的异同，并在此基础上得出传统农区工业化具有相当程度的内生性质这一结论。正是由于传统农区工业化的内生性质，其异质的内部条件与同质的外部工业化环境的适应程度就存在很大差异，本文进一步把这种适应程度称之为内生能力。异质的内部条件主要包括交通区位、自然资源、制度环境与社会价值观等四个方面，在外部环境一定的情况下，内生能力就表现为上述四个因素对外部环境的适应过程。内生能力是市场化条件的反映，内生能力的空间差异导致了各个区域对偶然事件向必然事件转化能力的差异。第七章为内生能力对工业化进程空间分异的实证研究。要想对内生能力进行衡量是非常困难的，由于内生能力与市场化条件紧密联系，本文就用市场化的创业行为和创新行为作为内生能力的代理指标，并用城镇个体与私营企业从业人员比重以及每万人拥有的专利申请数量分别对其进行度量。创业行为与创新行为的空间特征支持以下结论：资源型产业对地区工业化进程的长期影响并不显著；各地都有较大需求、产品运输成本相对较低的制造业对工业化进程的空间分异的影响也不显著；只有空间聚集程度相对适中且吸纳劳动力越多的制造业才对地区工业化进程具有重要影响。计量分析结果也表明，创业行为与创新行为对地区工业化进程的贡献非常显著，尤其是创业行为的贡献要远远大于已知的物质资本、人力资本、开放程度等因素的贡献。第八章为结论与展望。根据上述各章的分析，对本文的研究结论与主要发现进行归纳总结，提出本文的创新点以及本研究存在的不足与未来研究展望，并为传统农区工业化的可持续发展提供具体的对策和政策建议。更多还原

【Abstract】 Due to China’s dual economic characteristics, domestic scholars have generally adopted thedichotomy on the meaning and measure of industrialization. Specifically, scholars and foreign scholarsgenerally consider the definition of industrial connotation as a comprehensive structural change process. Inthe measure of the process of industrialization, by the impact of heavy industry priority to the developmentduring the planned economy period, and urban and rural dual management system, in a quite long periodsocial structure mainly exhibit industry internal circulation, as the interpretation of practical structuralindex, the domestic scholar use the level of economic development and industrial structure more tomeasure the industrialization process.In order to fully reflect the impact of industrialization on regionaleconomic and social structure changes, on the basis of the level of economic development and industrialstructure, this paper add the industrial structure, the index of the spatial structure of the population and thepopulation of the area of employment structure, and phase threshold corresponding indicatorsdimensionless, additive synthesis method to calculate the composite index of regional industrialization oftraditional agricultural area in Henan. The results show that the spatial structure of the traditionalagricultural areas of industrialization has been changed from the planar transition to the pyramid, and thetrend of further evolution is to the olive, The degree of contribution to a balanced level of economicdevelopment and industrial structure has an important impact on the speed of the process ofindustrialization in the region, the areas supporting by primary raw material industries such as extractiveindustries are more likely to lead the process of industrialization lagged behind.From the point of view of the comprehensive structural changes, structural changes,especiallyindustrial structure of manufacturing have an important supporting role for the speed of the process ofindustrialization. Further validation of the manufacturing industry by calculating the manufacturinglocation Gini coefficient is the consistency of spatial differences and the process of industrialization of thelabor-intensive manufacturing spatial variation: Resource-based industries due to the absorptive capacity isweak labor result in less impact on the process of industrialization, the differentiation degree of influenceon the process of industrialization of space is also weak. Only the manufacturing space layout which spatial aggregation degree is moderate and absorb the labor force more can reflect the process of industrializationspatial variation better.This article attempts to explain from a new perspective to traditional farming areas ofindustrialization spatial differentiation reason, commonality and particularity of the industrialization of thetraditional agricultural areas has become the starting point for analysis. As the less developed regions, theindustrialization of the traditional agricultural regions belong to the scope of secondary industrialization,and its operating mechanism is to rely on external factors of production system which is introduced as aprerequisite. However, the industrialization of the traditional agricultural regions has its own special nature,this particularity is mainly reflected in the industrialization of traditional farming areas in the advantages ofthe regional capital, technology, location, government policy tilt, this is significantly different with thegeneral secondary industrialized region. From the relative point of view, the external industrial productionelements will not take the initiative to integrate traditional rural economic and social structure, but by localentrepreneur entrepreneurship and innovation behavior of the passive integration. The special nature of thisis called the “secondary in the secondary” in nature, corresponding with this, the breakthrough ofindustrialization in space has a considerable degree of "endogenous" in nature. Industrialization level anddevelopment speed depends on the speed of tradition farming area heterogeneous internal conditions andexternal environment of industrialization between homogeneous degree of adaptation. This paper furtherput this adaptation called endogenous capability, and that each region is due to endogenous capabilitydifferences led to the formation and development of industry has an important impact on the accident to theinevitable events into different abilities, which led to the industrialization process of the spatialdifferentiation.Because the industrialization of traditional agricultural areas of the endogenous nature andendogenous capability, general secondary industrialization theory cannot explain well the industrializationof traditional agricultural areas the spatial differentiation of this phenomenon. This article attempts from theendogenous capacity of the perspective of the mainstream economics forgetting to commercialize acondition to into the analytical frame. However, due to the ability of endogenous factors is too complex,both subjective factors and objective conditions, in order to quantification of the endogenous capacity isvery difficult. This article pays attention to the endogenous capacity is the market conditions of the reaction, and the regional market conditions and entrepreneurial behavior and the related innovation behavior hasvery strong positive correlation, this paper use the entrepreneurship and innovation behavior as a measureof regional endogenous capacity of the proxy, and were used to urban individual and private enterprise staffratios and every million people have the patent application quantity measurement. The analysis resultsshow that entrepreneurial behavior and innovation behavior effectively explain the industrialized space ofthe traditional agricultural areas on differentiation. The econometric analysis also shows thatentrepreneurial behavior and innovation, especially the contribution of entrepreneurial behavior is fargreater than traditional agricultural areas of industrialization spatial variation of the contribution to theknown physical capital, human capital, openness, and other explanatory variables.According to this line of thinking, the specific chapter is organized as follows:The first chapter is an introduction. Mainly from the research background and significance, thescope of the study defined the five aspects of the research ideas, research methods to study the significanceand value are discussed and an overview of this article.The second chapter is the literature review and comment. This chapter is to review and commenton the existing theory and research status, including the industrialization theory and location theory twoaspects. On the basis of previous studies found the problem, finding a solution to the problem of Entrypoint and breach, in order to provide a solid theoretical foundation and perfect analysis framework.The third chapter outlines for the industrialization of traditional agricultural areas. The mainpurpose of this chapter is the descriptive summary and induction of the relating issues of theindustrialization of traditional agricultural areas, including industrialized operation mechanism, the patternof industrialization, industrialized process and influential factors of three aspects. Attempts to sort out theindustrialization of traditional agricultural areas in the secondary secondary special properties and spatialdifferentiation of this fact, for the industrialization of traditional agricultural areas spatial differentiationexplanation for analysis to cut a point, subsequent chapters lay the foundation of analysis.The fourth chapter is the industrialization of traditional agricultural areas the spatialdifferentiation of the comprehensive evaluation and evolution path. This chapter is mainly about theindustrialization of traditional agricultural areas in the process of space used for quantitative analysis fordifferentiation, the industrialization of traditional agricultural areas on the space difference of quantity. In order to overcome the past industrial measure of structural distortions, this article constructs acomprehensive measure of industrialized process evaluation index system: the use of per capita GDP tomeasure the level of economic development, with the three industry increases value proportion to measurethe level of industrial structure, the manufacturing industry increases a value to occupy the total commodityproduction sector to increase the value of the shares to measure industrial structure level, use of populationurbanization rate measured in floating population spatial structure, the three industry employment structureto measure changes in the structure of labour force obtain employment field. And using phase thresholdmethod to index system for dimensionless processing, using additive synthesis method to calculate takingHenan Province as the representative of the traditional agricultural area industrialization comprehensiveindex, reducing industrialized comprehensive structural transformation.The fifth chapter is the traditional agriculture area manufacturing industry spatial agglomerationdevelopment trend and characteristic research. The important conclusion of the last chapter is the level ofeconomic development and industrial structure contribution of regional balanced degree of the speed ofindustrialized process has important implications, that is the nature of the manufacturing and the spatiallayout can most reflect the spatial differentiation of industrialization. In order to further confirm thisinference, this chapter uses manufacturing base the Buddhist nun coefficient to measure the two digitmanufacturing in space on the degree of aggregation, with manufacturing industry area base the Buddhistnun coefficient history to illustrate manufacturing in space on the degree of adaptability changes. Trying tofind out the nature of the manufacturing industry and space to get together the characteristics of degree, andultimately come to this conclusion that differentiation has an important impact on the nature and spatialdistribution of manufacturing space of the process of industrialization.The sixth chapter is the endogenous capacity and the industrialization of traditional agriculturalareas spatial analysis framework. The above two chapters have made a quantitative research on theindustrialization and supporting industrial manufacturing space divided differentiation, this and the nextchapter will provide the spatial differentiation phenomenon explanation. This chapter will take theindustrialization of traditional agricultural areas of secondary in the secondary this special nature as thebreakthrough point of analysis, analyzing the similarities and differences between the traditional farmingarea industrialization and the general secondary industrialization, and on this basis to draw the industrialization of traditional agricultural areas with a considerable degree of "endogenous" nature.Heterogeneous internal conditions include traffic location, natural resources, environment and social values.From four aspects such as external environment, in certain cases, endogenous capability performes as theprocess of the impact of the above four factors on the external environment. Endogenous capacity is areflection of market conditions; it is precisely because the endogenous capacity of the spatial differencesled to differences in the ability to conversion to the inevitable event in the regions of fortuitous events.The seventh chapter is the endogenous capacity of the industrialization process of the empiricalstudy on the spatial differentiation.It is very difficul to measure the endogenous ability, due to theendogenous capacity is closely linked with market conditions, the paper will use market-orientedentrepreneurial behavior and innovation behavior as the endogenous capacity of proxy indicators,respectively, with the urban individual and privatethe proportion of enterprises employed and the numberof patent applications per million people with respect to their measure. The spatial characteristics ofentrepreneurial behavior and innovation support the following conclusions: long-term effects ofresource-based industries to the regional process of industrialization is not significant; all parts of thegreater demand for differentiation, product transportation costs are relatively low manufacturing space ofthe process of industrializationthe impact is not significant; and farther away from agriculture to absorblabor force and more manufacturing has an important influence on regional industrialization process. Theeconometric analysis also shows that entrepreneurial behavior and innovation behavior have verysignificant contribution to regional industrialization process, particularly the contribution of entrepreneurialbehavior is much larger than the contribution of physical capital, human capital, the degree of openness andother factors.The eighth chapter is the conclusion and discussion. According to the analysis of the abovechapters, on the conclusion of this paper and main findings are summarized, this part puts forward theinnovation point of this article and the shortcomings in the research and prospects for future research, andfor the industrialization of traditional agricultural areas of sustainable development to provide specificcountermeasure and policy proposal.更多还原