【作者】 赵晶晶；

【导师】 刘秉镰；

【作者基本信息】 南开大学 ， 区域经济学， 2012， 博士

【摘要】 随着经济全球化进程的不断深入，区域经济和产业经济融合趋势明显，区域产业发展是区域经济学和产业经济学共同的研究课题，区域性国土空间逐渐成为参与全球竞争的基本单元。我国地域广阔、人口众多，区域产业空间格局千差万别，近年来各种区域问题不断涌现，其中区域产业结构趋同现象以及由此引致的市场分割、区域发展差距日益严峻。区域产业政策是区域产业结构优化的最有力工具，是完善我国区域产业空间布局的关键因素。但是目前我国区域产业政策研究没有形成完整的理论体系，实践经验也十分匮乏，区域产业政策与规划的制定都以目的为导向，多为事后解释性说明，缺乏事前指导功能。鉴于我国的特殊国情，可供借鉴的国际经验屈指可数，各级政府部门对于区域产业政策制定方针的理论指导具有迫切需求。本文在重新界定区域产业发展战略、区域产业规划等容易混淆概念的基础上，深度剖析区域产业政策的内涵与外延，尝试建立一套相对完整的区域产业政策制定—实施—评价环节的综合分析框架。首先，将区域产业政策制度基础及决策模式作为研究起点，对国内外不同政治体制下的组织模式和政策制定程序分类研究，并系统分析日本产业政策制度基础，从中总结可供借鉴的先进经验。其后，使用修正后的霍姆特姆和米尔格罗姆（Holmstrom and Milgrom，1987）模型，进行“自下而上”和“自上而下”两种决策模式的福利和效率定量分析，为中央政府与地方政府的职能分工提供理论依据，从本质上来说，中央和地方政策目标的不同，导致了二者之间复杂关系的产生，对于公平和效率的动态选择是其分工的根源。其次，沿着国家和地方层面的区域产业政策两条主线开展政策实施路径的研究。采用区域产业要素流动、区域产业分工与协作、区域产业协调发展的三大推动力宏观视角和“区位选择模型”的微观视角对国家层面政策实施路径进行分析；并针对地方层面区域产业政策的空间属性与特征建立基于区域产业结构政策、区域产业组织政策、区域产业技术政策的多维度分析框架。其后在上述理论指导下系统总结我国区域发展战略、区域产业空间布局以及区域产业政策演变特征、发展模式与未来趋势。特别地，针对我国区域产业政策有效性评价环节工具缺失问题，构建修正的双重差分模型（differences-in-differences）和政策评价指标体系，并对我国西部大开发战略实施以来的区域产业政策效果进行检验。最后，在理论研究结论的指导下结合实证结果，总结我国区域产业政策系统在决策主体职能范围、决策模式及程序、区域间关系以及区域产业政策工具等方面的内在缺陷，并提出具体优化方案。本文进行上述研究目的在于为我国区域产业政策的制定和实施及后续政策有效性评价环节提供理论支持和决策依据。更多还原

【Abstract】 Regional impacts of economic globalization have defined an increasing trend ofintegration between branches of economic thought. Regional industrial development,focusing in localities of a nation as basic units of global competition analysis, hasbecome a common research area for both regional and industrial economics. However,regional industrial policy research is hampered by incomplete theoretical foundations,inadequate empirical evidence, the lacking of policy objective-orientation, and the useof illustrative examples rather than policies prescription.This study aims to advance the theoretical basis of regional industrial policymaking, its implementation and measurement, using the China context.Contemporary regional development in China faces many challenges due to its largeterritory and population and diverse industrial regional concentration. Given thisparticular national context with no benchmark previous experiences to relate to, it isimperative to develop a suitable framework to optimize its regional industrial policymaking process. Through redefining concepts of regional strategy, policy andplanning, this study examines external and internal dimensions of regional industrialpolicy and it establishes an analytical framework consisting of formulation,implementation and measurement of policy.We start by categorizing national policy decision making models based on theinstitutional foundations of regional industrial policy. We draw lessons from theJapanese advance context, and we use the Holmstrom and Milgrom’s methodology toquantify welfare and efficiency effects of different models of decision-making,explicitly dividing the functions and powers of central and local governments.Then we examine the concept of implementation policy path using both a centralmacro-policy and a local micro-policy approach. We propose a logic framework forpolicy implementation; involving a macro-micro focus for the central governmentregional industrial policy process, and a three-step course for the local governmentalregional industrial policy. This three-step course consists of structural, organizationaland technological policy factors. Using empirical data, we summarize China’s regional development strategy,industrial spatial patterns and industrial policy development. We estimate anEvaluation Index System of policy effects derived from our theoretical propositions.This index is intended to measure the effects of regional industrial policies since theimplementation of the China’s development national strategyWe conclude by discussing China’s problems in regional industrial policymaking and implementation, and put forward solutions drawing insights from theproposed theoretical framework and empirical survey results.更多还原