【作者】 周亚雄；

【导师】 安虎森；

【作者基本信息】 南开大学 ， 区域经济学， 2013， 博士

【摘要】 1978-2007年的30年间中国GDP年均增长率达到了9.8%,大大高于同期世界经济年均3.0%的增长速度；同时,中国的基础设施不论在实物形态还是在存量水平上均得到了极大发展。但与此同时,中国经济活动的空间非均衡分布、区域发展差距不断扩大等一系列问题也越来越引起人们的关注。本研究试图在新经济地理学框架下,通过对传统自由资本模型的不断扩展来探索基础设施与经济活动空间分布、产业转移、区域经济增长、区域差距收敛间的逻辑机理,并以跟踪转移支付资金最终流向方式讨论不同补贴政策的效果。本研究第三章讨论在不同异质性条件、农业运输成本和增长情形下基础设施对区域经济增长和区域差距的影响；第四章讨论内生化交易成本后,在多地区情形下交通运输网络的优化选择；第五章对比了补贴企业与补贴劳动者的转移支付政策效果；第六章以1998-2011年省级面板数据和1999-2010年216个地级以上城市的面板数据,运用空间计量模型进行了实证检验。在理论研究方面本研究得到的主要结论有：(1)区内公共基础设施的改善有利于本地经济发展,区际公共基础设施的改善有利于发达地区,并使区域差距趋于扩大；相对于落后地区,发达地区对于公共基础设施的改善更具有主动性,而落后地区对于基础设施的改善具有被动性；只有当落后地区的基础设施水平远高于发达地区时才可能实现对发达地区的超越,但这种可能性是相当小的。(2)迁移成本、消费者偏好异质性、企业异质性的存在只是改变了产业空间布局对基础设施变化的敏感性,而不改变原有的空间分布格局。(3)发达地区的区内农业基础设施的改善将降低其产业份额,但能提高劳动者的收入和实际GDP水平,导致发达地区政府面临着发展产业和提高居民收入的两难政策选择；落后地区的区内农业基础设施的改善对吸引投资、增加产业份额不会产生有利影响,但能够提高本地实际收入、缩小区际收入差距,所以选择改善区内农业基础设施是其占优策略。(4)公共知识基础设施具有很强的空间溢出效应,能够提高全社会的经济增长率与福利水平,但不会改变经济活动的空间布局与区域差距。(5)三地区在地理空间上呈等边或等腰三角形分布时,基于全社会总福利最大化选择的交通运输网络往往有利于发达地区。从人均实际收入来看,不同地区对交通运输网络的选择上存在零-和博弈：对某地区人均实际收入最大的运输网络对其他地区则可能造成损失；即使对同一地区,在不同的基础设施条件下,对不同交通运输网络的偏好也不同,很难达成利益一致的占优策略选择。(6)在各类补贴政策中,补贴企业的政策会导致吸引投资与缩小区域差距两大目标分离,补贴劳动者相对有利于缩小区域差距、对差异化税率的要求较低、财政上的可行性更强。在实证检验方面本研究得到的主要结论有：(1)我国东部地区的基础设施不论在实物形态上,还是在存量水平均优于中西部地区,并存在相对差距收敛而绝对差距扩大的特征。(2)基础设施投资总体上有利于经济增长,但各地区各类基础设施的产出弹性不同。从空间溢出效应来看,相对于形成实物的交通邮电基础设施,能够形成软实力的教育基础设施具有更强的空间溢出效应。(3)1998年以来我国各省市区的全要素生产率(TFP)总体上呈上升趋势,并呈东高西低的空间聚类分布特征。制度环境基础设施对TFP具有显著的影响,而物质基础设施对TFP的影响不显著。从空间效应来看,TFP具有显著的空间溢出效应,周边地区TFP水平的提升有助于本地区TFP的提升。(4)我国经济呈东、中、西部俱乐部型收敛特征,且东部城市间的差距最大、西部次之、中部最小。从收敛速度来看,1999～2010年东部地区为0.31%～0.34%,西部地区为0.35%～0.38%,中部地区为0.17%～0.25%；从半生命周期来看,东部地区为203～221年,西部地区为183～200年,中部地区为278～397年。在不同地区不同类型公共基础设施对经济收敛的影响效应不同,但制度、教育等软环境基础设施的差距收敛效应大于城市道路等物质基础设施。根据本文的研究结论,并结合我国的现实实践,我们得到以下4方面的政策启示：(1)东部发达地区应当在区际公共基础设施建设方面做更大贡献,中西部地区应当更重视本地的区内基础设施和农业基础设施建设。(2)应当坚持效率优先原则,在全国构建以东部地区为核心的交通运输网络体系,并由东部对中西部地区的收益损失给予补贴。(3)在东中西部地区建立差异化的税率体系,并主要以补贴劳动者的形式加大东部对西部的补贴力度。(4)中西部等落后地区应当进一步加强基础设施投资,特别是培育更加良好的制度、教育等软实力建设。更多还原

【Abstract】 The average annual growth rate of China’s GDP reached9.8%between1978to2007, significantly higher than the world’s economy average annual growth rate of3%. Meanwhile, China’s infrastructure has got a great development in physical form and stock levels. But at the same time, a series of problem, such as the unbalanced space distribution of Chinese economic activity and the gap of regional development is expanding, have got more and more serious.Based on the block the world of new economic geography, through extend the footloose capital model, this study attempts to research the logic mechanism between infrastructure and space distribution of economic activity, transfer of industry, regional economic growth, the convergence of regional disparities; and discuss the effect of different subsidypolicies by track the flow of transfer payments. The third chapter discusses the influence of infrastructure on regional economic growth and the convergence of regional disparities under the different heterogeneous condition, agricultural transportation cost and the growth condition. The fourth chapter discusses the optimal choice of transportation network after endogenesis transport cost under several regional model. The fifth chapter compares the policy effect between the transfer subsidies to enterprises and workers. In the sixth chapter, using spatial econometric model we give empirical test under the panel data of31provinces in1998-2011years and1999-2010years of216prefecture-level city.In the theoretical research, we obtained the following main conclusions:(1) the improvements of internal infrastructure are conducive to local economic development; the improvements of regional infrastructure are good to the developed areas, and will expend the gap of regional development. Relative to the backward areas, developed areas have more initiative to improve the infrastructure, opposite the backward areas always are passive in infrastructure improvements. Only under the badly conditions infrastructure in developed regions, the backward regions can realize the idea of beyond developed regions, but this probability is very small.(2) The exists of migration cost, heterogeneity of consumer preference and firm productivity only change the sensitivity between industrial space distribution and infrastructure, but cannot change the situation of space distribution.(3) The agricultural infrastructure improvements in developed regions will reduce the industry share, but will raise the income level of workers and the real level of GDP, so in developed regions government have to face a dilemmatic policy choice between industrial development and increase the income of residents. In backward regions agricultural infrastructure improvements have not favorable effect to attract investment and increase industrial share, but is good to increase real income and reduce regional development gap, so the choice of agricultural infrastructure improvements is the dominant strategy.(4) Public knowledge infrastructure has strong spatial spillover effects, it can increase the social economic growth and welfare but cannot change the economic activity spatial distribution and regional gap.(5) When the distribution of three regions are equilateral or isosceles triangle, the choice of transportation networks tend to favor the developed areas under the maximization of social welfare. Base on the average per real income, always exist the zero-sumgame:the choice of transportation network can increase average per real income in one regional but may cause losses to other regions. Even for the same region under different conditions, the preferences for different transportation networks are also different, it is difficult to reach a dominant strategy choice.(6) In all kinds of subsidy policies, the policy of subsidies to enterprises will lead to the separation of attracting investment and narrowing the regional gap. The policy of subsidies to workers will lead to narrow the regional gap, and has a low requirements on the differential tax rate and stronger financial feasibility.In the empirical test, we obtained the following main conclusions:(1) In China’s eastern region the infrastructure is better than central and Western regions no matter in physical form or stock level, and exists the characteristics of relative disparity convergence and absolute gap expend.(2) Public infrastructure investment is conducive to the overall economic growth, and in different regions the different infrastructure have the different output elasticity and spatial spillover effect. From the spatial spillover effect relative to the formation of physical infrastructure, the soft power of the educational infrastructure has stronger spatial spillover effects.(3) Since1998the TFP of China’s provinces show the overall upward trend and the spatial clustering distribution of East high and West low. The infrastructure of institution and environment has a significant impact on TFP, but the influence of physical infrastructure on TFP is not significant. From the spatial effect, the spillover effect of TFP is significant, the TFP increase of surrounding regions are good to TFP increase of local region.(4) China’s economy has a characterize of club convergence in the East, centre and West, and the gap between the cities is maximize in the East, middle in the West and minimum in the West. From the convergence speed, during1999～2010the East is0.31%～0.34%, the West is0.35%Y0.38%, the centre is0.17%～0.25%. From the half-life-cycle perspective the East is203～221years, the West is183～200years, the centre is278～397years. In different regions and different types of infrastructure has different effects on economic convergence. But soft environment has greater effects than physical infrastructure on the gap between the convergence.According to the conclusion of this article, combined with the practice in china, we get the following policy implications in4aspects:(1) The eastern region should make greater contribution in regionalinfrastructure construction, the central and western regions should pay more attention to the local infrastructure andagricultural infrastructureconstruction.(2) We should adhere to the principle of efficiencypriority,and construct the transportation network system as the core of eastern region. And meanwhile the eastern region should subsidy the western region.(3) Setup the different tax system in the eastern and Western regions, and the mainly workers subsidies form.(4) The central and western backward regions should further strengthen the infrastructure investment, especially to cultivate the education and other soft power system.更多还原