【作者】 张复明；

【导师】 牛仁亮；

【作者基本信息】 山西大学 ， 管理科学与工程， 2007， 博士

【摘要】 资源型经济是以资源为导向、以资源为基础的经济。它之所以成为发展经济学和区域经济学的热点话题，是与资源型经济的病态特征相联系的。资源型经济的发展实践表明，资源的大规模开发将会诱导国家或区域经济的迅速繁荣，资源价格的异常变动则会导致国家或区域贸易条件的恶化和经济增长的剧烈波动、资源型产业的过度繁荣，还会造成工业化的逆转和经济社会发展质态的退化。世界经济发展表明，资源非但没有成为工业化的“福音”，反而成为经济发展的“诅咒”。众多资源丰腴的国家和区域曾经或正在滑入资源优势陷阱，遭受着“资源诅咒”折磨。构建资源型经济的理论解释框架，探究资源型经济的内在机理和运行机制，研究资源型经济规避转型的模式和策略，实现资源型经济的转型发展已经迫在眉睫。一资源型经济主要是指以煤、石油、天然气等能源资源，以及铁、铜等矿产资源开发为主导的经济体系。资源型经济的形成过程，既是一个常态的发展过程，即工业化发展的某个演进阶段，也可能是病态的资源型经济现象的产生过程。这个病态是指经济体内所出现的大范围、广领域、深层次的贸易条件恶化、反工业化、产业失调、资源财富分配严重不公及财富管理失控及其他严重的社会问题。资源丰腴国家和地区普遍出现的“荷兰病”症状便是明证。资源型经济现象的出现，从根本上看就是资源产权及交易制度、资源开发制度、资源收益分配制度和人力资源开发制度的严重缺失，使资源成为经济活动的主宰性力量，恶化了贸易条件和产业发展生态，扭曲了经济要素的流动方向与配置方式。资源型经济现象的本质可归结为两点：依附性和边缘化。依附性是指区域经济活动过多地依附于资源禀赋优势及资源开发活动，边缘性是指区域经济开发过分地拘泥于垂直分工体系，呈现出边缘化的发展趋势。资源型经济现象，是一种因资源繁荣（booming）所带来的病态问题，是可以通过某种适当制度安排和政策、管理手段加以规避的。资源型经济现象的规避就是对资源开发所带来的风险、后果和病态的一种防范、规让和躲闪的过程。矿业资源是可耗竭资源，矿业部门是不可持续产业，资源型经济体的产业分工和国际分工是历史性的，所以说资源型经济的转型发展是必然的。资源型经济的转型就是从资源开发—资源繁荣—资源收益的路径依赖中解脱出来，走向更加依靠管理、技术、知识和智力的高层次经济形态的过程。需要强调的是，资源型经济的规避和转型，是常态递进和病态诊治双轨并行的过程。它既是经济形态的发展和经济发展阶段的递进；也是病态资源型经济现象的矫正和纠偏过程。二资源型经济是资源丰腴国家或地区工业化进程中出现的一个阶段性状态或发展型式。在工业化发展的视野下，可以对资源型经济的形成与转型进行一个简单的数理解析，即W_i=f（I，M，S_e，I_t，O），{W_i|W_i∈（L，G，K，T，B，Q，S，C）}。假设，在某个时点导入资源繁荣因素，{R|R∈（Q，P，B，M），则有W_i=f（I，M，S_E，I_t，O）∧R，求全微分得，dW_i=（（?）W_i/（?）I）dI+（（?）W_i/（?）M）dM+（（?）W_i/（?）S_e）dS_e+（（?）W_i/（?）I_t）dI_t+（（?）W_i/（?）O）dO+（（?）W_i/（?）R）dR。如dW_i＞0则表示工业化正常进行，如dW_i＜0则表示工业化出现逆转或阻断。资源型经济的形成是有着其内在机制的。资源的突然发现或者世界资源价格的上涨、以及资源需求的增加，将会共同刺激资源的开发活动，导致生产要素向资源部门的持续流入，促进资源开采与加工规模的扩大，引起资源部门的收益增加，进而出现资源部门在短时期内的迅速繁荣，其逻辑变化关系为：P↑（P₁→P₂）→π↑，R↑（R₁→R₂），W↑（W₁→W₂），r↑（r₁→r₂）→L↑，K↑→资源部门的繁荣，这便是资源部门的繁荣机制。资源部门的繁荣，会刺激一般要素和特殊要素的需求，引发生产要素比价和产品服务价格的上升，导致进口增加，汇率上升，恶化贸易条件和产业生态，产生资源流动效应、资源繁荣的支出效应和要素的挤出效应，降低制造业和其他可贸易产业的竞争力，出现反工业化现象，这就是资源繁荣的影响机制。资源部门对要素的粘滞作用，资源及相关部门在资本可进入性和短期赢利性方面的先天优势，增强了资源部门对经济要素的特殊吸纳效应，形成资源部门及其相关的产业家族的正反馈循环发展；资源部门高沉淀成本的存在，以及资源繁荣对区域功能、产业功能及核心企业功能的长期锁定，形成资源繁荣的的锁定效应，这就是资源型经济的自强机制。资源型经济的成功规避是在其内在机制的规范约束作用下实现的。一是根据The Hotelling Role，建立资源持续利用的代际公平机制与资源开发外部不经济的内在化机制，切实规范资源开发行为：二是调控资源开采数量与资源产品价格，合理分配自然资源收益。其逻辑变化关系是：资源跨期配置、社会配置最优→资源开采适度(（?）_资源（?）_临界→收益增长适度(（?）_资源（?）_临界)，收益分配合理→L、K在部门间适度流动→收益转化为物资资本。同时，推进资源产权、资源开发、资源劳务的多元化和国际化，建立资源繁荣的约束机制、资源利益的社会化分享机制、资源风险的分散化机制，实现资源繁荣的合理调控；三是根据The Hartwick Role，在保持总财富不减少的前提下，促进资源财富向物质资本的转化，促进资本形态的递进，将资源租金收益及时有效地转化为工业化资本，建立工业化资本形成与资本形态的递进机制。资源型经济的转型机制包括五个方面。贸易条件恶化的遏止机制，其逻辑变化关系是：对于资源部门而言，提高门槛、增加税收、工资适度→Q_资源↓，W_资源↓→L_资源↓，K_资源↓→资源部门的繁荣得到控制；对于制造业部门而言，价格补贴、投资补贴、工资补贴→π_制造业↑，W_制造业↑→L_制造业，K_制造业↑→制造业部门得到发展。资源财富管理的透明度和公正化机制，是指资源生产和收益使用帐户的公开化，资源生产和收益使用帐户的公众监督；防治寻租活动，惩治腐败行为，建立资源财富的管理机制和资源产权制度。资源财富的投资纠偏机制，是指合理调整投资与消费的关系，改善投资结构和方式，有效积累非自然资源财富，提高投资的效率及财富的积累速度，形成较强的资本积累能力与产出能力。学习过程和创新能力的培养机制，是指引入创新这一新变量，打破原有的资源内部自循环机制，将资源型地区从资源依赖型推向技术驱动型、自主创新型的发展轨道。产业结构的优化升级机制，是指从需求结构、供给结构、分工与专业化、交易费用和技术进步入手，推进产业结构多元化、合理化和高级化。从较大程度上讲，中国资源型区域的转型发展就是产业结构的转型发展。资源型区域需要改进区域资源-要素结构，形成以区域创新和竞争优势为核心的要素密集度升级递进机制，推动优势的延续、组合、升级、替代、深化和递进，建立和实施竞争优势的生成模式。同时，建立“产业序动升级”模式和多元叠合发展模式，建立包括产业的改造、延伸、救助、替代和置换在内的产业结构代谢机制，建立由资源企业转型分类导引策略、设立资源型企业进入门槛、“异类”企业催育和成长、优势企业规模扩张组成的企业转型嬗变模式。山西是国内最为典型的资源型区域之一。资源部门持续扩张、主导区域经济发展；产业升级转换不力、整体结构效益不佳；资源财富流失严重、外部性问题突出；科技创新机制不健全、内生发展能力不足：生产要素比价上升、区域贸易条件受损；受制于煤焦产业波动、区域经济波动强度较大是当前资源型经济的主要症状和突出问题。为此，应当采取资源优势拓展策略、结构调整和产业升级策略、区域内生发展策略、营商环境优化策略、生态重建和绿色开发策略和空间有序开发策略，改革资源产权制度，完善资源环境补偿制度，健全资源财富管理制度，建立资源收益分配制度，实行产业援助政策，设立资源型经济转型发展基金，强化内生发展能力，建立创新发展机制，同时抓住实施煤炭工业可持续发展的政策试点的良好机遇，积极争取中央的政策和资金支持，从而实现从资源倚赖型向创新驱动型经济的转型跨越。论文运用经济理论和战略管理学的分析工具，采用实证研究与规范研究、定量研究与定性研究、系统研究与区域研究相结合的研究方式，初步构建了资源型经济问题的理论框架体系，对“资源型经济”重大理论问题进行了新的阐述，提出了资源型经济问题的数理解析模式，揭示了资源型经济从形成、到规避和转型的内在机制，这些具有创新性的理论探索是对发展经济学的深化和发展。论文探讨了中国资源型区域产业转型模式，剖析了山西资源型经济的主要症状，研究了转型发展的基本策略，提出了转型发展的政策和制度安排意见，这为当地经济发展提供了重要的决策参考意见，也为区域经济研究提供了具有学术价值的案例。更多还原

【Abstract】 Resource-based economy, which is also called resource-oriented economy, hasbecome a hot topic on regional economics and development economics for itsrelationship with abnormal features. The practice of resource-based economydevelopment shows that large-scale resources exploitation will bring regional ornational economic growth rapidly; abnormal changes in the prices of resources willlead to the deterioration on terms of trade in national or region and turbulentfluctuation on economic growth; the booming of resource-based industries will resultin the reversal of industrialization and degradation of the quality on economic andsocial development. Development of the world economy shows that resources has notbecome the "bless", but has become a "curse" for industrialization. Many nations andregions with resources abundant have been or are sliding into pitfalls of resourceadvantages and suffering torture of "resource curse". It has academic value toconstruct theoretical explanations framework on resource-based economy, to revealthe internal and operational mechanism, to study the restructure model and shiftstrategy of resource-based economy. It is imminent to achieve the transformationdevelopment of resource-based economy.ⅠResource-based economy mainly refers to the exploitation-oriented economicsystem by utilizing energy resources such as coal, oil, natural gas and others, andmineral resources such as iron, copper and others. The formation process ofresource-based economy is not only a normal development process, in which a certainevolution during the development stage of industrialization, but also a process ofresource-based economy with abnormal state. The abnormal state is fargoing by majoreconomies, including deterioration in the terms of trade, de-industrialization, industrydisorders, serious unfair distribution on resources benefits, losing controlling onwealth and asset management, and other serious social problems. The "DutchDisease" appeared widely on the level of state and region with resource abundantillustrates the symptoms apparently.Fundamentally, the phenomenon of resource-based economy means the seriousdeficiencies in resource property institution, resource trading, development income,distribution institution, and human resources development institution, which makeresources become a dominant force in economic activities, deteriorate terms of tradeand industrial ecological condition, distort the allocation structure and flow directionof the economic elements. Resource-based economy has double essential features:strong dependence and marginalization. The strong dependence refers to the regionaleconomic activities depend excessively on natural resources. The marginalizationrefers to regional economic development is stick to the vertical division of labor andstay in the upper reaches of the industrial divisionResource-based economy is a worse result of resources booming, which can be avoided by an appropriate institutional arrangements and policies. The avoidance ofphenomenon shows preventing risks, results and diseases from resource exploitation.From the view of normal development, just because of the exhaustibility of mineralresources and unsustainability of the mining sectors, the industrial division and theinternational division of resource-based economies are staged, and so thetransformation development of resource-based economy follows ineluctable trend.The transformation of resource-based economy means to extricate the path-relied ofresources, and lead to high-level economy by relying more on the management,technology, knowledge and intelligence. What must be emphasized is that theavoidance and transformation are not only a progressive development process andevolution of economic development phase, but also a correcting process on solvingeconomy problems and eliminating the abnormal states.ⅡResource-based economy could be seen a development phase or patterns during theprocess of industrialization in a country or region with resources abundant. Fromindustrial historical vision of industrialization, a simple mathematical analysis canillustrates the formation and transformation of resource-based economy, that isW_i=f（I,M,S_e,I_l,O）, {W_i|W_i∈（L,G,K,T,B,Q,S,C）}. If resource booming factor wereadded on certain time, {R|R∈（Q,P,B,M）}, then get W_i=f（I,M,S_E,I_l,O）AR, and getdW_i=（（?）W_i/（?）I）dI+（（?）W/（?）M）dM+（（?）W_i/（?）S_e）dS_e+（（?）W_i/（?）I_l）dI_l+（（?）W_i/（?）O）dO+（（?）W_i/（?）R）dR bydifferential coefficient. If dW_i＞0, it shows industrialization goes smoothly. IfdW_i＜0, it shows industrialization is broken.The formation of resource-based economy is decided by its internal mechanism. Itwill stimulate resource development activities, which include the discoveries inresources by chance, or increases in resources prices, and the increasing demands forresources in the world. The changes result in production elements flowing to theresource sectors continuing, enlarging the scale of resource exploitation andutilization, increasing the income of resource, and realizing booming in resourcesector in a short period of time. The relationship of logic change is that: P↑（P₁→P₂）→π↑, R↑（R₁→R₂）, W↑（W₁→W₂）, r↑（r₁→r₂）→L↑, K↑→the booming ofresource sector. Above mention is the booming mechanism of resource sector. Thebooming of resource sector will stimulate the demand for general and specialelements, rise the relative price of tradable sectors to nontradable sectors and price ofproducts and services, result imports and exchange rate increasing, worsen tradecondition and industrial ecological condition, bring the effect of resource flows,expenditure effect of resource booming, and spill effect, reduce competitiveness ofmanufacture sector and other tradable sectors, shows de-industrialization phenomenon,which is the influence mechanism of resource booming. The adherence function toelements of resource sector, and the capital accessibility and the short-term profitadvantage in resources and relevant sectors increase specific absorbing domino effectin resource sector, and drive to positive feedback cycle of resource sector and relatedindustries; high deposition of cost in resources sectors, the long-term lock in function on the level of region, industry and core enterprise from resource booming, which isaccumulation and circulation mechanism of resource-based economy.The successful avoidance of resource-based economy is ruled by its internalmechanism. According to the Hotelling Role, one item is to establish aninter-generation fairness mechanism and internalization mechanism for externalnon-economic activities on sustainable utilization to regulate resources developmentactivities effectively. The second item is to control the product price and scale onresources exploitation, to distribute benefits of natural resources reasonably. Therelationship of logic change is that: resource intertemporal allocation, socializationoptimal allocation→moderate resource extraction(（?）_resource （?） （?）_critical)→moderationof resource benefits growth→rational distribute of benefits→proper flow of L, Kamong sectors→shift to material capital from benefits. Meantime, it is necessary toadvance diversification and internationalization on resource property, resourcedevelopment, and employee resources. It comes the restriction mechanism onresource booming, socialization sharing mechanism on resource benefit, anddecentralization mechanism of resource risk. The third item is, according to theHartwick Role, to shift resource wealth to material capital, and promote theprogressive capital maintaining total wealth unchangeably, for which the benefit fromresource rent will transform into industrial capital effectively, and establishprogressive mechanism in the formation and status of industrialization capital.The transformation mechanisms of resource-based economy include 5 aspects.The interruption mechanism for the exasperated terms of trade means to control overbooming in resource sectors and improve terms of trade for industrial development.The relationship of logic change is that: to resource sector, raising entrance threshold,elevating tax, and wage moderation→Q_resource↓, W_resource↓→L_resource↓, K_resource↓→resource booming is controlled; to manufacture sector, subsidization of price, wage,investment→π_manufacture↑, W_manufacture↑→L_manufacture↑, K_manufacture↑→development ofmanufacture sectors. The transparency and fairness of mechanism of resource wealthmanagement means to open account of resource benefits and distribution, allowpublic supervision on resource wealth, prevent rent seeking, punish corruption, andestablish management mechanism on resource wealth and management institution ofresource property. The investment correcting mechanism of resource wealth refers toadjust the relationship of investment with consumption reasonably, improveinvestment structure and mode, accumulate non-natural resource wealth effectively,increase the efficiency of investment and accumulation speed of wealth, and get bettercapability of capital accumulation and output. The cultivation mechanism on learningprocess and innovation ability refers to shift the resource-depended region totechnology-driven region, lead to self-initiated innovation, and break old internalself-cycle mechanism of resource. The optimization and upgrade mechanism ofindustrial structure refers to promote diversification, rationalization and highgradation of industrial structure based on the demand structure, the supply structure,division of labor and specialization, transaction costs, and technological progress. ⅢFrom a larger extent, the main topic of transformation development in Chineseresource-based regions indicates the transformation development of industrialrestructure. The resource-based regions should improve regional resource-elementstructure to build regional innovation-centered and competitivenessadvantage-oriented upgrade mechanism, enlarge regional dynamic advantagescontinuing, assembling, upgrading, substituting, deepening, and progressing, andconstitute growth mode of competitive advantage. Meanwhile, because of industrialstructures with singles, initials, and persistence, the resource-based regions will castthe model of "industrial sequence escalation" and "diversity composition developmentmodels", metabolizability mechanism of industrial structure including industrialreconstruction, extension, salvation, substitute, and replacement; and establishamelioration model for enterprises restructure composed with classification-guidedstrategy of resource-based enterprises, the entrance threshold for resource-basedenterprises, the growth of "otherness" enterprises, and expansion of dominatedenterprises.Shanxi is the most typical case of regional-based resources. The resources sectorsexpanding continuously dominate regional economic development. The conversion ofindustrial upgrading is ineffective with poor efficiency in whole structure. Theresource wealth looses seriously with outstanding externality symptoms.Technological innovation mechanism is not sound, and endogenous developmentcapacity is insufficient. The prices of production elements rise, and the regional termsof trade is damaged. The regional economy with violent fluctuation is influenced bythe fluctuation of coal and coke industries. Above these are the major problems ofresource-based economy. Therefore, several strategies should be taken, such asextension strategy of resource advantages, strategy of restructuring and industrialupgrade, the strategy of regional endogenous development, the optimization strategyin business environment, the strategies of ecological reconstruction and developmentand green, the strategy of space development in order. Several institutions should bereformed, such as the institution reform of resource properties. The compensationinstitution for resources environment and management for resources wealth should beimproved. The distribution institution of resources income should be established.Some economic policies should be carried out, for example, industrial assistance,distribution guidance, and investment inducement. The Transformation Fund ofresource-based economy will be founded to strengthen its endogenous developmentcapabilities. The innovative development mechanism will be set up. Meanwhile, withsupports of policies and fund from central and local government, the transformationleaping from resource-oriented to an innovation-led economy will come into true bycatching the perfect opportunity as an experiment site of policy on sustainabledevelopment in coal industry.The thesis constructs the theoretical framework on resource-based economy initially, give a new theoretical explanation on "resource-based economy", bringforward mathematical analysis model on resource-based economy, and reveal theinternal mechanism of formation, avoidance, and transformation of resource-basedeconomy by applying economic theory, the analysis tools on studies of public policyand strategic management, and utilizing approaches modes combined with normal andpositive analysis, quantitative and qualitative research, regional and institutionresearch. These innovative theoretical explorations have made a new approach toeconomic development theory. The thesis explores the transformation model inresources-based regions in China, analysis the major symptoms of resource-basedeconomy in Shanxi, analysis the basic strategy of transformation, and puts forwardpolices and advices of institution management on transformation development, whichprovides important advices for decision for the development of regional economy, anda case with academic value for the study of regional economy.更多还原