【作者】 何光汉；

【导师】 张炜；

【作者基本信息】 西南财经大学 ， 区域经济学， 2010， 博士

【摘要】 “主体功能区”概念是在《中共中央关于制定国民经济和社会发展第十一个五年规划的建议》和《中华人民共和国国民经济和社会发展第十一个五年规划纲要》中提出的,二者均指出要“根据资源环境承载能力、现有开发密度和发展潜力,统筹考虑未来我国人口分布、经济布局、国土利用和城镇化格局,将国土空间划分为优化开发、重点开发、限制开发和禁止开发四类主体功能区,按照主体功能定位调整完善区域政策和绩效评价,规范空间开发秩序,形成合理的空间开发结构”。随即国务院公布了《关于编制全国主体功能区规划的意见》来具体落实这个战略部署,明确指出要“引导形成主体功能定位清晰,人口、经济、资源环境相互协调,公共服务和人民生活水平差距不断缩小的区域协调发展格局”。主体功能区战略的提出有其深刻的经济社会背景。它是在我国经过30多年的改革开放和快速发展,从1980年人均GNP的290美元到2008年的人均GDP超过3000美元,在社会物质财富增长方面取得重要成效的背景下提出的。然而与之相对的是,我国国土空间开发的现状却存在区域资源环境承载矛盾加剧、国土空间开发无序、区域发展不协调等一系列问题。从国际经验来看,一个国家或地区的人均GDP超过3000美元的时候,其工业化、城镇化的进程将出现加速发展,这将对整个国土空间开发格局带来重大影响。随着社会物质财富的不断增加,人们开始对社会公平、人与自然和谐相处、区域空间开发的可持续发展等更加关注。要求在新的发展时期,对过去区域发展战略中“效率第一”、“效率优先”等在生产力水平严重落后条件下作出的“加快发展”战略选择,向以人为本、公平与效率并重,更加强调社会公平的方向转变；将传统经济“高能耗、高污染、资源性”的粗放型经济增长方式,向“资源节约型、环境友好型”的集约型经济发展方式转变；将传统经济发展战略导致的区域差距、城乡差距不断加大向区域协调、城乡统筹发展的方向转变等等。因此,客观上要求在新的经济社会发展阶段,形成一个“人口、经济、资源环境相互协调,公共服务和人民生活水平差距不断缩小”的区域协调发展新格局。对主体功能区战略进行研究有重要的理论与现实意义。主体功能区战略是一个新的命题,该战略是依据区域资源环境承载能力、现有开发密度、开发潜力等因素,进而明确区域主体功能定位与发展方向的一种空间开发战略,兼有问题区域划分以及空间规划的性质,因而国外关于区域划分、空间规划以及特定区域管理等方面空间开发的理论、方法和经验可以充分借鉴,但是却没有成熟的理论及经验可以完全照搬。因而,对于主体功能区这样一个新的理论问题进行研究,无论是对我国区域经济理论学科建设,还是对构建健康、可持续的区域经济发展格局,都有着重大的理论与实践价值：一是有利于创新我国的区域发展战略,完善区域发展理论；二是有利于打破我国的传统区域管理理论,深化区域协调发展战略；三是有利于缓解我国区域性资源环境日益加剧的矛盾,规范空间开发秩序,在实践中贯彻落实科学发展观等等。在总体研究思路上,本文从理论与实证两个层面展开。理论部分一是构建区域空间管治理论分析框架；二是将主体功能区建设问题置于这个分析框架之下,系统探讨主体功能区以及区域空间管治与主体功能区建设的相关理论问题。在理论分析基础上,结合四川实际展开实证分析。一是认识四川国土空间特征、开发现状、存在的问题与面临的新形势；二是构建指标体系研究划分出四川主体功能区；三是就推进四川主体功能区建设进行对策措施探索。本文逻辑框架和主要内容：第1章,导论部分。本部分主要说明本文的选题背景、研究意义、相关研究文献综述、研究思路与结构安排、研究方法以及主要创新与不足等内容。第2章,区域空间管治：一个理论分析框架。本章从区域空间管治的地域分异基础,区域空间管治的人地和谐理念,区域空间管治的目标状态,区域空间管治的可持续发展目标追求,区域空间管治原则、管治模式及管治手段等方面探索区域空间管治理论分析框架。第3章,主体功能区及其划分内容、方法。本章从主体功能区类型、功能定位及发展方向；主体功能区划的内涵及其划分依据；主体功能区划分原则,以及主体功能区划分指标体系及划分方法进行研究。第4章,区域空间管治与主体功能区建设。本章从区域空间管治与主体功能区的形成,主体功能区区域空间分类管治政策体系,主体功能区区域空间管治的财政转移支付机制,以及主体功能区区域空间管治的生态补偿机制进行探讨。第5章,四川省国土空间开发现状、存在问题及面临新形势。本章从四川省国土空间特征,四川省国土空间开发利用现状,四川省国土空间开发利用存在的问题,四川省国土空间开发面临的新形势展开分析。第6章,四川省主体功能区划分分析。本章从指标构建、数据选取,综合指数计算及对其进行的聚类组合评价着手,分析得出四川省主体功能区划分方案。第7章,四川省主体功能区建设的途径及措施。本章从创新体制机制,加强区域协作；四川各类主体功能区功能定位和发展方向；制定区域空间管治政策,推动主体功能区建设；加大财政转移支付,促进主体功能区建设；实行差别化的区域主体功能绩效评价方式等方面进行对策措施探讨。本文以空间分析方法作为基本的研究方法,结合计量分析手段,展开理论与实践相结合研究。综合运用区域经济学、空间经济学、生态经济学、产业经济学、微观经济学、宏观经济学等学科知识,从构建区域空间管治理论分析框架入手,进行深入系统的理论分析。并在此基础上,对四川国土空间开发现状、存在问题、各区域空间的资源环境承载能力、现有开发密度、发展潜力等进行大量实证分析,从而划分出四川主体功能区的四种类型,并明确相应的功能定位、发展方向以及发展举措等。这对于深入研究主体功能区建设基本理论,促进我国国土空间开发健康有序、可持续发展有重要意义。本文在总结、吸纳前人相关研究成果的基础上,力求有所创新：一是面对主体功能区这个新事物,国际上没有现成的理论、方法、经验可以直接借鉴,国内也基本上还处于探索阶段。本研究系统地探讨了主体功能区内涵特征、形成动力机制、划分原则、划分依据、划分方法、划分指标体系构建以及在操作层面如何进行主体功能区建设等等,力图贡献一个完整的主体功能区建设的理论分析框架。二是在研究视角上有一定新意,本研究从区域空间管治的分析视角出发,探讨了包括区域空间管治的基础、管治理念、目标状态、目标追求以及管治原则、管治模式、管治手段等相关理论。将主体功能区建设问题置于其中,系统地展开研究。三是通过具体分析各基本行政单元的资源环境承载能力、现有开发密度、开发潜力等,相应确定各区域的功能定位和发展方向,并提出促进四川主体功能区分类建设的对策思路。这对优化资源配置,规范空间开发秩序,推进四川经济持续、健康、协调发展有一定贡献。由于影响主体功能区划的因素众多,譬如区域资源环境承载能力、现有开发密度、开发潜力、在不同层次区域中的战略地位、区位条件、经济发展基础条件等,本研究仅从其主要影响因素如区域资源环境承载能力、现有开发密度、开发潜力入手,未能进行全面、详尽的综合分析,略显不足。加之指标数据收集的困难,本研究在构建四川主体功能区划指标体系时,对那些诸如资源丰度、环境容量、生态环境敏感度等指标没有纳入,在一定程度上会对主体功能区划结果产生影响。这些不足有待在今后的研究中加以改进。更多还原

【Abstract】 The concept of "major functional zones" was put forward in both "Proposals of Chinese Communist Party Central Committee about Making the 11th Five-Year-Plan for National Economic and Social Development" and in "The Outline of the 11th Five-Year-Plan of the People’s Republic of China for National Economic and Social Development".They both pointed out that "according to the carrying ability of resources and environment, the present development density and the potentiality of development, our land space can be classified into four kinds of major functional zones, which were optimized development zone, key development zone, restricted development zone and prohibited development zone, after taking population distribution, economic distribution, utilization of national land and the pattern of urbanization into consideration. Then the regional polices and performance evaluation will be adjusted and improved according to their major functions in order to standardize the spatial development order and to form a reasonable spatial development structure."After that, the state council declared "Suggestions on Making Plan about Major Function Zones of China" to implement this strategic plan and clearly pointed out to "guide the formation of a coordinated regional development format which has clear major functions, which can coordinate population, economy, resources and environment well and which can narrow the gap of public services and of people’s living standards continuously".The strategy of major functional zones has a profound economic and social background. It was put forward after about thirty years of Chinese reform and opening-up with a rapid development, which made great achievements of the social material wealth. On the contrary, the spatial development of Chinese land caused a series of problems, such as the worsening carrying contradiction between regional resources and environment, the random spatial development of Chinese land and the uncoordinated regional development.According to the international experience, one country or region whose per capita GDP exceeds 3,000 U.S. dollars will experience a quick development of its industrialization and urbanization process. With the social material wealth increasing constantly, people pay more attention to social equality, the harmonious relation between man and nature, and the sustainable development of regional spatial development. In the new period of development, it is urgently needed to change the former regional development strategy of "efficiency first", which was the strategic choice made in the productivity seriously lagging behind period, into a new one which is people-oriented, which links equality with efficiency, and which stresses social justice. The traditional extensive economic growth mode of "high energy consumption, high pollution and resource" should be transformed into a "resource-saving and environment-protecting" intensive mode of economic development. The regional disparities and the widening urban-rural gap caused by the traditional economic development strategy should be changed into a coordinated urban-rural development. Therefore, at the new stage of historical development, it is very necessary to form a new pattern of coordinated regional development, which can coordinate population, economy and resource environment and can narrow down the gaps of public services and people’s living standards continuously.It is of great theoretical and practical significance to study the strategy of major functional zones. Although it is based on the study of the carrying ability of regional resources and environment, the present development density and the potentiality of development and also can clarify the regional major function and development, the strategy of major functional zones is a completely new topic. There are no sophisticated theories or experience to borrow directly even though there are some foreign experiences, theories and concepts about regional classification, regional planning and regional management for us to refer to. Therefore, the theoretical study of major functional zones will be of great theoretical significance and practical value to both the construction of regional economic subject and to the formation of a healthy and sustainable regional economic development pattern. Firstly, it is good to innovate the regional development strategy of our county and to improve regional development theories; secondly, good to develop the traditional regional management theories of our country and to deepen the coordinated regional development strategy; thirdly, good to ease the growing conflicts of Chinese regional resources and environment, to standardize the spatial development order and to implement the concept of scientific development practically.The study of this thesis will be conducted at both theoretical and empirical levels. The first theoretical part is to construct the framework of regional spatial governance theoretical analysis; the second theoretical part is to study the major functional zones construction within this analysis framework and to systematically discuss major functional zones, regional spatial governance and the construction of major functional zones and so on. Based on the theoretical analysis, the empirical study, combing with the present situation of Sichuan Province, will be carried out. Part one is to study the spatial characteristics of the land in Sichuan, its development and the problems, and the new situation; part two is to build the index system and to divide the major functional zones of Sichuan; part three is to explore the methods and measures which can promote the construction of major functional zones of Sichuan province.Then comes the introduction of the logical framework and content of this thesis. Chapter one is the introduction part, which is about such topics as the background of topic selection, the significance of this study, the relevant literature review, the structure and outline of this study, methods it employed and its new and weak points. Chapter two is about regional spatial governance, which is the framework of theoretical analysis. The discussion about the analysis framework of regional spatial governance theories includes the geographical differences basis of regional spatial governance, its human-land harmony idea, its target state, the sustainable development goal it pursued and finally its principles, modes and methods. Chapter three is titled major functional zones, their classification and the methods of classifying them. This part mainly includes the features, types, functions and development of major functional zones; the connotation, features of major functional zones classification and its relationship with other kinds of classification; the main criteria and standards of major functional zones classification; and the principles, the index system and methods of major functional zones classification. Chapter four is named regional spatial governance and major functional zones construction. This chapter consists of the following parts:regional spatial governance and the formation of major functional zones; the regional spatial classification governance policy system of major functional zones; the financial transfer payment mechanisms of the regional spatial governance of major functional zones; and the ecological compensation mechanisms of the regional spatial governance of major functional zones. Chapter five is about the development state of the land space of Sichuan, its problems and the new situation it will face. This part is composed of spatial features, the present development situation, the problems and the new situations of the land space of Sichuan. Chapter six is the analysis of major functional zones classification. After studying the index construction, the data selection, the index calculation and the evaluation of its clustering combination, this part comes up with the major functional zones classification plan of Sichuan province. Chapter seven is about the means and measure of the major functional zones construction of Sichuan, such as innovating the institutional mechanisms to strengthen regional cooperation; the functions and development of various kinds of major functional zones of Sichuan; adopting regional spatial governance policies to promote the major functional zones construction; increasing the financial transfer payment to promote the major functional zones construction; and implementing differentiated evaluation methods of regional major functions performance.Adopting the spatial analysis as the basic research method with the combination of quantitative analysis, this thesis has conducted both theoretical and empirical studies. Theoretically speaking, this thesis is a systematic theoretical analysis which integrates regional economics, spatial economics, ecological economics, industrial economics, macroeconomics, microeconomics to construct the analysis framework of regional spatial governance theories. Empirically speaking, with a great amount of empirical analysis about the development present situation of Sichuan land space, its problems, the resource and environment carrying capacity of all the regional spaces, the present development density and its development potentiality, this thesis classifies four kinds of major functional zones of Sichuan and clarifies their respective functions, their development and their developments measures and so on. This thesis will be of great significance to deepen the basic theories of major functional zones construction and to promote a healthy, orderly and sustainable development of Chinese land space.Summarizing and studying the previous relevant researches, this paper strives to make the following new points. Firstly, because the study of major functional zones is a new topic, there are no sophisticated international theories, methods and experiences for us to adopt directly and also it just starts in China. Therefore, by discussing the connotation, features, formation mechanisms, classification standards, classification criteria, classification methods, the construction of classification index system and how to construct major functional zones, this thesis aims to build a complete theoretical analysis framework of major functional zones construction. Secondly, the study perspective is another new point. This thesis, taking a regional spatial governance perspective, studies the basis of regional spatial governance, its management, its target state, its goal, its governance principles, its governance models, its governance means and other relevant theories. Then this thesis systematically studies the major functional zones construction within this theoretical framework. Thirdly, this paper clarifies the function and development of all the regional functional zones of Sichuan and proposes countermeasures promoting the major functional zones classification construction by analyzing the carrying capacity of resources and environment, the present development density, the development potentiality of every basic administrative unit. This is a major contribution towards optimizing the allocation of resources of Sichuan, towards standardizing the spatial development order, towards a constant, healthy, coordinated economic development of Sichuan. But there are too many elements and conditions which affect the classification of major functional zones. For example, the carrying capacity of regional resources and environment, the present development density, the development potentiality, and the strategic position, regional condition and basis of economic development at different regional levels. This thesis mainly focuses on the carrying capacity of regional resources and environment, the present development density and the development potentiality and can not make a completely comprehensive and detailed analysis. Besides that, difficulties also can be found in data collection. Limited by data, this paper doesn’t include the indexes of resources abundance, environmental capacity and environmental sensitivity when we constructed the index system of Sichuan major functional zones classification. And maybe this influences, to some degree, the major functional zones classification. And surely these weak points will be made up and strengthened in the future.更多还原