【作者】 常亮；

【导师】 贾金荣；

【作者基本信息】 西北农林科技大学 ， 农业技术经济与项目管理， 2012， 博士

【摘要】 城市化是我国经济社会发展的长期战略，新农村建设是党和国家促进经济社会稳定和谐发展的具有战略性意义的基本国策。目前在所谓宏观数据层次上的“快速”城市化进程中，存在有关政策偏向导致城市化发展过快表象下掩藏的大型城市发展失控、中小型城市发展不足、农村发展缺乏生机滞后等不容忽视的结构性问题。虽然，建立城乡统筹的发展政策是经济社会全面、协调、可持续发展和农村建设的必由之路，我国政策领域也早已对此讨论并提出相应对策，而实际中不仅没有缓解城乡差距，反倒愈演愈烈，各种利益集团博弈的结果并没有实现帕累托改进。此时，一些研究开始指出新农村建设要通过城市化途径予以推进，但却未能更深入地研究怎样借力，未能系统地探讨城市在新农村建设中应发挥什么作用和如何发挥作用的问题。因此，研究新农村建设与城市化进程之间的关系以及两者的有效契合不仅代表了一个新的研究趋向和主流，而且极为迫切。西部地区城市化水平亟待大幅提升，新农村建设与城市化进程的契合问题尤为突出，在工业化和城市化发展大方向之下确立西部地区新农村建设的地位，制定合乎经济社会发展基本规律的新农村建设与城市化进程契合方式具有重要的理论和现实意义。本研究基于相关文献的梳理归纳，对农村与乡村的不同内涵以及城市化发展过程进行重新界定。在分析城市化进程不同阶段的城乡功能演进中，阐明新农村建设与城市化进程之间的内在关系，即与城市化战略性相比，新农村建设具有调整性和从属性，是策略性的。基于此，通过引入综合城市化水平测算方法对西部城市化发展阶段予以识别，从经济二元性、生活二元性以及公共产品供给二元性三个方面设计二元综合对比系数，量化分析西部城乡关系的时空特征，并依据二元综合对比系数的变化趋势将西部地区城乡二元结构划分为五种类型。以理论界与决策层在新农村建设政策目标和建设实践中出现的偏差为出发点，从“硬件”契合和“软件”契合两个视角阐释新农村建设与城市化进程的契合内涵，并深入探讨两者的契合机制。设计发展水平和发展潜力两个方面的新农村建设与城市化进程“硬件”契合指标体系，采用二阶段时序主成分分析方法得出各指标子系统得分与城乡契合综合评价得分，其中，重庆城乡契合综合评价得分呈现先下降而后回升趋势，四川城乡契合综合评价得分呈现整体上升略有回降趋势，陕西城乡契合综合评价得分呈现整体平稳下降趋势。在此基础上，测算三个地区的城乡契合度指数，得出：四川是三个地区城乡契合水平提高最快的地区；陕西与重庆城乡契合水平变化趋势类似，城乡发展呈现出相对协调到不协调再逐渐向协调恢复的过程。基于新农村建设应该是一种经济组织方式和生活方式城市化的基本判断，设计新农村建设与城市化进程“软件”契合指标体系，建立基于因子分析之上的农户新农村建设认可度的Logistic回归模型，得出不同经济组织方式和生活方式对农户新农村建设认可度具有优先次序性：农户的“生活方式”、“职业理念”对新农村建设认可度影响最大，其次是“生活环境”、“职业态度”、“卫生习惯”；农户个体特征中除文化程度外，其余对农户新农村建设认可度影响“不显著”；并且，新农村建设对于农户经济组织方式、生活方式的改变仍具有一定局限性。从国内外城乡协调发展实践经验出发，创建西部新农村建设与城市化进程契合方式；并依据城市化发展水平和城乡之间的相互关系，将西部地区划分为城市近郊区、传统农业区、偏远落后区三种类型，探索其各自不同的阶段性契合方式。从宏观战略性、中观管理性、微观操作性三个层面提出西部新农村建设与城市化进程的契合对策。本研究创新之处在于：（1）依据承担和履行功能不同，将同样是作为城市以外空间的农村和乡村重新界定为工业化和城市化发展阶段的农村以及后工业化和现代社会的乡村，并在此基础上将城市化分为两个过程：外在的以人口机械迁移为特征的物理过程和以人口迁移为载体的城乡文化经过矛盾碰撞而熔合、升华最终统一为新型城市文明的化学反应过程。（2）从理论和国际发展经验上阐明新农村建设与城市化进程之间存在的局部与整体、次要矛盾与主要矛盾的辨证关系。（3）借助计量经济学方法，建立一套完整的新农村建设与城市化进程契合测度方法，不仅完善了多数研究所罗列的“硬件”指标体系，更注重政治理念、价值和审美观念等为内涵的反映新型城市文明的“软件”指标体系。（4）创建西部新农村建设与城市化进程契合方式，提出西部新农村建设初期应该遵循城市主导方式，围绕中心城市发展推进新农村建设。更多还原

【Abstract】 Urbanization is a long-term strategy of economic and social development in China, andnew rural construction is a strategically basic national policy to promote economic and socialstability and harmonious development. In the “fast” urbanization process at a so-called macrodata level, because of biased relevant policies, under the appearance of urbanization at anexcessive speed, there are some considerable structural problems, such as large citiesdevelopment out of control, deficiency development of small and medium-sized cities, lack ofvitality in rural areas development, etc. It is well known that establishing policy forcoordination of rural and urban development is necessary for economic and socialcoordination, sustainable development, and rural construction, and this is already discussedand corresponding measures are proposed by the policy researchers. However, in practice, it isgetting worse instead of narrowing the gap between rural and urban. It means that results ofthe game between interest groups have not achieved Pareto improvement. At the same time,some studies indicate that new rural construction should be improved by the urbanization. But,unfortunately, they don’t show how to do it in details and there is no systematic research onwhat roles the city should play in the new rural construction and how to play. Therefore, theresearch on relationship between new rural construction and urbanization and how tocoordinate the two not only represents a new trend, but also is very urgent. Urbanization levelin Western regions needs significant improvement, and coordination problems of new ruralconstruction and urbanization process are acute. For the direction of industrialization andurbanization development, it is of great importance to the theory and the practice to establishnew rural construction position in the Western regions, and to create coordination pattern ofnew rural construction and urbanization which conforms economic and social developmentrules.After reviewing related literatures, this study redefines different contents of rural areasand villages, and the urbanization development stages. It also clarifies the internal relationshipof new rural construction and urbanization process through analysis of the urban and ruralfunction evolution at different stages of the urbanization. And the internal relationship is thatnew rural construction is tactical, adjustable and dependent compared with urbanization strategy. Based on this, this study identifies the development stages of the urbanization in theWestern region by the introduction of integrated urbanization level calculation method. It alsoquantitatively analyzes temporal and spatial characteristics of relationship of urban and ruralin the Western region in three respects: economy duality, life duality and supply duality ofpublic goods. Then the relationship of urban and rural in the Western region is divided intofive types according to binary contrast coefficient trend. As a result of bias between the newrural construction policy target and construction in practice, it explains coordination contentof new rural construction and urbanization from coordination respects of “hardware” and“software”, and it further discusses coordination mechanism of the two. For the “hardware”coordination indicator valuation system, it consists of design development level anddevelopment potential. The study applies two-stage time-series principal component analysismethod to obtain sub-system scores for each indicator and comprehensive coordinationvaluation scores. Urban-rural coordination comprehensive value score of Chongqingdecreases first and then increases. In Sichuan, it shows an overall increase trend with a slightdecrease. In Shaanxi, however, it indicates a steady decrease trend. Based on this, urban-ruralcoordination indicators are calculated. They suggest that, of the three regions, Sichuan is theone with the fast improvement of urban village coordination. While in Shaanxi andChongqing, urban-rural development tendencies are quite similar, and they show a trend fromrelative coordination to not coordination and then back to coordination again. Because newrural construction should be a form of judgment to urbanization of economic organizationstyle and life style, this study designs new rural construction and urbanization process“software” coordination indicator valuation system. Based on the factor analysis, Logisticregression model of acceptance of rural households to new rural construction are used to getpriority order of new rural construction acceptance of various economic organizations and lifestyles. Starting from the practical experience of domestic and international urban and ruralcoordination, it proposes coordination patterns of new rural construction and urbanizationprocess in the Western regions, and explores coordination patterns in stages of various ruralregions. What is more, it suggests coordination paths of new rural construction andurbanization process in the Western regions in macro strategic level, middle managementlevel, and micro operability level.The contributions of the study are as follows:(1) according to different functions, itredefines rural areas and villages which are all outside of cities and then divides theurbanization into two stages. One of the stages is physical process characterized by outwardmechanical population migration, while the other is chemical process in which urban andrural cultures with population migration as carrier collide, fuse, refine and then finally unify into a new urban civilization.(2) Based on theory and international experience, it explainsthere are dialectical relationships between new rural construction and urbanization, and theyare primary and the secondary contradictions and global and local contradictions.(3) With thehelp of econometrics, it establishes a complete set of new rural construction and urbanizationprocess coordination measure methods. Reflecting new urban civilization, they not onlyimprove “hardware” indicator system most research already indicate, but also emphasis on“software” indicator, such as political believes, values, and aesthetic attitudes.(4) It createsnew rural construction and urbanization process coordination patterns and proposes that itshould follow the city-led approach and develop new rural construction around centre cities.更多还原