【作者】 颜银根；

【导师】 安虎森；

【作者基本信息】 南开大学 ， 区域经济学， 2012， 博士

【副题名】基于新经济地理学与新新贸易理论的研究

【摘要】 改革开放以来，中国经济出现了快速的增长，人民物质生活水平得到极大的提升。然而，在中国经济快速增长的背后却隐藏着产业空间非均衡分布、区域之间收入差距进一步扩大以及地区之间的贸易进一步减弱等一系列的问题，中国沿海和内地形成典型的核心-边缘结构。本文在新经济地理学的自由资本模型基础上纳入新新贸易理论中的企业异质性以及市场进入成本构建了“新”新经济地理学模型，以此考察存在要素流动以及区域贸易时经济活动的空间分布。为了进一步深入分析区域政策对经济活动空间分布的影响，在本文第四章至第六章分别加入贸易政策、财政政策以及就业政策等分析非对称贸易成本、非对称市场进入成本、关税同盟、税收政策、补贴政策、财政分权、政府免费培训“农民工”以及提供充分就业信息等对经济活动空间分布的影响。根据2000-2007年《中国工业企业数据库》以及1999-2008年全国28省（直辖市、自治区）的面板数据，文中采用面板计量方法对理论研究所提出的假说进行了经验检验。通过理论和实证研究，本文得到如下一些重要的结论：（1）中国企业的生产效率服从Pareto I型分布，并且地区企业生产效率分布随着贸易自由化而出现了动态演化。地区的贸易自由化水平越高，地区企业的异质性越强。（2）中国企业存在着生产效率的排序效应：“迁移型”（FDI）企业的生产效率最高，“出口型”企业的生产效率次之，而“本地型”企业的生产效率最低。此外，企业的性质对企业的生产效率具有一定的影响。相比较而言，民营企业有着较高的生产效率，而国有企业生产效率则相对较低。（3）由于不同类型的企业迁移具有不同的特征，因此企业异质性改变了产业集聚的路径。对应地，在国外市场进入成本相对比较大时，传统新经济地理学中完全的“核心-边缘”结构不可能出现。（4）由于小国对贸易保护总是有着某种需求，但是大国在区域之间的贸易自由化水平达到某个“门槛值”之后进一步的贸易自由化对其有利，因此小国在此时具有某种“政策优势”。正是由于政策优势的存在，小国在区域一体化中可以把握主动权，从而导致完全集聚难以出现。（5）差异化的市场进入成本（非关税贸易壁垒）不仅可以有效地保护本国的产业和劳动力就业，甚至可以吸引其他地区的产业进入本地区。从而，这种贸易政策有效地改变了地区经济活动的空间分布。（6）如果同盟国的市场规模足够大，那么关税同盟（城市圈）的形成将能有效地增加本地的产业份额。整体而言，中国城市圈的形成的确对中国经济活动的空间分布产生了明显的影响。（7）不同的税种对经济活动的空间分布以及消费者的福利产生不同的影响。个人所得税对经济活动的空间分布不会产生影响，从而只会对征收个人所得税所在地的消费者福利产生影响。与个人所得税不同，资本所得税可能会因为企业的迁移而发生转移，从而两地区的消费者福利水平可能同时会降低。（8）无论是对欠发达地区的产业或者劳动力进行补贴都可以有效地增加欠发达地区的产业份额。相比较而言，对劳动力补贴效果更佳。尽管对劳动力补贴可以对地区的产业份额产生显著的正向影响，但是这种影响不会立刻体现出来。（9）集权式的财政政策和分权式的财政政策对经济活动空间分布产生的影响截然不同。由于欠发达地区的财力与发达地区的财力不可同日而语，从而财政分权不利于欠发达地区的产业份额的增加。（10）地区的工资水平对企业的生产区位有着直接的影响，同时地区的工资水平也改变了地区就业工人数量，进而地区的工资水平与地区的失业率存在着此消彼长的关系。（11）无论是劳动密集型企业还是资本密集型企业，抑或本地型企业或出口型企业，其对本地就业的贡献是相似的。（12）政府免费培训以及构建良好的就业市场能够有效地增加本地的产业份额。但是中国当前欠发达地区的就业政策有利于发达地区而不利于欠发达地区，从而导致就业政策效果欠佳。根据本文的研究结论，我们得到如下五个方面的启示：（1）进一步深化国有企业改革，积极扶植民营企业发展；（2）积极培育中西部地区城市群的形成，实行差异化的区域贸易政策；（3）提高对劳动力补贴力度，改变短期发展为长期发展；（4）财政分权需要“因地而异”，制定“差异化”的财政政策；（5）就业政策需要与当地企业联动，强化对本地产业工人的培养。更多还原

【Abstract】 Since reforming and opening, China’s economy has rapidly growth and standof people’s living has greatly improved. However, a lot of questions uncoveredbehind China’s rapidly growth, such as industry uneven distribution across space,regional income gape enlarge and trade among regions weaken. The costal andinland in China has formed a typically core-periphery structure.This paper added firm heterogeneity and market entrance of “New” New TradeTheory into Footloose Capital Model of New Economic Geography, thus we couldconsider how factor mobility and regional trade affect economic activities acrossspace and build a “New” New Economic Geography Model. In order to analysishow regional policies affect economic activities across space deeply, we also addedregional trade policies, fiscal policies and employment policies in chapter IV tochapter VI. Those policies include asymmetric trade cost, asymmetric market entrycost, customs, tax policy, fiscal decentralization, government subsidies, free trainingof" migrant workers" as well as providing full employment information. Besides, weused China industrial enterprise database （2000-2007）and panel data of28provincial from1999to2008confirm those hypothesis that we got from the theorymodels.Accorder to the theorical and empirical research, we can get some importantconclusions as follow:(1) Firm’s productivity in China follows Pareto I distribution,even dynamic evolution with trade liberalization.(2) Firm’s productivity in Chinahas some “sort effect”, R type firms such as FDI have the highest productivity, Xtype firms are less productivity than it but more productivity than D type firms. Inaddition, the nature of firm also affect firm’s productivity, the private enterprises aremore productivity than the state-owned enterprises.(3) Different firms had differentrelocate character, so firm heterogeneous can change industry distribution. Whenforeign market enter cost is high, the “core-Periphery” structure in New EconomicGeography cannot appear again.(4)As small countries always need trade protection, while trade liberalization is good for the big countries when it reach to some“threshold value”, thus the smaller countries always has some “policy advantage”.For this advantage, the small countries can grasp the initiative while regionalintegration, and make completely agglomeration unable appeared.(5) Differentmarket entry cost (or Non-tariff Trade Barriers) not only protects domesticindustries and employment of the labor force effectively, but also attracts industry ofthe other regions into this region. Thus, this trade policy can change spatialdistribution of economic activities effectively.(6)If the allies’ market scale is bigenough, then the Customs Union (or the city circle)’s formation will increase thelocal industry share effectively. Overall, China’s city circle indeed had obviouslyeffect on region’s economic activity distribution.(7) Different type of taxes haddifferent effect on spatial distribution of economic activities and the consumers’welfare. Individual income tax will not affect spatial distribution of economicactivities, however, it will reduce the consumers’ welfare where there levied the tax.Different with individual income tax, capital gains tax may transmission for firms’relocation, and consumer welfare may reduce at both places.(8) Both industry andlabor subsidies can increase industry share of the underdeveloped regions effectively,while labor subsidy is better. Labor subsidies have a positive impact on it, but willnot reflecte immediately.(9) Fiscal centralized and decentralized policies havedifferent effects on spatial distribution of economic activities. Due tounderdeveloped regions’ fiscal level cannot compare with developed regions, andfiscal decentralized is not favor for underdeveloped regions. Regional wage hasdirect impact on firm’s location, it can also change the number of regional industryworkers, and thus regional wage has a reciprocal relationship with regionalunemployment.(11) Firms have the same contribution on local employment,whether it belongs to labor-intensive or capital-intensive industry. Or it is adomestic-type enterprise or a export-type enterprise.(12) The government’sfree-training project and building good employment market can effectively increasethe share of local industry, but underdeveloped regions’ employment policies are infavor of developed regions in China, so it has a poor effect.According to the conclusions, we have following implications: the government should (1) reforms of state-owned enterprises deepen, and supports privateenterprises develop;(2) cultivates city group of the middle and west of China, andimplements difference regional trade policies;(3) improve labor subsidies, changeshort-term development to long-term development;(4) implements different fiscalpolicies, fiscal decentralization requires “varies from place to place”;(5) strengthenthe local industry workers training, enforce linkage between employment policy andlocal enterprises.更多还原