【作者】 段春锦；

【导师】 范爱军；

【作者基本信息】 山东大学 ， 国际贸易学， 2014， 博士

【摘要】 20世纪90年代初以来,世界经济掀起了区域经济一体化的浪潮,各种形式和规模的区域经济一体化组织如雨后春笋般产生,深刻地影响着各区域以及世界经济的发展。中国作为正在崛起的经济大国,也积极参与到区域经济一体化的建设中,并发挥了重要的作用。区域经济一体化虽然只是一种次优的政策,但是它对联盟内成员国经济发展的刺激和促进作用非常显著。事实上,一体化对成员国的影响不仅仅作用于国家整体经济和社会,还会对国家内部地区也带来重要影响,特别是位于国家边界线附近的边界地区。边界地区在一体化条件下拥有着非边界地区无法比拟的区位优势：位于一体化市场中心、临近原来的外国市场、进入外国市场的准入度高、贸易交易成本低等等。因此,一体化对边界地区的影响效应就尤为剧烈和突出。在这样的假设前提下,本文以中国-东盟自由贸易区为背景,对边界地区的一体化效应进行了探讨和检验。边界地区一体化效应的研究在国内外文献中并不多见,而且尚未形成完整成熟的研究体系。因此,本文首先对国内外相关文献进行了梳理,确定了边界地区一体化效应研究的理论基础：贸易理论为边界地区一体化效应研究提供了要素流动动力源的解释,认为一体化削减了贸易壁垒、促进了要素的跨国界流动并影响专业化生产的模式,而边界地区因为进入外国市场的准入成本较低,因此会成为自然的生产基地；区位理论为边界地区一体化效应研究解决了空间结构的问题。贸易理论一直将国家看成是均质的一个点,国家内部不存在地区差别,因此也就不存在空间结构问题。事实上,国家内部地区之间是有差别的。区位理论为国家内部地区的空间结构加以了区分,并且认为一个国家的经济活动通常会向中心地区集聚,从而造成边界地区处于离国家经济中心区域最远的沙漠地带,因此通常是最落后地区；新经济地理学结合了贸易理论和区位理论对边界地区一体化效应研究的贡献,认为一体化之前处于国家外围地区的边界地区随着一体化的推进,因其与邻国的贸易距离短、运输成本低、外国市场准入成本低、位置处于一体化市场的中心等优势,可能诱发新的经济中心在边界地区产生。此外,新经济地理学的三地区模型将运输成本等非关税壁垒作为变量纳入到模型中,可以作为边界地区一体化效应研究的标准模型。在梳理了边界地区一体化效应研究的理论基础之后,本文总结了边界地区一体化效应研究的范围指向。鉴于现有文献对边界地区一体化效应研究的内容指向不统一,本文在总结国内外学者的研究之后提出边界地区一体化效应研究的内容指向应该包含三方面：边界效应变化、市场潜力变化、产业结构变化。上述三个综合指标基本涵盖目前国内外文献所指向的大部分边界地区一体化效应内容。此外,针对上述三个一体化效应指标,本文建议使用引力方程测度边界效应变化；用三地区NEG模型测度市场潜力效应变化；用偏离份额分析法测度产业结构变化,从而建立起了一套系统的评价边界地区—体化效应的体系。最后,本文以中国-东盟自由贸易区的一体化形式为背景,选取1990年至2011年的经济数据,分别采用引力方程、三地区NEG模型以及偏离份额分析法,对CAFTA边界地区的边界效应变化、市场潜力变化、产业结构变化三个方面的一体化效应进行了统计和实证检验。检验结果表明,中国边界地区的-体化效应总体比较明显,边界地区在CAFTA的推进过程中边界效应明显降低、市场潜力显著提高、产业结构得以优化,并且,边界地区的大部分指标都高于非边界地区。此外通过进一步对广西和云南两个边界地区主要经济指标的对比研究还表明,CAFTA的一体化效应对不同边界地区的影响是有区别的,比如对广西对外贸易增长的影响力大于对云南对外贸易增长的影响力、对云南对外直接投资的影响大于广西、对广西就业率增长的效果明显低于云南等等。这些差异有可能是两个边界地区自然资源禀赋条件差异造成,也有可能是边界地区政府政策导向差异造成,还有可能是CAFTA体制自身的特点造成,这些现象值得做进一步的研究。更多还原

【Abstract】 Since the early1990’s, contributed to a tide of integration of world economy, various forms and scale of integration organizations have sprung up and profoundly affect both the regional and the world economy development. As a rising economic power, China is also actively involved in the construction of regional economic integration, and plays an important role in the process.Although the Regional Economic Integration is just a sub-optimal policy, it has significantly stimulated and promoted its members’economic development. In fact, the influences of integration on the member countries are not only the acts on the whole national economic and society, but also on the regions within a nation, especially the border region near to the national border.Under the background of Regional Economic Intagration, Border regions possess incomparable advantages compared to Non-border regions:located in the center of the integrated market, close to the foreign markets, easier access to foreign markets, lower transaction costs, and so on.Therefore, the impact of integration on border regions is particularly prominent. With these assumptions, this paper probes into the research of integrated effects of border regions.The research literature of integrated effects in border regioins is not abundant enough and has not formed a complete and perfect research system yet, neither in China, nor in abroad. Therefore, this paper firstly reviewed the related literature and defined the theoretical basis of regional integration effect for border regions:trade theory provides the explanation of factor movement for the research of integrated effects in border regions. It believes that integration will reduce trade barriers and promote the cross-border movements of production factors. By that, the production mode will be influenced and changed. During this process, the border regions,will become natural production basis due to its lower access costs to foreign market; Location theory figure out the spatial structure issue for the study of integrated effect in border region. Trade theories never involed in the spatial structure issue because it consider country as a homogeneous a point. It means that there are no regional differences within a country at all. But in fact, differences do exist among the internal parts of a country. Location theory distinguished spatial structure for the internal parts and argued that a nation’s economic activities will normally gather to the central region rather than the border region, which resulting in the border region to be "desert region", where the economy is least developed and the location is most remote from the central part; New Economic Geography theory combined the contributions from Trade Theory and Location Theory, and believed that the border regions located in the remote periphery before regional economic integration will probably be motivated as a new economical center of the integrated market, due to its special advantages such as the shortest trade distance with neighboring countries, lower transportation cost, lower access cost to foreign market, central geographical location of the integrated market. In addition, the three-area new economic geography model has incorporated the transportation cost and other non-tariff barriers as variables into the model, and can be used as a bench model for border region’s integration effect research.After reviewed the theoretical basis of integration effect on border regions, this paper summarizes the concrete research contents of integration effect on border regions. In consideration of the ambiguous definitions giving out by existing literature for the research contents of integration effect on border regions, this paper argued that the contents of the border region’s integration effect should include three comprehensive indexes:the border effect change, the market potential change, and the industrial structure change.The aboved indexes have covered most of the contents defined by existing literature, both at home and in abroad. Furthermore, in corresponding to these three integration effect indexes, this paper suggests using gravity equation to measure border effect change, using three-area NEG model to measure market potential change, and shift share analysis to measure the industrial structure change.Based on the background of the integration form of China-ASEAN Free Trade Area, selected its member’s economic data from1990to2011, adopted the gravity equation, three-region NEG model and shift share analysis, this paper statistically and empirically tested the integration effects of CAFTA on border regions, specifically the effects of border effect change, market potential change, and industrial structure change. The results show that the overall integration effect of China’s border regions is more noticeable:border region’s border effect decreased, market potential increased and industrial structure improved significantly during the process of CAFTA progradation. Most of the indicators in the border regions were higher than that of the non-border regions. In addition, the further comparative study of two border regions, namely Guangxi and Yunnan, shows that the integrated effect of CAFTA is also different among border regions. For example, the influence of CAFTA on Guangxi’s foreign trade growth is greater than that on Yunnan province. However, the influences on Yunnan’s Foreign Direct Investment growth and employment growth are both greater than that on guangxi. These differences are likely to be caused by the different natural resource endowment in two border regions, or the different policies that the two border region governments oriented. It is also possible that the characteristics of CAFTA itself made the differences. These phenomenons are worth to do further research.更多还原