资源型区域绿色转型的理论与实践研究
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摘要
面对国际金融危机、全球气候变暖、资源生态环境压力，各国政府都在积极探索可持续的经济发展方式，绿色经济、低碳经济、包容性增长、可持续发展等，成为国际共识和国家战略。我国是最早提出并实施可持续发展战略的国家之一，进入21世纪以来，以科学发展观为指导，以构建和谐社会为目标，循环经济、低碳经济、绿色发展相继进入国家发展战略与规划。
以资源开发及其初级加工为主导的资源型区域，存在产业结构单一、科技创新与人力资本挤出、经济增长方式粗放等发展难题，资源损耗与生态环境破坏现象严重。如何破解资源型区域发展难题，跳出资源优势陷阱，实现区域转型发展，是其面临的重大难题，而如何推进低碳经济、绿色发展，也是其重要任务之一。将资源型经济转型和绿色发展结合起来，实行绿色转型，推进传统的、资源依赖的“黑色”发展模式向理想的、创新驱动的“绿色”发展模式转变，实现经济发展与生态环境保护双赢，对完善资源型区域可持续发展理论、指导资源型区域科学发展具有重要的理论价值和现实意义。
本研究运用经济学、可持续发展理论，比较分析、实证分析、案例分析以及数量经济分析方法，在对资源型区域绿色转型及其研究进展进行梳理的基础上，初步探讨并尝试构建资源型区域绿色转型的基本理论框架，进而对资源型区域产业绿色转型、经济增长方式绿色转变、科技创新绿色融合、制度创新绿色引领等进行了理论与实证分析。在实证分析中，重点以典型的资源型经济省份——山西省为例，从省域层面或是案例层面进行剖析。主要观点如下：
一是尝试构建了资源型区域绿色转型的基本理论框架。以产业转型和经济增长方式转变为核心内容，以科技创新为动力，以制度创新为保障，通过数理模型界定了绿色转型的内涵及其经济发展与生态环境双重目标。绿色转型模式是从传统的“黑色”发展模式向理想的“绿色”发展模式逐步趋近的过程模式，采取“寻优”而非“择优”的演化路径。初步建立了包括产业转型、生态修复与资源利用方式转变、科技创新融合、制度体系建设在内的评价指标体系，划分出绿色转型的起步期、深化期、成熟期等三个发展阶段，揭示了从“黑色”到“深褐色”、“褐绿色”、“浅绿色”，最终再到“深绿色”的资源型区域绿色发展轨迹。
二是运用路径依赖理论阐释了资源型产业的锁定与突破机制。基于新制度经济学，引入路径依赖的分析框架，从资源型区域的初始条件、自强机制、锁定效应三个方面揭示了路径依赖的存在，探讨了资源型产业从路径依赖向路径创造转变的模式与路径，提出了产业升级、产业延伸、产业融合、产业配套、产业植入等产业多元化路径。以山西为例，分析了“黑色”产业路径的形成条件、资源依赖的强化效应及其路径锁定表现。同时，指出资源型产业的路径依赖实质上是资源依赖的产物，并通过构建“资源依赖状况指数”度量山西资源型产业路径依赖程度。
三是探讨了资源型区域生态环境修复与资源集约利用的难点及其破解思路。运用制度经济学、资源与环境经济学理论，从利益驱动与技术挤出效应、价格粘性与产业惯性、外部性与环境累积效应、功能替代与经济发展效应，系统阐释了资源生态环境难题的成因。通过对区域可持续发展数理解析的改造，加入耗竭性资源与环境因素，得出生态环境可持续发展能力与环境资源再生率、可耗竭资源损耗及转化率、环境资源利用率和环境资源消费水平密切相关的结论。通过构建绿色开采与资源开发的预防性机制、资源集约利用机制、生态环境补偿与生态修复机制，以实现区域资源生态环境可持续。
四是基于供、求两个角度，探讨了资源型区域科技创新的挤出效应及融合机制。从供给、需求两方面分析了资源型经济对科技创新的挤出效应，资源产业部门的高收益引发科技创新预期收益下降，进而导致科技创新供给不足，“资源诅咒”、“反工业化”现象造成科技创新需求不足，制约了科技创新的开展。科技创新的绿色融合机制，需要政府、企业等加大科技投入供给，更重要的是在产业转型、资源利用方式转变、生态环境治理中坚持绿色技术创新导向，培育现代企业，扩大对绿色技术创新的需求，促进供、求两方面的相互融合，从而增进资源型区域绿色技术创新能力。
最后，分析了推动资源型区域绿色转型的制度与对策，建议重点建设绿色产业制度、环境保护与生态修复制度、绿色技术制度、绿色金融制度、绿色财政制度和绿色考核制度。
With the international financial crisis, global climate warming and ecological andenvironment pressure, the governments from different countries all explore the sustainabledevelopment mode actively. Green economy, low-carbon economy, inclusive growth andsustainable development become the international consensus and national strategy. China isthe first country to propose and implement the strategy of sustainable development. Since thetwenty-first Century, guided by the scientific outlook on development, aimed as building theharmonious society, a series of concept and index including circular economy, low-carboneconomy, green development have been adopted in the national development strategy andplanning.
Resource-based regions, which are dominated by resource exploitation and primaryprocessing, have several problems, including singleness of industrial structure, crowding-outof technical innovation and human capital, extensive economic growth, resource depletionand damage of ecological environment. How to crack development problems ofresource-based regions, jump out of trap of resource superiority, achieve sustainabledevelopment, and is a big problem for resource-based regions; how to develop low-carboneconomy and green economy is also an important mission for resource-based regions. Thisstudy combines the resource-based economy with green development, through the greentransition, to transform the resource-based regions from the traditional resource-depend, and"black" development mode into the ideal, innovation-driven, and "green" development mode,to achieve the win-win of economic development and ecological environment protection.That has important theoretical value and practical significance to improve resource-basedregional sustainable development theory, guide resource-based regional transition and "green"development.
This study uses the basic theory or methods including Economics, SustainableDevelopment, Empirical Analysis, Case Studies and Quantitative Economics analysis, toanalyze the green transition of the resource-based regional and its research progress based.Firstly, the study try to build the theoretical framework on green transition of theresource-based regions, and then uses the theoretical framework to theoretical and empiricalanalyze the industry transition of the resource-based regions, green transition of the economicgrowing modes, science and technology innovation and green fusion, green leading ofinstitutional innovation. In the empirical analysis, Shanxi Province, as a typical case orprovinces of resource-based economy, is analyzed from the provincial or case sides. Main work and basic viewpoints are as follows:
Firstly, This study try to build the basic theoretical framework of the green transition inresource-based, the core content including industrial transition and the transformation ofeconomic growth mode, the driving force is technology innovation, the indemnification isinstitutional innovation, and defined by mathematical model the green transformationconnotation and the dual goals of economic development and ecological environment. Thegreen transition mode is a gradual approach from the development mode of traditional"black" model to the ideal "green", takes the evolutionary path of the "optimization" ratherthan "merit". The green transition of resource-based regional phasing, according to theindustrial tradition, ecological restoration, resource utilization patterns change, integration ofscientific and technological innovation to establish the index system, and divided the stage ofgreen tradition are Initial stages, Enhancement stages, Maturity stages, experienced "darkbrown","brown-green","light green", and finally steps into the "green" stage ofdevelopment.
Secondly, by using the Path-Dependence theory, this study explains locking andunlocking mechanism of the resources-based industry. Based on new institutional economicsand the introduction of Path-Dependence analysis framework, this study explores thetransformation mode and path of resource industry from the path dependence to the pathcreating; proclaims the existence of the Path-Dependence from the initial conditions, theself-improvement mechanism and locking effect of the resource-based regions; carrying outthe path creation through the industrial diversification mode of the industrial upgrading,industry extending, industrial convergence, industrial supporting and industrial implantation.Taking Shanxi province as an example, this study analyses the formation conditions of the“black” industrial path, the strengthen effect and locking performance of the resourcedependence. Besides, this study points out clearly that path dependence of the resourcesindustry is essentially the product of resource dependence and then measures the actualcondition of path dependence about the resources-based industry in Shanxi by constructing"resource dependence index".
Thirdly, the study researches the difficulty and its solution of ecological rehabilitationand intensive utilization of resource in the resource region. Using the theory of InstitutionalEconomics, Environmental and Natural Resource economics, this study illustrates the causesof eco-environmental problems based on benefit driving and technology crowding-out effect,sticky price and industry inertance, externality and environmental cumulative effects,functional alterative and economic development effect. Through the reform of mathematicalanalysis of regional sustainable development and joining the exhaustible resources andenvironmental factors, it draws the conclusion that capacity for the sustainable development of ecological environment is closely related to regeneration rate of the environmentalresources, loss and conversion rate of the exhaustible resources, utilization rate of theenvironmental resources and consumption level of the environmental resources. In order toachieve the regional resource sustainable development of ecological environment, this studyinitiates to build the preventive mechanism of green mining and resource exploitation,mechanism of intensive utilization of resources, and mechanism of ecological environmentcompensation and ecological restoration.
Fourthly, based on two points from supply and demand, the study analyzes thecrowding-out effect of technical innovation and mechanism of convergence in resource-basedregions. The study analyzes crowding-out effect of technical innovation from supply anddemand points, high revenue of resource industries leads to the decline of anticipativerevenue of technical innovation, thus, the supply of technical innovation is insufficient;“resource curse” and “de-industrialization” phenomenon leads to demand inadequacy oftechnical innovation, and restricts the development of technical innovation. In the mechanismof green convergence of technical innovation, supply of investment from government andenterprises is needed, more importantly, green technical innovation needs to be oriented in theindustrial transition, change of resource use pattern, and governance of ecologicalenvironment, it is beneficial to the increase of demand of technical innovation. Theconvergence of technical innovation from supply and demand, would promote the greeninnovation capability of resource-based regions.
At last, the institutions and countermeasures of green transition in resource-basedregions are analyses. The institutions and countermeasures are focused on green industrialinstitutions, ecological environmental institutions, green technological institutions, greenfinancial institutions, green public financial institutions, and green appraisal institutions.
以资源开发及其初级加工为主导的资源型区域，存在产业结构单一、科技创新与人力资本挤出、经济增长方式粗放等发展难题，资源损耗与生态环境破坏现象严重。如何破解资源型区域发展难题，跳出资源优势陷阱，实现区域转型发展，是其面临的重大难题，而如何推进低碳经济、绿色发展，也是其重要任务之一。将资源型经济转型和绿色发展结合起来，实行绿色转型，推进传统的、资源依赖的“黑色”发展模式向理想的、创新驱动的“绿色”发展模式转变，实现经济发展与生态环境保护双赢，对完善资源型区域可持续发展理论、指导资源型区域科学发展具有重要的理论价值和现实意义。
本研究运用经济学、可持续发展理论，比较分析、实证分析、案例分析以及数量经济分析方法，在对资源型区域绿色转型及其研究进展进行梳理的基础上，初步探讨并尝试构建资源型区域绿色转型的基本理论框架，进而对资源型区域产业绿色转型、经济增长方式绿色转变、科技创新绿色融合、制度创新绿色引领等进行了理论与实证分析。在实证分析中，重点以典型的资源型经济省份——山西省为例，从省域层面或是案例层面进行剖析。主要观点如下：
一是尝试构建了资源型区域绿色转型的基本理论框架。以产业转型和经济增长方式转变为核心内容，以科技创新为动力，以制度创新为保障，通过数理模型界定了绿色转型的内涵及其经济发展与生态环境双重目标。绿色转型模式是从传统的“黑色”发展模式向理想的“绿色”发展模式逐步趋近的过程模式，采取“寻优”而非“择优”的演化路径。初步建立了包括产业转型、生态修复与资源利用方式转变、科技创新融合、制度体系建设在内的评价指标体系，划分出绿色转型的起步期、深化期、成熟期等三个发展阶段，揭示了从“黑色”到“深褐色”、“褐绿色”、“浅绿色”，最终再到“深绿色”的资源型区域绿色发展轨迹。
二是运用路径依赖理论阐释了资源型产业的锁定与突破机制。基于新制度经济学，引入路径依赖的分析框架，从资源型区域的初始条件、自强机制、锁定效应三个方面揭示了路径依赖的存在，探讨了资源型产业从路径依赖向路径创造转变的模式与路径，提出了产业升级、产业延伸、产业融合、产业配套、产业植入等产业多元化路径。以山西为例，分析了“黑色”产业路径的形成条件、资源依赖的强化效应及其路径锁定表现。同时，指出资源型产业的路径依赖实质上是资源依赖的产物，并通过构建“资源依赖状况指数”度量山西资源型产业路径依赖程度。
三是探讨了资源型区域生态环境修复与资源集约利用的难点及其破解思路。运用制度经济学、资源与环境经济学理论，从利益驱动与技术挤出效应、价格粘性与产业惯性、外部性与环境累积效应、功能替代与经济发展效应，系统阐释了资源生态环境难题的成因。通过对区域可持续发展数理解析的改造，加入耗竭性资源与环境因素，得出生态环境可持续发展能力与环境资源再生率、可耗竭资源损耗及转化率、环境资源利用率和环境资源消费水平密切相关的结论。通过构建绿色开采与资源开发的预防性机制、资源集约利用机制、生态环境补偿与生态修复机制，以实现区域资源生态环境可持续。
四是基于供、求两个角度，探讨了资源型区域科技创新的挤出效应及融合机制。从供给、需求两方面分析了资源型经济对科技创新的挤出效应，资源产业部门的高收益引发科技创新预期收益下降，进而导致科技创新供给不足，“资源诅咒”、“反工业化”现象造成科技创新需求不足，制约了科技创新的开展。科技创新的绿色融合机制，需要政府、企业等加大科技投入供给，更重要的是在产业转型、资源利用方式转变、生态环境治理中坚持绿色技术创新导向，培育现代企业，扩大对绿色技术创新的需求，促进供、求两方面的相互融合，从而增进资源型区域绿色技术创新能力。
最后，分析了推动资源型区域绿色转型的制度与对策，建议重点建设绿色产业制度、环境保护与生态修复制度、绿色技术制度、绿色金融制度、绿色财政制度和绿色考核制度。
With the international financial crisis, global climate warming and ecological andenvironment pressure, the governments from different countries all explore the sustainabledevelopment mode actively. Green economy, low-carbon economy, inclusive growth andsustainable development become the international consensus and national strategy. China isthe first country to propose and implement the strategy of sustainable development. Since thetwenty-first Century, guided by the scientific outlook on development, aimed as building theharmonious society, a series of concept and index including circular economy, low-carboneconomy, green development have been adopted in the national development strategy andplanning.
Resource-based regions, which are dominated by resource exploitation and primaryprocessing, have several problems, including singleness of industrial structure, crowding-outof technical innovation and human capital, extensive economic growth, resource depletionand damage of ecological environment. How to crack development problems ofresource-based regions, jump out of trap of resource superiority, achieve sustainabledevelopment, and is a big problem for resource-based regions; how to develop low-carboneconomy and green economy is also an important mission for resource-based regions. Thisstudy combines the resource-based economy with green development, through the greentransition, to transform the resource-based regions from the traditional resource-depend, and"black" development mode into the ideal, innovation-driven, and "green" development mode,to achieve the win-win of economic development and ecological environment protection.That has important theoretical value and practical significance to improve resource-basedregional sustainable development theory, guide resource-based regional transition and "green"development.
This study uses the basic theory or methods including Economics, SustainableDevelopment, Empirical Analysis, Case Studies and Quantitative Economics analysis, toanalyze the green transition of the resource-based regional and its research progress based.Firstly, the study try to build the theoretical framework on green transition of theresource-based regions, and then uses the theoretical framework to theoretical and empiricalanalyze the industry transition of the resource-based regions, green transition of the economicgrowing modes, science and technology innovation and green fusion, green leading ofinstitutional innovation. In the empirical analysis, Shanxi Province, as a typical case orprovinces of resource-based economy, is analyzed from the provincial or case sides. Main work and basic viewpoints are as follows:
Firstly, This study try to build the basic theoretical framework of the green transition inresource-based, the core content including industrial transition and the transformation ofeconomic growth mode, the driving force is technology innovation, the indemnification isinstitutional innovation, and defined by mathematical model the green transformationconnotation and the dual goals of economic development and ecological environment. Thegreen transition mode is a gradual approach from the development mode of traditional"black" model to the ideal "green", takes the evolutionary path of the "optimization" ratherthan "merit". The green transition of resource-based regional phasing, according to theindustrial tradition, ecological restoration, resource utilization patterns change, integration ofscientific and technological innovation to establish the index system, and divided the stage ofgreen tradition are Initial stages, Enhancement stages, Maturity stages, experienced "darkbrown","brown-green","light green", and finally steps into the "green" stage ofdevelopment.
Secondly, by using the Path-Dependence theory, this study explains locking andunlocking mechanism of the resources-based industry. Based on new institutional economicsand the introduction of Path-Dependence analysis framework, this study explores thetransformation mode and path of resource industry from the path dependence to the pathcreating; proclaims the existence of the Path-Dependence from the initial conditions, theself-improvement mechanism and locking effect of the resource-based regions; carrying outthe path creation through the industrial diversification mode of the industrial upgrading,industry extending, industrial convergence, industrial supporting and industrial implantation.Taking Shanxi province as an example, this study analyses the formation conditions of the“black” industrial path, the strengthen effect and locking performance of the resourcedependence. Besides, this study points out clearly that path dependence of the resourcesindustry is essentially the product of resource dependence and then measures the actualcondition of path dependence about the resources-based industry in Shanxi by constructing"resource dependence index".
Thirdly, the study researches the difficulty and its solution of ecological rehabilitationand intensive utilization of resource in the resource region. Using the theory of InstitutionalEconomics, Environmental and Natural Resource economics, this study illustrates the causesof eco-environmental problems based on benefit driving and technology crowding-out effect,sticky price and industry inertance, externality and environmental cumulative effects,functional alterative and economic development effect. Through the reform of mathematicalanalysis of regional sustainable development and joining the exhaustible resources andenvironmental factors, it draws the conclusion that capacity for the sustainable development of ecological environment is closely related to regeneration rate of the environmentalresources, loss and conversion rate of the exhaustible resources, utilization rate of theenvironmental resources and consumption level of the environmental resources. In order toachieve the regional resource sustainable development of ecological environment, this studyinitiates to build the preventive mechanism of green mining and resource exploitation,mechanism of intensive utilization of resources, and mechanism of ecological environmentcompensation and ecological restoration.
Fourthly, based on two points from supply and demand, the study analyzes thecrowding-out effect of technical innovation and mechanism of convergence in resource-basedregions. The study analyzes crowding-out effect of technical innovation from supply anddemand points, high revenue of resource industries leads to the decline of anticipativerevenue of technical innovation, thus, the supply of technical innovation is insufficient;“resource curse” and “de-industrialization” phenomenon leads to demand inadequacy oftechnical innovation, and restricts the development of technical innovation. In the mechanismof green convergence of technical innovation, supply of investment from government andenterprises is needed, more importantly, green technical innovation needs to be oriented in theindustrial transition, change of resource use pattern, and governance of ecologicalenvironment, it is beneficial to the increase of demand of technical innovation. Theconvergence of technical innovation from supply and demand, would promote the greeninnovation capability of resource-based regions.
At last, the institutions and countermeasures of green transition in resource-basedregions are analyses. The institutions and countermeasures are focused on green industrialinstitutions, ecological environmental institutions, green technological institutions, greenfinancial institutions, green public financial institutions, and green appraisal institutions.
引文
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