蒋 丽 芸 博士学位论文
指导教师：傅 崇 兰 答辩日期2006年6月1日
中国区域经济一体化中的港、澳合作发展模式研究
论 文 摘 要
人类在追求“全球一体化”的过程中，“区域经济一体化”是一个主要的加速器。区域间的经济合作已成为世界经济发展的大趋势；欧州、美州、亚州的周边国家也朝着这个大趋势展开了联盟、自由贸易区、区域经济合作等多样关系，主要方针是开放地区之间的关税限制及加强贸易往来，续步推进至人、财、物在合作地区全面自由流通为目标。
中国经济开放及改革二十多年来，经济发展是成功的，但要继续保持其增长及竞争力，加入区域经济合作己是大势所趋。在过去十多年来中国积极发展对内及对外的区域经济合作，并在2001年加入WTO，2010年将会与东盟成立自由贸易区，亦活跃于APEC、东亚、中亚、东北亚等组织及论坛；同时中国亦大力推动内部省市间的区域合作，主要在珠三角，长三角，环勃海等，更于2003年与港澳签订CEPA协议和支持泛珠三角九十二的合作。
CEPA和泛珠三角的合作地区是在“一国两制”不同的行政制度下，在短期内只能建立在一定范围内的经济及资源上的合作；香港与澳门特别行政区两地则是共同建立在一国下之另一制，有很多共通点，包括历史因素、中西文化、经济联系、行政管理、地理因素等。因此，港澳两地可另行以1十1的模式在CEPA的框架下展开合作，逐步深化至统一市埸或联盟；在适当时候再以合作后的模式作为基础，与其它区域开展多个2十1的合作，这会对港澳本身的经济发展带来效益，对中国发展规划中的国际关系也可产生长足深远的贡献。
国家“十一五”规划强调继续推动内地与港澳地区在CEPA紧密经济安排下的各种合作关系；规划内也强调要保持香港的国际金融、贸易等地位，对澳门则要促进其经济适度多元发展。 因此，港澳地区的合作在“十一五”规划内可发挥非常重要的角色，包括中国在国际上的对外经济合作、中国与东盟建立“十加一”自由贸易区、中国的内陆经济发展、国家与台湾地区的经济合作等领域，港澳地区可扩大发挥其亚太区中心地位的积极作用。
要更好发挥港澳地区在上述领域的作用， 关键在于建立一个有效的策略联盟, 以两地政府高层认可和交流为基础, 建设固定而不僵化的合作制度，提供外部环境支持, 巩固港澳现有的优势，接受各已形成的经济模式，针对港澳的特点，互补性地发展新的优势行业：如物流业、旅游及服务业、中药及相关产业等；港澳整体区域合作会促进港澳更适应经济全球化、区域化、知识化、信息化发展的大趋势，务求最终发展成为亚太区域中心和国际都会。
本论文主要分为三部份：
第一部份(笫1章至2章)笫1章主要是对本论文的写作背景进行了介绍，并对区域经济一体化合作理论进行了系统的文献综述；第2章论述世界区域经济的背景及内涵，学术界对全球化的不同观点及经济全球化的各样分类，同时分析中国区域经济一体化的改革进程及压力；本文作者更推设发展港澳区域经济合作会为中国区域经济的推进带出新的生命力。
第二部份(笫3章至5章) 是对于中国区域经济一体化中的港澳合作的历史和现状进行分析。第3章对港澳之间的经济联系进行了历史性的回顾，对于港澳经济联系的主要发展阶段和基本内容的演变过程进行了区分；对于港澳经济的关系的演变过程进行了因果检验分析，得出的结论是：香港经济是澳门经济发展的原因，而澳门经济却并非香港经济发展的原因；虽然两地历史上经济关系密切，但是这种关系并不稳定，有进一步提升港澳合作的需要和空间。第4章和第5章对于港澳进一步合作的基础以及两地实现经济互补的具体内涵进行了探讨，结论是港澳经济具有较强的互补性，合作具有基础。
第三部份(笫6章至9章) 是对港澳深化合作的现实需求、框架构想、目标模式、战略选择以及合作建议进行了论述。第6章对于港澳提升合作层次的现实需求进行了探讨。第7章分析了港澳深化合作的可行性以及框架构想。第8章提出了港澳两地深化经济模式的目标模式和策略选择。第9章针对进一步加强港澳经济合作提出了对策建议。
最后，作者以中药及相关行业的发展为例，并相信对于研究中国区域经济一体化中的港澳合作模式的研究，具有典型的示范效用。
论文作者在参考大量文献和深入调研的基础上，研究了港澳区域经济合作的战略问题。本文的创新之处在于：
1. 首次提出了进一步密切港澳经济关系和提升港澳区域合作层次，不仅对港澳自身的产业升级和未来发展意义深远，更为重要的是为中国在未来的世界经济发展格局中的区域定位提供了两个重要的“增长极”，同时，对于大珠三角经济结构的转型和产业升级换代，对于泛珠三角内地九省区与港澳两个特别行政区能否成功地实现区域合作提供重要的示范效应。
2. 首次应用区域经济一体化和区域发展的相关理论分析在一个国家之内的两个在经济上具有高度自治权的特别行政区之间的合作关系，并且证明两个地区之间的合作，其成果较为直接和明显。
3. 首次采用计量经济学中的因果关系检验（Granger）方法对于港澳两地的经济发展相关性进行了检验，得出的结论是香港经济是澳门经济的发展的原因，但是澳门经济的发展却构不成香港经济发展的原因。
关键词：中国区域经济一体化、港澳合作、区域发展、一国两制、CEPA、泛珠三角
ABSTRACT
In support of the concept of globalization, regional economic integration is one of the main drivers towards globalization. Regional economic cooperation is the future direction of global economic development. The continent of Europe, America, and other Asia nearby countries all started with some form of alliance, free trade area, or economic cooperation. These are not only focus on opening up tariff and strengthen trade but also foster complete free flow of people, investment, and currency within the region.
Economic development has been proven successfully since the beginning of the economic reform for China. However, in order to maintain future competitiveness, regional economic cooperation becomes a necessity. China has developed both domestic and international regional economic cooperation in the past decade. It has joined the WTO in 2001. It will establish free trade areas with East Asean by 2010. China has been actively involved internationally in APEC, Eastern Asia, Middle Asia, NE Asian organizations and forums to develop economic cooperation. China has also actively promoted inter-provinces and cities cooperation within her own boundary, such as Pearl River Delta, Yantze River Delta and Bo Hai Bay Area, Mid Areas development, the signing of CEPA with Hong Kong and Macau in 2003, and the support of PPRD 9+2.
CEPA and PPRD’s cooperation is under the administration of “One Country Two System”, therefore short term economic and resources cooperation can be achieved. As for Hong Kong and Macau, they have many elements in common such as historical, blood tie, cultural, economic relationship, administration, and geographic location. They both are established under a different political administrative system of “One Country Two System”. Therefore, Hong Kong and Macau can easily build up a model of 1+1 CEPA model and subsequently unify their market and create alliance. Based upon this initial concept, more regional cooperation with other regions to create multiple 2+1 CEPA models can easily be set up. This will create benefit to the economic growth for both Hong Kong and Macau. This also has a far-reaching effect to the international policy of China to the rest of the world.
The strengthening of the various cooperation initiatives under CEPA arrangement is emphasized in the 11th five year China’s National Plan. The international financial, services, and trade status of Hong Kong are highlighted in the 11th five year plan. In order to create the Hong Kong/Macau area to become an Asia’s regional international center, regional cooperation of Hong Kong and Macau is vital, especially in the issues of international economic cooperation of the ‘10+1’ free trade area with the East Asean, the domestic economic development within China, and the economic cooperation between Taiwan and Midland.
To achieve this ultimate objective of regional cooperation between Hong Kong and Macau, it is crucial to establish an effective strategy. Top level of both government officials need to recognize and share views to establish a firm and flexible cooperative policy to provide adequate support for its implementation. One needs to consolidate existing advantages of the two regions, to accept the different economic models, to aim at the specialties of the two regions to develop complementary industries such as logistics, tourism and service industries, Chinese medicine and other created industries. The complete regional cooperation between Hong Kong and Macau can foster the two regions to be better prepared and address the force of economic globalization and regionalization. We, in the Hong Kong/Macau region, therefore will be more prepared to be the regional center of Asia Pacific and an international metropolitan region.
This paper is mainly divided into three separate sections:
Part I (Chapter 1 to 2), Chapter 1 mainly focuses on the background information of regional economic integration and through systematic analysis the theoretical background of regional economic integration. Chapter 2 describes the background of globalization and how academics view globalization from different angles and classification. At the same time, it analyzes the difficulties and progress of China’s reform in its regional cooperation. The author also makes an assumption through Hong Kong and Macau regional economic integration, it will provide a new driving force for China’s upcoming regional economic growth.
Part II (Chapter 3 to 5), this section analyzes the historical background and progress of Hong Kong/Macau cooperation. Chapter 3 emphasizes the history of Hong Kong/Macau economic cooperation. It divides the progressing stage of Hong Kong /Macau economic cooperation. It analyzes its results and able to conclude that Macau economic growth is based upon the growth of Hong Kong economy and not in revise. Even though there are common historical economic cooperation between Hong and Macau, however, it does not provide a permanent platform for its relationship. There is a need for further economic cooperation between Macau and Hong Kong. Chapter 4 and 5 explore the basis of further economic cooperation and the fundamental of common interest of Hong Kong and Macau. It concludes that there are common interests for Hong Kong and Macau to create an economical cooperation platform than any other areas.
Part III (Chapter 6 to 9), the need, objective, perimeter, and strategies for cooperation between Hong Kong and Macau economic cooperation are being explored. Chapter 6, the practical depth of economic cooperation between Hong Kong and Macau is being explored. Chapter 7 explores the feasibility and perimeter of the Hong Kong and Macau economic cooperation. Chapter 8, the objectives and strategic options are being investigated. Chapter 9 recommends strategies to be employed in the economic cooperation of Hong Kong and Macau.
Finally, Chinese medicine and related industries were used as example to illustrate how Hong Kong and Macau cooperation research will benefit the regional economic integration for the whole of China.
The author through research has investigated and explored the issues of Hong Kong and Macau regional economic cooperation and has the following findings:
1. For the first time, through Hong Kong and Macau economic cooperation, the growth for Hong Kong and Macau industries will achieve new heights. More importantly, it will enhance China’s position in the world’s globalization hierarchy. It will also improve the economic structure and emphasis of industries in the Pearl River Delta. The Hong Kong and Macau economic cooperation model will become the stepping stone and proven success model for the 9+2 concept and other concepts.
2. For the first time, the author employs the concepts of regional economic cooperation and economic development within a single country but very much independently operated economic entities and explores their areas of economic cooperation and proves that their cooperation results can be direct and obviously beneficial.
3. For the first time, by using economic theory of Granger, the economic relationships between Hong Kong and Macau is being examined. It concludes that Macau economic growth is based upon the growth of the Hong Kong economy. However, Hong Kong economic growth does not rely upon the growth of the Macau’s economy or development.
Key words: China regional economics integration, Hong Kong and Macau cooperation, Regional development, One Country two System, CEPA, Pan-Pearl River Delta.
目 录
前 言........... 1
第1章 绪论 3
1.1问题的提出及研究的主要目的... 3
1.2研究涉及的研究方法及主要内容 7
1.3本文研究的理论及现实意义...... 9
1.4论文的结构安排..... 12
第2章 港澳紧密合作化理论综述 14
2.1经济全球化理论综述 14
2.1.1经济全球化的理论发展 14
2.1.2经济全球化的内涵 15
2.1.3经济全球化的形式 18
2.2区域经济一体化理论综述........ 18
2.2.1区域经济一体化的理论发展 19
2.2.2区域经济一体化的内涵 20
2.2.3区域经济一体化的形式 22
2.3经济全球化、区域一体化与中国经济............ 23
2.3.1区域经济整合中的中国 23
2.3.2中国区域经济一体化的提出 25
2.4港、澳合作适用的理论综述..... 26
2.4.1港澳合作的理论基础 27
2.4.2港澳合作效应分析 30
第3章 港澳关系进一步发展的背景... 33
3.1港、澳经济联系历史回顾........ 33
3.2港、澳经济联系的主要阶段评述............... 35
3.2.1正式成为殖民地前的两地发展 37
3.2.2殖民地时代的两地发展 39
3.2.3回归中国后港澳两地的发展 47
3.3港、澳经济联系的内容演变..... 51
3.3.1开埠早期两地的合作内容 52
3.3.2香港崛起初起两地合作内容 52
3.3.3香港崛起后期两地合作内容 53
3.4港、澳经济关系非因果检验..... 58
3.5对现有港、澳经济合作的评价. 61
第4章 港澳进一步合作的基础........... 65
4.1香港产业结构的演进及现状分析............... 65
4.1.1香港产业演进轨迹 65
4.1.2香港产业结构现状 67
4.2澳门产业结构的演进及现状分析............... 68
4.2.1澳门产业演进轨迹 68
4.2.2澳门产业结构现状 70
4.4港、澳产业关系的前景分析..... 75
4.4.1香港对澳门的影响 76
4.4.2澳门对香港的影响 77
4.4.3港澳经济衔接的类型-互补经济 77
第5章 港澳经济互补的具体内涵....... 79
5.1香港劣势和澳门优势............... 79
5.2港、澳的发展需求互补............ 81
5.3港、澳发展条件互补............... 83
5.4服务行业分工的互补性............ 86
5.5香港的“大门”与澳门的“窗户”效应........ 89
5.6港、澳市场的互补性............... 90
第6章 港澳进一步加强合作的现实需求................... 92
6.1 地区经济一体化趋势加快的要求............... 92
6.2 是中国区域经济深入融合的要求............... 95
6.3是中国—东盟经济关系深化的需要............ 98
6.4是突出港澳在“泛珠”经济区域中作用的需要............... 99
6.5是广东产业升级的需要.......... 100
6.6是香港的产业转型的需要...... 102
6.7是澳门产业转型的需要.......... 105
6.8小结.. 109
第7章 港澳深化合作的可行性分析及框架构想..... 112
7.1进一步加深港澳合作符合一个中国的原则和WTO规则.............. 112
7.1.1主权国家内部、不同关税领土之间可建立自由贸易区 112
7.1.2“一国两制”是两地实现进一步深入合作的政治与经济基础 113
7.2港澳是各自区域经济整合的最佳的对象... 115
7.3港澳的良好形势是深化两地经济联系的基础.............. 117
7.4澳门对香港可能产生的积极作用............. 120
7.5香港对澳门可能产生的积极作用............. 122
7.6港澳加深合作将有利推动中国区域经济的进一步发展 124
7.6.1无缝的区域经济中介 124
第8章 港澳深化经济合作的目标模式和策略选择. 127
8.1目标模式............. 127
8.1.1构建港澳区域经济合作的制度框架 127
8.1.2形成商品和生产要素自由流通的区域统一大市场 129
8.1.3建立交通、通讯等基础设施无缝对接的网络体系 129
8.1.4构建产业结构优势互补和产业梯度有序推进的经济合作格局 130
8.2目前港澳经济合作中缺陷和存在的主要问题............. 131
8.2.1不具法律约束力的市场联系阻碍了两地之间商品和生产要素的有效流动 131
8.2.2基础设施的通达与协调 132
8.2.3产业同构导致竞争激烈，区域分工不明确 133
8.3策略选择............. 133
8.3.1模式比较 : 可借鉴的经验 133
8.3.2区域合作的启示 136
8.3.3目前可供选择的港澳合作模式： 137
第9章 进一步加强港澳经济合作的建议................. 139
9.1强化高层认可和交流............. 139
9.2建设良好合作制度 140
9.3巩固优势并开发新的合作领域 141
9.4细致行业内分工... 143
9.4.1.物流业...... 144
9.4.2. 旅游及服务业............. 146
9.4.3 中国区域经济一体化中的港澳经济合作领域研究：以中药及相关产业为例子............. 147
参考文献. 156
附录......... 157
一、“十一五规划”中有关港澳的论述............. 157
二、内地与香港关于建立更紧密经贸关系的安排............. 157
三、内地与澳门关于建立更紧密经贸关系的安排(协议正文)............. 162
后 记....... 166
