published_or_final_version / Chinese / Doctoral / Doctor of Philosophy

The Greater Pearl River Delta (GPRD) region in China has been dramatically changing since the economic reform in the late 1970s. The ‘front shop back factory’ model of industrialisation and urbanisation between Hong Kong and the hinterland cities in the region had resulted in the significant economic success, which albeit encountered several bottleneck problems. To tackle them, a new development pattern seems emerging, with more focuses on balanced growth and regional synergy in accordance with industrial upgrading towards the knowledge-intensive economy. Through the review of related literature, the research on the new pattern is linked with various classical theories and developmental concepts in the fields of industrial geography, technological innovation, as well as urban and regional planning and development. It reveals that these theories and concepts would contribute to the transition of GPRD’s industrialisation and urbanisation. Moreover, it is indicated that the concept of ‘technopole’ and its planning and development can contribute to this new pattern of urban and regional growth under current circumstances. To study the new pattern, the author conducts a detailed case study on Shenzhen, a planned city in the region with a short development history and successful economic growth attributed to economic reform. Based on a qualitative effort of data collection through secondary-data and documentary research, the study employs multiple methods for the description, interpretation, and deduction of the case, towards the understanding on three key research themes: new growth pattern (balanced development and regional synergy), urban and regional planning, and technopole development. The case study aims to fill in the gaps between Western theories and their application in China, and build connections between academic exploration and real practice. The planning and development history of Shenzhen and an overview of the city’s technopole development are documented, which illustrate a picture of industrialisation, urbanisation, and technological development in the study area. The evolution of growth centres and their contribution to the city’s growth trajectory are also analysed. At the same time, three typical technopoles of the city, namely, the Shenzhen High-tech Industrial Park (SHIP), the Huaqiangbei area, and the Overseas Chinese Town (OCT), are taken into examination, leading to categories of findings: spatial establishment, development pattern, and key characteristics of innovative milieux. Through the case study of Shenzhen and its technopoles, the research came to a conclusion in three aspects. First, the linkages between Western theories and their application in China are identified, which provide a feasible theoretical support for the new development pattern. Second, progress in planning and development system is concluded in accordance with the transition of the city and the evolution of the growth centres, which is expected to facilitate better understanding and implementation of the new pattern. Third, key issues of planning and making of technopoles are summarized based on the case of Shenzhen, leading to suggestions on possible improvement for future development. / published_or_final_version / Urban Planning and Design / Doctoral / Doctor of Philosophy

published_or_final_version / Urban Planning / Master / Master of Science in Urban Planning

published_or_final_version / Urban Planning / Master / Master of Science in Urban Planning

published_or_final_version / Geography and Geology / Doctoral / Doctor of Philosophy

published_or_final_version / Social Work / Master / Master of Social Sciences

published_or_final_version / Urban Planning / Master / Master of Science in Urban Planning

Zhang, Yongjun. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2009. / Includes bibliographical references (leaves 215-225). / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstract also in Chinese.

Kwan Wing Kai. / Thesis (M.Phil.)--Chinese University of Hong Kong, 1996. / Includes bibliographical references (leaves 85-93). / Abstract / Acknowledgment / Chapter Chapter 1. --- Introduction --- p.1 / Chapter 1.1 --- A Review of Recent Studies on the Productivity of Chines Economy --- p.3 / Chapter 1.2 --- Aims of Study --- p.10 / Chapter Chapter 2. --- The Sources of Productivity Growth --- p.16 / Chapter 2.1 --- Degree of Government Intervention --- p.16 / Chapter 2.2 --- Ownership Structure --- p.18 / Chapter 2.3 --- Output Structure --- p.24 / Chapter 2.4 --- Changes in Regional Development Strategy --- p.25 / Chapter 2.4.1 --- Regional Development Strategy before1979 --- p.27 / Chapter 2.4.2 --- Regional Development Strategy since1979 --- p.29 / Chapter 2.4.3 --- The Impacts of Different Regional Strategies on Productivity Change --- p.31 / Chapter Chapter 3. --- Theoretical Framework and Estimation Methods --- p.33 / Chapter 3.1 --- Methed I: The Conventional Approach --- p.35 / Chapter 3.2 --- Method II: Replacing the Variable of the Growth of Capital Stock by Investment-Output Ratio --- p.40 / Chapter 3.3 --- Method III: Approximation of the Production Function by Taylor Expansion --- p.45 / Chapter Chapter 4. --- Empirical Results of the Three Different Methods --- p.51 / Chapter 4.1 --- Estimation Results of the Three Different Methods --- p.51 / Chapter 4.2 --- Comparison of the Estimation Results of the Three Methods --- p.63 / Chapter 4.3 --- An Assessment of Provincial Productivity Growth --- p.66 / Chapter 4.4 --- Regional Productivity Difference since1979 --- p.75 / Chapter Chapter 5. --- Conclusion --- p.82 / References --- p.85 / Appendix 1. List of the Abbreviations for Provinces --- p.94 / Appendix 2. A Summary of Notations --- p.95 / Appendix 3. Estimates of Provincial Capital Stock (1979-1992) --- p.97 / Chapter A3.1 --- Initial value of Capital Stock --- p.98 / Chapter A3.2 --- Net Increase of Capital Stock --- p.101 / Chapter A3.3 --- Estimating the Annual Series of Capital Stock --- p.102 / Appendix 4. The Process of Fiscal Decentralization and Deterioration of Regional Redistribution --- p.106 / Chapter A4.1 --- The Process of Fiscal Decentralization --- p.106 / Chapter A4.2 --- The deterioration of Regional Redistribution --- p.110 / Appendix 5. Estimation Results of the Three Different Methods --- p.114

作為社會主義國家中央計劃的遺產，國民經濟和社會發展五年計劃/規劃是調節中國經濟社會與空間發展的重要工具。隨著中國政治經濟的轉型，五年計劃/規劃也經歷了多次顯著的轉變。尤其在"十一五"時期，五年規劃體系分別在三個地理尺度上加強了其中的空間規劃元素和地位。這包括在國家層面提出主體功能區劃，在區域層面加強區域空間規劃功能，在市縣層面進行規劃體制改革。 / 目前，學術界還未有對五年計劃/規劃在中國轉型中所扮演的角色展開深入研究，特別是空間規劃如何轉變和行使空間管治功能。基於此，本論文採用管治的視角，構建一個基於過程的概念分析框架，以揭示五年計劃/規劃體系中的空間規劃元素轉變的基本原理和機制，也即在於探討各利益主體、制度、規劃管理和機制如何作用於五年規劃中空間規劃的發展，以及空間規劃在地方具體管治事務上的成效。具體而言，論文試圖回答以下三個相關研究問題。第一，五年規劃為何要植入新的空間規劃方法？第二，"十一五"期間，將空間規劃植入五年規劃體系的機制是什麼？第三，植入的空間規劃是否能有效的進行空間管治？通過分析空間規劃內容在國家五年計劃/規劃體系中的演變特點，以及結合江蘇省"十一五"期間的兩個案例（區域和城市兩個尺度）的研究，論文得出以下結論： / 隨著市場化改革和經濟權力下放，中國空間發展的政治經濟環境發生了重要變化。這在客觀上需要五年計劃/規劃體系中的空間規劃內容做出相應的調整。初期，空間規劃的形式體現在以部委主導的發展項目；改革開放到"十五"計畫期間，空間規劃的形式主要體現在劃定特殊的政策區域；"十一五"規劃以來，空間規劃則以空間分類引導與約束並舉的空間發展政策框架形式出現。"十一五"以來轉變的目的是使經濟規劃與空間規劃的結合更加緊密，以克服中國當前空間管治的各種困境。但是，這種在空間規劃方法上的創新也受到了來自地方層級政府和不同規劃部門的挑戰，為其實施帶來了一些不確定因素。 / 在區域尺度上，論文選取了江蘇省五年規劃體系中的沿江規劃作為案例。研究發現，作為省政府自上而下引導區域協調發展和區域經濟整合，約束空間無序開發的手段，沿江規劃的發展高度依賴於地方的政治經濟環境，反應了省內複雜的空間管治機制。沿江規劃稍早於省"十一五"規劃出臺。隨後，省政府將沿江規劃進行調整並植入五年規劃體系。其主要目的是為了加強沿江規劃的政治地位，以克服其早期實施時出現的危機。調整後的沿江規劃進一步突出了空間管治、區域協調發展和可持續性的目標。但是，在規劃實際實施中，沿江規劃戰略成為區內城市政府為資本積累推動新的發展項目的工具，而區域協調發展和空間可持續性問題反而被一再忽略。 / 在城市尺度上，論文選取了國家發改委主導的蘇州"十一五"市縣規劃改革作為案例。其改革的目的主要是加強規劃協調和發展控制。然而，蘇州"十一五"時期的發展表明，市"十一五"規劃中所植入的空間規劃框架儘管加強了空間發展約束和引導的內容，但實際上其無力調整市域部門分割的空間管治關係。這主要是因為，地方的空間規劃受到來自中央規劃部門的條例、法規和指標控制等垂直管理體系的約束。另外，為了創造土地財政和刺激地方發展，城市政府試圖突破自上而下的規劃控制指標和操縱地方規劃的資料，尤其是土地開發。為此，蘇州"十一五"規劃中的空間規劃處於一個嵌套的規劃管理環境。空間規劃進而成為中央和地方在空間管治理念上博弈的犧牲品。這種空間規劃的創新，不但無法融合部門割裂的規劃功能，更不能觸動地方政府對土地財政依賴，因此無法建立空間管制的機制。 / 總體上，經濟增長仍然是地方最為重要的規劃管治問題，進而決定了空間規劃中政治的走向。目前的空間規劃理念還主要是緩解經濟增長的限制性因素，如土地供應緊張和環境門檻提升等，而非為了建立有效的空間管治機制。 / As a legacy of the socialist state with central planning, Five-Year Planning (FYP) is very important in regulating socio-economic and spatial development even in post-reform China. Along with the changing context of political economy, the plan has experienced remarkable transformation in the last several decades. Particularly, during the 11th FYP Period, the FYP system emphasized spatial planning at different geographic scales, such as incorporating Major Function-Oriented Zoning (MFOZ) plan, enhancing the function of regional spatial planning, and conducting demonstration reform of planning institution at the municipal or county level. / In the literature, there has been little study on the role of FYP in transitional China. Especially, there is no study on how spatial planning in the FYP mechanism has operated and transformed in spatial regulatory practices. Under this context, drawn on the governance perspective, this study attempts to uncover the rationale and mechanisms of the changing spatial planning in the Chinese FYP system by building a conceptual framework. It aims to identify various stakeholders, institutions, planning administration and mechanisms of articulating spatial planning into FYP system and the effectiveness of spatial planning in solving place-specific governance issues during the plan formulation and implementation. / Specifically, this study attempts to answer the following three related research questions. First, why did the 11th FYP mechanism need to articulate the new spatial planning approaches? Second, what was the mechanism of articulating spatial planning into the 11th FYP system? Third, was articulating spatial planning into the 11th FYP system effective to govern spatial development? By examining the changing spatial planning in national FYP system and two case studies of the 11th FYP in Jiangsu Province (at the regional and urban scale), the main findings of this study are as follows: / The thesis argues that the market-oriented reform and decentralized economic administration have changed China's political economy and necessitated the transformation of the FYP mechanism, the embedded spatial planning in particular. In the pre-reform period, spatial planning was manifested in the ministry-led project-specific approach. From the beginning of the reform and opening to the 10th FYP Period, it was primarily manifested in setting up special policy areas to stimulate economic growth but failed in development control. Recently, spatial planning was transformed to a spatial policy framework approach with development guidance and control. It has also been tried to further integrate economic planning and spatial planning through the FYP mechanism. The new spatial planning approaches were articulated into the 11th FYP system at various geographic scales, as a response to the changing context of political economy and increasing socioeconomic transformation. However, due to various constraints in the period of institutional transition, the new spatial planning encounters various uncertainties to establish sound governance mechanisms in China. / At the provincial level, Jiangsu Region along the Yangtze River (JSYR) plan in the Jiangsu provincial 11th FYP system is employed for case study. The plans development process was highly embedded in local political economy, reflecting the decentralized and complicated spatial governance mechanisms in provincial China. Before it was articulated into the provincial 11th FYP system, the plan had already been implemented for half a year. In order to enhance the political status of the plan and cope with the crisis in the early plan implementation, Jiangsu provincial government articulated the spatial plan into the provincial 11th FYP system with a restructured spatial policy framework to enhance development control. However, it is revealed that, rather than as an institutional arena for regional coordination and sustainability, the articulated spatial planning in Jiangsu 11th FYP may only function as an instrument to develop new projects for capital accumulation. The actual sustainability of spatial development was ignored by local city governments. / At the municipal level, the demonstration reform of planning institution in Suzhou is employed for case study. The purpose of this reform was to improve plan coordination and development control at urban level. The realities in Suzhou indicated that the articulated spatial planning in Suzhou 11th FYP failed to restructure municipal spatial governance relations and enhance local development control. It was no more than a cosmetic covering of the fragmented and overlapped planning functions instead of an integrated spatial governance mechanism in the city. Suzhou case shows that various local spatial plans were highly constrained by the sectoral codes, hierarchic regulations and top-down controlling quotas from relevant ministry-level departments. Under the nested planning administration shaped both by top-down regulations, and local discretion and manipulation, the plan coordination through the platform of spatial planning in Suzhou municipal 11th FYP was very difficult. Spatial planning has become a complicated arena and, the planning is mixed by central control and local initiatives with various levels of intervention. / In general, economic growth was the ultimately concerned governance issue in Chinese provinces and municipalities, which justifies local politics of spatial planning. Subsequently, the development philosophy of spatial planning at local levels was to alleviate the constraints of economic growth such as inadequate land supply and high environmental threshold rather than to establish the mechanisms of coordination and development control. This study advances the current understanding about the rationale and mechanisms about spatial planning and governance in contemporary China. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Wang, Lei. / Thesis (Ph.D.) Chinese University of Hong Kong, 2014. / Includes bibliographical references (leaves 151-168). / Abstracts also in Chinese; appendix 3 in Chinese.