一、资源生成与经济增长
I. Resource Generation and Economic Growth

为什么斯密当年没能提出资源生成法则呢？笔者分析有以下几个原因。第一，斯密1776年发表《国富论》，当时英国工业革命才刚刚开始；第二，1776年前后英国的城市基础设施还相当落后，仍仅仅停留在简单的道路、桥梁、运河和港口等设施上；第三，资源生成包括原生性资源、次生性资源和逆生性资源三大类，在当时的历史阶段缺乏生成条件。

(一)区域经济资源分为三类

一个区域，从经济学的角度来看，存在三类资源：第一类，与产业发展相对应的资源——在市场经济中称为可经营性资源(或纯私人产品)；第二类，与社会民生相对应的资源——在市场经济中称为非经营性资源(或公共物品)；第三类，与城市建设(包括整个资源生成)相对应的资源——在市场经济中称为准经营性资源(或准公共物品)，即它可由非经营性资源(或公共物品)转化为可经营性资源(或纯私人产品)来使用。

1．可经营性资源(或纯私人产品)

式中，xj为第j种可经营性资源(或纯私人产品)的总量，n为经济中的企业数(或总人数);为第i个企业(或个人)对这种可经营性资源(或纯私人产品)的拥有量。它表明：第一，可经营性资源(或纯私人产品)的总量等于每一个企业(或个人)对这种可经营性资源(或纯私人产品)的拥有数量之和；第二，可经营性资源(或纯私人产品)在企业(或个人)之间是可分的。可经营性资源(或纯私人产品)具有竞争性和排他性。

2．非经营性资源(或公共物品)

式中，Xm为非经营性资源(或公共物品)的总量，为第i个消费者(个人或企业)对这种非经营性资源(或公共物品)的占有量，k为哑变量，表明总共有m种资源可以用(即从第1种加到第m种，从X 1、X2加到Xm )。它表明：第一，任何一个消费者(个人或企业)都可以支配非经营性资源(或公共物品)；第二，非经营性资源(或公共物品)在消费者(个人或企业)之间是不可分的。非经营性资源(或公共物品)具有非竞争性和非排他性。

3．准经营性资源(或准公共物品)

笔者认为，准经营性资源(或准公共物品)在公共部门当中的配置比例(λ)受到市场经济发展程度(Y)、财政收支状况——包括财政预算(B)和财政支出(FE)、居民或社会认知程度( γ )的共同影响，即存在一个如下函数：

为了进一步探讨式1-3的可能函数形式，我们先来讨论上述变量对 λ 的边际影响。

首先，市场经济发展程度(Y )是一个介乎0到1之间的变量，代表着经济发展水平在高度不发达和高度发达之间的状态。市场经济发展程度会影响可支配收入水平，而可支配收入水平又会影响流入准经营性资源(或准公共物品)领域的资金量。如果经济发展程度较高，则居民可支配收入较高，此时私人部门将有能力和意愿投资准经营性资源(或准公共物品)，即 λ 变小，准经营性资源(或准公共物品)转换为可经营性资源(或纯私人产品)的比例变高。如果原有的 λ 水平值较高，则意味着准经营性资源(或准公共物品)市场上原本的私人资金供给较少，在总需求不变的情况下，市场会给予新入资金更高的收益率，从而加速私人部门资金流入。因此，参考传统经济学理论，λ 的增长率与Y负相关，a为正的常数，即

其次，政府对于准经营性资源(或准公共物品)的投入会受到政府财政收支状况的影响。如果财政预算(B)低于财政支出(FE)，则政府此时资金不足，将推动准经营性资源(或准公共物品)向可经营性资源转换(或纯私人产品)，以减少政府开支；且政府由于财政资金供给不足，愿意使私人部门获得更高的收益率。在这种情况下，准经营性资源(或准公共物品)转向私人部门的比例升高， λ 变小。因此，λ 与财政收支状况，即财政支出与财政预算的比值(FE/B)负相关。此外，政府财政支出会受原有 λ 值的影响，如果原有的 λ 值较高，即准经营性资源(或准公共物品)由公共部门出资的比例较高，则意味着政府具有更高的财政支出。因此，λ 与财政收支状况的关系可用式1-5表示，b为正的常数。

最后，私人部门对准经营性资源(或准公共物品)的投入，不仅受到资金供求的影响，还受到居民或社会认知程度的影响。值得注意的是，居民或社会认知程度对于其投入资金意愿的影响在不同经济阶段是不同的：如果经济发展处于落后阶段，即Y<Y*(Y*为经济成熟的临界值，根据各国标准而定)，则居民或社会认知程度越高，越能意识到基础设施投资对于经济发展的带动价值，从而越愿意投资准经营性资源(或准公共物品)，这时 λ 与γ负相关；如果经济发展处于成熟阶段，即Y>Y*，则居民或社会认知程度越高，越能意识到过度的基础设施投资对于环境可持续发展具有负面影响，从而在同样的收益率水平下，更愿意投资其他资源而非准经营性资源(或准公共物品)，这时 λ 与γ正相关。因此，我们加入ln作为上述讨论的校正系数。另外需要考虑的是，原有的 λ 水平对居民或社会认知程度有较大影响。如果市场发展落后，则 λ 越高，越会增强居民投资公共资源的偏好；反之，如果市场发展成熟，则 λ 越高，越会加强居民控制基建规模的愿望，而不愿投资于公共资源。

因此，λ 与居民或社会认知程度的关系可用式1-6表示，c为正的常数。

基于上述分析，我们可以建立一个简单的公式来表达准经营性资源在公共部门当中的配置比例( λ )与市场经济发展程度(Y )、财政收支状况——包括财政预算(B)和财政支出(FE)、居民或社会认知程度(γ)的关系。

式1-7表达了准经营性资源(或准公共物品)向可经营性资源(或纯私人产品)和非经营性资源(或公共物品)转换时对于不同变量的依赖性。值得注意的是，极端情况下，即 λ 为0，也就是准经营性资源(或准公共物品)完全转换为可经营性资源(或纯私人产品)时，该资源的运作将与财政收支状况、居民或社会认知程度等变量完全无关，即我们不可能借助财政收支状况等变量影响可经营性资源的性质。

式1-7是关于 λ 的微分方程，求解可得到一个显式解，如式1-8所示，可以方便我们更加直观地理解它们的相互作用。

式1-8给出了准经营性资源(或准公共物品)在公共部门当中的配置比例的表达式，它会根据不同时期的经济状况变化。

它表明，第一，准经营性资源(或准公共物品)的转换是一个从非竞争性到竞争性、从非排他性到排他性的过程；第二，准经营性资源(或准公共物品)，即生成性资源的转换过程受三个因素影响：区域市场经济发展程度、财政收支状况和居民或社会认知程度。

(二)准经营性资源(或准公共物品)与资源生成三大领域

准经营性资源(或准公共物品)包括以下三个层面，如图1-1所示。

1．资源生成领域的原生性资源

资源生成领域的原生性资源包括有形要素和无形要素两个方面。

(1)有形要素包括太空资源、深海资源、极地资源、地球深探资源和其他资源。

以太空资源为例，探索浩瀚宇宙，发展航天经济，建设航天强国，是世界各国不懈追求的航天梦。中国打造出“经济适用型”太空“别墅”。世界各国载人航天、月球探测、行星探测、应用卫星等各领域都在全面发展。

(2)无形要素包括技术、数据等要素。

例如数据要素，即将数据资源化、资产化。

数据并非天然就是生产要素。数据本质上是对物品、服务或经济主体等相关信息的电子或非电子形式的记录。从资源化到资产化，数据成为生产要素是一个渐进的过程。从长期趋势看，数据要素终将大规模渗透到产业经济、城市经济等领域，全面提升全要素生产率，推动全球经济新一轮增长。数据要素涉及新一代信息技术演化生成的通信网络基础设施建设、算力基础设施建设和数字技术基础设施建设等，可以推进数字产业化和产业经济、城市经济数字化。

数据要素的生成作用体现或融合在智能城市开发的相关基础设施工程上，包括①智慧能源工程；②智慧交通工程；③智慧城管工程；④智慧物流工程；⑤智慧医疗工程；⑥智慧教育工程；⑦智慧农业工程；⑧智慧水利工程；⑨智慧环保工程；⑩智慧应急工程；等等。政府在其中的作用，除了规划与提供基础设施外，还应该包括①确定数据产权；②监管数据运行；③统一制定数据归集标准；等等。

数据要素在产业发展、城市建设和社会民生中具有重要作用。

2．资源生成领域的次生性资源

城市基础设施(硬件与软件)在原有的经济理论中被定义为公共产品，由政府无偿提供。但在现实的城市发展进程中，世界各国又把它推向市场，由投资者去完成。笔者把城市基础设施(硬件与软件)称为资源生成领域中的次生性资源。作为次生性资源的城市基础设施(硬件与软件)，指为社会生产和居民生活提供公共服务的公共工程设施，用于保证国家和地区社会经济活动和人们日常生活正常进行的准公共产品系统。

城市基础设施(硬件与软件)包括三个层次。

第一层次包括城市的硬件公共设施和软件公共设施。

(1)城市的硬件公共设施，多指六大系统工程性基础设施，包括①能源供应系统；②供水排水系统；③交通运输系统；④邮电通信系统；⑤环保环卫系统；⑥防卫防灾系统。

(2)城市的软件公共设施，主要是指行政管理、文化教育、医疗卫生、商业服务、金融保险、社会福利等社会性基础设施。

第二层次是指随着城乡一体化的进程，城市基础设施还包括乡村的生产性基础设施、生活性基础设施、生态环境基础设施和社会发展基础设施。

第三层次是指随着城乡管理现代化的进程，城市基础设施还包括逐步开发和建设的智能城市等系列工程，也就是当今风行的“新基建”及其运用的项目设施。

3．资源生成领域的逆生性资源

以二氧化碳等六种温室气体的排放为例，其一旦排入大气中，就会立刻形成在人类生产和社会生活中并不被欢迎的社会公共产品。因此，笔者把这类资源称为资源生成领域的逆生性资源。

《联合国气候变化框架公约》京都议定书确定的包含的温室气体与其换算方法如图1-2所示。

在应对气候变化的进程中，《联合国气候变化框架公约》京都议定书和《巴黎协定》代表了全球绿色低碳转型的大方向。

习近平在第七十五届联合国大会一般性辩论上发表重要讲话，郑重承诺，中国将提高国家自主贡献力度，采取更加有力的政策和措施，二氧化碳排放力争于2030年前达到峰值，努力争取2060年前实现碳中和。

于是，从碳排放到碳减排、碳排放权凭证发放与交易，再到碳金融、碳市场，就有了一个资源生成领域中对逆生性资源的开发、利用、遏制与处置问题(如图1-3所示)。

对资源生成领域三类资源的开发、利用、遏制与处置的结果，即准经营性资源向可经营性资源转换的结果，可以概括为以下几点。

第一，它为产业经济发展提供了生产要素(要素供给)；

第二，它为产业经济发展创造、优化了环境和条件(环境供给)；

第三，它推动了城市经济、国际经济的发展，拓展了市场经济的领域和空间(市场供给)；

第四，对资源生成领域的开拓与发展，成为一国经济增长的新引擎(推动着一国经济可持续增长)。

这表明，政府通过开发资源生成领域的三类资源，在供给侧提供了三驾马车(要素供给、环境供给、市场供给)，助推着一个区域或一个国家经济的可持续增长。

The author believes there are reasons behind Smith′s failure to propose the law of resource generation. First, Smith published The Wealth of Nations in 1776 when the Industrial Revolution in the UK had just begun. Second, around 1776, the urban infrastructure in the UK only included simple roads, bridges, canals, and ports. Third, resource generation includes primary resources, secondary resources, and retrograde resources, and generation conditions of each of them were all absent around 1776.

(I) Regional economic resources are divided into three types

From an economic perspective, there are three types of resources in a region. The first type is resources corresponding for industrial development, which are referred to as the operative resources (or private products) in a market economy. The second type is resources corresponding for social and people′s livelihoods, which are referred to as non-operative resources (or public goods) in a market economy. The third type is resources corresponding for urban construction (including the entire resource generation), which are referred to as quasi-operative resources (or quasi-public goods) in a market economy and can be converted from non-operative resources (or public goods) into operative resources (or private products).

1. Operative resources (or private products)

In the formula, xj represents the total amount of the j-th operative resource (or private product), and n represents the number of enterprises (or total number of people) in the economy; represents the amount of the operative resource (or private product) owned by the i-th enterprise (or individual). The formula suggests that the total amount of operative resources (or private products) is equal to the sum of the quantity of such operative resources (or private products) owned by all enterprises (or individuals), and that operative resources (or private products) can be allocated among enterprises (or individuals). Therefore, operative resources (or private products) are competitory and exclusive.

2. Non-operative resources (or public goods)

In the formula, Xm represents the total amount of non-operative resources (or public goods); epresents the quantity of such non-operative resources (or public goods) owned by the i-th consumer (individual or enterprise); k is a dummy variable, and indicates that there are m types of resources available for use (i.e. from the 1st to the m-th, from X1, X2 to Xm). The formula suggests that any consumer (individual or enterprise) can control non-operative resources (or public goods), and that non-operative resources (or public goods) are non-allocatable among consumers (individuals or enterprises). Hence,non-operative resources (or public goods) are non-competitory and non-exclusive.

3. Quasi-operative resources (or quasi-public goods)

The author believes that the proportion of quasi-operative resources (or quasi-public goods) in the public sector ( λ ) is under the common influence of the development level of market economy (Y ), the fiscal revenue and expenditure including fiscal budget (B) and fiscal expenditure (FE), and the cognitive degree of residents or society ( γ ). There is a function as follows:

To further study the possible functional forms of Equation 1-3, we will first discuss the marginal effect of the foregoing variables on λ.

Firstly, the development level of market economy (Y ) is a variable between 0 and 1, and represents the state of economic development between highly underdeveloped economy and highly developed economy. It affects disposable income, which in turn affects the amount of funds flowing into the field of quasi-operative resources (or quasi-public goods). The higher the level of economic development is, the higher the disposable income of residents will be. In this case, the private sector will have increased capability and intention to invest in quasi-operative resources (or quasi-public goods). This indicates that when λ will go smaller, the proportion of operative resources (or private products) converted into operative resources (or private product) will increase. A higher value of λ indicates a lower supply of private funds in the market for quasi-operative resources (or quasi-public goods). If the aggregate demand remains constant, the market will offer higher returns to new funds, thereby accelerating the flow of funds into the private sector. Therefore, according to traditional economic theories, the growth rate of λ is negatively correlated with Y, and a is a positive constant.

Secondly, the government′s investment in quasi-operative resources (or quasi-public goods) is influenced by its fiscal revenue and expenditure. When the fiscal budget (B) is lower than the fiscal expenditure (FE), the government will be short of funds and will promote the conversion of quasi-operative resources (or quasi-public goods) into operative resources (or private products) to reduce its expenditure. The government will also provide higher returns to the private sector due to the insufficient supply of fiscal capital. In this case, the proportion of quasi-operative resources (or quasi-public goods) flowing into the private sector will increase, and λ will go smaller. Therefore, λ is negatively correlated with the ratio of fiscal expenditure to fiscal budget (FE/B). In addition, the government′s fiscal expenditure is subject to the original value of λ. A higher λ indicates a higher proportion of quasi-operative resources (or quasi-public goods) provided by the public sector, namely a higher fiscal expenditure. Therefore, the correlation between λ and fiscal revenue and expenditure can be expressed by Equation 1-5, with b being a positive constant.

Lastly, the private sector′s investment in quasi-operative resources (or quasi-public goods) is influenced by both the supply and demand of funds and the cognitive degree of residents or society. It should be noted that the cognitive degree of residents or society has different effects on their willingness to invest in different economic stages. In details, when an economy is underdeveloped, namely Y < Y* (Y* represents the critical value for economic maturity, which should be country-specific), the higher the cognitive degree of residents or society is, the more aware they are of the driving role of infrastructure investment in economic development, and thus the more willing they are to invest in quasi-operative resources (or quasi-public goods). In this case, λ is negatively correlated with γ. Differently, when an economy is developed, namely Y > Y*, the higher the cognitive degree of residents or society is, the more aware they are of the negative impact of excessive infrastructure investment on sustainable development, and thus the more willing they are to invest in other resources rather than quasi-operative resources (or quasi-public goods) at the same level of return. In this case, λ is positively correlated with γ. Therefore, ln is added as a correction factor for the above discussion. Another consideration is that the original value of λ has a significant impact on the cognitive degree of residents or society. When a market is underdeveloped, the higher the value of λ is, the stronger residents′ preference for investing in public resources will be. On the contrary, when a market is developed, the higher the value of λ is, the stronger the desire of residents to control the scale of infrastructure will be, rather than investing in public resources.

Therefore, the correlation between λ and the cognitive degree of residents or society can be represented by Equation 1-6, with c being a positive constant.

Based on the above-mentioned analysis, there is a simple formula to express the correlation between the allocation proportion of quasi-operative resources in the public sector ( λ ) and the development level of market economy (Y), the fiscal revenue and expenditure including fiscal budget (B) and fiscal expenditure (FE), as well as the cognitive degree of residents or society (γ).

Equation 1-7 indicates the dependence of quasi-operative resources (or quasi-public goods) on different variables when they are converted into operative resources (or private products) and non-operative resources (or public goods). Noticeably, in an extreme case of λ=0, when quasi-operative resources (or quasi-public goods) are completely converted into operative resources (or private products), the operation of quasi-operative resources (or quasi-public goods) will be completely uncorrelated with the fiscal revenue and expenditure, the cognitive degree of residents or society, and other variables. This indicates that there will be no way to use such variables to affect the nature of operative resources.

Equation 1-7 is a differential equation about λ, which can be solved to obtain an explicit solution as shown in Equation 1-8 to visually understand their correlation.

Equation 1-8 provides an expression for the allocation proportion of quasi-operative resources (or quasi-public goods) in the public sector, which is subject to economic conditions in different periods.

It indicates that the conversion of quasi-operative resources (or quasi-public goods) is going from being non-competitory to being competitory, and from being non-exclusive to being exclusive. The conversion of quasi-operative resources (or quasi-public goods) or generative resources, is influenced by the development level of regional market economy, the fiscal revenue and expenditure, and the cognitive degree of residents or society.

(II) Quasi-operative resources (or quasi-public goods) and three fields of resource generation

Quasi-operative resources (or quasi-public goods) are divided into three layers as shown in Figure 1-1.

1. Primary resources in the field of resource generation

Primary resources of resource generation are divided into tangible factors and intangible factors.

(1) Tangible factors include space resources, deep-sea resources, polar resources, deep-exploration resources, and other resources.

For example, in terms of space resources, exploring the vast universe, developing the aerospace economy, and building an aerospace power represent the unremitting pursuit of countries around the globe. Amongst others, China has created an “affordable” space “villa”. Manned spaceflight, lunar exploration, planetary exploration, and application satellites are all gaining comprehensive development around the world.

(2) Intangible factors include technology, data, etc.

Amongst others, data factor means that we use data as a resource or capital.

Data are not a natural factor of production. They are essentially an electronic or non-electronic record of information related to goods, services, or economic entities. It takes a gradual process for data to become a factor of production. In the long term, data factor will eventually penetrate into industrial economy, urban economy and other fields on a large scale, thereby comprehensively improving total factor productivity and promoting a new round of global economic growth. Data factor plays a role in the construction of communication network infrastructure, computing power infrastructure, and digital technology infrastructure with the new-generation information technology to develop the digital industry and promote the digital development of industrial economy and urban economy.

The generation role of data factor is reflected or integrated in the relevant infrastructure projects of intelligent city, including ①intelligent energy project; ②intelligent transportation project; ③intelligent urban management project; ④intelligent logistics project; ⑤intelligent medical project; ⑥intelligent education project; ⑦intelligent agricultural project; ⑧intelligent water conservancy project; ⑨intelligent environmental protection project; ⑩intelligent emergency project; etc. In these regards, in addition to planning and providing infrastructure, the government should also ①determine data property rights; ②supervise data operation;③develop unified data collection standards; etc.

Therefore, it can be concluded that data play an important role in industrial development, urban construction, and social livelihood.

2. Secondary resources in the field of resource generation

In traditional economic theories, urban infrastructure (hardware and software) is defined as public goods provided by the government for free. However, in the process of urban development, governments around the world contract it to the market and investors. Urban infrastructure (hardware and software) in this book is referred to as secondary resources in the field of resource generation. As a secondary resource, urban infrastructure (hardware and software) refers to public facilities that provide public services for social production and residents′lives, and quasi-public product system used to ensure the normal functioning of national and regional socioeconomic activities and people′s daily lives.

Urban infrastructure (hardware and software) is divided into three layers.

The first layer includes urban hardware infrastructure and urban software infrastructure.

(1) Urban hardware infrastructure mostly refers to six types of system infrastructure, including ①energy supply system; ②water supply and drainage system; ③transportation system; ④post and telecommunication system; ⑤environmental protection and sanitation system; ⑥defense and disaster prevention system.

(2) Urban software infrastructure refers to administration, culture and education, health-care, commercial service, finance and insurance, social welfare, and other social infrastructure.

The second layer indicates the result of the process of urban-rural integration. Productive infrastructure, living infrastructure, environmental infrastructure and social development infrastructure in rural areas are also included in urban infrastructure.

The third layer indicates the result of the process of urban and rural management going modernized. Intelligent city and other series of projects, namely the popular “new infrastructure”and facilities it utilizes, are also included in urban infrastructure.

3. Retrograde resources in the field of resource generation

Carbon dioxide and other five GHGs will immediately form unpopular social public goods in our production and social life once they are discharged into the air. Therefore, these resources are referred to as retrograde resources in the field of resource generation in this book.

The GHGs specified in the CDM Rules of the Kyoto Protocol to the United Nations Framework Convention on Climate Change and the Paris Agreement and their conversion are shown in Figure 1-2.

In response to climate change, the Kyoto Protocol to the United Nations Framework Convention on Climate Change and the Paris Agreement point out the overall direction of global green and low-carbon transformation.

General Secretary Xi Jinping delivered an important speech at the general debate of the 75th United Nations General Assembly, announcing that China will increase its independent national contribution, adopt more vigorous policies and measures, strive to achieve the peak value of carbon dioxide emissions by 2030 and achieve carbon neutrality by 2060.

Therefore, in terms of carbon emissions, carbon reduction, issuance and trading of carbon emission permits, carbon finance, and carbon market, we are exposed to the development, uti-lization, containment, and disposal of retrograde resources in the field of resource generation (as shown in Figure 1-3).

The result of the development, utilization, containment, and disposal of primary resources, secondary resources and retrograde resources in the field of resource generation represents the result of transformation from quasi-operative resources to operative resources, which can be summarized as follows.

First, it provides factors of production (supply of factor) for the development of industrial economy. Second, it creates and optimizes the environment and conditions (supply of environment) for the development of industrial economy.

Third, it promotes the development of urban economy and international economy and expands the field and space of market economy (supply of market).

Fourth, the exploration and development of resource generation has become a new engine for a country′s economic growth (driving its sustainable economic growth).

Therefore, by exploiting primary resources, secondary resources and retrograde resources in the field of resource generation, the government offers a troika (supply of factor, supply of environment and supply of market) on the supply side to boost the sustainable economic growth of a country or a region.