【作者】 普雁翔；

【导师】 赵伟；

【作者基本信息】 浙江大学 ， 政治经济学， 2011， 博士

【摘要】 从企业层面切入考察制造业集聚现象是近年产业集聚实证研究的一个新视野,也是迄今大量聚焦于中国制造业集聚研究所忽略的一个视野。这个视野直接源自对企业异质性现象的考察。作为转型与工业化快速推进的经济体,企业异质性不仅突出而且内涵更广,从企业层面切入考察制造业集聚,无法回避企业异质性现象。值得注意的是,关于中国企业异质性,迄今的关注几乎全部置于所有制和生产率两个方面的异质性,而忽视了另一个重要的方面,这便是企业规模异质性。国外已有研究显示,企业规模异质性也是影响制造业集聚的重要因素之一,国内一些产业区企业规模分布差异的现象,也意味着企业规模与产业集聚中的或明或暗的联系。本文的主旨,就在于将企业规模作为一个重要因素,对企业规模与制造业集聚之间的逻辑联系进行理论分析,并予以实证检验支持。理论分析以总揽国内外现有文献为铺垫,重点在于梳理企业规模异质性与制造业集聚之间的联系及其效应发挥的机理。研究显示,企业规模与制造业集聚的研究大体上可归入两个子命题：一个是企业规模异质性及其集聚效应；另一个是企业规模异质与产业地理集中的互动联系。围绕前一个论题的研究显示,企业规模异质性所表现出的产业组织特征通过劳动力共享、创业溢出、企业分拆、知识溢出和消费者-供应商联系等渠道影响集聚经济效应。围绕后一个命题的研究则揭示,内部规模经济与运输成本的交互作用下规模异质的企业在区位选择上存在地理偏向,即大企业更倾向于分布在制造业地理集中的地区。实证分析从三个方面展开：一个方面主要描述企业规模与中国制造业集聚的特征性事实。另外两个方面主要是对上述两个命题的计量检验。描述性分析方面,其一,借助制造业相对就业累积增长率的分析。发现改革以来虽然制造业总体上向东部集中,其他地区逐渐下降,但是不同省区的集中程度与时间模式有所不同。具体而言,沿海地区的长三角和珠三角的份额提高,东北地区和直辖市的份额则下降,中部、西部地区则先后进入下降趋势,且中部早于西部。其二,借助分解企业规模因素的区位商和产业地理集中指数的分析。发现企业规模异质因素在中国制造业集聚中存在影响,且影响因行业和所有制而存在差异。行业差异表现为：部分制造业的地理集中同时受企业数量和规模的影响,这类行业具有强烈的集聚趋势；另一部分制造业则不然,其地理集中程度受自然因素和企业规模影响极大。所有制差异表现为外资企业地理集中程度最高,私营企业和国有企业次之。计量检验方面,一个是检验企业规模异质的集聚经济效应。围绕企业规模异质性的产业组织特征,检验不同规模企业的集聚经济效应。利用可得的企业数量和企业规模分组的行业资料,构造隐含企业规模因素的集聚经济变量进行回归。总体回归显示,行业专业化经济和竞争效应是促进制造业集聚的主要源泉。不同规模分组回归显示,不同规模企业的外部经济存在差异。小型规模企业的专业化经济较为明显,中型企业和大型企业则是多样化经济较为明显。要素密集度分组回归显示,小企业的集聚经济在不同要素密集行业存在差异,大企业则不明显。另一个是检验企业规模异质性与制造业地理集中的互动联系。利用区域投入产出系数和地理距离数据构造投入联系和产出联系等地理集中变量,对企业规模分布变量进行回归。总体回归表明,企业规模与制造业地理集中存在相关性。要素密集度分组回归表明,对于劳动力与资源密集型行业,相关性只是得到部分证实；对于资本技术密集型行业,所有回归一致得到证实,说明结果是稳健的,也即资本技术密集型行业的规模企业分布具有地理集中倾向。本文研究结论的重要政策含义是,企业规模异质性既可能通过集聚经济效应,也可能通过企业规模分布变动影响制造业集聚。前者意味着地理集中增进了效率,后者则意味着这不是必然的。因此,区域协调政策应当对规模异质企业具有针对性。更多还原

【Abstract】 It is a new field exploring the agglomeration of manufacturing industries from firm-level that ignored by the great studies on the manufacturing agglomeration in China. Much of this relies on heterogeneous firm. Heterogeneity of firms can’t be neglected to investigate agglomeration of Chinese manufacturing industries from firm level because of the flexibility of the heterogeneity of firm in a transitional and industrialization-propelling country. The previous studies only pay attention to the firm heterogeneity in terms of the ownership and productivity instead of in terms of size. Foreign researches indicate that heterogeneity of firm size is a main cause of manufacturing agglomeration. The size distribution of firms varies enormously across the cluster areas in china; this indicates the links between firm size and industrial agglomeration. The dissertation focuses exactly on the relationship between firm size and manufacturing agglomeration from theoretical and empirical study.In theory, the thesis provides mechanisms through which heterogeneity of firm size promote the manufacturing agglomeration based on present literature. The main topics are falled into two groups. One is the effect of heterogeneity of firm size on industrial agglomeration. The other is a positive correlation between the firm size and geographic concentration of industry. Heterogeneity of firm size effects agglomeration economies through labor market pooling, entrepreneurial spillovers, knowledge spillovers, spinoffs, and consumer/supplier linkages. The latter concerns that under the interaction between internal scale economy and transportation cost heterogeneous firms have the different geographic preferences in location, large firms prone to locate in areas that are specialized in a particular sector.This dissertation does the empirical work from three aspects. One aspect captures the stylized facts of the heterogeneity of firm size and agglomeration of Chinese manufacturing industries. The other two aspects are econometrical researches.On the stylized facts, Firstly, the spatial distribution of Chinese manufacturing industries is characterized by using cumulative growth rate of employment of manufacturing industries. Secondly, the links between firm size and agglomeration of Chinese manufacturing industries are explored by means of location quotient and industrial concentration index, we find that degrees of the geographic concentration of manufacturing industries of different provinces and time patterns are different though increase of the shares of manufacturing industries in the eastern China and decrease of the shares of manufacturing industries in other regions. The shares of manufacturing industries in Yangzi river delta and Pearl River delta increase and that of manufacturing industries in north east regions and in municipalities decrease. And the shares of manufacturing industries in middle region and west region decrease one after another. Through the research of the scale of enterprises and agglomeration of Chinese manufacturing industries availing of location quotient and industrial concentration index, this dissertation shows that heterogeneity of firm size has influence on the agglomeration of Chinese manufacturing industries. And the influence varies with different industries and ownership. Influence of firms in number on the geographic concentration of some industries dominates that of firms in scale by terms of Industries. These industries are more inclined to concentration. But the geographic concentration of other industries owe to in large the natural endowment and the firms scale. By terms of ownership the degree of geographic concentration of the foreign enterprises is at the highest level, and next is private enterprises, national owed enterprises.The econometrical tests include two effects. The One examines the effects of the industrial organization charactoristics of heterogeneity of firm size on agglomeration economies using the industrial data of the number and scale of firms. Regression totally shows that specialization economy of industries and competitive effect are the main causes of the agglomeration of manufacturing industries. Regressions of different groups of the firms scale show that there are various external economies in size of the firms. Specialization economy is very significant in the small scale firms, and diversified economy is distinctive in the medium and large-sized firms. Regressions by the factor density show that agglomeration economies of the small-sized enterprises vary in the different factor density industries, but the difference between the large enterprises is not significant. The other tests the interaction between heterogeneous firm and the geographic concentration of manufacturing industries. Results of the overall sample show that there is a positive correlation between the two variables. Results of the different factor endowment show that the correlation between the two variables only is testified partly in the labor-intensive and resource-intensive industries and are testified uniformly and robustly in the capital-intensive and technology-intensive industries. This indicates that the size distribution of the firms in the latters has the inclination of concentration.The implication of above conclusions is that the heterogeneous firms in size affect the industrial agglomeration through the agglomeration economies as well as the size distribution of firms. The former implies agglomeration improves efficiency but the latter indicates that is uncertain. So regional polices should aim at heterogeneity of firm size.更多还原