【作者】 李孟涛；

【导师】 夏春玉；

【作者基本信息】 东北财经大学 ， 企业管理， 2013， 博士

【摘要】 城市是社会文明的载体,物流就是城市的血脉。技术创新和管理创新为城市经济、社会以及环境带来了前所未有的冲击,运输量的增加、产业的协同、服务的综合以及对降低成本的迫切要求,这一切都离不开一个畅通、高效、安全、经济的城市物流系统。城市物流是城市经济的重要组成部分,是衔接生产、流通和消费的中间环节,在促进城市产业发展、提高经济运行效率中扮演着重要角色,以其广泛的产业关联性、独特的社会属性、显著的环境外部性而备受关注。建立科学系统的绩效评价体系是有效管理城市物流的前提和基础。通过对城市物流系统的绩效评价,管理者可以明确城市物流活动对经济、社会、环境等诸多方面的影响,引导城市物流发展,实现国民经济增长速度与增长质量的同步,社会发展水平与城市化水平一致,城市规模扩张与生态环境相协同。城市物流绩效评价是我国提高城市化,完善城市功能的客观需要。1992年到2011年20年的时间,我国城市数量从517座增长到661座,城市化率由27.46%上升到51.3%。如何在城市化进程中科学有效的管理城市物流,对城市物流活动进行整体优化,最大限度地降低城市物流的负外部性,提高城市物流的整体绩效,这既是城市功能完善的内在要求,也是我国城市发展到特定历史阶段的必然结果。从理论研究的现状来看,虽然学者对城市物流绩效的研究取得了一定进展,但限于目标的多元性、联系的开放性、绩效影响的多因素性、投入产出难以量化以及认知偏差性等原因,研究进展相对较为缓慢,特别是实证性的研究更加稀少,甚至没有形成通用的评价框架和指标体系。有鉴于此,本文首先对城市物流绩效进行理论研究,试图构建城市物流绩效评价的基本模型；其次,在构建的评价模型基础上,对评价指标进行遴选,并建立了指标体系；最后对中国副省级以上城市进行实证考察分析,对城市物流的经济纬度、社会纬度和环境纬度绩效情况进行分析,找出各个城市的发展差距,借鉴已有的研究成果和经验作法,提出改善性建议。基于以上思路,本文的研究按以下章节展开。第一章绪论。本章首先交代了选题背景,并指出本文的理论意义主要在于在深入探寻城市物流的功能及影响因素的基础上,系统梳理城市物流发展理论,构建了城市物流绩效评价模型和指标体系；现实意义主要是提高城市物流绩效,实现城市的发展目标。然后本章对城市物流和城市物流绩效两个关键概念进行了解读,指出了城市物流绩效评价的难点所在。最后本章阐明了论文的研究内容主要为建立城市物流评价模型、设立城市物流绩效评价指标以及城市物流绩效评价实证,并给出研究框架和技术路线。第二章城市物流功能分析。本章提出并论证城市物流的四大功能——服务、集聚、辐射和协同,然后运用投产产出表对各项功能进行数据分析和检验,最后指出城市物流产业的集聚和辐射作用明显,具有广泛的产业关联度,对城市经济发展具有明显的限制作用,属于优先发展的产业。第三章文献综述。本章分析了文献的总体情况,指出文献相对稀少,研究焦点主要集中在三方面：评价模型、评价指标以及评价方法。同时,本章还对国外物流绩效管理实践中的指标体系进行了分析,以求他山之石,可以攻玉。第四章城市物流绩效评价模型构建。本章首先阐述了模型构建的理论基础包括城市经济理论、系统理论、可持续发展理论以及利益相关者理论。然后本章分析了城市物流绩效评价目标的发展脉络：从最小成本到最大绩效,又发展到协同绩效,目前趋向于追求社会价值最大化。接下来本章从评价的基本原理出发,指出城市物流绩效评价系统由评价主体、评价客体、评价思想、评价需求、评价内容、评价指标、评价方法以及评价结果组成,并依据这八部分逻辑关系给出一个一般性模型框架。最后本章提出了城市物流绩效评价模型,指出该模型特点是以人为主体,把城市置于相关区域背景下追求社会价值最大化,其目标包括经济、社会、环境等多个维度。第五章城市物流绩效评价指标选择。本章首先明确了评价指标的选取原则,这些原则包括：客观性、系统性、经济性、可比性以及可操作性原则。然后本章依据上述原则对城市物流经济绩效、社会绩效、环境绩效的预选指标进行筛选,并运用关联度和区分度来进行统计指标的检验。为了体现城市与所在区域的联系,控制指标间的关联程度,本文选取区位商来对多个评价指标进行复合运算,并对其他一些特殊指标也选择了合适的指标处理方式。最后本章构建出城市物流绩效评价指标体系,主要包括3个一级指标：即城市物流经济绩效、社会绩效以及环境绩效；13个二级指标,即集聚能力指数、辐射能力指数、物流服务指数、城市物流区位、投入产出效率、管理者、承运人、托运人、居民、能源消耗、空气质量、拥堵程度以及环境保护等维度。该指标体系运用了非财务性指标、复合性指标以及参照指标,能够全面客观的反映城市物流绩效。第六章城市物流绩效评价实证。本章说明了实证设计的样本城市和赋权方法的选择依据,运用熵权法对中国副省级以上城市2010的年度数据进行绩效评价。在城市物流经济绩效评价中,本文采用DEA数据包络模型分析来替代投入产出表分析以衡量投入产出效率,并依据熵权法标准化数据,计算各指标权重,最后计算各个城市的城市物流各个维度绩效得分,直至得到城市物流绩效评价结果。第七章城市物流绩效评价分析及建议。本文依据社会价值最大化对样本城市物流绩效位序、经济位序以及人口位序进行分析,得出如下结论：厦门市、宁波市、大连市、杭州以及南京的城市物流绩效位序领先于经济位序及人口位序,说明这些城市的物流发展比较健康：不但能够满足现在的需求,更保有一定的提前量,可以促进城市经济发展；上海市、北京市、深圳市、广州市这几个城市的物流绩效得分名列前茅,但物流绩效位序基本和城市经济位序相一致,并领先于人口位序,说明这些城市的物流处于合理状态,能够满足城市目前的发展需求；天津市、武汉市、青岛市、重庆市、成都市、沈阳市、西安市、济南市、哈尔滨以及长春市的城市物流绩效位序落后于经济位序及人口位序,说明这些城市的物流发展有可能成为城市发展的瓶颈,需要密切关注,采取措施,预防物流阻碍城市的发展。接下来本文对城市物流绩效的各个纬度以及相关指标进行了分析并提出了相应的对策建议：政府可通过加强基础建设,提高集聚能力；重视经贸发展,强化辐射能力；运用信息技术,改善服务能力；突出区位优势,打造特色服务；控制要素价格,提高投入产出效率等途径来提升城市物流经济绩效。政府还可通过借鉴国际经验,放宽市场管制；强化协同,建立三级联动机制；加强政府的扶持力度,促进现代物流业发展；加快发展第三方物流,降低物流成本等对策促进城市物流社会绩效。政府可采取引入绿色物流、降低碳排放、减轻交通拥堵、完善绿色法规政策等措施改善城市物流环境绩效。第八章是结论与展望。本论文的创新性成果和贡献主要体现在：(1)构建了城市物流绩效评价模型。本文借助经济学、管理学和系统论的相关理论和方法,建立了城市物流绩效评价模型,为后续研究奠定基础。城市物流绩效评价模型是理论界的研究焦点,但有关研究一般都停留在城市层面,关注成本、收益、或者协同效益。而本文所建立的模型是从社会价值最大化出发,把城市物流绩效置于区域背景下进行考察,目前少有类似研究,本文的尝试可以说是对城市物流绩效评价理论的一点完善。(2)设立了城市物流绩效评价指标体系。采用文献分析、逻辑分析以及实证分析相结合的方法,形成一套城市物流绩效评价指标。该指标体系采用了大量的复合指标,这在以往的研究中并不多见。(3)城市物流绩效评价实证。本文运用构建的城市物流绩模型和指标,选择熵权法对19个副省级以上城市进行实证检验,而实证也证明了评价模型是一个开放的体系,可以根据评价对象不同采取不同方法指标,并可进一步丰富完善。更多还原

【Abstract】 City is the carrier of social civilization, while logistics is the bloodline of a city. Technology innovation and management innovation has brought the unprecedented impact to the city’s economy, society and environment, as the increase of traffic volumes, the cooperation with industry, the comprehensiveness of services and the urgent requirements to reduce cost, all of which is inseparable of a clear, efficient, safe, economic logistics system of cities. City logistics is an important part of city economy and the intermediate links of production, circulation and consumption, which plays an important role in promoting the city industry development and improving the efficiency of economic, and attracts much attention on its extensive industrial relevance, unique social attribute, and significant environmental externalities.Establishing scientific and systematic performance evaluation system is the premise and foundation of effective management of city logistics. Through the performance evaluation of city logistics system, managers can clear city logistics activities on the influence of many aspects, such as economic, social, environmental, guide the development of city logistics, and realize the synchronization in the speed and quality of national economic growth, accordance in the level of social development and urbanization, synergy in the expanse of urban scale and ecological environment.Performance evaluation of city logistics is the objective need to improve the urbanization and perfect the urban function in our country. In the two decades from1992to2011, the quantity of China’s cities increased from517to661, the urbanization rate from27.46%to51.3%. How to manage the city logistics scientifically and effectively in the process of urbanization, optimize the city logistics activity overall, minimize the negative externality of city logistics in maximum limit and improve the overall performance of the city logistics, it is not only the inherent requirement of perfection of city function the city, but also the inevitable result of the city developing to a certain historical period in China.From the point of current situation of theory research, although scholars have made certain progress from the study of city logistics performance, the progress of research is relatively slow, especially the empirical research is more scarce, even hasn’t form the universal evaluation framework and index system, which is limited to the multiplicity of goals, openness of contract, multiple factors of performance impact, input and output’s difficult to quantify, cognitive biases, etc. Given that, in this paper I first conducts a theoretical study on city logistics performance, trying to construct basic model of city logistics performance evaluation; Second, on the basis of evaluation model constructed, I have made a selection on the evaluation indicators and established index system; Finally, I have made an empirical research and analysis for China’s deputy city at or above the provincial level, analyzed the performance situation of economy latitude, social latitude and environmental latitude of city logistics, found out the developing gap of the cities, reference to the existing research results and experienced practice and put forward improved suggestions. Based on the above thinking, the study of this paper launches according to the following chapters.The first chapter is introduction. This chapter first confesses the topic selection background, and points out theoretical significance of this paper lies mainly in systematically combing the theory of city logistics development, and having constructed the evaluation model and index system of city logistic performance on the basis of deeply exploring the features and affecting factors of city logistics; The practical significance mainly is to enhance the city’s logistic performance and achieve its development goal. Then this chapter makes an explanation on the two key concepts of city logistics and city logistics pcrformance, pointing out the difficulties of the city logistics performance evaluation. Finally this chapter expounds the content of research in this paper is mainly to establish city logistics evaluation model, set up performance evaluation index of city logistics and empirical study on the city logistics performance evaluation, and provide research framework and technical route.The second chapter is the analysis of city logistics functions. This chapter puts forward and argues the four functions of city logistics--service, concentration, radiation, and synergy, then performs data analysis and inspection on various functions by using input-output tables, and finally points out that effect of agglomeration and radiation on the city’s logistics industry is obvious, has extensive industry correlation, and the obvious effect of limitation on the city’s economic development, which belongs to the industry given the priority of development.The third chapter is literature review. This chapter analyzes the overall situation of the literature, and points out that the literature is relatively scarce. The research focus mainly concentrates in three aspects:the evaluation model, evaluation index and evaluation method. At the same time, this chapter also has analyzed the index system of performance management practice of foreign logistics, in order to achieve the state that "The stone of his mountain, can offend jade". The fourth chapter is the establishment of city logistics performance evaluation model. This chapter first elaborates the theoretical basis of model constructing including city economy theory, system theory, sustainable development theory and stakeholder theory. Then this chapter analyses the development vein of the goal of the performance evaluation of performance evaluation of city logistics:from the minimum cost to the maximum performance, develop to the collaborative performance and currently tend to pursue the maximization of social value. Then this chapter embarks from the basic principle of evaluation, pointing out that the city logistics performance evaluation system is composed of the evaluation subject, evaluation object, evaluation ideas, evaluation requirements, evaluation content, evaluation index, evaluation method and evaluation results, and provides a general model framework according to logical relationship of this eight parts. Finally the city logistics performance evaluation model is put forward in this chapter, pointing out that the characteristics of the model are to regard human as the subject and pursue the maximization of social value when making the city seen under the background of relevant area, whose goals include multiple dimensions like economy, society and environment, etc.The fifth chapter is the selection of city logistics performance evaluation index. This chapter first has clear about the selection principles of evaluation index and these principles include:objectivity, systematicness, economy, comparability and maneuverability. Then this chapter has done screening for the primary indicators of economic performance, social performance, environmental performance of city logistics based on the above principle, and uses the correlation degree and distinction degree for the test of statistical indicators on the basis of the above principles. In order to reflect the contact of the city and the area it located, control the correlation degree between the indexes, the paper selected location quotient to perform compound operation of multiple evaluation index and also chose the right way to dispose other specific indicators some other special indicators. Finally this chapter builds up index system of the city logistics performance evaluation, which mainly includes3first-level indicators, namely economic performance, social performance and environmental performance of city logistics;13second-level indicators, including dimensions of the index of agglomeration capability, radiation ability index, the index of logistics service, the location of city logistics, the input-output efficiency, managers, carriers, shippers, residents, energy consumption, air quality, degree of congestion, environmental protection and so on.The sixth chapter is the empirical of city logistics performance evaluation. This chapter explains the sample cities of empirical design and choice basis of empowering ways, using the entropy-weight method to perform performance evaluation to the annual of data in2010of China’s deputy city at or above the provincial level. In economic performance evaluation of city logistics, this paper adopts the DEA data envelopment analysis model to replace the input-output table to measure the input-output efficiency, and standardizing data based on entropy-weight method, calculating the weight of each index, finally calculates dimensions’performance score of each city’s logistics, until the results of city logistics performance evaluation are obtained.The seventh chapter is analysis and suggestion of city logistics performance evaluation. This article analyzes the order of the bits performance, economic and population according to maximization of the social value, and draws the following conclusion:The order of the bits the performance in city logistics of Xiamen, Ningbo, Dalian, Hangzhou and Nanjing is ahead of order of the bits of economic and population, which illustrates those cities’logistics development is healthier:it can not only satisfy the current demand, but also retain certain amount in advance and promote the city’s economic development; Scores of logistics performance of the city of Shanghai, Beijing, Shenzhen and Guangzhou are at the top, but the order of the bits of logistic performance is basically consistent with the order of the bits of cities’ economy and ahead of order of bits of population, which illustrates that the city’s logistics is in reasonable condition, and can meet the current demand of cities’development; The order of bits of city logistics performance of Tianjin, Wuhan, Qingdao, Chongqing, Chengdu, Shenyang, Xi’an, Jinan, Harbin and Changchun lags behind the ones of the order of bits of economy and population, which illustrates that the city’s logistics development has the potential to be the bottleneck of city developing, and needs to pay close attention to it and take measures to prevent obstacles to the development of the city logistics. Next, the paper analyses each latitude and related indicators of city logistics performance and puts forward to the corresponding countermeasures and suggestions:The government can promote economic performance of the city logistics by the ways of enhancing infrastructure construction to improve the ability of concentration; attaching importance to the economic and trade development to strengthen the ability of radiation; using information technology to improve the service ability; highlighting regional advantages to build characteristic service and controlling the price of the elements to improve the input-output efficiency. The government can also promote social performance of the city logistics through the countermeasures of drawing on international experience to relax the market regulation; strengthening the coordination to set up a three-level linkage mechanism; enhancing the Government’s supports to promote the development of modern logistics industry; accelerating the development of TPL and reducing logistics costs. And the government could also take measures of introducing green logistics, reducing carbon emissions and traffic congestion, improving green laws and policies to improve the environment performance of city logistics.The eighth chapter is conclusion and outlook.The innovative achievements and contributions of this paper are mainly reflected in:(1) It has built the performance evaluation model of city logistics. With the help of relevant theories of economics, management science and systems theory, this paper has built the performance evaluation model of city logistics which lays foundations for the follow-up study. The performance evaluation model of city logistics is the research focus in theoretical circle, but studies generally stay at the city level, concerned about the costs, benefits, or synergies. While the model established in this paper sets out from the maximization of social value, making the city seen under the background of relevant area for investigation, which has few similar studies at present and the attempt in this paper can be said to be a little improvement for the performance evaluation theory of city logistics.(2)It has set up the performance evaluation index system of city logistics. Use the method of combining the literature analysis, logical analysis and empirical analysis to form a set of performance evaluation index of city logistics. This index system adopted plenty of composite indexes, which are rarely seen in previous studies.(3) An empirical analysis of performance evaluation of city logistics. Using the performance model and index of city logistics built in this paper, selecting the entropy-weight method to do empirical testing on the15cities above the vice-provincial level, demonstration proves that the evaluation model is also an open system, which may adopts different methods according to different evaluation objects, and can be further enriched and improved.更多还原