【作者】 张勇；

【导师】 张炜；

【作者基本信息】 西南财经大学 ， 区域经济学， 2014， 博士

【摘要】 城镇化是现代化的必由之路,是推动区域协调发展的有力支撑,是扩大内需和促进产业结构升级的重要途径,是解决农业、农村、农民问题的重要手段。改革开放以来,中国城镇化发展取得了巨大成就,城镇人口从1978年的1.72亿人增加到2013年的7.31亿人,城镇化率从17.92%上升到53.73%,城镇化率基本达到世界平均水平。而城镇空间是城镇化发展和推进的物质载体,是社会经济活动的空间载体,城镇空间形态单一、城镇空间密度偏高、城镇空间地域结构和城镇空间规模结构不合理,将阻碍城镇要素合理流动和城镇化发展。一方面,经济全球化和区域经济一体化深入推进,加速了资源和要素在全球范围内的优化配置,而以跨国公司为主体的投资和产业转移则是在一定的时空约束条件下,在全球范围内选择最佳区位布局,一般通过上下游产业和关联产业在城镇的集聚,形成具有一定规模、功能和形态的城镇空间,并随着生产要素、政策条件、市场环境和文化价值观念的变化而变化。另一方面,党和国家高度重视中国特色城镇化发展的战略作用,党的十六大提出“走中国特色的城镇化发展道路”,十七大进一步补充为“按照统筹城乡、布局合理、节约土地、功能完善、以大带小的原则,促进大中小城市和小城镇协调发展”,十八大明确提出“新型城镇化”概念并且提出“城镇化是未来中国经济增长的核心动力”,十八届三中全会提出健全国土空间开发、推动形成人与自然和谐发展现代化新格局,形成以工促农、以城带乡、工农互惠、城乡一体的新型工农城乡关系,完善城镇化健康发展的体制机制。2013年,中央城镇化工作会议明确指出,要以人为本,推进以人为核心的城镇化；要优化布局,根据资源环境承载能力构建科学合理的城镇化宏观布局,把城市群作为城镇化的主体形态,促进大中小城市和小城镇合理分工、功能互补、协同发展,并按照促进生产空间集约高效、生活空间宜居适度、生态空间山清水秀的总体要求,形成生产、生活、生态空间的合理结构。可见,城镇空间结构优化问题逐渐得到党和国家的高度重视,城镇空间结构布局与优化调整将为提高新型城镇化质量、统筹城乡关系、协调大中小城镇发展提供基础和保障。本文选取四川为研究范围,主要因为四川是西部大开发和内陆开放的重要“桥头堡”,是拉动西部地区经济增长的重要“火车头”,是西部地区经济发展的重要“加速器”,是全国最重要的能源供给和保障基地,是长江上游最重要的生态屏障。四川作为中国重要的经济、工业、农业、军事、旅游、文化大省,对其城镇空间结构的科学布局和优化调整,有利于探索中国西部地区新型城镇化路径,从而推动新一轮西部大开发。同时,可以为四川落实“三大战略”提供政策参考,可以为四川促进区域协调发展增添新的视角和思路,也可以为其他区域城镇空间结构优化提供借鉴。本文的研究主要是以一个总体目标为核心,通过三个层次,三条线索,三大检验和三大机制来对总体目标展开研究。具体的讲,本文从宏观、中观和微观三个层次,以城镇空间密度、城镇地域与规模空间、城镇空间形态为三条线索,通过空间引力模型、功效函数与协调函数、空间滞后模型三大检验得出四川城镇空间结构现实格局、评价结果及城镇空间结构影响因素的显著性,并从政府作用机制、市场配置资源机制与社会协调机制三大机制去解决和理顺城镇空间结构优化的各种体制机制障碍,最终实现特大城市为核心、区域中心城市为支撑、中小城市和重点镇为骨干、小城镇为基础的总体目标。本文结构安排如下：前半部分为理论部分,主要包括城镇空间内涵及其概念的界定、城镇空间基本理论、城镇空间结构优化评价方法和城镇空间机制研究。其中：第1章对城镇空间结构优化的研究背景、范围和意义进行说明,并通过对国内外研究成果的研究,梳理本文的主要创新和不足之处。第2章对城镇空间结构基本理论进行分析,构建本文研究的理论基础,清晰界定城镇空间结构、城镇空间密度、城镇空间功能和规模结构以及城镇空间形态等概念,并在基本理论的指导下分析理论对城镇空间结构优化的启示。第3章探讨城镇空间结构优化的内涵和指标评价体系,以基本理论为支撑和指导,构建城镇空间结构优化的总体目标,并阐述城镇空间结构优化的内容和分析框架,初步介绍熵技术修正下的层次分析法和指标体系构建,为后文的研究做好理论准备。第4章对城镇空间结构优化机制进行研究,从理论上理清机制的内涵和要素,通过政府作用机制、市场配置资源机制和社会公众协调机制三个方面综合分析,为后文分析四川城镇空间结构优化的体制机制障碍做好理论铺垫。后半部分是实证部分,主要包括四川城镇空间结构的历史演变和现实格局,三大检验对城镇空间结构的影响因素及其显著性做实证研究,以及四川城镇空间结构优化机制及其问题、四川城镇空间结构优化的总体思路、宏观路径和当前的政策措施。其中：第5章研究四川省城镇空间结构的历史演变和现实格局,在简述中国城镇空间结构演变的基础上,重点分析各个阶段四川城镇空间结构优化的演变及其现实格局,并总结四川城镇空间结构布局的特征。第6章是本文核心实证部分,通过空间引力模型探讨城镇空间结构现实格局的具体类型,通过功效函数与协调函数判断四川城镇空间结构所处的具体阶段,通过空间滞后模型(SLM)对影响四川城镇空间结构优化的指标进行显著性分析,以在实证研究基础上对四川城镇空间结构优化面临的问题进行分析。第7章研究四川城镇空间结构优化的机制及其问题,通过前文对机制的研究,逐一比较分析,以便理清四川城镇空间结构优化的政府作用机制、市场配置资源机制和社会公众协调机制存在的障碍,并在实证结果基础上对四川城镇空间结构优化存在的问题进行分析。第8章为本文的对策建议部分,通过对三大机制和主要问题的深入剖析,明确四川省城镇空间优化的总体思路,包括优化的原则、内容和重点等,探索城镇空间结构优化的宏观路径并对当前面临的最紧迫问题提出了相应的对策建议。第9章为本文的结论部分,通过对全文的梳理与总结,得出本文研究的结论并提出研究展望。本文围绕四川城镇空间结构优化的总体目标,以城镇空间结构理论为指导,着力在城镇空间密度、城镇空间地域规模结构以及城镇空间形态三条线索基础上进行了新的探索：一是从研究单个城市空间结构优化扩展到研究四川省范围内的城镇空间结构优化和布局问题,对城镇空间地域结构和规模结构展开了探讨并对城镇在整个城镇空间系统功能、作用及其优化问题进行了研究；二是构建起了四川城镇空间结构优化的指标评价体系,并得出四川城镇空间结构优化所处的阶段,以便分析四川城镇空间结构优化的内容和重点；三是理清了推进四川城镇空间结构优化的政府作用机制、市场配置资源机制和社会公众协调机制,并对三大机制如何推进城镇结构优化做了详细探讨；四是考虑了空间因素对四川城镇空间结构的影响,运用空间计量经济分析,加入了空间权重矩阵对影响四川城镇空间结构的因素做了客观的检验和分析,提高了模型解释的可信度。因此,本文的研究可以为深入推进新型城镇化建设提供新的思路和视角,可以为四川落实“三大战略”提供政策参考,可以为其他区域城镇空间结构优化提供有益的借鉴。更多还原

【Abstract】 Urbanization, perhaps, is the only route to realize modernization. It is a powerful support for coordinating regional development among different regions, an important way to expand domestic demand and promote industrial upgrading, and also a principal method for solving the issue of agriculture, rural areas and famers. Since the reforming and opening up, China’s Urbanization has made great achievements, and urban population increased from172million people in1978to731million people in2013, and urbanization rate increased from17.92%to53.73%, which has reached the average level of the world. Urban space is the material carrier of urbanization development and spatial carrier of social economic activities. There are many factors which may hinder the flow of urban element and the development of urbanization, for instance, homogenous urban spatial morphology, high urban spatial density, unreasonable urban spatial structure. On the one hand, economic globalization and regionalization is pushed forward, which promote the optimal allocation of resources and elements on a global scale. Usually under the condition of spatial constraint, industrial investment and transfer taking multi-national corporations as the main body chooses the best location in the global scope, which generally is realized by the assembling of upstream&downstream and related industries in urban and changes with the variation of production element, government policy, and economic environment and culture values. On the other hand, the government and the state attaches great importance to the role played by the development of urbanization with China’s characteristics, and the party’s16th congress puts forward the policy’walk a special road of urbanization with China’s characteristics’; the17th congress further supplements the policy as’ According to the rule of coordinated rural planning, reasonable layout, saving land, fully functional urban, and small to big, coordinated development of cities and small towns should be promoted; the18th congress puts forward the concept of ’new urbanization’ and further proposes ’urbanization is the core power of China’s economic growth in the future’; The Third Plenary Session of the11th Central Committee proposes a pattern of modernization, which advocates complete space development of domestic land and harmonious development of man and nature, a new relationship, which recommends nursing the agriculture by the industry, urban areas helping rural areas, a model of mutualism between industry and agriculture and integration of urban and rural areas, and a system mechanism, which promotes urbanization development. In2013, the Central Working Conference about Nationality Affairs pointed that we expected to insist humanism and human-centered urbanization, to optimize layout, to construct scientifically reasonable layout according to the capacity of resources and environment, to promote rational division and balanced development between small town and medium-sized&large city, to generate reasonable structure of production, life and ecological space according to the overall requirements to promote space efficiency of production space, habitable living space, scenery ecological space. Obviously, optimization issue of urban space has been attached great importance by the party and state, the structural layout and optimization adjustment of urban space provide basis and guarantee for improving the quality of urbanization, promoting the relationship between rural and urban areas and coordinating the development of small town and large city.This thesis takes Sichuan province as the research sample mainly because that Sichuan is a significant’ bridgehead’ to promote western development, an important’ locomotive’ to promote economic growth, an important’accelerator’of economic development in western regions, the base of to supply national energy and security, and the most important ecological barrier to protect the upper reaches of the Yangtze river. As Sichuan is an important economic, industrial, military, agricultural, ecological and cultural province in China, scientific layout and optimal adjustment to its urban structure is helpful to explore new urbanization path for western areas in China so as to promote a new round of large-scale development of the western region. At the same time, it also provides policy reference for Sichuan development which add new perspectives and ideas for coordinating regional development, and reference for the optimization of other regions’ urbanization.This study mainly takes an overall target as the core and carries out the research from three levels, three clues, three tests and three mechanisms. Specifically speaking, this study starts from macro, meso and micro levels, and takes space density, space scale and space morphology as clues. Then, it concludes the realized layout of Sichuan urban layout, assessment results and significance of influential factors on urban structural through space gravity model, coordination function and spatial lag model. From the mechanisms of government role, market resource allocation and social coordination, it also solves and straightens out the obstacles of various institutional mechanisms to optimize space structure and finally realizes the overall goal which takes large city as the core, regional center city as the support, and small towns as the backbone. This dissertation is organized as follows:This first part is the theoretical part and mainly studies on the definition of urban space and its concepts, some basic theory, evaluation method on urban space optimization and space mechanism The first chapter makes a detailed description of research background, significance and the scope of urban structure optimization, and makes clear the main innovation and deficiencies of this research through reorganizing both domestic and foreign research. The second chapter analyzes the basic theory of urban spatial structure, constructs a theoretical framework, clearly defines the concepts of urban spatial structure, urban spatial density, urban space function and urban morphology and further analyzes the enlightenment of the theory of urban spatial structure under the guidance of the basic theories. The third chapter discusses the evaluation system and connotation of urban spatial structure, demonstrates the overall target taking basic theory for support and guidance, analyzes urban structure optimization and makes theoretical preparation for the following research. The fourth chapter studies on the mechanism of urban spatial structure optimization, clarifies the connotation and elements, and lays a theoretical foundation for the analysis of the optimization mechanism in Sichuan through comprehensive analysis of government role, market allocation mechanism and private participation.The second part is the empirical study, including historical evolution of urban spatial structure and realistic layout, three tests on the factors and problems of urban spatial structure, optimization mechanism of Sichuan urban spatial structure and the overall train of thought, macro path and the current policy. The fifth chapter studies mainly the historical evolution of urban spatial structure and realistic layout and focuses on the analysis of Sichuan’s structure optimization in each stage and the characteristics of structure layout. The sixth chapter is the core of empirical part, and it discusses the realistic layout of urban spatial structure through the space gravity model, determines the specific stages of urban spatial structure in Sichuan through efficiency function and coordination function, and analyzes the index system of optimization through SLM model. Finally, it analyzes the problems faced by Sichuan’s urban spatial structure optimization based on previous empirical study.The seventh chapter focuses on optimization mechanism of urban spatial structure in Sichuan, clarifies the obstacle among the role of government, market allocation mechanism and private participation and then analyzes the problems of urban space optimization in Sichuan. The eighth chapter is the suggestion part of this research. It gives clearly general idea of urban space optimization through in-depth analysis of the three mechanism and related problems, including the optimization principles, contents and focus and try to explore the macroscopic path of urban spatial optimization and proposes corresponding countermeasures and suggestions on the most urgent problems. The ninth chapter is the conclusion part and it draws the conclusion of this study and corresponding research prospects through the summary of the whole thesis.This thesis focuses on the overall objective of urban spatial optimization in Sichuan, mainly concentrates the efforts on the advancement of spatial density, spatial scale and spatial structure and gives new clues on the following aspects: First, this thesis extends the study on urban space optimization from single city to the scope of whole province, discusses urban spatial structure and scale and studies on the system function and optimization problems of urban space. Second, this thesis builds up the evaluation index system of urban spatial optimization and concludes the stage of Sichuan’s urban space optimization. Third, this thesis clarifies the mechanism among the role of government, market resource allocation and social public coordination to promote urban space optimization in Sichuan and discusses in detail how to promote urban space optimization. Fourth, this thesis considers the influence of space on urban spatial structure in Sichuan and improves the model’s credibility through making full use of space econometric analysis and adding the space weight matrix to the model. Therefore, this thesis can provide new ideas and perspectives for further promoting new urbanization construction, provide policy reference for implementing the ’three strategy’ and provide useful reference for the urban space optimization in other regions.更多还原