【作者】 李学鑫；

【导师】 苗长虹；

【作者基本信息】 河南大学 ， 区域经济学， 2007， 博士

【摘要】 本研究运用城市经济学和经济地理学等多学科的基本原理和观点,采用规范分析与实证分析相结合、定性分析与定量分析相结合、动态分析与静态分析相结合,以及比较分析等多种方法,从产业专业化与多样性分工的视角研究了城市群形成与发展的基本动力——城市群经济。本研究的主要内容包括:第1章主要阐述本研究的意义、框架和方法。第2章通过对国内外有关城市群形成与发展机理研究的述评,明确本研究要采用的视角和理论观点,以及要解决的问题。首先基于对国内外有关城市群,如大都市带、大都市区、城市体系、城市——区域等的形成与发展机理研究的回顾,梳理出了目前学界取得的成绩与存在问题,并确定了本研究要采用的视角——专业化和多样性分工。其次,通过对国内外有关产业专业化、多样性分工与不同区域尺度上经济发展研究的综述,如地方尺度上的专业化、多样性对单体城市和专业化产业区形成发展的影响;区域尺度上的产业同构、专业化和多样性在城市群形成发展中的作用机理及效应表现;国家尺度上的宏观地域分工与区域发展、影响区域专业化和多样性的因素、产业专业化与城市体系的职能结构、基于产业专业化和多样性分工的城市体系基本特征;全球尺度上的新国际劳动地域分工与世界城市体系的形成以及全球—城市区域的浮现等的述评,进一步提炼了本研究要解决的基本问题与研究思路。第3章主要辨析本研究所采用的基本概念和传统集聚经济在解释城市群体现象中的局限性,并提出“城市群经济”。首先在辨析两组概念(一组与城市群相关,包括大都市圈、城市密集区、都市连绵区等;另一组与分工相关,包括专业化、多样化、多样性等)的基础上,界定了本研究所采用的城市群、专业化与多样性等概念的内涵与外延。其次,通过对城市群形成与发展机理研究比较集中的两大学科——地理学和经济学的分析,发现两者多认为城市群的形成与发展在于经济活动集聚与扩散的矛盾运动,根本动力是集聚经济。第三,从集聚经济的类型出发,分析了传统集聚经济在解释城市群体现象中的局限性。发现无论是地方化经济还是城市化经济,所解释的重点均是专业化产业区和城市的发展,并不能很好地解释多个城市在一定地理空间中的集聚、分工与合作。第四,从企业的生产活动出发,发现在分工、专业化、多样化的过程中,企业经济的来源不仅在于内部和外部的规模经济、范围经济,而且还在于其内部和外部的交易经济、学习经济,据此,提出了“城市群经济”概念,认为城市群经济是规模经济、范围经济、分工交易经济、学习经济的有机统一。第4章主要从抽象空间研究城市群经济形成的微观基础,具体回答:①影响区域或城市专业化、多样性的因素有哪些;②专业化城市和多样性城市是如何形成的;③专业化城市和多样性城市在城市群中共存的条件是什么。首先,影响区域或城市专业化、多样性的因素很多,主要包括要素禀赋(绝对优势和相对优势)、需求偏好、规模经济、外部性和交易成本等,这些要素在不同区域或城市及其不同发展阶段起着不同的作用。其次,专业化城市形成的传统解释实际上是杜能圈在城市空间的延伸。Henderson(1974)的模型显示,专业化城市形成的主要原因在于只存在着地方化经济而无城市化经济。但在Henderson(1974)的模型中,城市仍是一个“黑箱”。后来的一些学者基于D-S框架对Henderson(1974)模型进行了改进,从中间投入品共享、劳动力市场匹配和知识溢出等视角进行了微观解释。但无论是在D-S框架内外,规模报酬递增典型地依赖于单一产业的规模;任何另一产业在城市的增加都会导致拥挤成本的上升且无生产率的提高。因此,所有均衡的城市或城市体系都应该是专业化的。第三,导致多样性城市形成的一种方法是引入相关产业的交互作用及其外部性,或考察城市间商品运输成本的大小,因此,范围经济和高运输成本的存在就成了多样性城市形成的关键;另一种方法是假定产业间存在着知识溢出。当产业间知识溢出给企业带来的收益大于增加的拥挤成本时,多样性城市自然就会稳定地存在。基于对Duranton和Puga (2002)以及Firestone(2004)的模型的分析,本研究认为,从知识技术溢出的角度看,多样性城市在城市群中存在的必要条件是:①不同产业一定要有某种程度上的技术联系;②由技术联系而导致的产业间知识溢出给企业带来的收益一定大于因不同产业共区位而增加的拥挤成本。因此,专业化城市和多样性城市在城市群中共存的必要条件是,产业间知识溢出给企业和家庭带来的效用等于产业内知识溢出给企业和家庭带来的效用。第5章主要分析城市群经济在地方尺度上的表现与作用:地方化经济、城市化经济、学习经济。第一,地方化经济、城市化经济和学习经济在都市圈中心城市形成中的作用。从静态效率上看,地方化经济较城市化经济更利于中心城市的成长;从长期稳定性上看,产业多样性较专业化更利于城市的长期稳定增长;从创新及潜力上看,动态的城市化经济(Jacobs型)较动态的地方化经济(MAR型)更利于城市创新和持续增长。第二,产业专业化、多样性与大都市郊区化。造成大城市郊区化的原因有多种,但中西方国家有别。西方的郊区化主要来自于富裕和中产阶层对生活质量的追求,中国的郊区化则主要源于城市土地有偿使用制度的建立、住房制度改革、大规模危旧房改造、城市交通和通讯等基础设施条件的改善、国内外的大量投资,以及新经济动力的强烈牵引等。然而无论是中国或是西方国家,经济学意义上的大都市郊区化主要是产业郊区化。城市化不经济,或城市多样性不经济是推动成熟产业向郊区迁移的主要动因,而地方化经济和城市化经济对生产性服务业在中心城市的再集中起着至关重要的作用。第三,对中原、关中和山东半岛等城市群的实证分析表明,在欠发达地区城市群的形成发展中,尽管地方化经济和城市化经济在城市的发展中起一定作用,但相对于资本和劳动力等传统因素其影响力较小;长期地,产业专业化,特别是缺乏多样性的“纯粹”专门化不利于城市增长,而多样性可能有一定的正向作用。第6章主要分析城市群经济在区域尺度上的体现:分工交易经济。第一,在简要地归纳产业区域分工3种模式——垂直分工、水平分工和网络分工的基础上,重点分析了城市间产业交易联系的主要方式:垂直联系、水平联系和互补联系,及其所产生的三种效应:产业关联效应、产业竞争效应和产业互补效应。第二,以中原和长三角等城市群等为例,对分工交易经济进行了实证分析。发现:①产业整体水平上,目前中原城市群的产业多样性程度最高,专业化程度最低,可能的原因与各城市群所处的发展阶段有关;1992年以来,中原城市群的产业专业化发生了较大的波动,其中,1998、2001和2004年为专业化度的三个高峰点;总体上专业化程度趋于平缓和下降,但幅度不大。②工业水平上,中原城市群各中心城市的主要专业化产业变化较大,工业结构调整初见成效,但仍需加强。③动态地,中原城市群内部及城市群与非城市群之间的经济联系不断加强,但非中原城市群内部的联系有减弱的趋势;目前,一个以郑州为中心、包括四级经济联系空间的大“十”字型网络城市已经浮现;虽然“距离衰减”规律仍在起作用,但城市间的产业分工也是一重要影响因素。④据2002年中原城市群投入—产出表的分析,目前中原城市群具有强辐射且强制约性质的产业较多,弱辐射力且强制约性的也较多,但强辐射力且弱制约力的较少。表明中原城市群的产业关联度还比较低,与发达地区的城市群等相比有较大差距。⑤随着产业分工的加深,中原城市群制造业正从劳动密集型向资本密集型升级;无论是专业化产业还是非专业化产业,其技术进步增长率都逐渐升高;但专业化产业的技术进步贡献率较工业总体水平和非专业化产业的要高;横向上,中原城市群的技术进步贡献率,无论是工业总体水平、专业化产业或是非专业化产业均低于长三角城市群;中原城市群的市场垄断程度也较长三角城市群偏高。综合地,中原城市群的整体经济效益虽较过去有所提高,但与国内发育较为成熟的城市群相比仍有较大的差距。第7章主要分析经济全球化背景下,产业专业化和多样性对城市群融入世界城市体系的主要方式——出口贸易和外商直接投资的影响。第一,经济全球化背景下,城市群要想持续快速发展,必须积极主动地实现与全球生产网络的链接,而能否实现有效链接的一个重要影响因素就是城市间的产业分工。第二,产品出口贸易是城市群与世界城市体系对接的传统方式。城市群产品出口贸易的内容、数额主要取决于城市群的产业专业化。研究显示,城市群的专业化生产增长率、技术变化率、资本劳动力比率增长率、产出增长率、产品输出增长率等变量之间存在着因果循环关系。第三,外商直接投资(FDI)是城市群与世界城市体系对接的新方式。一方面,FDI对城市群嵌入全球生产系统的产业区、中心城市的生产性服务业、次中心城市的生产基地以及区域创新网络等的发展均有重要影响;另一方面,集聚经济、产业专业化和多样性分工是除生产信息成本和政策等因子外影响FDI区位的重要变量。第三,通过对2000-2004年中国13个城市群的定量分析,发现在其他因素相同的情况下,城市群的制造业集聚经济、外商集聚经济等地方化经济,以及城市化经济均有利于FDI增加;当加入产业分工组织变量后,FDI与城市的产业专业化正相关,或与多样性负相关。第8章给出本研究主要结论与创新。主要结论有:①从专业化和多样性分工研究城市群的形成发展具有重要的意义;②由集聚经济和分工交易经济复合成的城市群经济是城市群形成发展的根本动力;③城市群中专业化城市和多样性城市形成的微观基础在于企业、家庭间的相互作用;④地方尺度上城市群经济的主要体现是地方化经济、城市化经济和学习经济;⑤区域尺度上城市群经济的主要体现是分工交易经济;⑥产业专业化、多样性是影响城市群与世界城市体系对接的重要因子。主要创新有:①提出并界定了“城市群经济”概念;②运用数理模型解释并验证了城市群形成发展机理;③多视角分析了产业专业化和多样化对城市增长的作用;④城市产业分工是影响FDI区位选择的重要因子。更多还原

【Abstract】 Applying fundamentals and viewpoints of urban economics and economic geography, this dissertation explores the basic formation and development drive of large city-regions– large city-regionalization economies from the perspective of industry specialization and diversity. Main research methods used in this dissertation are the combination analysis of normative and positive, qualitative and quantitative, dynamic and static and comparative analysis. The following are this study。Chapter one mainly elaborates the significance, the framework and the method of the study.Chapter two traces previous studies in the relative field and constitutes. After reviewing theories on large city-regions’formation and development at home and abroad, this study puts forward its own theoretical perspective and clarifies the problems to be solved. Based on the summary of formation and development theories of large city-regions, as Megalopolis, Metropolitan Areas, Urban Systems and City-regions both in China and over-seas, it points out the achievements and existing problems in this field and raises the perspective of this research—the division of specialization and diversification. On the basis of reviewing national and international economic development studies of industry specialization, diversification on different regional scales, including the influence of specialization and diversification to the formation and development of mono-city and specialized industrial areas on local scale; the affecting principles and effective form of industrial structure, specialization and diversification in the formation and development of large city-regions on regional scale; the macro regional labor division and regional development, factors affecting regional specialization and diversification, function structures of industry specialization and urban system, the characteristics of urban system based on industry specialization and diversification on national scale and the formation of new international division of labor and the world city system and the emergence of global city-region; the dissertation brings forward the problems to be explored in the paper and its research methods.Chapter three discusses researches of the large city-regionalization economies based on the division of specialization and diversification. In the first place, the connotations and extensions of some concepts, such as large city-region, specialization and diversity, in this dissertation are defined according to the comparison and contrast of two groups of concepts (one is related to large city-region, including Metropolitan Area, City-and-town Concentrated Areas and Metropolitan Interlocking Region; the other has to do with division of labor, including specialization, diversification and diversity as well). Besides, through analyzing geography and economics, we find—researches on the formation and development of large city-region are concentrated in these two subjects, which generally believes that the cause of large city-region formation and development is the contradictory movement of agglomeration and dispersion of economy and the basic drive is agglomeration economies. Meanwhile, it analyses grounding on the types of agglomeration—localization economies and urbanization economies, the limitation of agglomeration economies in explaining the large city-region phenomenon. Whether localization economies or urbanization economies, the focus of agglomeration economies is always on the development of specialized industry area and cities, and it cannot decipher the agglomeration, division of labor and cooperation of several cities in certain geographical space. At last, from the perspective of enterprises production, the conclusion can be reached that, in the process of division of labor, specialization and diversification, the economic source of cooperation relies not only on its internal and external economies of scale and scope, but also on its internal and external transactional and learning economies. Based on this viewpoint, the concept of“large city-regionalization economies”—integrity of economies of scale and scope, labor-dividing transactional economies and learning economies, is put forward.Chapter four explores the micro-foundations of the formation of large city-regionalization economies. It mainly studies the micro-foundation of the formation of large city-regionalization economies in abstract space and answers three questions: First, what are the factors affecting regional and urban specialization and diversity? Secondly, how do specialized cities and diverse cities take shape? Thirdly, what are the conditions for specialized cities and diverse cities to coexist in large city-region? Here are the answers: First of all, there are many factors affecting regional and urban specialization and diversity, most important of which are the resource endow (absolute advantage and relative advantage), demand preference, economies of scale, externality and the cost of trading goods. Secondly, the traditional explanation for the formation of specialized cities is actually an extension of Dunen circle in city space. In the Henderson’s model(1974), it could be seen that the main cause for the formation of specialized cities is the existence of localization economies but not urbanization economies. However, city is still“a black box”in Herderson’s model. Some later scholars improved Henderson’s model on the basis of D-S frame. They give a micro-explanation in the perspective of input sharing, labor market pooling and knowledge spillovers. But inside or outside the D-S frame, increasing returns to scale typically depend on the scale of mono-industry; and the appearing of any new industry would result in the going up of the crowded cost without any improvement in productivity. Consequently, all cities or city systems in equilibrium should be specialized. Thirdly, one approach to form diverse cities is to introduce interaction and externality of related industries or to consider the manufacture transportation cost among cities. As a result, economies of scale and high transportation cost become essential components in forming diverse cities. Another approach is to assume the existence of knowledge spillovers. When profits brought to enterprises by knowledge spillovers outweigh increased crowded cost among industries, diverse cities will exist stably. Thus, based on the analyses of models of Duranton and Pug(2002) and Firestone(2004), it is proved, in this study, that the foundations for diversified cities to exist in large city-region, in the perspective of knowledge spillovers, are:①There must be technical linkages among various industries to some extent②profits brought to enterprises as a result of technical linkages from knowledge spillovers have to outnumber dense cost caused by various industries located in the same area. Therefore, the essential condition for specialized cities and diversified cities to coexist in large city-regions is that the benefit brought to firms and families by knowledge spillovers among industries equals that by knowledge spillovers in the industry.Chapter five studies the manifesting form of large city-regionalization economies on local scale: localization economies, urbanization economies and learning economies. This part mainly discusses different effects of large city-regionalization economies in the formation and development of Metropolitan Area. In the beginning, how do localization economies, urbanization economies and learning economies function in forming central cities in Metropolitan Area? From the aspect of static efficiency, the development of central cities prefers localization economies to urbanization economies; from the aspect of long-term stability, the steady long-run growth favors diversified economies over specialized one; from the aspect of creativity and potential, the creative and continuous growth presides dynamic urbanization economies (Jacobs model) over dynamic localization economies (MAR model). In addition, what is the relation between specialized and diversified industry and metropolis suburbanization? Though quite a few reasons may account for the metropolis suburbanization, causes in orient and western countries are quite different. Suburbanization in the west is mainly due to the pursue of high living standard from the rich and middle class, while in the east it is mostly a result of establishment of urban land payment using system, of reformation of housing system, of reconstruction of ruined and dilapidated houses on a large scale, of improvement of fundamental facilities such as transportation and communication, of huge investment from home and abroad and of strong draught of new economic drive. Nevertheless, suburbanization in economy mainly refers to industry suburbanization all over the world. The significant factor urges mature industry to move towards suburbs is urbanization diseconomies, while localization economies and urbanization economies play an essential role in re-assembling manufacture services. Moreover, the following can be proved in demonstration analyses of large city-regions in Zhongyuan region, Guanzhong region and Shandong peninsula: In the formation and development of large city-region in developing areas, the localization and urbanization economies are less influential than traditional factors like capital and labor, though they do operate in developing the city; in the long run, industry specialization especially sheer specialization lacking diversification goes against the urban development, when diversification possibly has positive effects.Chapter six analyzes the manifesting form of large city-regionalization economies on regional scale: Division of labor and transactional economies—the forming causes of the wholeness of large city-regionalization economies. Firstly, after a brief summary of three models of industry regional labor division—vertical, horizontal and network labor division, it analyzes dominating approaches for industry transaction linkage—vertical, horizontal and mutual complementary linkage, and their respective effects—industry related, competitive and mutual complementary effect. Secondly, taking Zhongyuan Large City-region and Yangtze Delta Large City-region for example, it gives demonstration analyses to labor division and transactional economies. Here are the discoveries:①On the whole, Zhongyuan large city-region(ZYLCR) has the highest level of diversification with the lowest level of specialization at present. It might have to do with the developing stage of large city-region. Since 1992, big changes have been happening in industry specialization in ZYLCR. And year 1998, 2001 and 2004 saw the climax of specialization. The level of specialization, on the whole, tends to be steady or has a slight decrease.②On manufacture level, changes in main specialized industries are big in central cities of ZYLCR. Reconstructing industrial structures is taking effect but still needs to be reinforced.③Dynamically, economic connections are strengthening in inter-large city-regions and between the large city-region and non large city-regions, but the latter connection has a decreasing tendency. At present, forth comes the cross network city centering Zhengzhou and including four stages of economic linking space. The“distance decline”principle is still working, but industrial labor division inter-cities is also an important factor.④According to the input-output statistics of ZYLCR in 2002, ZYLCR have many industries of both strong radiation and strong restriction or of both low radiation and low restriction; However, only a few of industries with strong radiation but low restriction. This suggests that the industrial linkage among ZYLCR is relatively low, at an intermediate level in all key large city-regions of the whole country. It still has a great distance with the developed large city-regions in Yangtze Delta.⑤With the deepening of industrial labor division, manufacture industry in ZYLCR is upgrading from labor denseness to capital denseness. The increasing rate of technological improvement is ascending in both specialized and non-specialized industry. And the contribution rate of technological improvement in specialized industry is higher than that of the whole industry level and in non-specialized industry. Horizontally, the contribution rate of technological improvement in ZYLCR is lower than that in Yangtze Delta when the whole industry level, specialized and non-specialized industry are concerned. The monopolization in ZYLCR is higher than that in Yangtze Delta as well. Generally speaking, the whole economic benefit has increased compared with the past, but there is still a long way to go to reach the level of more mature home large city-regions. Chapter seven studies industry specialization, diversification and development of large city-region against the background of globalization. It analyzes the influences of industry specialization, diversification on two main approaches of linkage between large city-regions and world city system—export and direct foreign investment (FDI) development. Large city-region is a crucial component of world city system and the product of economic globalization and regional economic localization. As the local manufacture network, the large city-region must join the world manufacture network actively if it is to develop fast and quickly. A vital factor working on the linkage is industrial labor division among cities. In addition, export trade is a traditional method to connect the large city-region with the world city system. The content and quantity of imported products depend greatly on industry specialization in large city-region. Researches show that there is cause-effect relation in the variations of the reforming rate of technology, increasing rate of specialized production, of the ratio of capital and labor, of output and product importation. What’s more, FDI is a new approach to connect large city-region and world city system. On the one hand, FDI influences a lot the development of industrial area, manufacturing service in central cities, the manufacture zone in sub-central cities and regional creative network, which, in large city-region, have already become part of global manufacture system. On the other hand, agglomeration economies, industry specialization and diversified labor division are crucial variations influencing the location of FDI except the production information cost and policy. At last, based on the quantitative analyses of panel statistics in 13 Chinese large city-regions from 2002 to 2004, it is shown that, other factors being same, beneficial factors for the increase of FDI are localization economies, like manufacture agglomeration economies and foreign agglomeration economies, and urbanization economies. When industrial labor division and organization variation are added, FDI has a direct ratio to industry specialization in cities and an inverse ratio to diversification.Chapter eight summarizes major conclusions and innovations of this study. Major conclusions are:①The study of the formation and development from specialization and diversity is of great significance;②Large city-regionalization economies compounded by Agglomeration economies and Transactional economies is the fundamental driving force for the large city-region;③The micro-foundations of the specialized cities and diverse cities are the interactions among the families and the firms;④On the local scale, Localization Economies, Urbanization Economies and Learning economies are mainly reflections of Large city-regionalization economies;⑤On the regional scale, Large city-regionalization economies are mainly manifested by transactional economies;⑥T he industrial specialization and diversity is an important factor that influences the large city-region docking the world system cities. The main innovations include:①Proposes and defines the term“Large city-regionalization economies”;②Explains and verifies the mechanism of the formation and development of the large city-region by use of many mathematical models;③A nalyses the function of the industrial specialization and diversity in the growth of urban from multi-angles;④The industrial division of labor is an important factor influencing the location choice of FDI.更多还原