【作者】 彭继增；

【导师】 周殿昆；

【作者基本信息】 西南财经大学 ， 流通经济学， 2008， 博士

【摘要】 集群现象不是一个全新的社会、经济现象,从各国区域经济发展的过程来看,它是世界各地在产业专业化分工协作演变过程中,出现的较古老而普遍的现象。观察表明,集群现象几乎遍及所有产业领域。在制造业领域,产业空间集聚发展的现象尤其突出。此外,许多商业、服务业等产业同样具有“成簇成群”的发展特征。如国内有浙江义乌以小商品市场和其他专业市场集合成的市场集群;北京的王府井商业街、上海的南京路商业街、广州北京路商业街集群,以及遍布国内各地的综合性、专业性批发市场集群,等等。国外则有东京新宿大街、伦敦的牛津街、纽约曼哈顿第五大道等全球著名的商业街集群,以及各大城市的郊外购物中心(Mall),等等。集群能够为地区经济带来持续竞争优势的现象,吸引了众多学者的关注。国内外学者对集群理论的研究涵盖了集群概念、集群分类、集群成因等领域,集群理论已经成为经济学的重要分支。但是,查阅国内外相关文献,对集群的研究多数是对制造业的集群分析,对商业集群的论述很少。笔者认为,商业集群现象同样值得研究。商业集群同样存在着企业间的分工和协作,有利于商业技能、信息、经营管理经验、新思想和新理念在集群内企业之间的传播与应用,有利于提高商业公共资源使用效率,降低商业企业的经营成本,形成单个商业企业和区域商业的双层竞争优势。集群是各参与主体的利益诉求通过博弈达到均衡并得到增进的结果。商业集群的集聚效应带来集群整体效益的提高,而参与者(商业企业、消费者、供货商、政府与房地产商等)之间的重复博弈,又使集群增进了的整体收益在参与者之间得到合理分割,从而形成一种动态的共赢利益机制,不断吸引新成员进入,推动集群扩大和发展,这是商业集群不断发展的持续动力。本文从动态的角度出发,立足于国内外集群理论的研究成果与实践经验,以商业集群形成、成长与持续发展的机理为主线,运用空间经济学等理论及案例分析法,从商业集群的不同类型、商业集群产生的内在机理等方面进行研究,力图构建一个完整的商业集群理论框架,以期对我国商业集群发展、创新,城市化发展及区域经济竞争力的提升,作理论解释和提出政策建议。本文按照从整体到个体再到整体的逻辑思路,构建分析商业集群的理论框架。即从评述既有研究文献、界定商业集群概念切入,提出了商业集群的三阶段发育路径,以及商业集群是多种竞争类型聚合体的分析框架,并运用几个数学模型分析商业集群的集聚成因,进而分析传统商业街的商业集群、商务中心区(BCD)的商业集群、购物中心(Mall)的商业集群、专业市场的商业集群及义乌的市场集群等各种具体的商业集群类型的集聚机理;最后再回到整体分析层面,概括出商业集群发育的共有规律及发展趋势,由此构成一个相对完整的分析体系,并提出促进商业集群健康发展的政策建议。论文由四部分组成:第一部分是绪论,即第1章;第二部分是研究文献综述及论文理论依据、商业集群概念及理论分析框架,包括第2、3章;第三部分是各类商业集群的集聚机理分析,即第4、5、6、7、8章;第四部分是共有规律、发展趋势及政策建议,即第9章,最后是结束语。第1章:绪论。介绍了研究背景与意义,研究目标、研究方法与研究思路,框架、内容与论文的创新之处。第2章:商业集群研究文献综述及论文的理论依据。通过对集群理论的梳理,在对国内外文献评述的基础上,提出了分析研究商业集群所依据的理论基础。第3章:商业集群:概念及理论分析框架。阐述了商业集群的概念、商业集群的演变过程及商业集群分类;提出了商业集群的三阶段发育路径,以及商业集群是多种竞争类型聚合体的分析框架,并运用空间经济学的数理模型分析证明了商业集群三个发育阶段上集聚的成因。第4章:传统商业街的商业集群。本章介绍了商业街的概念、功能及类型。剖析了商业街商店的集聚成因,并认为,集聚经济效应及品牌经济效应是推动商业街商店集聚的重要动因,而商业街商业集群是商家、消费者、政府、房地产商等多方主体追求利益而达成共赢格局的结果。第5章:城市商务中心区(BCD)的商业集群。本章界定了CBD与BCD的区别,认为城市商务中心区(BCD)是在商业街基础上发展起来的,是广义的商业集群。BCD商业集群符合城市发展规律,集聚体内企业可以分享集群外部经济利益,是各方共赢利益机制驱动的结果。第6章:城市购物中心的商业集群。本章分析了国内外购物中心的基本概况,指出了我国购物中心区别于欧美国家的特殊性。基于消费者搜寻与商店集聚的空间经济数理模型比较规范的解释了其集聚机理。集聚体能提高信息传递效率与分享需求正外部效应,是购物中心商家集聚的主要动因。购物中心商业集群是各方利益博弈所形成的一种共赢机制。第7章:专业市场的商业集群。专业市场是从集贸市场中演化而来的,主要批发或零售某类商品的市场型商业集群。论文引用基于两类经济人(采购者与供货商)的区位选择博弈均衡数理模型,解释了专业市场的集聚机理。专业市场能有效降低交易费用,产生集群经济效应,共赢利益格局的形成是专业市场运行和发展的永续动力。第8章:义乌的市场集群。市场集群是指多个同类或异类的专业市场在城市空间上集聚的现象。浙江义乌的市场集群是这一类商业集群的典型。本章从路径演化的角度,分析了义乌由集贸市场到小商品批发市场,到专业市场,进而发展成为遍布城市空间的市场集群的历史进程。论文指出,专业市场能带动专业化分工,推动产业集群发展;而产业集群的发展,又反过来催生不同类型的专业市场发育,形成市场集群;市场集群则进一步提升专业化协作水平,加快区域经济发展,使生产企业、商业企业、采购企业、物流企业和其他服务企业、商业房地产所有者、城市政府等参与各方受益,形成一股强大的合力,推动市场集群和城市及区域经济快速而持续地发展。第9章:共有规律、发展趋势及政策建议和结束语。本章归纳了商业集群发生和发展的五条共有规律,分析了影响商业集群发展的因素,展望了商业集群的发展趋势,并就促进商业集群成长发育提出了若干政策建议。论文提出了以下有创新性的观点:1.在评述国内外文献,借鉴空间(集聚)经济学理论的基础上,界定了商业集群的概念和类型,按照从整体到个体再到整体的逻辑展开分析,构建了一个相对完整的商业集群研究体系。通过观察和归纳分析,论文提出了商业集群的三阶段发育路径。每个商业集群都经历了由初始性集聚阶段到成长性集聚阶段,再到成熟性集聚阶段的发育过程。论文进而分析和证明商业集群是多种竞争类型聚合体,为其后运用数学方法分析证明商业集群的集聚动因,构建了分析框架。论文继而引用数学模型分析了商业集群的集聚动因,具体分析了各集群类型的特点和功能,概括出了集群发育的五条共有规律,分析了影响商业集群发育的因素,以及商业集群的发展趋势,并就促进商业集群发育提出政策建议。全文由此构成了一个相对完整的研究体系。2.按照前述分析框架,引用空间(集聚)经济学的数学模型分析了商业集群发育历程中三个阶段的集聚动因。空间(集聚)经济学认为,收集信息的费用与消费者及企业的区位都有关系。每个企业都认识到它的最优抉择(区位和价格)依赖于它所供给的产品的需求。这种需求的形成依赖消费者的分布,即消费者的选择直接影响企业的选择。反过来,消费者最优选择(区位和消费)的实现又依赖于企业的整体分布状况。这两种分布之间的相互依赖,通过商业企业与消费者之间的重复博弈最终实现均衡,即在一定的区位空间与价格条件下(满足一定假设),商业企业和消费者得到各自的收益(或利润)与效用最大化。空间(集聚)经济学依据这个基本思想,构建了解释商业集群成因的数学模型。本文引用其中几个数学模型,从商业企业与消费者或用户间相互适应对方需要而引起的初始集聚;实行差异化竞争策略的商业企业持续不断地进入,形成垄断竞争,而推动的成长性集聚;以及以知名大商场的进入和寡头竞争为标志,而形成的成熟性集聚,三个层面上解释了商业集群发育过程中的集聚动因。加上理论阐述,对商业集群的发育机理作出了合理的解释。3.归纳总结了商业集群发育和运行的五条共有规律。(1)商业集群沿着三阶段路径发育。商业集群发育大体上都经历了初始性集聚、成长性集聚与成熟性集聚三个阶段。初始性集聚阶段的动因,主要是商业企业为适应消费者降低搜寻费用的要求而集聚;成长性集聚阶段的动因,主要是初始性集聚效应吸引众多商业企业持续不断地进入集聚体,使商业集群规模不断扩大;成熟性集聚阶段的动因,则主要是知名大商场的进入,从而树立起商业集群品牌,提高其知名度,吸引更多商家和顾客进入,促使集群趋向成熟。(2)参与各方共赢是商业集群持续发展的动力。由生产企业、商业企业、消费者或用户、房地产商与政府等,组成了一条完整的价值链,共同参加商业集群的价值创造过程。它们之间经过反复博弈,使商业集群价值链创造的收益,在参加者之间实现合理分割,形成共赢利益机制,激励参加者各方增加投入,提高产出效率,从而形成合力,推动商业集群持续发展。(3)降低交易费用是商业集群发展的生命线。一方面,商业集群内店铺的集中,形成了能够满足各个层次、各种偏好消费者需要的商业聚合体,降低了消费者的搜寻费用,从而吸引大量的消费者光顾,产生波及效应和乘数效应,形成波及顾客和乘数顾客,导致顾客数量增加,扩大集群内商品的销售量,降低企业招徕顾客的费用。另一方面,集群区内的企业共用基础设施,可以降低分摊费用,可以分享集群品牌效应,节省广告费用,等等。交易费用的降低反过来又会吸引更多的店铺和顾客进入集群区,产生更大的集聚效应,进一步降低交易费用,从而形成商业集群的良性扩张之路。(4)政府公共服务和基础设施是商业集群发育的保障和助推力。商业集群中的商业活动需要有物流、信息流和资金流的配合,才能顺畅运转。而充足流畅的物流、信息流和资金流,要靠完整的城市基础设施和相关服务企业,以及政府提供公共服务。由于商业集群形成了参与各方共赢的利益机制,因而城市政府、房地产商、交通运输、物流、电信和银行等企业,都有充足的动力投资城市基础设施建设,提供物流、信息流和资金流以及维护市场秩序方面的服务。从而为商业集群发育,提供了必要的制度保障和环境条件,助推商业集群顺利成长。(5)商业集群发育与城市及区域经济发展的良性互动,推动双方的发展水平向高层次跃迁。商业集群的形成和发展,带动着与之相关的交通运输业、仓储业、邮电通信业、金融业、餐饮娱乐业等第三产业,尤其是房地产业的发展,增强了城市的吸引力、辐射力和商贸流通中心功能。而城市商贸功能的增强,作用于周边地区,推动其产业集聚和专业化协作水平提高,加快区域经济发展。区域经济的快速发展,又反过来推动商业集群和城市经济发展。它们的良性互动互相促进,推动双方向更高级层次跃迁。4.探讨了影响商业集群发展与变迁的因素及其发展趋势,提出了一套促进商业集群持续发展的政策建议。文献资料和实际观察显示,城市布局调整和交通条件变化,将带动商业集群布局的调整;电子商务、连锁经营、商业代理制等新型商业形态的发展将分流一部分商业集群的交易量。商业集群之间竞争将导致兴衰更替,信息技术的应用推广,将提高商业集群的信息化水平。这些因素将推动商业集群向信息化、代理制型、集约交易化方向演进,逐步改变目前信息化程度低、集市贸易型、粗放交易状况,提高商业集群的服务功能和交易效率。论文建议,政府应加强法律和公共服务方面的制度建设,建立公平竞争市场环境;加强基础设施建设,改善物流、信息流和资金流环境条件;建立诚信社会环境,增强公共服务功能,推动商业集群持续不断地向高级层次发展。商业集群是一个复杂的系统,限于作者的水平、研究能力、资料收集等诸多原因,论文研究仅仅是对商业集群的初步探讨,并未形成一个较为系统、学术界又普遍接受的商业集群分析框架,因而还有待于在今后的研究中进一步补充和完善。本文有不妥或值得商榷的地方,请各位专家批评指正。更多还原

【Abstract】 Cluster is not a new social, economic phenomenon. Looking from the process of regional economic development, it is an old and universal phenomenon that appeared gradually in the process of industry specialization in all parts of the world for many years. Observations indicate that the phenomenon of cluster development has virtually spread all industrial fields. In the manufacturing sector, the phenomenon of industry spatial agglomeration development has been particularly conspicuous. In addition, many commercial and service industries and so on have possessed the same characteristics as“cluster groups”. For example, China’s Zhejiang Yiwu Small Commodity Market; Nanjing Xinjiekou Commercial Street, Shanghai’s Nanjing Road Commercial Street, Beijing Wangfujing Commercial Street, The Beijing Road Commercial Street in Guangzhou, as well as integrated, Professional wholesale market clusters in different areas, etc. Famous streets of Shinjuku in Tokyo, Oxford Street in London, Manhattan’s Fifth Avenue in New York. At broad, there are shopping malls on the outskirts of major cities. Clusters can bring sustained competitive advantage for regional economy.The economic phenomenon has attracted the concern of many scholars. So far, the theoretical study on done by domestic and foreign scholars covers clustering concept, clustering classification, clustering causes. Cluster theory has become an important branch of economics. However, the available literature at home and abroad shows: the majority research on the cluster is to apply the theory of cluster to the analysis of the manufacturing industries, very few is on the business cluster.The writer believes that cluster theory is worth studying. Similarly there are division and collaboration among enterprises in business cluster. clusters will be conducive to communication and application of business skills, information, managerial experiences and new ideas, new concepts among cluster enterprises, and will help improve efficiency in the use of business public resources, and is conducive to reducing the operating costs of commercial enterprises, the formation of two-tier competitive advantage of a single business enterprise and the regional businessCluster is the result of balanced and increased benefits of participants by game. The combined effect of business clusters improves the overall efficiency, and the repeated games among participants (commercial enterprises, consumers, suppliers, governments and real estate agents, etc.) promote reasonable allocation of clusters overall profits among participants in order to create a dynamic win-win benefit mechanism, and continue to attract new members to promote the expansion and development of the cluster, which is continued momentum of the continuous development of business cluster.From the dynamic point of view, the paper is based on the results of research and practical experience on cluster theory both at home and abroad, taking the mechanism of formation, growth and sustained development of business cluster as the main line, using spatial economics theory and case analysis, and it studies the different types, inherent mechanism and many other aspects, and then constructs a relatively complete Business Cluster Theory System to explain as a theory provide advice in the development and innovation of China’s business cluster and urban Development, as well as the enhancement of regional economic competitiveness.In this paper, according to the logic idea from the individual to the overall, it constructs theoretical framework of business clusters. From the existing research literature, define the concept of business clusters, propose a three-phase development path, as well as analysis framework on a variety of competitive types. use several mathematical models to analyze aggregation causes of business clusters and aggregation mechanism on the traditional Commercial Street, Central Business District, shopping malls, professional markets, the Yiwu markets and all specific types of business clusters, then return to the level of the overall analysis, summarize common rules the development and trend of business clusters, which constitutes a relatively complete analysis system, and put forward policy recommendations to promote the healthy development of business clusters.The paper is made up of four parts: the first part is the introduction that is chapter1; the second part is about the literature review, theoretical basis, concept and theoretical analysis framework, including the first 2 and 3 chapters. The third part is aggregation mechanism analysis of various business clusters, namely, the 4,5,6,7,8 chapters. The fourth part is on common rules, development trends and policy recommendations, namely, chapter 9, and finally the concluding remarks.Chapter 1 is the introduction. It introduces the background and significance of research, objectives, methods and ideas of research, frameworks, the basic contents and the innovations of this paper.Chapter 2 is the literature reviews on cluster and theoretical foundation. According to analysis of business clusters and the literature reviews, presents the theoretical foundation on the analysis business clustersChapter 3: Business Cluster: concept and theoretical analysis framework. Explain the concept, the evolution and classification of the business cluster, and propose three-stage cluster commercial development path, as well as analysis framework on a variety of competitive types, and use mathematical model of space economics to analyze and prove the concentrated causes of the three developmental stages of business clusters.Chapter 4: business cluster of traditional Commercial Streets. The chapter describes the basic profiles Commercial Street and aggregation mechanism of business cluster: centralization causes of Commercial Street stores; economic and brand effects is to an important motive for clusters; business cluster is the result of a win-win situation for businessmen, consumers, government, real estate agents interestsChapter 5: City Central Business District (BCD). This chapter defines the difference between BCD and CBD and thinks Central Business District (CBD) is developed on the basis of the business Street, in a broad sense, is business cluster. BCD business cluster is in agreement with the development rules, can share external economic interests, and is the result driven by win-win mechanism.Chapter 6: City Shopping Centre. This chapter analyzes the basic profiles on shopping centre at home and abroad that the particularity of China’s shopping centre that distinguishes it from Europe and the United States. Explain the mechanism of their concentration based on consumer search on store gathering space economic mathematical model. Gathering can enhance the efficiency of the transmission of information and sharing demand, which is the main reason business cluster aggregation. Shopping Centre is the win-win mechanism formed by Game of the interests of all parties Chapter 7: professional market. The professional markets evolve from country markets, mainly wholesale or retail certain commodity market type business clusters. Citations are based on the two economies’(buyers and suppliers) Location Choice Game balanced mathematical model to explain the mechanism of the professional market concentration. Professional market can effectively reduce transaction costs, give rise to cluster economic effects, and win-win pattern of interests is the sustainable driving force of formation of professional market operation and development.Chapter 8: Yiwu market clusters. Market cluster refers to a concentration phenomenon a number of similar or heterogeneous professional markets in urban space. Zhejiang Yiwu city market cluster is a typical business cluster. This chapter, from the perspective of the evolution of the path, analyze the historical process from the bazaar through Small Commodity Market to the professional market in Yiwu and develop into market cluster around urban space. The paper pointes out that the professional market can promote specialization, and promote the development of industrial clusters, and the development of industrial clusters, in turn, hasten the development of the different types of professional markets, and formation of market clusters; market clusters further enhance professional collaboration level, accelerating regional economic development, and make all parties including production enterprises, commercial enterprises and the enterprises procurement, logistics companies and other service enterprises, commercial real estate owners, city government attend, benefit and form a powerful force, therefore to promote rapid and sustained development of market clusters and urban and regional economy.Chapter 9: common rule, development trends and policy recommendations and closing remarks. This chapter summarizes 5 common rules of formation and development on business clusters, which analyze the development factors of business cluster, the prospects for the development trend of business clusters and make several policy recommendations to promote growth and development of business clusters.The paper presents the following innovative views:1. Commenting on literature, on the basis of space (concentration) economic theory, define the concept and types of business clusters, From the overall through the individual to the overall logic, construct a relatively complete Research System on business clusters.The paper, through observation and summarizing analysis, proposes a three-stage development path of business cluster. Every business cluster has experienced the development process from the initial, the growth, and then to the mature stage. The paper further analyzes and proves that business cluster is polymer for a variety of competitive types and build an analytical framework, uses mathematical methods to analyze combined causes, functions and features of business clusters, summarizes 5 common laws, analyzes factors and development trend of business cluster, as well as business clusters, and puts forward policy recommendations to promote business clusters. This text constitutes a relatively complete research system.2. According to the aforementioned analytical framework, use mathematical model of space economics to analyze the concentrated causes of the three developmental stages of business clusters.Space (concentration) Economics thinks that the cost of information gathering has relations with consumers and the location of businesses. Every business recognizes the optimal choice (location and price) depends on the demand of products. This depends on consumers’distribution, that is, the choice of consumers directly affects the choice of businesses. Conversely, the optimal choice of consumers (location and consumption) is dependent on the overall distribution of businesses. This interdependence between the two distributions ultimately realizes balance through repeated games among commercial enterprises and consumers, that is, their income (or profits) and the utility maximization, under a certain geographical space and price conditions, of commercial enterprises, of consumers and users (under certain assumptions). Space (concentration) Economics is based on the basic idea, builds the mathematical model to explain causes for business clusters. In this paper, quotes several mathematical models, the initial stage arises from the interaction need between a business enterprise and consumer or user, the growth stage is promoted by continuous entry and monopoly competition of commercial enterprises that carry out different competitive strategies; and the maturity stage is formed by the entry of well-known department stores and oligopoly competition as a mark, explains gathering motives in the process of business clusters from three levels. On the theory explanation, makes a reasonable explanation on the development mechanism of business clusters.3. Summarize 5 common rules of business cluster development and operation.(1) Business clusters go through three-stage development. Business cluster development in general has gone through the initial concentration, growth and maturity stages. the aggregation causes in the initial stage, are mainly for commercial enterprises to reduce consumer search costs, in the growth stage, are for mainly the initial combined effect to attract many commercial enterprises to continue to expand the scale of clusters; in the maturity stage, are mainly for the entry of well-known department stores to raise brand visibility, attract more businesses and customers’access to clusters and make them tend to be mature.(2) The win-win situation for all participants is the sustainable development motive of business cluster. Production enterprises, businesses, consumers or users, such as real estate agents and the Government form a complete value chain, and join the value creation process of business clusters. Repeated games among them create revenue,realize reasonable division among participants, thereby form a win-win benefit mechanism, and encourage participants to participate in increasing investments, improve output efficiency, and thereby form a cohesive force and promote the sustainable development of business cluster.(3) Reducing transaction costs is the lifeblood of business cluster development. On the one hand, concentrated shops in business clusters form commercial polymer to meet consumers with the various levels and consumer preferences, therefore lower search costs of consumers, which attract large numbers of consumers to patronize, and the effects have spread by several effect, attract customers and the customers, result in the increase in the number of customers, and expand the sales of goods within the cluster, reduce the cost to attract customers. On the other hand, common infrastructure in enterprises in clusters can reduce cost-sharing, cluster brand effect can be shared and save advertising costs, and so on. The reduction of transaction costs would, in turn, attract more shops and more customers into clusters, create the greater combined effect, and further reduce transaction costs, thereby forming a virtuous expansion path for business clusters (4) Public services and infrastructure of the government is the protection and the propellant for business cluster development. The commercial activities in business clusters are collaborated by logistics, information flow and capital flow, and need sufficient logistics, information flow and capital flow, rely on the urban infrastructure and related services businesses and the government to provide public services. Business clusters form a win-win mechanism in the interests of all parties, thus city government, real estate, transport, logistics, telecommunications and banking enterprises, have adequate driving force to invest in urban infrastructure and provide services of logistics, information flow, cash flow and maintaining the market order. Business clusters development so as to provide the necessary system security and environmental conditions, to propel smooth growth for business clusters.(5) The benign interaction business Cluster development and city and regional economic development promotes the development level transitions of two sides. Formation and development of business cluster promote the associated transportation, warehousing, telecommunications, financial services, restaurants and entertainment and other tertiary industries, as well as real estate development, enhance the attractiveness of the city, radiation, circulation functions of business and trade. And the enhancement of city business function, influences the surrounding areas, promotes its industrial clustering and professional collaboration level and accelerates regional economic development. The rapid development of regional economy, in turn, promotes business clusters and urban economic development. Their benign interaction promotes each other, and even promote the two sides to a more senior level development.4. Discuss development, changing factors and trends business clusters and propose a set of policy recommendations to promote the sustainable development of business clusters.Documentation and observation show, the change of urban layout and traffic conditions, which will help the adjustment of the layout of business clusters; The new commercial patterns such as e-commerce, chain operations, commercial agent will take away a part of trading volume of business clusters. The competition among business clusters will lead to the rise or fall, to promote the application of information technologies, will improve the level of information technology of business cluster. These factors will promote business clusters to develop in the direction of information, agent-based system, the intensive transactions, and gradually change the current status in low-level information, fair-type trade, rough transaction, increase service functions and efficiency in the business clusters The paper suggests that the Government should strengthen system building of the legal and public service, the establishment of a fair competitive market environment; strengthen the construction of infrastructure, improve environmental conditions in logistics, information flow and capital flow, establish credibility social environment, and strengthen the public service functions to promote business cluster to develop to the senior level.Business clusters is a complex system, due to the author’s ability level, research capabilities, data collection, and many other reasons, the thesis is only a preliminary study on the business cluster, not forming a more systematic, generally-accepted analytical framework on business cluster in academic circle, therefore needs to be further supplemented and perfected in the future study. In this paper, if there is something wrong or questionable places, please the experts can criticize and correct them.更多还原