【作者】 施继元；

【导师】 高汝熹；

【作者基本信息】 上海交通大学 ， 企业管理， 2009， 博士

【摘要】 本文通过建立“一个框架体系”回答了都市圈研究中的“一个根本问题”。所谓建立“一个框架体系”是指文章在国内外首次系统地提出了都市圈效应的框架体系,提炼出了都市圈的“五大效应”,即都市圈具有的集聚效应、扩散效应、创新效应、品牌效应和一体化效应。回答的“一个根本问题”是指为什么需要都市圈的问题,即都市圈到底能发挥什么作用的问题。本文通过对都市圈五大效应的理论和实证分析,充分说明了都市圈的存在和发展对圈域经济发展的显著作用,证明了都市圈是一种有效的区域经济空间结构形式。文章表现出强烈的创新特质,作为国家自然科学基金项目的阶段性研究成果之一,文章在选题和内容上都具有新颖性。文章的创新性不仅表现在都市圈效应架构的提出,还体现在子效应分析中所提出的概念及思想也具有很大的独创性。在研究方法上,我们揉合了区域经济学、空间经济学及管理学中的相关理论和方法,并将之运用于都市圈研究领域;本研究的一个重要特色是重视都市圈利益相关者的利益博弈对内部竞合关系的影响,运用博弈模型阐述了都市圈发展中的一些重要理论问题;由于本文是都市圈效应研究方面的肇始之作,因此在研究中我们十分重视理论综述工作,重视对基本原理和作用机制的论述,注重运用层层演进的方法从已有概念合理地引申出都市圈效应方面的新概念;为证实都市圈效应的客观存在,我们还借鉴国内外区域经济学的常用实证分析手段验证了都市圈效应的存在性。为了完整地构建都市圈效应体系,文章各用一章阐述了对都市圈本质的理解和都市圈五大效应内涵和作用机制。第二章是有关都市圈本质及其效应的一般分析。我们强调了都市圈是超越城市经济范畴后自然形成的区域空间结构形式,是一种圈层化、等级化的城市体系。核心城市所代表的内部圈层、中间圈层和外围圈层在都市圈中发挥不同的职能。都市圈一般以核心城市命名,以核心城市为主导力量,核心城市品牌是都市圈品牌形象的代表,都市圈竞争力主要表现为核心城市的竞争力。都市圈发展是市场力量主导的结果,是圈内各地区利益平衡和协调的结果,是打破区域经济分割的有效的空间经济结构形式。都市圈内不同地区、圈内不同的利益相关者的利益冲突与协调是研究都市圈问题最基本的出发点。本章还简单而系统地阐述了都市圈效应发挥的体系,为此后几章的论述作出铺垫。第三章研究了都市圈的集聚效应。本章的主要创新点在于:一是提出了都市圈产业集聚由制造业集聚为主向服务业集聚为主转变的观点,将产业集聚的研究重点从制造业转移到服务业之上,并总结出了都市圈服务业集聚的主要特征;二是通过对国内外产业集聚理论的借鉴和对都市圈产业集聚动态演变的考察,从理论上分析了都市圈集聚效应产生的根源。本章的主要内容包括:制造业集聚理论和服务业集聚理论的综述;都市圈产业动态集聚的理论解释;都市圈服务业集聚的主要特征;都市圈集聚效应的内涵及其检验方法等。本章的实证检验部分:对美国361个都市统计区的数据处理表明美国都市区规模越大集聚效应就越为明显;中国18个都市圈和全国的截面数据的处理证实了在中国已经发生了各种要素在都市圈大量集聚的现象,并且都市圈作为一个整体已经表现出较为明显的集聚经济效应,都市圈集聚度越高,集聚效应越明显。第四章研究了都市圈的扩散效应。本章的主要创新点在于:一是将都市圈产业扩散的视野由制造业的扩散延展到服务业的扩散,拓展了都市圈产业扩散的研究范围;二是提出了都市圈扩散不仅表现为都市圈产业扩散也表现为都市圈空间结构扩散,空间扩散是都市圈产业扩散的固化反映的观点,认为等级化、网络化的都市圈城市结构是都市圈扩散效应的重要结果,证实了都市圈发展确实促进了合理城市体系的形成。本章通过对伦敦金融服务业的扩散现象研究总结了以商务服务业为代表的服务业扩散的规律,通过对东京圈空间结构扩散的研究,证实了都市圈的产业扩散最后将表现为多中心化都市圈结构的形成。第五章研究了都市圈的创新效应。本章的主要创新点有:一是提出了创新链和都市圈创新体系的思想,认为发达的创新链是都市圈创新系统优越性的重要体现,并从这一角度论证了都市圈是一种有利于创新的区域组织形式;二是建立了都市圈架构下的创新-仿制博弈模型,证明了都市圈较为严格的知识产权保护、信用体系的建设以及市场一体化的形成对提高企业创新积极性的作用。本章的主要内容包括:一,从国家和区域创新系统概念引申出都市圈创新系统,论证了创新链在都市圈创新体系中的“骨架”作用;二,从都市圈创新系统的角度论证了都市圈具有创新效应;三,运用上海都市圈的表现说明都市圈确实有利于区域创新能力的提高,并对上海都市圈创新能力提升上存在的问题及其应对策略进行了探讨。第六章研究了都市圈的品牌效应。本章的创新点主要有:一,明确提出都市圈品牌的内涵和特征,分析了都市圈品牌与城市品牌和国家品牌的关系,提出了都市圈品牌消费者和利益相关者的理念,提出都市圈品牌的建设和推广应该从协调品牌利益相关者着手的重要思路;二,提出都市圈品牌效应的内部效应和外部效应两个效应的发挥机制;三,提出了都市圈品牌建设的原则,并对上海都市圈的品牌建设与推广策略提出了自己的创意。本章的主要内容有:一是都市圈品牌的内涵与特征;二是都市圈品牌效应的作用机制,其效应表现为对外和对内两大类。对外,具有集聚要素和促销功能,对内则主要表现为示范效应、优化效应和一体化效应;三是以伦敦都市圈为例说明品牌效应的客观存在;四是都市圈品牌建设与推广的原则,都市圈品牌建设应该遵循协同、整合、核心城市主导和文化营销等基本原则;五是就上海都市圈品牌建设与推广提出了独到的见解。第七章研究了都市圈的一体化效应。本章的主要创新点在于对都市圈的一体化效应的内涵和作用机制的深入分析,通过多阶段晋升博弈下的地方政府竞争模型论证了政治体制改革对于都市圈一体化的重要意义。本章的主要内容有三点:一是阐述了都市圈一体化和一体化效应的内涵,分析了都市圈一体化效应的作用机制,阐明了都市圈一体化对集聚效应、扩散效应、创新效应、品牌效应的基础性作用;二是分析了影响都市圈一体化的主要障碍在于都市圈内不同利益相关者利益的不一致,特别是不同行政区地方政府的利益冲突。文章运用晋升博弈对贾斯特曼和蒂斯等的“税收竞争”模型进行了拓展,解释了我国都市圈一体化的主要障碍,并得出了推进都市圈一体化必须加快政治体制改革的重要推论,提出只有进行官员任用、考核、提升等政治体制改革才能更好地消除区域竞争的根源,而建立用脚投票机制则是对政治体制改革滞缓的一种有效弥补;三是分析了上海都市圈的非一体化现象和一体化的进展,并提出了促进一体化的详细对策。第八章是文章的小结。主要内容包括:一,对文章各章主要内容的总结;二是对不同效应之间的相互关系的深入分析。集聚效应是都市圈最基本的效应,一体化效应是都市圈发展的结果也是其他效应更好发挥的前提和保障,扩散效应是集聚效应的平衡机制,品牌效应是都市圈发展的价值增值,创新效应则是都市圈发展对促进区域创新系统建设的重要表现。五大效应共同发挥形成都市圈的综合效应,带来都市圈整体竞争能力和效率的提升;三是对都市圈效应的推进提出了简要的对策。更多还原

【Abstract】 This dissertation intends to solve the problem of why metropolitan area is needed. It is held that metropolitan area possesses five effects, which are agglomertion effect, diffusion effect, innovating effect, branding effect and integrating effect. The existence of the five effects makes the metropolitan area become an effective territorial form. The author takes the metropolitan area’s stake holders’advantage as the standpoint which runs through the whole research on the different effects. The perspective of game is adopted to interpret the cooperation and competition within the metropolitan area while strict academic model is built to set forth some vital theories in metropolitan area’s development. Owing to the core cities’primary status in the metropolitan area, this thesis focuses on what effect has the development of the metropolitan area had on the core cities. Of the six chapters, each respectively analyzes the nature of the metropolitan area as well as its five effects. In virtue of the crucial status of the agglomerating and integrating effects, the author throws more light on them. Metropolitan area is a naturally-formed territorial organization which came into being as a result of the city and region’s growing into a economically specific stage. It is a circulized city system driven by the market power. The core circle, the inner circle and the outer circle represented by the core cities play different roles in the metropolitan area.Metropolitan area is usually named after the core city which makes the area’s leading power and stands for its branding image. Metropolitan area’s competitiveness is mainly manifested by its core city’s competitiveness. The development of the metropolitan area is the result of the market power combined with the balance and harmony of all the districts’benefits of the whole area. This territorial form is effective in that it ends the partition of the area’s benefit. Conflict and coordination among different districts’benefit-holders within the metropolitan area is the basic staring point of research on metropolitan area.Agglomertion effect is economic product of industries’agglomeration within the metropolitan area. Positive economic agglomertion effect stems from exterior information, pool of inter-entered products and share in risk and infrastructure etc. Economic agglomertion effect includes not only enterprise size and scope economic effect but industrial exterior size and scope economic effect. Industrial agglomeration experienced two stages: manufacturing agglomeration and servicing agglomeration. Theories of industrial agglomeration also experienced the same two developing stages: manufacturing agglomeration theories and servicing agglomeration theories. Currently, service industry’s agglomeration in core cities is the main phenomena of the metropolitan area’s industrial agglomeration whose general rules are as following: first, service industry is agglomerating in metropolitan area and the proportion of leading metropolitan area’s service industry in the whole country is increasing continuously. Second, the larger the size of metropolitan area is, the higher the degree of the industrial agglomeration will be. Third, the degree of high-class service industry’s agglomeration is the highest. Fourthly, due to the difference between different metropolitan area’s economic foundation and cultural background, difference in agglomerating service industries is obvious. Fifthly, evident tendency of high-classification is found in core cities’industrial agglomeration. Tokyo’s statistics reflect the existence of metropolitan area’s agglomertion effect. Using Eviews 3.1 to process statistics of American 361 cities’s population density and per capita income, it is indicated that obvious agglomertion effect is found in American cities. Exerting China’s national sectional statistics as well as that of 18 cities in 1986, 1996 and 2005, it is found that all kinds of elements have been agglomerating in metropolitan area. Furthermore, distinct agglomertion effect is shown in metropolitan area as a whole in the perspective of per capita and per square meter GDP. Moreover, having analyzed China’s 18 cities’sectional statistics, it can be concluded that in spite of the great difference among different districts, agglomertion effect in metropolitan area is distinctively related to its primary city’s non-agricultural population agglomeration. The higher the metropolitan area agglomeration is, the greater the agglomertion effect will be.Metropolitan area’s diffusion effect is agglomertion effect’s inevitable result. Industry’s large-scale agglomeration in core cities makes the core cities’business cost increase greatly. As a result, exterior non-economy of the agglomeration becomes more and more evident. With the metropolitan area’s integration and its transportation infrastructure improves continually and its communication and information technology develops greatly, industry’s driven to outsider. The diffusions include industry diffusion and spatial structure diffusion. Contrast to metropolitan area’s agglomeration effect, the industry diffusion is also developed from manufactory industry diffusion to service industry diffusion. We use London’s finance service diffusion and Tokyo metropolitan area’s spatial structure diffusion as case and find it’s regular. The metropolitan area spatial diffusion is the solidification of industry diffusion, displays as the regional city structure in rank and network. We prove that the industry diffusion in metropolitan area finally resulted as multi-centralized spatial structure. The multi centralized structure is not only presented in multi-centralized in core city but also in total metropolitan area. The diffusion effect can promote the metropolitan area interior industrial structure optimization, impel the metropolitan area overall industrial structure to higher level, promote the metropolitan area’s integration level, and forms reasonable city structure system in the metropolitan area.Metropolitan area is one kind of regional organization form that is advantageous to the innovation. Metropolitan area is helpful in forming the integrity the innovation chain and constructing regional innovation system. Metropolitan area is advantageous to innovation because of the following factors: The metropolitan circle’s industry agglomeration is advantageous to innovation; The metropolitan area has the abundant education scientific research strength; The metropolitan area has the developed sharing scientific research foundation platform; The metropolitan circle’s social capital is high; The metropolitan area’s integrated big market enhanced the enterprise’s innovation motivity; The metropolitan area is attractive to the innovational, talented person ; The metropolitan area has the more developed financial service system. The Shanghai metropolitan circle each innovation data may show the metropolitan circle can promote the innovation.Metropolitan area has brand image itself, it is composed of cities’brands and the essential factors’brands , in which the main function is the brand of core city and the advantage industries’brand. The metropolitan area brand comes into being through the experience, the sensation, the association, the contrast of the metropolitan area’s customers, the brand also belongs to the stake holders of metropolitan area brand.The brand of metropolitan area has the characteristics such as complexity, conformability, co-operativity, leading and dynamics. The metropolitan area’s brand effect may improve the value added of the stake holders’, which is composed of the attraction external investment, attraction more domestic and foreign tourists and investors. The metropolitan area’s brand effect is mainly originated from origin brand effect, the brand loyalty from comprehensive fine reputation. The effect includes insider and outsider kinds of effect.As the outsider effect, it may promote the metropolitan area’s image, has the function of gathering essential factors, can enhance the brand, and the promotion function. As the insider effect then mainly displays of the demonstration effect, the optimization effect and the integration effect. The London metropolitan area’s superiority on the attraction overseas immigration and FDI compared with the European other metropolitan circle indicates the big role of region’s brand.Construction of the brand should follow the principles such as coordination, conformity, core city dominance, cultural marketing and so on. Supporting and strengthening superiority industry agglomeration, taking core city’s brand as the leadership, promoting the brand by cultural marketing are the key strategies to accelerate the metropolitan area’s brand effect.Integration of metropolitan area refers to the independent economy entity becoming an unification economic region, realizing free flowing of resources, the capital, the manpower, the product and so on, eliminating the segmentation of markets, the regional protection and tax competition in FDI. Metropolitan area’s integration is not only the goal and the result of regional economy development, but also a gradual realizing progress of economy conformity. The metropolitan area’s integration effect is the important foundation of other effects, the agglomeration effect is because of the regional integration makes possible for industry agglomeration in wider area, accordingly, the diffusion effect also based on the fact that integration can optimize the resources’distribution in bigger region.The metropolitan area’s brand can only be generated from the integrated situation, where the superiority of each region is mutual benefit, produces brand surpassed the core city brand image, thus makes the stakeholder of metropolitan area’s brand all get the brand premium.Innovation effect of metropolitan area exists itself because of the integration can promote talented person’s free flowing, make researcher in the wider region to share the platform and get the bigger market. If without integration, it is no sense to discuss the metropolitan area’s innovation effect and the building up of metropolitan circle’s regional innovation system. In brief, the integration may bring agglomeration effect, competition effect, investment effect, innovation effect and so on, makes the entire metropolitan area’s economy incessant realized rational, optimization of economy structure, improves the speed and the quality the economy growing unceasingly under the leading of core city.The primary factor which stunts metropolitan circle’s integration is the different benefit of stakeholders, specially the conflict among local authorities. Extending to Justman & Thises’tax competition model by game theory can interpret the chief obstacle in our country well .According to the model, speeding up the political reform is the important way to advance metropolitan area’s integration. The reform of official selection and promotion system, government performance evaluation system is the fundamental strategy to solve the problem of regional competition, and establishing the mechanism voting with the feet is a n effective substitution to the lagged political reform.In general, agglomeration effect is the most fundamental effect of metropolitan area. Integration effect is the result of metropolitan area’s development, but also precondition and guarantee of other effects. Diffusion effect is the balance mechanism of agglomeration effect. Brand effect is value performance of metropolitan development, and innovation effect is the result of construction of metropolitan area’s regional innovation system. The combined effect of metropolitan area consists of the five effects, upgrading the competitive ability and efficiency of metropolitan area wholly.更多还原