【作者】 宋伟；

【导师】 耿明斋；

【作者基本信息】 河南大学 ， 区域经济学， 2009， 博士

【摘要】 传统农区是指具有如下经济社会特征的特定区域:农耕历史悠久,至今仍沿袭着农业为主的产业结构;自然资源匮乏,除了土地和农产品以外,缺少可供民间开采开发的矿产和渔牧资源;人口密度大,存在大量富余劳动力;资本缺乏,经济社会发展相对滞后。工业化是传统农区从传统农业社会向现代工业社会转型最重要的推动力之一。发达国家的经验表明工业化是总量扩张与空间集中的统一,而改革开放后我国农村工业快速发展的同时却呈现显著的分散布局现象,在总量扩张与空间集中之间出现了一定程度的矛盾。如果说沿海地区早期农村工业的村庄选址与分散布局是早期农民和基层政府在客观制度约束下的理性选择以及初始选择后路径依赖的结果,那么,传统农区工业的起步与沿海相差十年以上的时间,我国工业格局、市场发育程度及经济社会运行的整体状况都发生了深刻的变革,为什么分散布局现象仍然延续?本文认为,在30年中持续出现的经济现象一定有其深刻的现实基础,只有从微观经济行为主体及其面临的现实约束条件出发,才能对传统农区工业分散布局的现状做出符合理性的解释、对其未来演变趋势进行合理的预测。因此,本文把研究对象界定为传统农区“内生型”企业,从创业者本人及其面临的现实约束条件出发,对传统农区企业村庄选址与分散布局现象的微观形成机制进行了研究,建立了传统农区工业企业由分散布局向空间集中演变的逻辑框架,并用典型案例对这一框架进行了经验检验。本文的主要结论与发现如下:第一,传统农区工业企业的村庄选址行为是创业者在资本缺乏、技术与经营管理经验不足等现实约束条件下的理性选择。传统农区内生型企业的创办者大多脱胎于当地农民,他们在创业初期一方面是技术与经营管理经验不足,面临较大的创业风险,另一方面还面临资本缺乏的困境。只有尽可能降低创业投资规模,他们才能获得进行创业尝试的机会并降低风险。农村自然村落是传统农区创业者最熟悉的环境,在那里进行小规模创业尝试可以帮助他们减少初始固定资本投资、节省制度成本、获得民间非正式融资,以节省现期资本支出,实现控制初始投资规模的目的。第二,传统农区的村庄创业活动是一种合理使用现有要素的最大化行为,空间分散布局是一种相对稳定的均衡状态。村庄选址行为使传统农区创业者有机会将他们所拥有的生产要素用于工业生产,提高要素的使用效率,而资本缺乏、技术和经营管理经验不足等客观条件决定了他们只有在村庄创业才能获得从事工业生产的机会。所以,传统农区农民的村庄创业活动实际上是一种现实约束条件下的最大化行为,他们已经不可能为所拥有的生产要素找到更有效率的使用方式。第三,传统农区工业企业的村庄选址倾向被企业家的累积投资行为与学习模仿所形成的产业集聚优势所强化。一方面,传统农区内生型企业规模的扩大主要依靠其自身缓慢积累。随着后续投资的不断增加,在企业原址上积累的不可移动资产越来越多,初始的村庄选址行为不断强化;另一方面,传统农区的村庄创业活动技术简单、投资规模小、进入门槛低,容易模仿,而且村庄企业的竞争优势是村庄所具有的普遍优势。成功企业的示范效应使周围的农户纷纷仿效并获得成功,区域内该产业的绝对规模不断扩大,形成一定的集聚优势。这种集聚优势的形成客观上对初始的村庄选址行为起到了强化作用。第四,村庄选址倾向的强化与人口自由流动和迁移方面的障碍使传统农区产业集聚水平较低、空间布局分散,工业基础设施与城镇化发展滞后,不利于企业的转型与发展。虽然在个别农民的创业尝试和众多农民的后续模仿这样一种机制下传统农区工业企业形成了一定的集聚优势,但传统农区的产业集聚是在一个或者若干个相邻村庄范围内离散型的相对集中,空间集中度较低。较低的空间集中度导致传统农区产业集聚区工业基础设施水平较低,人口集中度较低导致传统农区产业集聚区生活基础设施水平较低,城镇化远远滞后于工业化。随着企业规模的扩大,企业面临技术升级与管理转型的现实压力与要求,但传统农区较低的城镇化与基础设施水平不能为其提供有效的支撑,导致企业生产与管理成本增加。所以,影响传统农区产业集聚与升级的不仅仅是工业基础设施滞后问题,还包括人口集中与城镇化水平的提高。第五,企业规模、工业基础设施与生活基础设施水平是影响传统农区企业空间演变趋势的三个关键因素。企业规模及企业与区位有关的成本变化是传统农区企业空间演变的内在动力,企业本身对空间集中的需求与企业规模正相关。企业向何地集中由工业基础设施与生活基础设施水平决定。第六,传统农区工业发展过程中将会长期呈现空间分散与集中并存的局面。一方面,企业村庄选址倾向与空间分散布局是传统农区创业者在现实约束条件下的理性选择,其村庄创业活动是合理使用要素的最大化活动,因此是一种相对稳定的均衡状态,并可能持续相当长的一段时间;另一方面,企业自身规模的扩大与外部制度、经济因素的变化也会对分散布局的初始均衡产生影响,推动其向空间集中的趋势演变,但从量变到质变同样需要相当长的时间。因此,在传统农区工业发展过程中,将会长期呈现空间分散与集中并存的局面。地方政府制定促进工业集中的政策措施时要充分尊重企业的利益,不能搞一刀切。对于倾向于村庄选址的小规模企业与潜在的小规模创业活动,应允许其空间上分散发展,以激发创业热情、维持传统农区工业发展的活力,为未来的空间集中积蓄力量;对于规模较大的企业,顺应其对更高水平基础设施、更高城镇化水平的客观要求,鼓励与支持它们空间集中,努力提高传统农区工业的总体效益与整体素质。本文创新之处主要在于:第一,传统农区工业企业的村庄选址行为是创业者在资本缺乏、技术与经营管理经验不足等现实约束条件下的理性选择,是一种合理使用要素的最大化行为。第二,在传统农区,并不是所有的企业都有空间集中的需求,而是与企业规模正相关。第三,传统农区工业发展过程中将会长期呈现空间分散与集中并存的局面。第四,传统农区企业空间集中不仅仅是一个获得更高水平工业基础设施的问题,更与地方生活基础设施与城镇化水平的提高息息相关。论文共分七章。第一章导论部分在界定核心概念的基础上阐述了研究背景、问题与研究方法,并总体概括了论文的研究思路与结构安排。第二章文献综述部分主要是对研究的理论基础与相关研究成果进行了系统性的回顾与评述,归纳本文的理论出发点与研究起点。第三章主要寻找传统农区企业村庄选址倾向产生的微观基础。通过放开经典区位理论中“人的同质性”的隐含假定,分析传统农区创办企业的微观经济主体的决策能力及其面临的资本缺乏、技术与经营管理经验不足等现实约束条件,得出“村庄选址是传统农区创业者控制创业规模、以获得创业尝试机会并降低风险的理性选择”这一逻辑结论。第四章主要论证传统农区企业村庄选址倾向的自我强化,分析传统农区企业的累积投资模式、传统农区产业集聚优势的产生,及两者共同作用下村庄选址倾向的强化与路径依赖的形成。第五章主要研究传统农区企业空间演变的未来趋势。通过建立企业的区位成本函数,分析影响企业空间演变趋势的各种因素,并从微观与宏观两个层面对传统农区企业空间演变趋势进行预测。第六章是经验分析,用企业空间演变的典型案例对本文提出的传统农区企业村庄选址与分散布局现象的产生、强化与演变趋势的逻辑框架进行检验。第七章是结论与展望。归纳本文主要结论与发现,指出主要创新点,明确学术贡献与实践意义,指出不足和未来研究方向。更多还原

【Abstract】 Traditional agricultural area(TAA) refers to the area having the following economic and social characteristics:a long history of agriculture,an industrial structure with large proportion of agriculture,lack of minable natural resources,a high density of population with abundance surplus labor force,lack of capital and a relatively slow development of economy and society.Industrialization is one of the most important power to force social conversion of TAA from traditional agriculture to modern industry.Developed country’s experience in industrialization is the unification of quantity expansion and spatial concentration, but China’s rural industry shows a remarkable separate distribution within rapid development,which is a contradiction between quantity expansion and spatial concentration to some extent.If the village-location and separate distribution of rural industry of littoral area at the beginning of China’s reform and opening was the rational choice of peasants and local government restricted by impersonal institution and the path-depend after original choice,why does the phenomenon of separate distribution exist ten years later,in which China’s industry structure,the development of market system,and the whole function of economy and society has transformed deeply.In this paper,I think an economic phenomenon last for 30 years must be based on the fact of economy and society profoundly.Departed from the restrict condition the entrepreneur faced,people can explain the separate distribution of industry in TAA and forecast the trend of spatial evolution rationally.Therefore,the research object of this paper is restricted within the endogenetic enterprise of TAA.Departed from the entrepreneurs of TAA and the restrict condition they faced,this paper investigates the micro-mechanism of the happening of village-location and separate distribution in TAA,founds a logic framework to explain evolution trend of enterprise in TAA from separate distribution to spatial concentration,and certificates with typical cases.The findings of this paper show as follows:Firstly,village-location of enterprise in TAA is a rational choice of the entrepreneur,who is restricted by the lack of capital,technology and management experience.The entrepreneur of endogenetic enterprise in TAA comes from local peasants.At initial stages they were faced with great venture for lack of technology and management experience.Through reducing the scale of investment,they are capable of obtaining the opportunity to venture.Natural village is the most familiar environment of the entrepreneur of TAA,in which they were able to save initial investment from low price of ground,less expenditure of workshop and equipment, less expenditure of enrollment and tax,and obtaining informal financing.Secondly,village-location behavior of TAA is a maximizing behavior used actual factors of product reasonably,and separate distribution is a stable equilibrium relatively.Village-location behavior conduce to the entrepreneur of TAA have the opportunity to use their factors for industrial production,which was able to improve the efficiency of the use of the factors of product.Moreover,under the condition of lack of capital,technology and management experience they were able to obtain the chance to engage in industrial product none but village location.Thirdly,the village-location trend of industrial enterprise in TAA is strengthened by cumulated investment and the advantage of industrial clusters brought by learning and imitating mechanism.On the one hand,the expansion of endogenetic enterprise in TAA depended mainly on slow accumulation of itself.With the adding of investment, the unmovable assets in initial place became more and more,which strengthen initial village-location behavior continually.On the other hand,the entrepreneurial behavior of TAA is an activity with simple technology,small investment,low threshold,which is imitated easily.Moreover,the advantage of village-enterprise is common advantage hold by everyone of village.With the demonstration of success enterprise the peasant of village imitate one after another and succeed,which is help to improve industrial scale of the area and produce some agglomeration advantage,and initial village-location behavior was strengthened by the agglomeration advantage.Fourthly,for the strengthening of village-location tendency and the barrier of free movement of population and migration,industries in TAA have a lower level of spatial agglomeration,industrial infrastructure and urbanization,which is not conducive to the transformation and development of the enterprise.Under the mechanism of individual farmer’s attempt and many farmers’ imitation,the industrial enterprise in TAA form a certain amount of agglomeration advantage,but the agglomeration is a relative concentration in the area of one or several adjacent villages,which is a low level of spatial concentration.Moreover,the lower level of spatial concentration of industries resulted in a lower level of industrial infrastructure in TAA.The smaller scale of population led to a lower level of living infrastructure in TAA,and urbanization are far behind industrialization.With the expansion of scale,the enterprise faces the pressure and demand of technology-upgrading and management-restructuring,but the lower level of infrastructure and the lower level of urbanization in TAA can not provide effective support,resulting in the increase of production and management costs.In other words,the factor that influences the concentrating and upgrading of industries in TAA is not only the lag of industrial infrastructure,but also includes population concentration and the improvement of the level of urbanization.Fifthly,the scale of enterprise,the level of industrial infrastructure and living infrastructure are three important factors influenced the tendency of space evolution of industrial enterprise in TAA.The scale of enterprise and the changes of cost referring to location is the internal power of space evolution of enterprise.Where the enterprise concentrates on is decided by the level of industrial infrastructure and living infrastructure.Lastly,the industrial development in TAA will be a long-term process of the coexistence of decentralization and concentration.On the one hand,the enterprise tends to village-location and separate distribution is a rational choice of the entrepreneur of TAA in the real condition,and the village-location entrepreneurial activity is reasonable to maximize the use of product factors.So the activities is a relatively stable equilibrium,and likely to continue for quite a long time;On the other hand,the expansion of enterprise scale,the change of external environment and economic factors will influence the initial balance,and promote the trend to spatial concentration,but from quantitative to qualitative change also requires a relatively long period of time.Therefore,in the process of industrial development in TAA,the space will be a long-term coexistence of decentralization and concentration.Local governments should respect the interests of the enterprise when they set down the policies to promote industrial concentration.Small-scale enterprise preferred village-location and the potential small-scale entrepreneurial activity,should be allowed to select their preferred space in order to stimulate entrepreneurial enthusiasm, to maintain the vitality of industrial development in TAA,and to concentrate their savings for spatial agglomeration in future.For larger-scale enterprises,conform to the requirement of higher level of infrastructure and higher level of urbanization,should encourage and support their spatial agglomeration,to improve the overall quality and effectiveness of industries in TAA.This paper contributes to current research in several ways.First,village-location behaviour of industrial enterprise in TAA is a rational choice of the entrepreneur under the constraint of the lack of capital,technology,and management experience,which is a maximizing activity with a rational use of product factors.Second,in TAA,not all enterprises are necessary to concentrate spatially,but positively correlated with the scale of enterprise.Third,the industrial development of TAA will be a long-term process of the coexistence of decentralization and concentration.Fourth,spatial concentration of industrial enterprise in TAA is not only a higher level of industrial infrastructure,but also closely related to local living infrastructure and the improvement of the level of urbanization. The paper consists of seven chapters.Chapter 1 introduces the background,study issues and research methods based on the defining of core concept,and shows the study’s procedures and systematic framework.Chapter 2 is the part of literature review which reviews and comments the theoretical basis and research results related,and shows the theoretical starting point of this paper.Chapter 3 looks for the micro-site basis of the tendency of industrial enterprises’ village-location in TAA.Through liberalizating the "homogeneous people" implicit assumption of classic location theory, this chapter analyses the decision-making capacity of entrepreneur and the real constraints of the lack of capital,technical and management experience they faced,and draws a logical conclusion of "village-location of industrial enterprise in TAA is a rational choice of entrepreneur to control investment scale,obtain the opportunity of venture and reduce the risk".Chapter 4 clarifies the self-reinforcing of the tendency of enterprise’s village-location in TAA,through analysing the accumulated investment pattern and the form of the advantage of industrial clusters.Chapter 5 studies the futural trend of space evolution of industrial enterprise in TAA.Through establishing the cost function,this chapter analyses the influent factors of space evolution of industrial enterprise in TAA,and predicts the trend of it from the micro and macro level.Chapter 6 is the empirical analysis,which verifies the logic framework brought in this paper by typical cases that the phenomenon of village-location and separate-distribution produces,strengthens and evolves.Chapter 7 summarizes overall conclusions and explains the study’s contribution and innovation points in theory and practice aspects,identifies the limitation of the study and provides meaningful pathways for future research.更多还原