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1、 产业集群与城市化协同产业集群与城市化协同的的内生内生 机理机理及模式及模式研究研究 基于基于新兴古典框架新兴古典框架 The Study of Synergetic Endogenous Mechanism and Mode of Industrial Clusters and Urbanization -Based on the New Classical Framework 一级学科：一级学科：工商管理工商管理 学科专业：学科专业：技术经济及管理技术经济及管理 作者姓名作者姓名：李军辉李军辉 指导教师：指导教师：傅利平傅利平 教授教授 天津大学天津大学管理与经济学部管理与经济学部 二零二
2、零一一三三年年五五月月 独创性声明 本人声明所呈交的学位论文是本人在导师指导下进行的研究工作和取得的研究成果，除了文中特别加以标注和致谢之处外，论文中不包含其他人已经发表或撰写过的研究成果， 也不包含为获得 天津大学天津大学 或其他教育机构的学位或证书而使用过的材料。 与我一同工作的同志对本研究所做的任何贡献均已在论文中作了明确的说明并表示了谢意。 学位论文作者签名： 签字日期： 年 月 日 我是爱天大的！ ！ 学位论文版权使用授权书 本学位论文作者完全了解 天津大学天津大学 有关保留、使用学位论文的规定。特授权 天津大学天津大学 可以将学位论文的全部或部分内容编入有关数据库进行检索，并采用影
3、印、缩印或扫描等复制手段保存、汇编以供查阅和借阅。同意学校向国家有关部门或机构送交论文的复印件和磁盘。 （保密的学位论文在解密后适用本授权说明） 学位论文作者签名： 导师签名： 签字日期： 年 月 日 签字日期： 年 月 日 摘摘 要要 中国经济未来的创新动力来自于城镇化，未来的发展空间在城镇化。中国特色新型城市化发展道路和模式选择，已经成为学术界研究的重要课题。而目前研究大多将城市化问题人为的与产业发展割裂开来，致使成果偏离城市化本质研究。鉴于此，本文在理论层面上，围绕产业集群与城市协同演化的内生机理这一核心议题， 通过构建超边际演化模型， 探寻协同过程中内生动力因素的作用过程；在实践层面上
4、，通过东莞与昆山的案例剖析，凝练不同协同模式下的路径特征。研究成果对于正面临产业转型升级、积极推进新型城市化建设的中国来说，具有重要的理论和现实意义。 研究表明，产业集群和城市都是专业化分工的产物，而且伴随分工的深化，产业迂回度不断增加，新的市场被不断创造，城市竞争力不断增强，产业集群相应扩展。然而，集群的发展和城市的扩张并非没有界限，当边际交易成本大于边际分工收益时将出现城市层级化和产业转移现象。也正是由于国际性产业转移，催生了“自下而上”的东莞城市化模式，该模式下协同过程的最大特征就是以乡镇为中心的簇团式的“点状”城市化萌芽和半城市化发展阶段。与此模式不同，昆山模式是一种“自上而下”的协同
5、过程，该模式具有很强的行政背景，以本地劳动力的就地转化为开端，且没有半城市化现象出现。然而两个案例成功的共同之处在于注重从产业关联角度甄选、引进企业，同时着力构建并完善集聚区社会分工网络。 众所周知，产业集群和城市化是两种不同性质的社会经济现象，涉及诸多学科，同时两者互动又是一种抽象的复杂交互作用过程。由于研究理论基础的不统一，鲜有针对二者协同机理的理论成果出现，且已有成果大多是基于演化过程外在表征的总结性分析，这种分析是一种将特殊当一般的事后分析，并非真正意义上的动态透析。为此，本文将产业集群和城市化纳入到一个统一的理论框架下，使用超边际分析方法，依据理论分析提出模型假设，构建充分体现二者演
6、化过程的动态数理模型，分析推演过程及结果，揭示它们协同的内生机理。此外，文章围绕专业化分工和交易效率建立了城市化综合评价指标体系， 同时鉴于城市化评价指标存在较为严重的共线性及观测数量小于变量数的情况，引入偏最小二乘法，对城市化过程进行实证研究，结果证实了理论分析结论的正确性。 关键词：关键词：产业集群 城市化 内生机理 协同模式 新兴古典框架 ABSTRACT Chinas economic future innovation power is from urbanization, and the future developing space lies in urbanization. N
7、ow, new urbanization with Chinese characteristics path of development and mode selection have become an important significant topic of academic research. However, most of the current studies artificially separate the study of urbanization from the study of industrial development, causing the researc
8、h findings deviate from the essence of urbanization study. Therefore, focusing on the core issues of endogenous evolution mechanism between industrial clusters and urbanization, and by building extra-marginal evolution model, this paper, on a theoretical level, searches for the interacting process o
9、f endogenous dynamic factors through the synergistic process. On a practical level, through some cases analysis like Dongguan and Kunshan, this thesis compacts the path characteristics in the different collaborative modes. This research has an important theoretical and practical significance to Chin
10、a, which is facing industrial transformation and upgrading issue, and is actively promoting new city construction. Studies have shown that industrial clusters and cities are the products of specialization. With the deepening of the division of labor, the increasing of roundabout production, new mark
11、ets are created constantly, citys competitiveness enhanced, industrial clusters extended. However, both cluster development and city expansion have their boundaries. Industries transfer and city-level phenomenon will appear when the marginal transaction cost is greater than marginal division income.
12、 Because of international industrial transfer, Dongguans “bottom-up“ urbanization patterns came to exist. The biggest features of this mode are Germination of urbanization in township-clusters centric pattern and the semi-urban development stage. In contrast, Kunshan mode is a “top-down“ collaborati
13、ve process, which, having a strong administrative background and with in situ conversion of local labor force as the start, does not produce semi-urban phenomenon. However, both cases have a common point that they both select and introduce enterprises according to how much those industries related t
14、o each other, and actively construct and perfect the social division network of industry cluster. It is well known that industry cluster and urbanization are two different social economic phenomena, which involve many disciplines and interact with one another in a complex process. Due to the disunit
15、y of theoretical basis, there are hardly any theoretical achievements of coordinative mechanism of both phenomena. Furthermore, most of the previous results are conclusive analysis, which are based on the external features of evolution process. And those analyses are categorized into a normal postmo
16、rtem analysis by taking the special as the ordinary, which is not a real dynamic analysis. Therefore, this thesis, putting industry clusters and urbanization into a unified theoretical framework, using infra-marginal analysis, proposing an hypothesis with the basis of theoretical analysis, constructs a dynamic mathematic mode fully representing the evolution process of industry cluster and urb
