基于制度分析的城市经济理论研究
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摘要
本论文试图通过对城市经济意义的历史实证研究,进一步揭示城市作为人类经济社会组织方式的制度本质,演绎新的城市制度观和分析框架,提出关于城市发展以及人口、土地的政策建议,为城市经济理论和实践研究提供新的视角。
本论文系统梳理了城市经济学已有的研究成果,并借鉴了制度经济学、经济地理学等学科的分析方法。现代城市经济学是一门交叉学科,虽然在新经济地理学的时代,学科分析范式在融入主流经济学方面取得了重大突破,但仍没有形成统一的城市定义,也没有抽象出城市来源的一般意义。由于囿于空间和运输成本的教条,止步于关于集聚经济的现象描述,城市科学或空间科学没有充分认识城市的交易起点和自生的社会秩序属性,因此缺乏对真实世界的解释能力。
城市是交易集中化带来的人类空间秩序。交易作为城市的起源之一早已为人所识,但将交易概念拓展并抽象为城市的统一起源,却是本文的一个创新观点。交易不仅在人类历史上创造了市场秩序,而且自生自发了空间的秩序,这种秩序或者说制度就是城市。基于这样的历史和理论逻辑。文章给出的城市定义是：城市是由各种交易规则、信念、方式和各种交易主体一起联结起来的自发空间秩序,是一种节省交易成本和实现集聚经济为基础的人类空间组织制度,是保障和形成集聚化交易的制度集合体。这个城市的定义是新制度主义的,也是对城市现象一般化的抽象和概括,具有超越学科樊篱的价值和意义。
城市是一种制度集合体,是文章更进一步的创新观点。本文在交易分析基础上演绎出的城市制度分析框架,包括了城市的交易、交易主体、交易成本、交易制度体系等等分析范畴,并且通过城市的制度观,解释城市的形成、规模的变化、空间的拓展。文章利用交易和制度分析工具,回答城市是一个什么样的制度集合体,是通过怎样的制度约束、制度变迁或是制度创新而使一个城市的经济、社会发生演进、变化和发展的。这是城市经济研究的一种新的方法。
在一个存在交易成本和制度变迁的城市制度观下,本文延伸研究了人口和土地对产业集聚、城市空间变化、城市经济增长产生的重大影响。文章对人口迁移过程和土地交易过程当中产生的交易成本作了分析、归类和总结,通过实例证实人口、土地制度创新对降低城市交易成本、促进城市资源优化配置和城市发展的重要性和必要性,若干结论有一定的现实应用价值。
文章还首次考察了交易成本的空间异质性对城市规模、城市层级体系的关系。指出交易成本空间异质性主要通过制度结构均衡的变化、生产方式的变迁和资源禀赋效应的强化三种方式形成,引入了运输成本和产业关联性两个变量解释交易成本空间异质性与城市群形成的内在联系,并以长三角城市群为例作了实证研究,试图用交易成本的空间异质性解释城市群形成和演化过程。
文章还提出了把城市化作为转型经济空间组织战略的政策建议。通过空间组织成本的降低,为未来中国可持续增长寻找源泉：将制度创新和完善,作为下一轮城市发展的重点和依托；不失时机地推进人口和土地制度改革,为城市化消除制度障碍；强调城市竞争,归根到底是制度的竞争等等建议,都是依据城市的制度分析逻辑而得出的若干观点。
本文的研究方法也具一定新意。回到李嘉图和马克思开创的传统上,采用一种演绎的实证分析方法,首先将城市的起源抽象为交易,然后从这个抽象的概念出发,全面建构城市制度观和制度分析框架,在交易—集聚—制度—城市—城市群之间建立起了一种逻辑联系。特别是通过对城市演变的分析,揭示了交易集聚——人类空间组织制度的革命——城乡的历史性分野和制度演化,由此提出的研究结果具有较强的理论和实践创新性。
Through a historically empirical research on the significance of the urban economy, this paper attempts to further reveal the institutional essence of the city as a human economic and social order, as well as interpreting a new institutional concept on urban and an analytical framework. Besides, it puts forwards some policy recommendations on urban development, population and land, which provides a new perspective on the theory and practice of urban economics.
This paper systematically analyzes the urban economics research ever existing, and draws on the analysis of institutional economics, economic geography and other disciplines. Economics of the modern city is really a cross-discipline. While in the era of new economic geography, subject analysis paradigm has made a critical breakthrough in becoming an integration of the mainstream economics. But it is still in lack of a unified definition on urban, as well as the general sense of urban sources abstracted. Confined to the dogma of the space and transportation costs, it got stuck in the description of the phenomenon of agglomeration economies. However, urban science or space science did not fully disclose the transactions start and secondary attributes on the social order of the urban, which leads to a lack of explanatory power to the real world.
Urban is the human spatial order in presence of trading centralized. While transaction origin of urban has been consensus for a long time, it is an innovative perspective to extend the concept of transaction and abstract it into the unity of urban origin. This paper argues that the Transaction not only engender the order for the Market in the history of mankind. As a matter of fact, the agglomeration of transaction produces another order - spatial order. Therefore, this order or the institution is so-called Urban. Based on this historical and theoretical logic, this article gives the definition of Urban:Urban is a spontaneous spatial order linked by various transaction rules, beliefs, approaches and transaction participants. It is an institution of human space fabric on the basis of saving transaction costs and achieve agglomeration economies. Furthermore, it is also an institution combinations protecting and forming the transactions aggregated. This definition of urban is not only institutionalism. but also an abstraction and generalization of urban phenomenon, which involves a general sense beyond the disciplinary barriers,
This paper insights a more innovative view that the city is a collection of institutions. It analyses a framework of urban institution on the basis of the transaction, which includes the transaction of urban, transaction participants, transaction costs, transaction system, etc. What's more, it puts light on the formation of the urban, the scale changes and space expand through the institution concept of the urban. By using the transaction and institution analysis tools, it explains what the institution collection the urban is. And it answers the question that what kinds of institution constraint, institution changes or institution innovations incite the evolutions, changes and development of the economy of the urban and the society. This is a new research approach to urban economics.
This paper extends to consider the significant impact on the agglomeration of industries, changes in urban space, urban economic growth generated by population and land. It explains, classifies, and summarizes the transaction costs incurred by the process of population migration and land transaction. Through some instances, it also confirms the importance and necessity that population, innovation of land institution reduces the transaction cost of urban, optimize the allocation of resources and the urban development. Some of these conclusions serve as guidance to the reality.
The article first examines the relationship between the spatial heterogeneity of the transaction costs and the size and the level system of the urban. It demonstrates that the space heterogeneity of transaction costs is formed from three manners: changes of the equilibrium of institution structure, changes of the production mode, and the enhanced effect of the resource endowment. It introduces two variables to explain the intrinsic relationship between the spatial heterogeneity and the formation of urban groups, which are transaction costs and industrial relevance. Furthermore, it attempts to resolve the formation and evolution of urban groups via an empirical research on the urban agglomeration, which takes the Yangtze River Delta as an example.
The article also poses a policy recommendation that we should take urbanization as a strategy of economic and spatial organization transition. Through reducing the cost of space organization, we can find the resources for sustainable development in future China; it is proposed to make more innovations and improvement to the institutions, which would be the focal point and solid foundation of urban development next round; We should also seize the opportunity to promote the reform of population and land, eliminating the institutional barriers to urbanization:the essence of urban competition is institution competition, etc. These are some important views based on the logic of institution analysis of the urban.
The research method is also novel. Based on the tradition of Ricardo and Marx, this article employs an interpretation of empirical analysis. Firstly it abstracts the origin of the urban into transaction. Starting from this abstracted concept, it constructs the concept of urban institution and institutional framework comprehensively, as well as establishing a logical relationship among the transaction-agglomerations-the institution-urban-urban system. In particular, through the analysis of urban evolution, it reveals the transaction agglomerations-the revolution of institutions of human spatial order-the historic dividing line between urban and rural areas and the institution evolution, therefore, the results proposed from this research have a strong theoretical and practical innovative.
本论文系统梳理了城市经济学已有的研究成果,并借鉴了制度经济学、经济地理学等学科的分析方法。现代城市经济学是一门交叉学科,虽然在新经济地理学的时代,学科分析范式在融入主流经济学方面取得了重大突破,但仍没有形成统一的城市定义,也没有抽象出城市来源的一般意义。由于囿于空间和运输成本的教条,止步于关于集聚经济的现象描述,城市科学或空间科学没有充分认识城市的交易起点和自生的社会秩序属性,因此缺乏对真实世界的解释能力。
城市是交易集中化带来的人类空间秩序。交易作为城市的起源之一早已为人所识,但将交易概念拓展并抽象为城市的统一起源,却是本文的一个创新观点。交易不仅在人类历史上创造了市场秩序,而且自生自发了空间的秩序,这种秩序或者说制度就是城市。基于这样的历史和理论逻辑。文章给出的城市定义是：城市是由各种交易规则、信念、方式和各种交易主体一起联结起来的自发空间秩序,是一种节省交易成本和实现集聚经济为基础的人类空间组织制度,是保障和形成集聚化交易的制度集合体。这个城市的定义是新制度主义的,也是对城市现象一般化的抽象和概括,具有超越学科樊篱的价值和意义。
城市是一种制度集合体,是文章更进一步的创新观点。本文在交易分析基础上演绎出的城市制度分析框架,包括了城市的交易、交易主体、交易成本、交易制度体系等等分析范畴,并且通过城市的制度观,解释城市的形成、规模的变化、空间的拓展。文章利用交易和制度分析工具,回答城市是一个什么样的制度集合体,是通过怎样的制度约束、制度变迁或是制度创新而使一个城市的经济、社会发生演进、变化和发展的。这是城市经济研究的一种新的方法。
在一个存在交易成本和制度变迁的城市制度观下,本文延伸研究了人口和土地对产业集聚、城市空间变化、城市经济增长产生的重大影响。文章对人口迁移过程和土地交易过程当中产生的交易成本作了分析、归类和总结,通过实例证实人口、土地制度创新对降低城市交易成本、促进城市资源优化配置和城市发展的重要性和必要性,若干结论有一定的现实应用价值。
文章还首次考察了交易成本的空间异质性对城市规模、城市层级体系的关系。指出交易成本空间异质性主要通过制度结构均衡的变化、生产方式的变迁和资源禀赋效应的强化三种方式形成,引入了运输成本和产业关联性两个变量解释交易成本空间异质性与城市群形成的内在联系,并以长三角城市群为例作了实证研究,试图用交易成本的空间异质性解释城市群形成和演化过程。
文章还提出了把城市化作为转型经济空间组织战略的政策建议。通过空间组织成本的降低,为未来中国可持续增长寻找源泉：将制度创新和完善,作为下一轮城市发展的重点和依托；不失时机地推进人口和土地制度改革,为城市化消除制度障碍；强调城市竞争,归根到底是制度的竞争等等建议,都是依据城市的制度分析逻辑而得出的若干观点。
本文的研究方法也具一定新意。回到李嘉图和马克思开创的传统上,采用一种演绎的实证分析方法,首先将城市的起源抽象为交易,然后从这个抽象的概念出发,全面建构城市制度观和制度分析框架,在交易—集聚—制度—城市—城市群之间建立起了一种逻辑联系。特别是通过对城市演变的分析,揭示了交易集聚——人类空间组织制度的革命——城乡的历史性分野和制度演化,由此提出的研究结果具有较强的理论和实践创新性。
Through a historically empirical research on the significance of the urban economy, this paper attempts to further reveal the institutional essence of the city as a human economic and social order, as well as interpreting a new institutional concept on urban and an analytical framework. Besides, it puts forwards some policy recommendations on urban development, population and land, which provides a new perspective on the theory and practice of urban economics.
This paper systematically analyzes the urban economics research ever existing, and draws on the analysis of institutional economics, economic geography and other disciplines. Economics of the modern city is really a cross-discipline. While in the era of new economic geography, subject analysis paradigm has made a critical breakthrough in becoming an integration of the mainstream economics. But it is still in lack of a unified definition on urban, as well as the general sense of urban sources abstracted. Confined to the dogma of the space and transportation costs, it got stuck in the description of the phenomenon of agglomeration economies. However, urban science or space science did not fully disclose the transactions start and secondary attributes on the social order of the urban, which leads to a lack of explanatory power to the real world.
Urban is the human spatial order in presence of trading centralized. While transaction origin of urban has been consensus for a long time, it is an innovative perspective to extend the concept of transaction and abstract it into the unity of urban origin. This paper argues that the Transaction not only engender the order for the Market in the history of mankind. As a matter of fact, the agglomeration of transaction produces another order - spatial order. Therefore, this order or the institution is so-called Urban. Based on this historical and theoretical logic, this article gives the definition of Urban:Urban is a spontaneous spatial order linked by various transaction rules, beliefs, approaches and transaction participants. It is an institution of human space fabric on the basis of saving transaction costs and achieve agglomeration economies. Furthermore, it is also an institution combinations protecting and forming the transactions aggregated. This definition of urban is not only institutionalism. but also an abstraction and generalization of urban phenomenon, which involves a general sense beyond the disciplinary barriers,
This paper insights a more innovative view that the city is a collection of institutions. It analyses a framework of urban institution on the basis of the transaction, which includes the transaction of urban, transaction participants, transaction costs, transaction system, etc. What's more, it puts light on the formation of the urban, the scale changes and space expand through the institution concept of the urban. By using the transaction and institution analysis tools, it explains what the institution collection the urban is. And it answers the question that what kinds of institution constraint, institution changes or institution innovations incite the evolutions, changes and development of the economy of the urban and the society. This is a new research approach to urban economics.
This paper extends to consider the significant impact on the agglomeration of industries, changes in urban space, urban economic growth generated by population and land. It explains, classifies, and summarizes the transaction costs incurred by the process of population migration and land transaction. Through some instances, it also confirms the importance and necessity that population, innovation of land institution reduces the transaction cost of urban, optimize the allocation of resources and the urban development. Some of these conclusions serve as guidance to the reality.
The article first examines the relationship between the spatial heterogeneity of the transaction costs and the size and the level system of the urban. It demonstrates that the space heterogeneity of transaction costs is formed from three manners: changes of the equilibrium of institution structure, changes of the production mode, and the enhanced effect of the resource endowment. It introduces two variables to explain the intrinsic relationship between the spatial heterogeneity and the formation of urban groups, which are transaction costs and industrial relevance. Furthermore, it attempts to resolve the formation and evolution of urban groups via an empirical research on the urban agglomeration, which takes the Yangtze River Delta as an example.
The article also poses a policy recommendation that we should take urbanization as a strategy of economic and spatial organization transition. Through reducing the cost of space organization, we can find the resources for sustainable development in future China; it is proposed to make more innovations and improvement to the institutions, which would be the focal point and solid foundation of urban development next round; We should also seize the opportunity to promote the reform of population and land, eliminating the institutional barriers to urbanization:the essence of urban competition is institution competition, etc. These are some important views based on the logic of institution analysis of the urban.
The research method is also novel. Based on the tradition of Ricardo and Marx, this article employs an interpretation of empirical analysis. Firstly it abstracts the origin of the urban into transaction. Starting from this abstracted concept, it constructs the concept of urban institution and institutional framework comprehensively, as well as establishing a logical relationship among the transaction-agglomerations-the institution-urban-urban system. In particular, through the analysis of urban evolution, it reveals the transaction agglomerations-the revolution of institutions of human spatial order-the historic dividing line between urban and rural areas and the institution evolution, therefore, the results proposed from this research have a strong theoretical and practical innovative.
引文
2 Ottaviano and Thisse,Comment on "Agglomeration and Economic Geography"
3米尔斯主编.区域与城市经济学手册.第2卷[M].郝寿义等译.北京：经济科学出版社.2003年.第1页.
8参见尤建新.城市定义的发展[J].上海管理科学.2006年第三期.第67-69页
9[美]奥莎利文.城市经济学fMl.周京奎译.北京：北京大学出版社.2008
10 Encyclopedia Britannica Online.City. http://www.britannica.com/EBchecked/topic/118952/city访问时间：2012-05-29.
11中国社会科学院语言研究所词典编辑室编,《现代汉语词典》.(北京)商务印书馆.2007年.第176页
12[德]韦伯：《非正当性的支配—城市类型学》,康乐、简惠美译,桂林：广西师范大学出版社,2005,P3-4
13中共中央编译局.《马克思恩格斯文集》第1卷.北京：人民出版社.2009年.第556页
14[英]·帕迪森编郭爱军王贻志等校译,城市研究手册,上海：格致出版社：上海人民出版社,2009,P37
15冯云廷.城市经济学[M].3版.大连：东北财经大学出版社,2011
16利罕.文学中的城市：知识与文化的历史[M].吴子枫译.上海：上海人民出版社,2009,利罕进一步认为、三种原始的机构在城市中产生了：寺庙、城堡和集市。这三种机构既是城市的需求,又是城市的起源。
17转自尤建新：城市定义的发展[J],《上海管理科学》.2006(3)：67-69
18从中我们可以得出一个关于城市的新经济地理学理解：报酬递增和集聚经济产生并推动了城市的形成发展,但地理空间成本和负的外部经济制约了报酬递增,结果城市就是在报酬递增和空间运输成本之间的矛盾运动中存在和演化发展。
19藤田昌久和雅克-弗朗科斯·蒂斯在他们的《集聚经济学》中,只是在下注中说明“‘城市’一词在本书中始终是指一个完整的市区范围,我们将采用‘城市’、‘都市地区’、‘市区’等可相互交换的词表达。
20吴建峰、周伟林、郝前进2012年2月29日发表在中国社会科学报的“现代城市经济学：兴起、发展与新方向”一文中指出,随着发展中国家城市化进程的加快,制度改革和地方治理将成为新城市经济学未来的发展方向。
21成德宁.城市化与经济发展——理论、模式与政策[M].北京：科学出版社,2004,第20页
22赵燕菁还力图证明,制度是城市发展内在的“隐秩序”(hide order) [2],是城市生长的DNA。城市兴亡过程中的“物竞天择”,很大程度上取决于制度的优劣。
25资料来源：吴德进.产业集群论,社会科学出版社,2006
26藤田昌久、克鲁格曼、维纳布尔斯著.《空间经济学》.梁琦主译.北京：中国人民大学出版社.2011.第10页
27亚当斯密著.《国民财富的性质和原因的研究》.郭大力,王亚南译.商务印书馆.1972
28本章主要内容将在《浙江大学学报(人文社科版)》2012年5月在线发表。
29[美]芒福德.城市发展史——起源、演变和前景.宋俊岭、倪文彦译.北京：中国建筑工业出版社,2006.P7
30奥莎利文.城市经济学[M].周京奎译.北京：北京大学出版社,2008,第17页,由于下面的分析有相同的来源,引用不再逐条注明。
32雅各布斯.城市经济[M].项婷婷译.北京：中信出版社,2007,P26
33科斯、威廉姆森和其他新制度学者都强调交易的重要性,但在相关文献中并不存在一个统一的或主导性的定义(Greif,2006)。
37格雷夫(2006)提出“交易”可以包括政治、经济和社会交易,但他并没有赋与这一分类以分析意义。
44对套牢问题的讨论可参见Klein, Crawford and Alchian (1978)、Williamson (1985)和Hart (1995)。
45邓正来.关于哈耶克理论脉络的若干评注[J].开放时代.2001年第7期,第7页。
46哈耶克语,参见邓正来.哈耶克读本[M].北京：北京大学出版社,2010年版.第146-147页。
56来源：[美]]丁成日,土地政策改革时期的城市空间发展：北京的实证分析.城市发展研究.2006.2.第47页
61数据来自重庆市政府公众信息网(http://www.cq.gov.cn)和《新重庆》2009年调查报告。
62定义和政策引自《重庆农村土地交易所管理暂行办法》(渝府发[2008]127)。
63材料出自《经济参考报》,发布日期：2010-08-18。
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15冯云廷.城市经济学[M].3版.大连：东北财经大学出版社,2011
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17转自尤建新：城市定义的发展[J],《上海管理科学》.2006(3)：67-69
18从中我们可以得出一个关于城市的新经济地理学理解：报酬递增和集聚经济产生并推动了城市的形成发展,但地理空间成本和负的外部经济制约了报酬递增,结果城市就是在报酬递增和空间运输成本之间的矛盾运动中存在和演化发展。
19藤田昌久和雅克-弗朗科斯·蒂斯在他们的《集聚经济学》中,只是在下注中说明“‘城市’一词在本书中始终是指一个完整的市区范围,我们将采用‘城市’、‘都市地区’、‘市区’等可相互交换的词表达。
20吴建峰、周伟林、郝前进2012年2月29日发表在中国社会科学报的“现代城市经济学：兴起、发展与新方向”一文中指出,随着发展中国家城市化进程的加快,制度改革和地方治理将成为新城市经济学未来的发展方向。
21成德宁.城市化与经济发展——理论、模式与政策[M].北京：科学出版社,2004,第20页
22赵燕菁还力图证明,制度是城市发展内在的“隐秩序”(hide order) [2],是城市生长的DNA。城市兴亡过程中的“物竞天择”,很大程度上取决于制度的优劣。
25资料来源：吴德进.产业集群论,社会科学出版社,2006
26藤田昌久、克鲁格曼、维纳布尔斯著.《空间经济学》.梁琦主译.北京：中国人民大学出版社.2011.第10页
27亚当斯密著.《国民财富的性质和原因的研究》.郭大力,王亚南译.商务印书馆.1972
28本章主要内容将在《浙江大学学报(人文社科版)》2012年5月在线发表。
29[美]芒福德.城市发展史——起源、演变和前景.宋俊岭、倪文彦译.北京：中国建筑工业出版社,2006.P7
30奥莎利文.城市经济学[M].周京奎译.北京：北京大学出版社,2008,第17页,由于下面的分析有相同的来源,引用不再逐条注明。
32雅各布斯.城市经济[M].项婷婷译.北京：中信出版社,2007,P26
33科斯、威廉姆森和其他新制度学者都强调交易的重要性,但在相关文献中并不存在一个统一的或主导性的定义(Greif,2006)。
37格雷夫(2006)提出“交易”可以包括政治、经济和社会交易,但他并没有赋与这一分类以分析意义。
44对套牢问题的讨论可参见Klein, Crawford and Alchian (1978)、Williamson (1985)和Hart (1995)。
45邓正来.关于哈耶克理论脉络的若干评注[J].开放时代.2001年第7期,第7页。
46哈耶克语,参见邓正来.哈耶克读本[M].北京：北京大学出版社,2010年版.第146-147页。
56来源：[美]]丁成日,土地政策改革时期的城市空间发展：北京的实证分析.城市发展研究.2006.2.第47页
61数据来自重庆市政府公众信息网(http://www.cq.gov.cn)和《新重庆》2009年调查报告。
62定义和政策引自《重庆农村土地交易所管理暂行办法》(渝府发[2008]127)。
63材料出自《经济参考报》,发布日期：2010-08-18。
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