【作者】 周群艳；

【导师】 田澎；

【作者基本信息】 上海交通大学 ， 管理科学与工程， 2006， 博士

【摘要】 在经济全球化的背景下,世界经济的发展、国家间的竞争,越来越多地体现在国家的下一个层面——区域的发展和竞争上。目前,区域已经充当了国家乃至全球经济发展的引擎,成为参与全球竞争的重要战略实体。在我国,区域竞争力的整体提升已越来越成为国家战略的重要组成部分。区域竞争力的研究从理论上讲一方面开拓了区域经济学的研究视野,另一方面也丰富和发展了竞争理论的内容;从实践上讲它是新时代区域经济发展的现实需要,对提升企业、城市、区域乃至国家竞争力具有重要的指导意义。虽然区域竞争力的研究已受到国内外理论和实践界的普遍关注,但是系统深入的理论研究并不多见。缺乏系统深入的理论指导,必将影响实践的成效。本论文创新性地引入系统论的思想和原理,对区域竞争力进行深层理论的探讨,运用现代系统分析方法,从区域竞争力内涵的界定入手,对区域竞争力的形成机理、影响因素、测评指标体系以及测评方法进行了研究,并以我国三大都市圈为对象进行实证分析,进而提出了关于提升区域竞争力的几点思考。本文的研究主要从以下几个方面展开:1.介绍研究背景并提出需要解决的问题。伴随着经济全球化的进程和全球竞争加剧的趋势,次国家级的区域已经迎来了全球竞争的新时期。国与国之间的竞争成败,主要取决于一国内典型区域的竞争能力。因此,我国的区域经济面临着整体竞争力提升的挑战。而建立在经济学和管理学理论基础上的区域竞争力研究不足以很好地把握区域竞争力的本质,因而难以从根本上提出提升区域竞争力的对策。本文引入系统论的思想和原理,运用现代系统分析方法,对区域竞争力的内涵、形成机理、影响因素、测评指标体系、测评方法以及提升措施进行研究,以弥补现有研究中存在的不足。2.对国内外区域竞争力研究现状进行综述。目前该领域的研究主要集中在区域竞争力的内涵、形成机理、影响因素、评价指标体系的构建和评价方法的选择,以及区域竞争力的现状分析和提升措施这几个方面,并取得了一定的成果。但区域竞争力的研究尚未形成比较完整的理论体系,而且这些研究基本上都是从经济学和管理学的角度进行的,在一定程度上对于把握作为一个复杂大系统的区域经济其竞争力的本质还存在一定的局限性,因此区域竞争力研究不但在内容上需要有进一步深入的理论研究,在方法论方面更是焏待有新的建树。3.研究区域竞争力的内涵和形成机理,并构建区域竞争力系统理论模型。在对区域竞争力概念合理性的争论以及现有的区域竞争力概念进行辨析的基础上,本文根据区域的系统特征,从系统科学的角度将区域竞争力界定为“区域作为一个整体,以其内部城市间的动态网络关系及层次性递进为运行方式,通过它们之间的协同作用、相互配合形成的能为区域的整体绩效带来实质性功效的系统合力”。该定义不仅突出了区域竞争力的整体性特征,而且强调了区域经济系统的结构对区域竞争力的影响。然后,从两个角度对区域竞争力的形成机理进行了研究,第一,从系统经济学的角度,指出区域竞争力是由网点竞争力和体系竞争力相互作用、相互促进而共同形成的,其中体系竞争力是区域竞争力的核心。第二,从知识的角度,指出区域所拥有的知识是区域竞争力的本质来源,其中组份知识只能为区域提供暂时的竞争优势,而体系知识则是区域持续竞争优势的来源。最后,基于区域竞争力的内涵和形成机理的研究,建立了区域竞争力系统理论模型,即“区域竞争力树”。4.识别和分析区域竞争力的影响因素。根据系统方法论原理,提出区域竞争力影响因素确定所遵循的一套思路和方法。据此,首先对区域竞争力的影响因素进行理论推导,从有关理论中提取了它们对区域竞争力影响因素从不同角度的理解,然后对现有关于区域竞争力影响因素的研究成果进行归纳整理。在此基础上,依据系统论的整体性原理,结合区域竞争力形成机理的研究,从网点和体系两个角度探讨了区域竞争力的影响因素并对其进行了分析。其中网点竞争力的影响因素包括经济表现、商务效率、基础设施和政府作用,体系竞争力的影响因素包括资源集聚能力和经济整合能力。最后建立了区域竞争力的要素模型。5.构建区域竞争力测评指标体系,并研究其非线性测评方法和模型。在对区域竞争力评价理论进行研究的基础上,构建了一套包括目标层、准则层、因素层、子因素层和观测指标层共五层的区域竞争力评价指标体系。然后,对网络层次分析法(ANP)的原理和实现过程进行了介绍,该方法因为考虑了评价对象要素之间的相互依存关系,其非线性结构较好地反映了评价对象的系统本质和特征,比较适合于对区域竞争力的评价。最后根据区域竞争力各因素和指标之间的关系,使用ANP建立了区域竞争力的非线性测评模型。6.实证研究。在上述理论研究的基础上,本文选取长江三角洲、珠江三角洲和京津唐三个都市圈作为实证研究对象,分析了其竞争力的形成机理。经过问卷调查以及利用网络层次分析法(ANP)对上述三大都市圈的竞争力进行了分析和排序。结果表明,在区域竞争力的众多测评指标中,区域集聚效应、区域性基础设施接轨程度、区域品牌的知名度、城市间经济联系紧密度等指标对区域竞争力的影响较大。此研究结果证明体系竞争力是区域竞争力的核心和关键,从而验证了本论文理论框架的合理性和有效性。7.提出关于提升区域竞争力的几点思考。在一个整体区域里经济发展的系统特征日益明显的今天,区域竞争力的强弱主要取决于区域资源聚集与经济整合能力的大小,因而提升区域竞争力可考虑从以下几个方面入手:①加速区域网络化基础设施平台的建设;②完善有利于实现经济整合的机制建设;③加速区域政策制度一体化;④强化中心城市的功能;⑤调整区域产业结构,组建产业链和产业集群;⑥推进城市功能的定位与协调,完善区域(都市圈)的功能和结构体系。本文的创新之处本文将系统论的思想和原理引入区域竞争力的研究,运用现代系统分析方法对区域竞争力的内涵、形成机理及影响因素和测评进行了系统的研究,全文自始至终都贯穿了系统论的原理和方法。这是本文与其它区域竞争力研究的最大区别,也是本文最大的创新之处,具体体现为四个方面:1.从系统论的角度对区域竞争力的内涵进行了界定和分析。本文从区域竞争力研究的一个全新的视角,即系统论角度,将区域作为一个系统来研究,指出既要强调其各组成部分的作用,更要强调各组成部分之间的相互作用,在此基础上对区域竞争力进行了界定。该定义弥补了现有各种界定在对区域竞争力本质的把握中存在的不足。2.对区域竞争力的形成机理进行了研究,构建了区域竞争力系统理论模型,即“区域竞争力树”。本文从系统经济学角度指出区域竞争力是由网点竞争力和体系竞争力相互作用、相互促进而共同形成的,其中城市竞争的行为主体——企业和政府的活动及两者的互动形成网点竞争力;通过区域内各网点城市之间的竞争与合作关系的运作,产生各城市单独运作所不能产生的功能,表现为体系竞争力,其实质是区域经济系统的涌现性。“区域竞争力树”模型形象地描述了区域竞争力的内涵和形成机理,树的有机性恰如其分地反映了区域竞争力的系统特性。从而扩展和深化了现有对区域竞争力形成机理和理论模型的研究。3.对区域竞争力的影响因素进行了扩展和分析,并构建了区域竞争力的要素模型。根据系统方法论原理,首先对区域竞争力的影响因素进行理论推导,然后对实证研究成果进行归纳总结,最后,基于系统论的整体性原理,识别出区域竞争力的影响因素为经济表现、基础设施、商务效率、政府作用、资源集聚能力和经济整合能力,其中资源集聚能力和经济整合能力是体现了区域整体运作的涌现性规律的因素。区域竞争力的要素模型展示了区域竞争力各影响因素及其相互之间的关系。4.构建了区域竞争力测评指标体系,使用网络层次分析法(ANP)建立了区域竞争力非线性测评模型进而进行了分析与测评。该指标体系和测评方法同现有此类研究的不同之处主要体现在三个方面:一是该指标体系和测评方法所具有的非线性结构,更真实地反映了区域竞争力的系统特征;二是所有指标均是采用反映竞争力水平高低的比较单位,排除了规模因素导致的不可比性;三是作为区域竞争力指标体系的关键部分,该体系还包括了反映区域竞争力形成的涌现性规律的一系列指标。更多还原

【Abstract】 With the process of economic globalization, development of world economy and competition of countries has been more and more embodied by development and competition of sub-national regions. Region acts as the engine of global and national economy and becomes an important strategic entity to engage in the global competition. In China, enhancement of regional competitiveness has become an important part of national strategy. Research on regional competitiveness not only extends the research views of regional economies, but also enriches and develops the content of competition theory. Practically it is the realistic need of regional economic development in this new era, and can also guide the practice of enterprise, city, regional and even national competitiveness enhancement.Although research on regional competitiveness has received attention from theoretical and practical circles all over the world, there is seldom deep and systematically theoretic research on it, which has weakened effectiveness of practice. This dissertation innovatively introduces ideas of systems theory to explore the deep theory of regional competitiveness, from defining the connotation of regional competitiveness to probing into its formation mechanism,influencing factors, index system and evaluation methods using modern systematic analysis method. Finally positive study of three metropolitan regions in China is conducted, and several thought about enhancing regional competitiveness is proposed.Main contents:1. The background of research and problems need to be solved are introduced. With the economic globalization and more and more fierce global competition, sub-national regions have entered a new era of world competition. The result of competition between countries begins to depend on competitiveness of one country’s typical regions. Therefore, it is a challenge to enhance regional competitiveness. But research in this field based on economics and management theories is not enough to grasp the essence of regional competitiveness, so it is difficult to propose measures to enhance it radically. This dissertation introduces ideas of systems theory and explores modern systematic analysis method to study the connation, formation mechanism, influencing factors, evaluation index system, evaluation method and enhancement measures of regional competitiveness, in order to make up the deficiencies of existing studies.2. Literatures of regional competitiveness are reviewed. Researches in this field mainly concentrate on the connation, formation mechanism, influencing factors, index system construction, evaluation method selection, status analysis and enhancement measures of regional competitiveness, and many achievements have been made. But they haven’t formed a comparatively complete theoretical system, and from theories of economics and management it is difficult to grasp the essence of regional competitiveness with the regional economy being a complex system. So in this field not only further deep theoretical research but also new method is needed.3. The connation and formation mechanism of regional competitiveness are studied, and its theoretical model is developed. Based on the debate on reasonability of regional competitiveness and discrimination of existing definitions, from aspect of systems theory, this dissertation defines regional competitiveness as“systematic composition of forces formed through synergy and cooperation of region’s component cities, operating in the form of their dynamic network relationship and its increase by levels”. This definition not only underlines the wholeness characteristic of regional competitiveness, but also emphasizes the influence of the structure of regional economy system on it. Then the formation mechanism is studied from two angles. Firstly, from systems economics, it indicates that regional competitiveness results from interaction of location-based competitiveness and system-based competitiveness in which the latter is the core. Secondly, from aspect of knowledge, it indicates that regional knowledge is the essential source of regional competitiveness. Component knowledge can only provide temporary competitive advantage, but architectural knowledge is source of persistent competitive advantage. Based on the above study, a theoretical model is developed, which is“regional competitiveness tree”.4. The influencing factors of regional competitiveness are identified and analyzed. According to the principles of systems theory, a set of methodology is proposed to identify the influencing factors. Firstly, theoretical reasoning, which is, distilling the different understanding of influencing factors of regional competitiveness from relative theories, then summarize the existing research achievement. Based on that, the influencing factors of regional competitiveness are probed into from aspects of location and system using the wholeness principle of systems theory. The influencing factors of location-based competitiveness include economic performance, infrastructure, business efficiency and government, and those of system-based competitiveness include resources gathering capability and economic integration capability. At last, a factor model is constructed which visually demonstrates the influencing factors of regional competitiveness and relationship between them.5. An evaluation index system of regional competitiveness is constructed, and its nonlinear evaluation method and model are studied. Based on the study of its evaluation theory, an index system is constructed which includes 5 layers. Then the principle and realization process of Analytic Network Process (ANP) is introduced. This method considers the interdependence relationship of elements in a system, and its nonlinear structure can reflect the systematic essence, so it is proper to apply into the evaluation of regional competitiveness. Using ANP, a nonlinear evaluation model of regional competitiveness is constructed finally.6. Positive study. Taking Yangtse Delta, Pearl River Delta and Jingjintang metropolitan regions as objects of positive study, this dissertation analyzes the formation mechanism of their competitiveness, and also evaluates and ranks their competitiveness. It is suggested that the index including regional agglomeration effect, regional infrastructure, regional brand and economic relationship degree between cities influence regional competitiveness most. This result proves that system-based competitiveness is the core and key of regional competitiveness, and the reasonability and valid of this dissertation’s theoretical framework is validated.7. Several thoughts about measures to enhance regional competitiveness are proposed. With the systematic characteristic of regional economic development becomes more and more clear, regional competitiveness mainly depends on region’s resources gathering capability and economic integration capability, so the following measures to enhance regional competitiveness should be considered:①to speed the construction of regional infrastructure network;②to improve the mechanism construction which benefits regional economic integration;③to speed the regional policy and regulations integration;④to strengthen the function of its central city;⑤to adjust regional industry structure and develop industry chain and industrial cluster;⑥to advance the orientation and coordination of city’s function, and improve the function and structure system of (metropolitan) regions.Innovations:Systems theory is introduced into the research on regional competitiveness in this dissertation, and using modern systematic analysis method, the connation, formation mechanism, influencing factors and evaluation of regional competitiveness are researched systematically. The principles and method of systems theory cover the whole dissertation. This is what this dissertation differs from others most, and also its biggest innovation, which is embodied by the following four aspects:1. The connotation of regional competitiveness is defined and analyzed from the aspect of systems theory. From a new angle of view in research on regional competitiveness, that is systems theory, this dissertation studies the region as a system, indicates that the definition should not only emphasize the function of each part and also the interaction between them. The new definition makes up the deficiencies of existing definitions in grasping essence of regional competitiveness.2. The formation mechanism of regional competitiveness is researched, and its theoretical model is developed, which is“regional competitiveness tree”. It indicates that regional competitiveness results from interaction of location-based and system-based competitiveness from aspect of systems economics. Action and interaction of enterprises and government, the two actors of city competition, produces location-based competitiveness; and operation of cities’co-opetition relationship produces functions that no city can produce solely, which is system-based competitiveness, whose essence is emergence of regional economic system. The model of“regional competitiveness tree”describes the connation and formation mechanism visually, and the tree’s organic characteristic reflects the systematic character of regional competitiveness appropriately. So existing studies of formation mechanism and theoretical model of regional competitiveness are extended and deepened.3. The influencing factors of regional competitiveness are studied and extended, and its factor model is developed. Using principles of systems theory, theoretical reasoning for the influencing factors of regional competitiveness is conducted firstly. Secondly, achievements of positive studies are summarized. Then according to the wholeness principle of systems theory, the influencing factors are identified, which include economic performance, infrastructure, business efficiency, government, resources gathering capability and economic integration capability. Among them, resources gathering capability and economic integration capability are the factors that embody emergence of regional economic system. The factor model of regional competitiveness demonstrates all the influencing factors and their relationship.4. An index system of regional competitiveness is designed, and its nonlinear evaluation model is constructed using ANP. The main differences of this index system and evaluation method from others are: firstly, their nonlinear structure reflects the systematic characteristic of regional competitiveness more realistically; secondly, the index adopt comparative units and eliminate incomparability resulted from scale factors; thirdly, as the key part of regional competitiveness evaluation index system, a series of index that reflect emergence in regional competitiveness formation are included.更多还原