制度变迁背景下上海居住空间结构演化研究
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摘要
城市居住空间结构一直是城市地理学的重要研究领域。在经济社会转型及全球化背景下,我国的城市空间处于深刻而迅速的变革之中,城市居住空间结构演化机理发生变化。根据我国现行制度框架,制度成为塑造城市空间结构的重要要素。本文在总结制度与居住空间结构演化一般机理的基础上,以上海市中心城区为研究对象,采用因子分析法、聚类分析法、主成分分析法,同时结合GIS绘图技术,对上海市解放前、计划经济时期、改革开放以来城市居住空间的形态特征、社会空间,以及制度对居住空间结构演进机制进行了探讨,并对国外转型城市居住空间结构发生的变化进行总结,从其制度成因角度探求转型期城市居住空间结构演化的共有规律,最后提出解决居住空间结构现存问题的措施与建议。
全文按照“一般规律总结——上海居住空间结构演化历程——制度成因——中外对比”这一主线,可分成四大部分。
第一部分包括第一、二章,在总结国内外研究进展的基础上,从城市居住空间结构的概念入手,指出城市居住空间结构演化机制分成自上而下和自下而上两种,我国现阶段的制度框架使自上而下型机制对居住空间的影响尤其突出。
第二部分包括第三、四章,对解放前、计划经济时期、改革开放以来上海市居住空间结构的演化过程进行总结。计划经济时期上海市居住空间形态特征主要体现为：紧凑的空间形态；工业扩张成为居住空间扩展的根本动力；“职、居”接近使“单位”成为居住空间的细胞元；以标准化“工房”作为主要的住宅形式；均质化的居住空间,居住条件普遍较差。计划经济时期的社会空间特征表现为“单位”内的同质化与单位间的异质化现象,即职业上的空间分异。改革开放以来,上海居住空间的总体形态表现为：(1)居住空间急剧外延扩张；(2)总体上城市居住空间结构呈同心圆状圈层结构；(3)高档社区集中于市中心与城市的东西轴线；(4)中低档社区集中于北侧外环线附近；(5)居住密度自城市中心向外围梯状递减(6)总体上仍表现为“大混居,小聚居”的特征。上海市居住空间的演化过程是旧城改造中豪华住宅区嵌入中心区老住宅区的过程,是城市扩张中新住宅区的填充过程与豪华住宅区的形成过程。
第三部分包括第五章,在理解影响城市居住空间结构的一般因子基础上,利用主成分分析,找出影响上海居住空间结构的主导驱动因子。主成分分析的结果表明,土地政策因素是影响城市居住空间结构的最重要因素,其次为经济因素、人口增长、管理政策因素。在此基础之上,论文沿着旧城改造与城市扩展两条主线探讨上述制度政策对居住空间结构的具体影响。本文认为政府的企业化管理模式及企业化战略措施是影响城市空间结构的最本质原因。政府的企业化战略体现为：(1)为促进经济增长,过分透支房地产业的发展；(2)通过土地出让金获得地方财政收入；(3)把塑造城市形象作为吸引外来资本的手段。为保证这些战略的实现,政府直接主导旧城改造。在城市扩张当中政府的企业化战略体现为：开发区、商务区的修建引导了城市的拓展方向,并带动新居住区的形成；直接在开发区周边规划、建设国际社区,以此作为吸引国际直接投资的手段。政府一系列向资本倾斜的政策给上海市居住空间带来的问题包括：房价高涨引发社会问题；居住绅士化对中低收入居民的驱逐和排挤；拆迁与安置导致空间公正的缺失；中心区用地的商业化与居住职能淡化。
第四部分为中外对比分析部分,包括论文的第六章。对中东欧转型期城市空间结构与居住空间结构的演化进行总结,并对其居住空间结构及制度变迁与我国进行了对比,认为我国的制度变迁存在独特性,主要体现为：“强政府、弱社会”的社会氛围使行政权力被放大；渐进式改革过程中政府仍保留主要权力；渐进式土地制度改革使地方政府与企业结成联盟。
根据以上研究,本文认为解决目前政策缺陷的根本措施是要促进政府管理模式由管治向治理的转化。具体的措施包括：明确政府职能；建立土地出让金专款专用制度；引入物业税降低政府对土地出让金的依赖；完善中低收入家庭住房保障制度；充分发挥非政府组织的作用；促进城市规划作用的理性回归。
Residential spatial structure of cities has long been a research focus of urban geography. Under the background of social and economic transition as well as globalization, great and rapid changes have occurred in the urban space of China. The mechanism of urban spatial structure evolvement is also in the process of rapid changing. In the present institutional framework of China, institution has become a major factor sculpturing the urban space. Based on a summarization on general mechanism of residential space and institution, this thesis uses factor analysis, cluster analysis and principal analysis as well as GIS mapping technology to discuss the spatial forms, the social spaces and the impacts of institutional components on Shanghai residential space during 3 different institutional eras:before the liberation, era of command-based economy, and era of transition. Further, this thesis makes a summarization on residential spatial structure changes of CEE (Central and East Europe) countries and highlights the institutional roots of residential spatial problems in the hope of bringing enlightenment to China. Finally, this thesis proposes the countermeasures to solve the problems existed in present residential spatial structure of Chinese cities.
Following the line of general mechanism summarization-development process of Shanghai residential spatial structure-institutional root-comparison analysis of China and abroad, this thesis can be divided into four parts.
The first part includes chapter 1 and chapter 2. Based on a literature review on present research, this thesis starts with a definition on residential spatial structure of cities, putting forward that dual mechanisms exist during the evolvement of residential structure, i.e. a top-down mechanism and a bottom-up mechanism. The present institutional framework of China, however, enables the top-down mechanism to have much stronger influences on the development of urban spatial structure.
The second part includes chapter 3 and chapter 4. This part makes a summarization on Shanghai's residential spatial structure development during 3 different institutional eras. During command-oriented economy, the characteristics of Shanghai residential spatial structure can be expressed as:compact spatial forms; industrial expansion is the basic motive of residential space changes; the urban planning principle of "minimizing the distance of working and living" enables "danwei" to become the cellular or residential space; the standard "workers'building" forms the main physical landscape; residential space is relatively homogeneous and the living conditions are commonly very low. Since the open-up policy, the overall feature of residential space can been expressed as:(1) residential space is expanded very quickly; (2) in the whole the concentric urban form is still evident; (3) luxury communities are mostly clustered in the downtown and the east-west axle; (4) the medium-price and low-price communities are mostly located in the northern edge; (5) the residential density decreases from the center to the periphery like camel back; (6) overall, the feature of "mixed in general while congregation in small areas" is evident. It's articulated that the process of Shanghai residential spatial structure changes is also the process of luxury community embedded into the old residential communities during urban downtown regeneration. It's also the process of new residential community filled in the peripheries and the process of luxury community formed during urban expansion.
The third part includes chapter 5. To understand the main motive driving the residential space evolvement, this part makes a principal analysis, the result of which shows that land policy is the most important driving force, and the next is economic factors, population growth, urban management polices. Though the main threads of urban regeneration and urban expansion, this part makes an explanation on the impacts of the institutional policies on residential spatial structure changes of Shanghai. It's put forward that the concept of urban entrepreneurism and the policies derived from such a concept are the main factor driving the urban spatial change. In Shanghai, the urban entrepreneurism can be seen:(1) to enhance economic development, the local government overdraws the development of the real estate industry; (2) to increase the governmental income, the local government relies heavily on selling urban lands. (3) reshaping urban image is taken as a main method to attract foreign capital. Those policies'impacts on residential spatial structure are:the establishment of development zones and business districts guide the direction of residential structure and lead to the location of new residential communities. The government also plans and builds international communities surrounding the development zones to attract foreign capital. Those policies results in a series of residential problems including social problems caused by the up surging housing price, residential gentrification as well as it's expellant effects on the low-and-medium income families; social injustice brought by residential dislocation, commercialization and resident emigration from the central area.
The fourth part includes chapter 6. In this part, the residential spatial structure changes of CEE countries are then summarized and a comparison study is conducted with China. It's concluded that the unique feature of institutional change in China is: the social environment of "strong government and weak society" enlarges the administrative power; the local government reserves the main power during gradual institutional change; the gradual reform of land institution enables the creation of a coalition between local government and the developers.
Based on the above analysis, this thesis considers that the countermeasure to solve the residential problems to change from government to governance. The exact measures include:to clarify the governmental function, to introduce property tax to alleviate the reliance on land income; to set up housing security system; to stimulate the negotiation role of non-governmental organizations; to enhance the rational return of urban planning.
全文按照“一般规律总结——上海居住空间结构演化历程——制度成因——中外对比”这一主线,可分成四大部分。
第一部分包括第一、二章,在总结国内外研究进展的基础上,从城市居住空间结构的概念入手,指出城市居住空间结构演化机制分成自上而下和自下而上两种,我国现阶段的制度框架使自上而下型机制对居住空间的影响尤其突出。
第二部分包括第三、四章,对解放前、计划经济时期、改革开放以来上海市居住空间结构的演化过程进行总结。计划经济时期上海市居住空间形态特征主要体现为：紧凑的空间形态；工业扩张成为居住空间扩展的根本动力；“职、居”接近使“单位”成为居住空间的细胞元；以标准化“工房”作为主要的住宅形式；均质化的居住空间,居住条件普遍较差。计划经济时期的社会空间特征表现为“单位”内的同质化与单位间的异质化现象,即职业上的空间分异。改革开放以来,上海居住空间的总体形态表现为：(1)居住空间急剧外延扩张；(2)总体上城市居住空间结构呈同心圆状圈层结构；(3)高档社区集中于市中心与城市的东西轴线；(4)中低档社区集中于北侧外环线附近；(5)居住密度自城市中心向外围梯状递减(6)总体上仍表现为“大混居,小聚居”的特征。上海市居住空间的演化过程是旧城改造中豪华住宅区嵌入中心区老住宅区的过程,是城市扩张中新住宅区的填充过程与豪华住宅区的形成过程。
第三部分包括第五章,在理解影响城市居住空间结构的一般因子基础上,利用主成分分析,找出影响上海居住空间结构的主导驱动因子。主成分分析的结果表明,土地政策因素是影响城市居住空间结构的最重要因素,其次为经济因素、人口增长、管理政策因素。在此基础之上,论文沿着旧城改造与城市扩展两条主线探讨上述制度政策对居住空间结构的具体影响。本文认为政府的企业化管理模式及企业化战略措施是影响城市空间结构的最本质原因。政府的企业化战略体现为：(1)为促进经济增长,过分透支房地产业的发展；(2)通过土地出让金获得地方财政收入；(3)把塑造城市形象作为吸引外来资本的手段。为保证这些战略的实现,政府直接主导旧城改造。在城市扩张当中政府的企业化战略体现为：开发区、商务区的修建引导了城市的拓展方向,并带动新居住区的形成；直接在开发区周边规划、建设国际社区,以此作为吸引国际直接投资的手段。政府一系列向资本倾斜的政策给上海市居住空间带来的问题包括：房价高涨引发社会问题；居住绅士化对中低收入居民的驱逐和排挤；拆迁与安置导致空间公正的缺失；中心区用地的商业化与居住职能淡化。
第四部分为中外对比分析部分,包括论文的第六章。对中东欧转型期城市空间结构与居住空间结构的演化进行总结,并对其居住空间结构及制度变迁与我国进行了对比,认为我国的制度变迁存在独特性,主要体现为：“强政府、弱社会”的社会氛围使行政权力被放大；渐进式改革过程中政府仍保留主要权力；渐进式土地制度改革使地方政府与企业结成联盟。
根据以上研究,本文认为解决目前政策缺陷的根本措施是要促进政府管理模式由管治向治理的转化。具体的措施包括：明确政府职能；建立土地出让金专款专用制度；引入物业税降低政府对土地出让金的依赖；完善中低收入家庭住房保障制度；充分发挥非政府组织的作用；促进城市规划作用的理性回归。
Residential spatial structure of cities has long been a research focus of urban geography. Under the background of social and economic transition as well as globalization, great and rapid changes have occurred in the urban space of China. The mechanism of urban spatial structure evolvement is also in the process of rapid changing. In the present institutional framework of China, institution has become a major factor sculpturing the urban space. Based on a summarization on general mechanism of residential space and institution, this thesis uses factor analysis, cluster analysis and principal analysis as well as GIS mapping technology to discuss the spatial forms, the social spaces and the impacts of institutional components on Shanghai residential space during 3 different institutional eras:before the liberation, era of command-based economy, and era of transition. Further, this thesis makes a summarization on residential spatial structure changes of CEE (Central and East Europe) countries and highlights the institutional roots of residential spatial problems in the hope of bringing enlightenment to China. Finally, this thesis proposes the countermeasures to solve the problems existed in present residential spatial structure of Chinese cities.
Following the line of general mechanism summarization-development process of Shanghai residential spatial structure-institutional root-comparison analysis of China and abroad, this thesis can be divided into four parts.
The first part includes chapter 1 and chapter 2. Based on a literature review on present research, this thesis starts with a definition on residential spatial structure of cities, putting forward that dual mechanisms exist during the evolvement of residential structure, i.e. a top-down mechanism and a bottom-up mechanism. The present institutional framework of China, however, enables the top-down mechanism to have much stronger influences on the development of urban spatial structure.
The second part includes chapter 3 and chapter 4. This part makes a summarization on Shanghai's residential spatial structure development during 3 different institutional eras. During command-oriented economy, the characteristics of Shanghai residential spatial structure can be expressed as:compact spatial forms; industrial expansion is the basic motive of residential space changes; the urban planning principle of "minimizing the distance of working and living" enables "danwei" to become the cellular or residential space; the standard "workers'building" forms the main physical landscape; residential space is relatively homogeneous and the living conditions are commonly very low. Since the open-up policy, the overall feature of residential space can been expressed as:(1) residential space is expanded very quickly; (2) in the whole the concentric urban form is still evident; (3) luxury communities are mostly clustered in the downtown and the east-west axle; (4) the medium-price and low-price communities are mostly located in the northern edge; (5) the residential density decreases from the center to the periphery like camel back; (6) overall, the feature of "mixed in general while congregation in small areas" is evident. It's articulated that the process of Shanghai residential spatial structure changes is also the process of luxury community embedded into the old residential communities during urban downtown regeneration. It's also the process of new residential community filled in the peripheries and the process of luxury community formed during urban expansion.
The third part includes chapter 5. To understand the main motive driving the residential space evolvement, this part makes a principal analysis, the result of which shows that land policy is the most important driving force, and the next is economic factors, population growth, urban management polices. Though the main threads of urban regeneration and urban expansion, this part makes an explanation on the impacts of the institutional policies on residential spatial structure changes of Shanghai. It's put forward that the concept of urban entrepreneurism and the policies derived from such a concept are the main factor driving the urban spatial change. In Shanghai, the urban entrepreneurism can be seen:(1) to enhance economic development, the local government overdraws the development of the real estate industry; (2) to increase the governmental income, the local government relies heavily on selling urban lands. (3) reshaping urban image is taken as a main method to attract foreign capital. Those policies'impacts on residential spatial structure are:the establishment of development zones and business districts guide the direction of residential structure and lead to the location of new residential communities. The government also plans and builds international communities surrounding the development zones to attract foreign capital. Those policies results in a series of residential problems including social problems caused by the up surging housing price, residential gentrification as well as it's expellant effects on the low-and-medium income families; social injustice brought by residential dislocation, commercialization and resident emigration from the central area.
The fourth part includes chapter 6. In this part, the residential spatial structure changes of CEE countries are then summarized and a comparison study is conducted with China. It's concluded that the unique feature of institutional change in China is: the social environment of "strong government and weak society" enlarges the administrative power; the local government reserves the main power during gradual institutional change; the gradual reform of land institution enables the creation of a coalition between local government and the developers.
Based on the above analysis, this thesis considers that the countermeasure to solve the residential problems to change from government to governance. The exact measures include:to clarify the governmental function, to introduce property tax to alleviate the reliance on land income; to set up housing security system; to stimulate the negotiation role of non-governmental organizations; to enhance the rational return of urban planning.
引文
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