产业集聚、外部性与劳动生产率
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摘要
近年来,产业集聚现象吸引了城市与区域经济学等许多研究领域的关注,究其原因是因为产业集聚能带来较强的持续竞争力,是一种思考国家和区域竞争能力的新路径。关于这种持续竞争力的来源,Marshall(1920)强调外部经济的重要性,Weber(1929)把它归之为集聚经济,而Krugman(1991b)认为是报酬递增、运输成本和本地市场规模交互作用的结果。Porter(1990)则特别关注竞争的重要性。归根结底,外部经济是创造和保持产业集聚竞争优势的最重要的源泉。与此同时,已有的实证研究表明,我国已经进入产业集聚与区域经济发展密切关联的阶段,而且这种关联将随着时间的推移逐步加强。这促使我们去思考如下问题:(1)中国目前的制造业的区域集聚形成的内在机制是什么?即究竟是什么因素决定了中国各个制造行业不同的集聚程度?(2)各产业的空间分布模式对于各地区各产业的劳动生产率有着什么样的影响以及这种影响在行业之间是否存在显著差异?
对上述问题的思考构成了本文的一个研究动机。本文试图基于空间经济学的研究方法,从产业集聚与劳动生产率之间密切的互动关系出发,对地区经济增长源泉提供一个产业外部性的全新的解释。本文首先在对近年来中国制造业空间分布状况进行全面的经验描述的基础上,通过理论研究和计量分析相结合的方法对我国制造业集聚的形成机制,以及这种产业的集聚所带来的经济效应进行了考察,并提出了一些政策建议。
本论文共分为八章,每章的主要内容和研究结论如下:
第1章:导论。主要对本文的研究动机和背景、结构安排、研究目标、手段和方法、可能的创新点以及不足之处进行简要的介绍。
第2章:文献综述。该部分对产业集聚的理论和实证文献进行较为全面的梳理:理论上系统的回顾了与产业集聚相关的马歇尔的产业区理论、韦伯的工业区位理论、传统贸易理论、新贸易理论、新经济地理学以及波特的竞争理论等一系列理论,深入探讨了集聚经济的微观基础;同时对近期产业集聚存在性检验、产业集聚形成机制和集聚效应三个方面的实证研究文献进行了综述。
第3章:产业集聚现象测度方法的演变和新发展。产业集聚度与地理集中度是两不同的概念,Ellison和Glaeser(1997)建立的区域集聚系数充分考虑了企业规模及区域差异带来的影响,弥补了空间基尼系数的缺陷,使我们能够进行跨产业、跨地区的比较。此外,最新的Duranton和Overman(2005)基于距离提出的测度方法虽然满足了产业集聚测度的众多要求,但囿于对数据的要求过高,实用性不强。
第4章:中国制造业区域集聚的经验性描述。本章分别从二位数行业代码和四位数行业代码两层面,采用了一些传统和新发展的产业集聚水平的测度指标,对中国制造业的区域集聚状况进行经验性描述。我们研究发现,不论是二位数制造业还是四位数制造业,都存在不同程度的产业集聚,集聚水平在行业之间的存在显著差异。与此同时,中国28个二位数制造业内的四位数行业之间都存在不同程度的区域共同集聚。
第5章:产业集聚形成机制的研究。在传统的比较优势理论、新贸易理论、外部性理论以及对外贸易和地方保护主义这样一个相对完整的理论析框架下,检验了决定中国产业集聚现象的影响因素。研究发现,就中国现阶段的产业集聚而言,上述理论都在一定程度上很好的解释了中国制造业的集聚现象。比较优势仍是产业集聚形成的前提,且中国的比较优势依然在劳动密集型行业。产业一旦在特定区域形成集聚,规模经济效应的存在,会促进这种集聚趋势进一步的增强。同时,我们发现外商资本在沿海地区的集聚,进一步推动了外商资本密集度高的行业的集聚水平。本文还提供了较强的证据支持地方保护主义。
第6章:地方化经济、城市化经济与劳动生产率。在本部分,主要考察产业集聚的经济效应。集聚经济的本质就是外部经济,根据外部性理论,大量产业集中在特定的区域,通过共享基础设施、专业化的劳动力市场、中间投入品以及促进知识的溢出等途径,能够产生广泛的外部效应。我们把这种外部性效应体现为劳动生产率的提高。基于2003年中国四位数制造业的面板数据,对地方化经济和城市化经济两种外部经济对劳动生产率的影响进行了实证检验,从而在经验上证实静态外部性的存在。研究发现,地方化经济和城市化经济都对劳动生产率有显著为正的影响。此外,分地区的回归结果表明,在沿海省份,地方化经济和城市化经济发挥着同等作用,而在内陆地区,相对于城市化经济,地方化经济作用更强。同时,分产业的回归结果表明大部分产业只表现为地方化经济,只有技术含量相对高的产业才表现出城市化经济。
第7章:产业内集聚、关联产业集聚与劳动生产率。本章是在第六章得出的大部分产业表现为地方化经济这一结论的基础上,进一步把地方化经济分解为产业内集聚与关联产业共同集聚,通过检验产业内集聚和关联产业共同集聚对劳动生产率的影响以及这种影响是否存在产业之间的差异深入探讨集聚效应。在计量上我们采用了滞后,这不仅能部分的控制由关联性导致的内生性问题,同时也使我们能同时考察静态和动态外部性。研究结果表明,产业内集聚和关联产业集聚都对行业劳动生产率产生了显著的正向影响。这表明中国的产业集聚不仅发生在同一产业内,关联产业也由于上、下游企业的相互作用与吸引、知识的外溢而产生共同集聚效应。更进一步,我们还分别就地方化经济的两种形式在成熟的产业、高新技术产业间是否存在差异进行了实证分析,研究发现,在传统的劳动密集型行业、高新技术行业和资本密集的成熟行业,产业内集聚效应均显著,但关联产业集聚效应只在资本密集的成熟行业显著。
第8章:结束语。我们总结全文,并提出一些政策建议。
总体而言,与现有文献相比,本文对产业集聚、外部性与劳动生产率之间的研究具有如下几个方面的创新:首先,本文运用当前可得的统计数据对我国制造业的四位数行业的空间分布现状进行了一个全面而系统的经验描述;其次,本文首次在国内采用四位数制造业数据对中国制造业的产业集聚效应进行实证研究,有别于国内外大多数使用二位数制造业数据的研究;第三,在探讨外部性的作用形式时,在考察产业内集聚的同时,还同时考察了关联产业共同集聚,丰富了产业外部性的实证依据,据我们所知,关联产业共同集聚对劳动生产率的影响研究在国内外还非常少。
In recent years industrial agglomeration has attracted the concerns of city and regional economics because industrial agglomeration can bring about the sustained strong competitiveness and is a new path to review the competitiveness of the nation and region.Considering of the source of sustained competitiveness,Marshall (1920) stressed the importance of the external economic.Weber(1929) attributed to agglomeration economy.Krugman(1991b) thought that it is interaction results of increasing returns,transportation costs and the home market effect.Porter(2002) put emphasize on competition.Ultimately,the external economy is the most important effect to create and maintain competitive advantage of industrial clustering.At the same time,existed empirical research shows that China has entered the stage of the close relationship between the industrial agglomeration and regional economic development,which become stronger and stronger during the time going.All above prompts us to think about the following questions:(1) What is the internal mechanism of the China manufacturing agglomeration? That is to say,what is the factor that determines all kinds of different agglomeration levels of China′s manufacturing industries?(2) What is the effect of the industry spatial distribution model to regional industrial labor productivity? Whether the effect exist significant differences between manufacturing industries?
These issues constitute this paper motives.Based on the research methods of spatial economy,this paper attempts to provide a new external explanation to the source of regional economic growth,starting from the close relationship between the industrial agglomeration and labor productivity.We give a comprehensive empirical description of the spatial distribution of Chinese manufacturing industry.Through the method of the interation of theory and quantization analysis,we inspect the formation mechanism of the industrial clustering and the economical effects,brought by this industrial clustering.Meanwhile we propose some policy suggestions.
This paper takes apart into eight chapters.The outline and conclusion of each chapter is shown as following:
Chapter 1:Introduction.This chapter gives a brief presentation to the motives and background,structural arrangements,research objective,methods,innovation points,as well as possible inadequacies of this study.
Chapter 2:The summary of Literature.In this part,we comprehensively review the theoretical and empirical literature of the industrial agglomeration:Systemly review Marshall District theory,Weber's industrial location theory,the traditional trade theory,the new trade theory and Porter's competitive advantage theory,we explore in depth the micro-economic foundation of agglomeration economy.Meanwhile,we overview the current empirical literature about the existence and the formation mechanism of industrial agglomeration,as well as agglomeration effect.
Chapter 3:The evolution and new development of the industry agglomeration Measurement.It is two different concepts about industry agglomeration and industry concentration.The agglomeration indices were established by Ellison and Glaeser (1997),who took full account of the impaction of enterprise scale and regional difference,and made up for the deficiencies of space Gini coefficient.They also enabled us to conduct the comparisons of cross-industry and cross-location.In addition,the latest distance-based measurement method proposed by Duranton and Overman(2005) meets many industry measurement requirements.But it is little practical in the case of the high standards of data.
Chapter 4:Empirical description of regional agglomeration in China's manufacturing industries.This description is through two levels of two-digital and four-digital indices,especially including some indices developed by Ellison and Glaeser(1997).-We find that,Whether by 2-SIC level or by 4-SIC,all most manufacturing industries are somewhat different localized while the difference among industries is significant.In the same time,we also find that there are all kinds of extent of co-agglomeration of different four-digit industries within the same two-digit class in China's 28 two-digit manufacturing industries.
Chapter 5:The study of the formation mechanism of manufacturing industries. Based on traditional comparative advantage theory,new trade theory,external theory、local protectionism and foreign trade framework,we examine the factors that determine the spatial pattern of China's manufacturing industries.Our empirical results show that these theories are all competent to explain China's current industrial agglomeration at some extent.Comparative advantage is the premise of industrial agglomeration formation,and China's comparative advantage is still in labor-intensive industries.Moreover,once industries cluster a specific location,the effect of scale economies will promote and strength this trend.At the same time,we find that the concentration of foreign capital in the coastal areas rise the foreign capital-intensive industrial agglomeration.This paper also provides strong evidence in support of local protectionism.
Chapter 6:Localization economies、urbanization economies and labor productivity.In this part,we focus on agglomeration effects.Agglomeration economy is the external economies in the nature.In accordance with external theory,a large number of industrial cluster in a specific region,through the sharing of infrastructure, and professional labor market,and intermediate inputs,as well as the promotion of knowledge spillovers,and other channels,can produce a wide range of external effects.We embody such external effect for labor productivity improvement.Based on a data of the four-digital manufacturing industries in China in 2003,we empirically examined the impact of localization economies and urbanization economies on the labor productivity.We found that,in terms of entire manufacturing industries,both localization economies and urbanization economies promoted regional industry labor productivity.Meanwhile,we also analyzed whether the two forms of the externalities existed different effects among manufacturing industries.It turned out that localization economies played a significantly positive role in most of industries,while urbanization economies were only found in the high-tech industries.
Chapter 7:Within-industry agglomeration、co-agglomeration and labor productivity.On the basis of chapterⅥconclusion,we decomposed the important forms of externality—localization economy into within-industry agglomeration and co-agglomeration,we empirically examined the impact of localization economy on the labor productivity.In statistical,we adopt lag,which can not only control endogenous problems caused by simultaneity,but also enable us to investigate the static and dynamic externalities.We found that,in terms of entire manufacturing industries,both within-agglomeration and co-agglomeration promoted regional industry labor productivity.This indicate that there are within-industry agglomeration in the same industries,and co-agglomeration in related industries arising from interaction and knowledge spillovers between upstream、downstream industries. Furthermore,we also analyzed whether the two forms of the localization economy existed different effects among manufacturing industries.It turned out that within-agglomeration played a significantly positive role in traditional labor-intensive industries,high-tech and capital-intensive industries mature industry, co-agglomeration as well in the capital-intensive industries mature industry.
Chapter 8:Conclusion.
Overall,comparing the existing literature,this paper has the following several innovations on the study of the industrial agglomeration,externality and labor productivity:Firstly,this paper gives a comprehensive and systematic description of the spatial distribution based on available statistical data of four-digit manufacturing industries.Secondly,it is the first time in domestic to use the four-digit manufacturing industries to empirically examine the industrial agglomeration effect,which is different from most of study that use two-digit or three-digital manufacturing industries data;thirdly,Besides examining within-industry agglomeration,we also investigate co-agglomeration,which enrich the empirical evidence of externality.As far as we know,studying the impact of related industries co-agglomeration on labor productivity is very less at home and abroad.
对上述问题的思考构成了本文的一个研究动机。本文试图基于空间经济学的研究方法,从产业集聚与劳动生产率之间密切的互动关系出发,对地区经济增长源泉提供一个产业外部性的全新的解释。本文首先在对近年来中国制造业空间分布状况进行全面的经验描述的基础上,通过理论研究和计量分析相结合的方法对我国制造业集聚的形成机制,以及这种产业的集聚所带来的经济效应进行了考察,并提出了一些政策建议。
本论文共分为八章,每章的主要内容和研究结论如下:
第1章:导论。主要对本文的研究动机和背景、结构安排、研究目标、手段和方法、可能的创新点以及不足之处进行简要的介绍。
第2章:文献综述。该部分对产业集聚的理论和实证文献进行较为全面的梳理:理论上系统的回顾了与产业集聚相关的马歇尔的产业区理论、韦伯的工业区位理论、传统贸易理论、新贸易理论、新经济地理学以及波特的竞争理论等一系列理论,深入探讨了集聚经济的微观基础;同时对近期产业集聚存在性检验、产业集聚形成机制和集聚效应三个方面的实证研究文献进行了综述。
第3章:产业集聚现象测度方法的演变和新发展。产业集聚度与地理集中度是两不同的概念,Ellison和Glaeser(1997)建立的区域集聚系数充分考虑了企业规模及区域差异带来的影响,弥补了空间基尼系数的缺陷,使我们能够进行跨产业、跨地区的比较。此外,最新的Duranton和Overman(2005)基于距离提出的测度方法虽然满足了产业集聚测度的众多要求,但囿于对数据的要求过高,实用性不强。
第4章:中国制造业区域集聚的经验性描述。本章分别从二位数行业代码和四位数行业代码两层面,采用了一些传统和新发展的产业集聚水平的测度指标,对中国制造业的区域集聚状况进行经验性描述。我们研究发现,不论是二位数制造业还是四位数制造业,都存在不同程度的产业集聚,集聚水平在行业之间的存在显著差异。与此同时,中国28个二位数制造业内的四位数行业之间都存在不同程度的区域共同集聚。
第5章:产业集聚形成机制的研究。在传统的比较优势理论、新贸易理论、外部性理论以及对外贸易和地方保护主义这样一个相对完整的理论析框架下,检验了决定中国产业集聚现象的影响因素。研究发现,就中国现阶段的产业集聚而言,上述理论都在一定程度上很好的解释了中国制造业的集聚现象。比较优势仍是产业集聚形成的前提,且中国的比较优势依然在劳动密集型行业。产业一旦在特定区域形成集聚,规模经济效应的存在,会促进这种集聚趋势进一步的增强。同时,我们发现外商资本在沿海地区的集聚,进一步推动了外商资本密集度高的行业的集聚水平。本文还提供了较强的证据支持地方保护主义。
第6章:地方化经济、城市化经济与劳动生产率。在本部分,主要考察产业集聚的经济效应。集聚经济的本质就是外部经济,根据外部性理论,大量产业集中在特定的区域,通过共享基础设施、专业化的劳动力市场、中间投入品以及促进知识的溢出等途径,能够产生广泛的外部效应。我们把这种外部性效应体现为劳动生产率的提高。基于2003年中国四位数制造业的面板数据,对地方化经济和城市化经济两种外部经济对劳动生产率的影响进行了实证检验,从而在经验上证实静态外部性的存在。研究发现,地方化经济和城市化经济都对劳动生产率有显著为正的影响。此外,分地区的回归结果表明,在沿海省份,地方化经济和城市化经济发挥着同等作用,而在内陆地区,相对于城市化经济,地方化经济作用更强。同时,分产业的回归结果表明大部分产业只表现为地方化经济,只有技术含量相对高的产业才表现出城市化经济。
第7章:产业内集聚、关联产业集聚与劳动生产率。本章是在第六章得出的大部分产业表现为地方化经济这一结论的基础上,进一步把地方化经济分解为产业内集聚与关联产业共同集聚,通过检验产业内集聚和关联产业共同集聚对劳动生产率的影响以及这种影响是否存在产业之间的差异深入探讨集聚效应。在计量上我们采用了滞后,这不仅能部分的控制由关联性导致的内生性问题,同时也使我们能同时考察静态和动态外部性。研究结果表明,产业内集聚和关联产业集聚都对行业劳动生产率产生了显著的正向影响。这表明中国的产业集聚不仅发生在同一产业内,关联产业也由于上、下游企业的相互作用与吸引、知识的外溢而产生共同集聚效应。更进一步,我们还分别就地方化经济的两种形式在成熟的产业、高新技术产业间是否存在差异进行了实证分析,研究发现,在传统的劳动密集型行业、高新技术行业和资本密集的成熟行业,产业内集聚效应均显著,但关联产业集聚效应只在资本密集的成熟行业显著。
第8章:结束语。我们总结全文,并提出一些政策建议。
总体而言,与现有文献相比,本文对产业集聚、外部性与劳动生产率之间的研究具有如下几个方面的创新:首先,本文运用当前可得的统计数据对我国制造业的四位数行业的空间分布现状进行了一个全面而系统的经验描述;其次,本文首次在国内采用四位数制造业数据对中国制造业的产业集聚效应进行实证研究,有别于国内外大多数使用二位数制造业数据的研究;第三,在探讨外部性的作用形式时,在考察产业内集聚的同时,还同时考察了关联产业共同集聚,丰富了产业外部性的实证依据,据我们所知,关联产业共同集聚对劳动生产率的影响研究在国内外还非常少。
In recent years industrial agglomeration has attracted the concerns of city and regional economics because industrial agglomeration can bring about the sustained strong competitiveness and is a new path to review the competitiveness of the nation and region.Considering of the source of sustained competitiveness,Marshall (1920) stressed the importance of the external economic.Weber(1929) attributed to agglomeration economy.Krugman(1991b) thought that it is interaction results of increasing returns,transportation costs and the home market effect.Porter(2002) put emphasize on competition.Ultimately,the external economy is the most important effect to create and maintain competitive advantage of industrial clustering.At the same time,existed empirical research shows that China has entered the stage of the close relationship between the industrial agglomeration and regional economic development,which become stronger and stronger during the time going.All above prompts us to think about the following questions:(1) What is the internal mechanism of the China manufacturing agglomeration? That is to say,what is the factor that determines all kinds of different agglomeration levels of China′s manufacturing industries?(2) What is the effect of the industry spatial distribution model to regional industrial labor productivity? Whether the effect exist significant differences between manufacturing industries?
These issues constitute this paper motives.Based on the research methods of spatial economy,this paper attempts to provide a new external explanation to the source of regional economic growth,starting from the close relationship between the industrial agglomeration and labor productivity.We give a comprehensive empirical description of the spatial distribution of Chinese manufacturing industry.Through the method of the interation of theory and quantization analysis,we inspect the formation mechanism of the industrial clustering and the economical effects,brought by this industrial clustering.Meanwhile we propose some policy suggestions.
This paper takes apart into eight chapters.The outline and conclusion of each chapter is shown as following:
Chapter 1:Introduction.This chapter gives a brief presentation to the motives and background,structural arrangements,research objective,methods,innovation points,as well as possible inadequacies of this study.
Chapter 2:The summary of Literature.In this part,we comprehensively review the theoretical and empirical literature of the industrial agglomeration:Systemly review Marshall District theory,Weber's industrial location theory,the traditional trade theory,the new trade theory and Porter's competitive advantage theory,we explore in depth the micro-economic foundation of agglomeration economy.Meanwhile,we overview the current empirical literature about the existence and the formation mechanism of industrial agglomeration,as well as agglomeration effect.
Chapter 3:The evolution and new development of the industry agglomeration Measurement.It is two different concepts about industry agglomeration and industry concentration.The agglomeration indices were established by Ellison and Glaeser (1997),who took full account of the impaction of enterprise scale and regional difference,and made up for the deficiencies of space Gini coefficient.They also enabled us to conduct the comparisons of cross-industry and cross-location.In addition,the latest distance-based measurement method proposed by Duranton and Overman(2005) meets many industry measurement requirements.But it is little practical in the case of the high standards of data.
Chapter 4:Empirical description of regional agglomeration in China's manufacturing industries.This description is through two levels of two-digital and four-digital indices,especially including some indices developed by Ellison and Glaeser(1997).-We find that,Whether by 2-SIC level or by 4-SIC,all most manufacturing industries are somewhat different localized while the difference among industries is significant.In the same time,we also find that there are all kinds of extent of co-agglomeration of different four-digit industries within the same two-digit class in China's 28 two-digit manufacturing industries.
Chapter 5:The study of the formation mechanism of manufacturing industries. Based on traditional comparative advantage theory,new trade theory,external theory、local protectionism and foreign trade framework,we examine the factors that determine the spatial pattern of China's manufacturing industries.Our empirical results show that these theories are all competent to explain China's current industrial agglomeration at some extent.Comparative advantage is the premise of industrial agglomeration formation,and China's comparative advantage is still in labor-intensive industries.Moreover,once industries cluster a specific location,the effect of scale economies will promote and strength this trend.At the same time,we find that the concentration of foreign capital in the coastal areas rise the foreign capital-intensive industrial agglomeration.This paper also provides strong evidence in support of local protectionism.
Chapter 6:Localization economies、urbanization economies and labor productivity.In this part,we focus on agglomeration effects.Agglomeration economy is the external economies in the nature.In accordance with external theory,a large number of industrial cluster in a specific region,through the sharing of infrastructure, and professional labor market,and intermediate inputs,as well as the promotion of knowledge spillovers,and other channels,can produce a wide range of external effects.We embody such external effect for labor productivity improvement.Based on a data of the four-digital manufacturing industries in China in 2003,we empirically examined the impact of localization economies and urbanization economies on the labor productivity.We found that,in terms of entire manufacturing industries,both localization economies and urbanization economies promoted regional industry labor productivity.Meanwhile,we also analyzed whether the two forms of the externalities existed different effects among manufacturing industries.It turned out that localization economies played a significantly positive role in most of industries,while urbanization economies were only found in the high-tech industries.
Chapter 7:Within-industry agglomeration、co-agglomeration and labor productivity.On the basis of chapterⅥconclusion,we decomposed the important forms of externality—localization economy into within-industry agglomeration and co-agglomeration,we empirically examined the impact of localization economy on the labor productivity.In statistical,we adopt lag,which can not only control endogenous problems caused by simultaneity,but also enable us to investigate the static and dynamic externalities.We found that,in terms of entire manufacturing industries,both within-agglomeration and co-agglomeration promoted regional industry labor productivity.This indicate that there are within-industry agglomeration in the same industries,and co-agglomeration in related industries arising from interaction and knowledge spillovers between upstream、downstream industries. Furthermore,we also analyzed whether the two forms of the localization economy existed different effects among manufacturing industries.It turned out that within-agglomeration played a significantly positive role in traditional labor-intensive industries,high-tech and capital-intensive industries mature industry, co-agglomeration as well in the capital-intensive industries mature industry.
Chapter 8:Conclusion.
Overall,comparing the existing literature,this paper has the following several innovations on the study of the industrial agglomeration,externality and labor productivity:Firstly,this paper gives a comprehensive and systematic description of the spatial distribution based on available statistical data of four-digit manufacturing industries.Secondly,it is the first time in domestic to use the four-digit manufacturing industries to empirically examine the industrial agglomeration effect,which is different from most of study that use two-digit or three-digital manufacturing industries data;thirdly,Besides examining within-industry agglomeration,we also investigate co-agglomeration,which enrich the empirical evidence of externality.As far as we know,studying the impact of related industries co-agglomeration on labor productivity is very less at home and abroad.
引文
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