全球一体化和上海外商直接投资的城市内决定因素

Global integration and the intra-urban determinants of foreign direct investment in Shanghai全球一体化和上海外商直接投资的城市内决定因素Jiaping Wu *, Ian Radbone School of Natural and Built Environment, University of South Australia, Australia吴家坪*，伊恩红石 自然与建筑环境学院，南澳大学，澳大利亚The ow of capital between cities has shaped both the global urban network and the internal structure of cities. Chinese cities have attracted a substantial amount and variety of foreign direct investment (FDI) in the past two decades. The intra-urban distribution of FDI and the location of xed assets have been signicant in their restructuring. This paper investigates the causes and consequences of different patterns of FDI within Chinese cities using Shanghai as a case study. 资金在城市之间的流动已经形成全球城市网络和城市的内部结构。中国城市在过去的二十年里吸引了大量的多种多样的外国直接投资（FDI）。城市内分布的外国直接投资和固定资产在他们的重组中作用显著。本文利用上海作为个案研究中国城市内的不同的外国直接投资模式的原因和后果。Introduction简介Global capital movementas both a causative and consequential feature of economic globalisation has emerged as an inuential factor of urban growth. The attraction of foreign direct investment (FDI) is a prominent feature of Chinas market-oriented economic reforms and the main vehicle of Chinas global integration, which has been signicant in motivating urban planning and reshaping urban growth. Much has been written about the spatial impacts of FDI on the Chinese urban system and the repositioning of Chinese cities and regions in the global economy. However, research to date has ignored the different patterns of FDI within Chinese cities. 全球资本流动，同时作为经济全球化间接的特征或原因，已经成为城市发展的影响因素。外国直接投资（FDI）的吸引力是中国市场为导向的经济改革和中国的全球一体化，这一直是推动城市规划和重塑城市增长显著的主力车型的一个突出特点。很多人都写了关于外国直接投资对中国城市体系与中国的城市和地区在全球经济中的重新定位的全方位影响。然而，对数据的研究忽视了中国城市里不同模式的FDI。The global integration of developing countries has been dominated by their large cities. For example, the majority of foreign investment has concentrated in the primate cities of most Asian countries, due to substantial communication and transportation advantages, large labour and consumption markets and other local advantages of these cities (Fuchs and Pernia, 1989). While Chinas global integration commenced with the establishment of Special Economic Zones (SEZs) on its economic and political periphery, the extra large cities in the coastal zone have since become dominant. 发展中国家的全球一体化已由他们的大城市所主导。 例如，由于通讯和交通的显著优势，大量的劳动力和消费市场以及这些城市的其他地方优势（福斯和佩尼亚，1989），外国投资大部分集中在亚洲大多数国家的首位城市。而中国的全球化整合以在其经济和政治的边缘建立特别经济区（特区）为开端，在沿海地区特大城市已经成为主导。Shanghai is the largest city in China, with a long history and different historical layers of urban development. Designated as one of Coastal Open Cities (COCs) in 1984, it was chosen as a bridgehead to integrate the delta and valley of Yangtze River with the global market in 1990. Various spatial and economic measures have been implemented to attractFDI into the city.It has changed substantially with the proliferation of FDI. In addition to re-establishing Shanghais position in the global economy, it has restructured the city in social and spatial terms. Most dramatic has been the creation of Pudong New Area, where a new city skyline has been created over the past decade. Using Shanghai as a case study, this paper offers an analysis of intra-urban patterns of FDI. 上海是中国最大的城市，有着悠久的历史和城市发展的不同历史层次。它于1984年被指定作为一个沿海开放城市（COCs），1990年它被选为桥头整合长江三角洲和山谷与全球市场。 各种各样的的空间和经济的措施已经实施，以吸引FDI注入这个城市。随着FDI的增殖，他已改变了许多。除了重新建立上海在全球经济中的地位，它在社会和空间层面也重组了这个城市。最引人注目的是浦东新区的创立，在过去的十年一个新的城市天际线已经建立。本文的研究以上海为例，提出了FDI的城市内的分析模式。We begin with a brief critical evaluation of two decades of research on urban transformation and the growth of foreign direct investment.Thesetwo perspectives then converge on the international development path, integrating the motives for different types of FDI with the development stages of recipients. Section three examines Chinas strategies to attract FDI and consequent urban growth. Section four focuses on the structural characteristics of Shanghai, and in particular on intra-urban differences in the growth of FDI there. Empirical models based on the conceptual framework established in section two are employed to examine the FDI distribution among Shanghais urban districts, as well as that devoted to services and to manufacturing. 我们以一个对二十年来城市转型研究增长和外商直接投资的一个简短的批判性评价为开端。这两种观点现在收敛于国际发展道路，结合不同类型的FDI的动机,随着接受者的不同发展阶段。第三部分探讨中国吸引外商直接投资的策略和随之而来的城市发展。第四部分聚焦于海的结构特征，特别是在外商直接投资的增长的城市内的差异。在第二部分中以概念框架为基础的实证模型被用来检查上海城市区域间FDI的分布，以及专门的服务和制造业。FDI, urbanisation and intra-urban location dynamics外商直接投资，城市化和城市内的位置动态The growth of FDI has outpaced the growth of international trade since the 1960s. Transnational capital movement has become the main vehicle of economic globalisation and has locked together economies across the world. A key element in understanding this has been the notion that growth in the periphery was dependent on trade and foreign capital from developed countries.Dependency theory was refined by an influential conceptual innovation, the New International Division of Labour. Financial functions, headquarters of multinational companies (MNCs), research & development (R&D) and other high levels of services were increasingly concentrated in a few influential nodes in the developed world while the more unskilled manufacturing was transferred extensively to developing countries Identifying the functions assigned to cities in the new international division of labour and the consequent structural changes in cities has been a growing phenomenon in urban studies. A key feature has been the reintroduction of the notion of the world or global city (see Friedmann, 1986; Sassen, 1991, 2000; King, 1990; Abu-Lughod, 1995; Beaverstock et al., 1999; Taylor et al., 2002). 自上世纪60年代外商直接投资的增长超过了国际贸易的增长。跨国资本流动已成为经济全球化的主要载体，并把全球经济凝聚在一起。 理解这个的一个关键因素是外围的增长依赖于贸易和来自发达国家的外国资本。依附理论是由一个有影响力的概念创新提炼而成，新国际劳动分工。金融功能，跨国公司（MNCs）总部，研发（R&D）和其他高水平的服务越来越集中于一些有影响力的节点在发达国家，然而更多的非技术的制造业向发展中国家大量转移。确定指定的新国际劳动分工的城市功能和城市带来的结构性变化已成为城市研究中的一个日益凸显的现象。一个关键的特点是世界和全球城市的概念的引入（参见弗里德曼，1986；1991，2000；Sassen，王，1990；路哥德，1995beaverstock等人。，1999；泰勒等人，2002）。The global city concept is based on the assumption of a top down process of globalisation that leads to the decline of the nation-state, and to an international political economy governed by economic actors, particularly MNCs. The economic organisation of national states is, in part, taken over by borderless, cyber and multiples-based economies (Ohmae, 1995, 2001) .（Ohmae，1995，2001）。This inexorably transforms localities by disconnecting them from their ties to nation-states and place-making practices (Smith, 2001). Urban transformation occurs, according to the dictates of external economic forces, that stretch similar economic, cultural and political activities across the globe(Short and Yeong-Hyun, 1999). While the global city approach has provided some valuable insights into the forces shaping urbanization at the macro level, in particular at global and national levels, it has been criticised for ignoring tendencies toward heterogeneous or locally organised spatial divisions of labor (White, 1997a,b). To Cox (1997), for example, capital is not as mobile as is claimed. Foreign firms need to be located in specific places for a variety of reasons and, to this end , local urban planners will have leverage in shaping the form of that investment. Also, the approach is too focused on specific activitiessuch as CBD based financeand cannot necessarily be generalised to other sectors of capital, or to other parts of the city. The debate has increasingly led to the understanding of the global urban system as a network rather than a pyramid. The essence of global economic force ispower torather than power over (Taylor et al., 2002). Borja and Castells (1997, p. 23) conclude that the global city isNot New York, London or Tokyo, even if they are the most important managerial centres of the system. The global city is a network of urban nodes, at differing levels and with differing functions, that spreads over the entire planet and functions as the nerve centre of the new economy, in an interactive system of variable geometry to which companies and cities must constantly and exibly adapt. 全球城市的概念是基于一个自顶向下的导致民族国家衰落的全球化进程的假设，以及被经济主体操纵的国际政治经济，特别是跨国公司。 民族国家的经济组织，部分来说，由无国界的多重基础经济体和多网络所接管。这无情地变换在于切断他们与国家和地方的决策行为的联系（史密斯，2001）。根据外部经济力量的支配，城市改造发生在全球类似的经济，文化和政治活动的延伸 (Short and Yeong-Hyun, 1999)。而全球城市的道路在宏观层面上为塑造城市化的力量提供了一些有价值的见解，尤其是在全球和国家层面，它一直被批评为忽视向异构或局部组织的空间劳动分工的倾向(White, 1997a,b)。例如，考克斯（1997），资本不是像声称的那样流动。外国公司必须位于特殊区域的原因有很多，为此，当地城市规划者将会拥有塑造这种投资形式的杠杆。同时，该方法是太专注于特定的活动，如生物多样性为基础的金融和不能推广到其他行业或城市的其他部分的资本。辩论越来越使全球城市体系理解为网络而不是金字塔。全球经济力量的本质是权力延伸，而权力结束（泰勒等人。，2002）。博尔哈和卡斯特（1997，第23页）的结论是，全球城市是不是纽约，伦敦和东京”，即使他们是系统中最重要的管理中心。全球城市是城市网络的节点，在不同层次和具有不同的功能，遍及全球，是新经济的神经中枢，在可变的互动系统中，企业和城市必须不断地灵活地适应。Economic globalisation, as a form of social, economic, cultural and, in particular, urban development, has been essentially implemented by the ow of FDI, and facilitated by progress in transportation and information technologies. The generation of capital in some cities and its absorption in others has shaped the global urban network. The ow of different types of capital is also signicant in the internal restructuring of cities. Explanations of the economic function and spatial pattern of a city will resort to its relationship with the capital ows of the expanding global economy. Therefore, studies of intra-urban patterns of FDIwhat types of FDI are located whereis fundamental to an understanding of the urban social and spatial transformations that result from economic globalisation. 经济全球化，作为社会、经济、文化特别是城市发展的一种形式，已基本上是由外国直接投资实现的，并在交通和信息技术的进步中得到便利。在一些城市产生的资本及其在其他地方所吸收的资本塑造了全球城市网络。不同类型的资本流动在城市内部的重组也十分显著。经济功能和城市空间格局的解释将诉诸其与不断扩大的全球经济的资本流动关系。因此，城市内的外国直接投资的模式的研究，什么类型的外国直接投资位于何处，是理解由经济全球化引起的城市社会和空间转型的基础。Narula and Dunning (2000) further divided the locational advantages of host countries into ve stages, based mainly on their development characteristics, and divided motives for FDI into four patterns: natural resource-seeking, market-seeking, efciency-seeking and strategic asset-seeking FDI. An investment development path was proposed to identify and evaluate the linkages between motives, kinds of FDI and the economic structures of the recipients. They suggested that different patterns of FDI would tend to occur at different locations, corresponding to the stage at which the recipients were on the investment development path. NARULA和邓宁（2000）进一步把东道国的区位优势划分为五个阶段，主要是根据其发展特点来划分的，并把外国直接投资划分为为四种模式：寻求自然资源型FDI，寻求市场型FDI，寻求效率型FDI和寻求战略资产型FDI。 一种投资发展路径被提出用于确认和评估动机、不同形式外国直接投资和受助人的经济结构之间的关系。他们认为不同模式的外国直接投资往往会发生在不同的位置，对应于受助人的投资发展路径的不同阶段。The importance of Japanese FDI and its distribution in Asia-Pacic have been intensively studied and distilled into the flying geese model (Riedel, 1995; Hatch and Yamamura, 1996; Edgington and Hayter, 2000). Lo and Marcotullio (1999) reported that the historical pattern of regional economic development within East and South East Asia was related to three waves of spatial concentration of Japanese FDI. The first wave focused on the relocation of Japans labor-intensive manufacturing industries to offshore sites in Newly Industrialized Economies (NIEs) during the 1960s and 1970s; the second occurred in the 1970s and 1980s, when Japan divested light industries (in which it no long held a comparative advantage) to the NIEs. The NIEs followed Japan and became the sources of labour intensive manufacturing FDI for ASEAN countries. The third wave occurred after the mid-1980s and centred on China. 日本的外国直接投资及其在亚太地区分配的重要性已被广泛研究，并提炼成了雁行模式（里德尔，1995;哈奇和山村，1996;埃和艾泰，2000）。Lo和Marcotullio（1999）报指出中东亚和东南亚的区域经济发展的历史模式和三波集中的日本FDI相关。第一波集中于20世纪60年代和70年代日本的劳动力密集型制造业搬迁到境外新兴工业化经济体（NIEs）;第二次发生在20世纪70年代和80年代，当日本的剥离轻工业（在它没有长期持有的比较优势）的新兴工业化经济体。新兴工业化经济体效仿日本，成为东盟国家的劳动密集型制造业FDI的来源。第三波发生在20世纪80年代中期，以中国为中心。Chinas global integration and urban growth patterns中国的全球一体化与城市增长模式The introduction of market-oriented economic reforms at the end of the 1970s triggered a change and provided paths for FDI to penetrate into China. Its openness has coincided with the transfer of manufacturing activities from developed countries to developing countries. Since 1979, and especially in the 1990s, China has absorbed a huge amount of FDI in absolute terms. Placed on the periphery of the world as a follower goose in Asia, Chinas FDI has been dominated by manufacturing from NIEs, and confined to government-designated areas. Chinese strategies of global integration started from the promulgation of the Sino-foreign Equal Joint Venture Law in 1979 and the establishment of four SEZs in Guangdong and Fujian provinces in 1980. The period 19791983 saw the first inflow of Sino-foreign Equal Joint Ventures, almost all located in the four SEZs. The open door policy was then extended to the designation of fourteen COCs in 1984, and FDI doubled from 1983 to 1984, reaching US $1258 million. The amount continued to increase from 1984 to 1988 at an average annual growth rate of 38%, although this then fell sharply from 38% in 1988 to 6% in 1989, as a result of the events in Tiananmen Square. 20世纪70年代末以市场为导向的经济改革引发的变化为FDI进入中国提供了路径。它的开放性恰逢发达国家向发展中国家转移制造业。自1979以来，特别是在20世纪90年代，中国吸收了大量的外商直接投资。位于世界的边缘，在亚洲的追赶者，中国的对外直接投资以来自新兴工业化经济体的制造业为主，且局限于政府指定的区域。中国的全球一体化策略始于1979年中外合资企业法的颁布以及1980年在广东和福建省建立的的四个经济特区。19791983年那段时期见证了第一批中外合资企业的流入，几乎都位于四个经济特区内。开放政策于1984年延伸至第十四口服避孕药的设计，从1983年到1984年外商直接投资翻了一番，达到1258000000美元。从1984年到1988年外资流入量持续增加，平均年增长率为38%，虽然这之后由于天安门广场事件外资流入量急剧下降，从1988年的38%下降到1989的6%。Deng Xiapings famous southern tour of the SEZs in Guangdong in order to show the commitment of Chinas global integration in 1992 was followed by an astounding growth of FDI. FDI reached US $11,007 million in that year, double the amount of 1991. It doubled again in the following year, and China became the second largest FDI recipient in the world (after the US). The amount of FDI maintained a high growth rate, reaching US $45,463 million in 1998, before falling in 1999 to US $40,319 million. The gures in the following two years in 2000 and 2001 resumed the strong growth trend, reaching US $46,878 million in 2001. 在1992年邓小平为展现中国全球一体化的承诺而进行著名的广东经济特区之行之后，外商直接投资实现了一个惊人的增长。1992年外商直接投资达到11007000000美元，是1991年的两倍。在接下来的一年，它又翻了一番，中国成为世界上第二大的外国直接投资接受国（仅次于美国）。外商直接投资的数量保持较高的增长率，1998年达到45463000000美元，1999年下降至40319000000美元。 在随后的2000年和200年，外资量恢复了强劲增长态势，在2001年达到了46878000000美元。A substantial amount of literature has focused on the development of FDI itself, or on its contribution to Chinas economic and trading growth and manufacturing development (e.g. Sun, 1998; Hayter and Han, 1998; Wu, 1999; Gipouloux, 2000; OECD, 2002). Gong (1995); Chen (1998) and Sun et al. (2002) have all investigated the locational characteristics of FDI in China at the provincial level. Recently, Tuan and Ng (2003) have investigated the distribution of Hong Kongs outward foreign investment enterprises in the Pearl River Delta (PRD). Considering Hong KongPRD as a core-periphery system, they empirically analysed the agglomeration of sample rms in cities within the PRD, based on differences in the land resources, degree of urbanization, market potential, and distance from Hong Kong. 大量的文献都集中在外商直接投资本身的发展，或者是对中国经济和贸易的增长以及制造业的发展的贡献（如Sun，1998；Hayter and Han，1998；1999；2000；gipouloux，OECD，2002）。Gong (1995); Chen (1998) and Sun et al. (2002)都调查了外商直接投资在中国省级的区域特征。近日，Tuan and Ng（2003）研究了香港对外投资企业在珠江三角洲（珠三角）的分布。考虑到香港-珠三角是边缘系统的核心，他们以香港的土地资源，城市化程度，市场潜力，和距离的差异为基础实证分析了样本公司在珠三角各城市的集聚。The adoption of the open door policy and growth of FDI in Shanghai上海开放政策的实行和外商直接投资的增长The focus here is on the urban impact of FDI on urban structural change in Shanghai. A key unit in our observation will be the urban district. This is relatively easily identied and provides a clear measure of local development between the macro-economic level of the city and the micro-economic level of the firm. The urban district was a recognised unit in the central planning period and has become an important spatial unit under current scal arrangements. (Economic decision-making has been heavily devolved from the central to local governments since 1978, starting with the adoption of the scal contract system in the early 1980s. It was redened by a nation-wide tax sharing system in the middle 1990s, where tax was divided into central and local shares, based on the principle of matching responsibility with financial capacity.) The urban district is the basic unit to collect local tax and to take responsibility for local development, and it is also a basic political unit in Chinas cities. Each has a Peoples Representative Congress that can legislate for local development, including urban planning and FDI promotion. 我们的观察的一个关键点是市区。这是相对比较容易识别并能提供了一个明确的衡量当地城市的宏观经济层面和企业的微观经济层面之间的发展。市区是一个公认的单位在中央规划期，并已成为一个重要的空间单元根据现行财政安排。（自1978年以来大量的经济决策从中央下放到了地方政府，这是以20世纪80年代初采用的财政承包制为开端。在20世纪90年代中期它重新定义了一个全国性的财政共享体制，把税收分为中央税和地方税两部分，以承担责任和财政能力的原则为基础。）市区是征收地方税和承担地方发展的责任的基本单位，她也是中国城市的基本政治单位。每个人市都有一个人民代表大会，可以为当地的发展立法，包括城市规划和促进外国直接投资的法律。The structure of Shanghai city 上海市的结构Historically Shanghai has been a compact city, mainly derived from an indigenous walled cityand the development of foreign settlements before 1949. Ten rural counties from the neighboring provinces of Jiangsu and Zhejiang were put underits jurisdiction in 1959 and 1960 as a result of a national policy of pursuing self-reliance within urban administrative boundaries.This extended Shanghais metropolitan area to 6430 km2, consisting of both urban districts and rural counties. Central allocation of capital from Beijing was confined to particular heavy industries in the urban districts. However, due to the high density of industriesin the inner city, after 1956 some new industrial and housing projects were located beyond the inner city in the periurban area under the jurisdiction of the rural counties. This extended th