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導(dǎo)論一、研究可持續(xù)發(fā)展的城市化的意義 1、可持續(xù)發(fā)展的城市化在我國(guó)的重要作用（1）可持續(xù)發(fā)展的城市化是解決三農(nóng)問(wèn)題的根本途徑 可持續(xù)發(fā)展的城市化可以解決農(nóng)村剩余勞動(dòng)力的轉(zhuǎn)移 可持續(xù)發(fā)展的城市化可以優(yōu)化農(nóng)村經(jīng)濟(jì)結(jié)構(gòu)，提升農(nóng)村經(jīng)濟(jì)的競(jìng)爭(zhēng)力（2）可持續(xù)發(fā)展的城市化是促進(jìn)中國(guó)現(xiàn)代化的必由之路 2、研究可持續(xù)發(fā)展城市化的意義二、可持續(xù)發(fā)展的城市化理論的界定 1、可持續(xù)發(fā)展的城市化概念的界定 2、城市的可持續(xù)發(fā)展與城市經(jīng)濟(jì)增長(zhǎng)文獻(xiàn) 3、可持續(xù)發(fā)展的城市化理論文獻(xiàn)綜述三、論文研究的基本方法四、可持續(xù)發(fā)展的城市化的研究框架 1、可持續(xù)發(fā)展的城市化的理論框（1）城市持續(xù)增長(zhǎng)理論分析（2）城市化體系的可持續(xù)的均衡增長(zhǎng) 2、我國(guó)城市可持續(xù)增長(zhǎng)的實(shí)證分析（強(qiáng)調(diào)資本、人力資本、移民等的作用） 3、我國(guó)城市發(fā)展的差異及可持續(xù)發(fā)展的路徑選擇 4、我國(guó)可持續(xù)發(fā)展的城市化體系的均衡及運(yùn)行機(jī)制 5、我國(guó)可持續(xù)發(fā)展的城市化的政策選擇導(dǎo) 論經(jīng)濟(jì)發(fā)展與人類(lèi)福利的增進(jìn)是人類(lèi)社會(huì)發(fā)展的永恒主題。隨著人類(lèi)社會(huì)利用生產(chǎn)要素能力的不斷提高，技術(shù)的不斷進(jìn)步，社會(huì)的福利狀況在不斷地改善。但是在工業(yè)革命后，現(xiàn)代化的大生產(chǎn)開(kāi)始誕生，人類(lèi)利用自然、改造自然的能力有了一個(gè)飛躍。盡管社會(huì)的總財(cái)富增加了，但是卻在另一方面造成了對(duì)自然的破壞。這是的人民開(kāi)始思考如何有效的持續(xù)的利用自然、改造自然的問(wèn)題，可持續(xù)發(fā)展的問(wèn)題由此誕生。2003年，世界銀行組織出版的世界發(fā)展報(bào)告注釋1 參見(jiàn)世界城市報(bào)告2003，見(jiàn)。該報(bào)告共分為九部分，分別為：成就與挑戰(zhàn)；管理更廣泛意義上的資產(chǎn)組合；可持續(xù)發(fā)展所需要的制度；改善貧瘠地區(qū)的民生狀況；轉(zhuǎn)變農(nóng)村土地制度；爭(zhēng)取城市的最佳功效；加強(qiáng)國(guó)內(nèi)協(xié)調(diào)；全球性問(wèn)題與地區(qū)關(guān)注事項(xiàng)；通向可持續(xù)發(fā)展之路。，其主題是如何在動(dòng)態(tài)的世界中實(shí)現(xiàn)可持續(xù)發(fā)展?？沙掷m(xù)發(fā)展問(wèn)題目前已經(jīng)越來(lái)越引起人們的關(guān)注。在世界經(jīng)濟(jì)發(fā)展的過(guò)程中，城市與鄉(xiāng)村一直扮演者重要角色。在自給自足的自然經(jīng)濟(jì)統(tǒng)治的時(shí)代里，鄉(xiāng)村占據(jù)著絕對(duì)的優(yōu)勢(shì)。城市的出現(xiàn)是伴隨著社會(huì)分工而出現(xiàn)的2 布羅代爾認(rèn)為，沒(méi)有起碼的分工，就沒(méi)有城市；沒(méi)有市場(chǎng)就沒(méi)有城市；沒(méi)有兼具保護(hù)性和壓制性的權(quán)力，就沒(méi)有城市；同時(shí)，沒(méi)有城市，就不會(huì)有對(duì)外部世界的開(kāi)放，不會(huì)有遠(yuǎn)程貿(mào)易。布羅代爾：15至18世紀(jì)的物質(zhì)文明、經(jīng)濟(jì)和資本主義，生活讀書(shū)新知三聯(lián)書(shū)店，2002.5，第570頁(yè)。真正現(xiàn)代意義上的、經(jīng)濟(jì)功能性質(zhì)的城市的出現(xiàn)則是在資產(chǎn)階級(jí)革命以后，伴隨著工業(yè)革命的誕生而不斷發(fā)展起來(lái)的。資本主義在他不到一百年的時(shí)間內(nèi)所創(chuàng)造的物質(zhì)財(cái)富，超過(guò)了以前所有時(shí)代3 見(jiàn)馬克思恩格斯選集第卷，第頁(yè)。從19世紀(jì)中期到20世紀(jì)中期差不多100年的時(shí)間里，城市在全世界得到了最快的發(fā)展。世界人口加速向城市集中，城市數(shù)量越來(lái)越多，其規(guī)模也越來(lái)越大，1780年世界上城市人口只占總?cè)丝诘?%，到1850年已達(dá)到6.4%，到1900年上升到13.6%，到1950年時(shí)達(dá)到28.2%，而到1980年已高達(dá)42.4%。在20世紀(jì)末，倫敦、巴黎、紐約、柏林、羅馬已經(jīng)成為世界意義上的大城市，并以此帶動(dòng)了一大批大城市的迅速出現(xiàn)。城市作為經(jīng)濟(jì)貿(mào)易的中心迅速促進(jìn)著國(guó)家的經(jīng)濟(jì)增長(zhǎng)，從而加速了城市化的過(guò)程。城市人口占世界人口的比重由1950年的30%增加到2000年的47%，到2015年預(yù)計(jì)上升到53%4 World Urbanization Prospects The 2003 Revision Data Tables and Highlights，United Nations New York, 20044。(見(jiàn)圖1.1和圖1.2)而在發(fā)達(dá)國(guó)家的城市化率（待查）。城市化是一個(gè)國(guó)家現(xiàn)代化水平的重要標(biāo)志，是人類(lèi)文明進(jìn)步的必然結(jié)果。1996年在伊斯坦布爾召開(kāi)的“世界人居二大會(huì)”聯(lián)合國(guó)第二次人居大會(huì)指出：“21世紀(jì)是城市的世紀(jì)”。同時(shí)，城市化還能夠推動(dòng)社會(huì)經(jīng)濟(jì)的快速發(fā)展。見(jiàn)圖1.3。正因?yàn)槿绱?，許多發(fā)展中國(guó)家紛紛采取城市化戰(zhàn)略，導(dǎo)致城市人口的迅速增長(zhǎng)。1950年，居住在發(fā)展中國(guó)家城市的人口約為2.75億，僅占世界總城市人口7.24億的38%。但到1990年，世界城市人口已達(dá)23億，其中61%的城市人口居住在發(fā)展中國(guó)家5 數(shù)據(jù)來(lái)源：托達(dá)羅，經(jīng)濟(jì)發(fā)展第六版，第262頁(yè)，中國(guó)經(jīng)濟(jì)出版社，1999.1版。在下一個(gè)30年到50年中，世界人口中新增的20億到30億人幾乎全部(97%)在發(fā)展中國(guó)家和經(jīng)濟(jì)轉(zhuǎn)軌國(guó)家，而且確確實(shí)實(shí)都在城市。城市人口的增長(zhǎng)來(lái)自自然增長(zhǎng)、由農(nóng)村進(jìn)入城市的移民以及人口密度大的農(nóng)村地區(qū)并入城市郊區(qū)。發(fā)展中國(guó)家超大型城市的數(shù)量可能增加到54個(gè)，而高收入國(guó)家則穩(wěn)定在5個(gè)（見(jiàn)圖1.4）6 參見(jiàn)World Development Report 2003(PDF), English version，第一章,第7-8頁(yè), 。城市化的快速發(fā)展在促進(jìn)經(jīng)濟(jì)發(fā)展的同時(shí)，也帶來(lái)了一些問(wèn)題。正像世界發(fā)展報(bào)告2003中所描述的那樣，發(fā)展中世界的城市面臨著非常艱巨的任務(wù)，因?yàn)樵鲩L(zhǎng)速度預(yù)計(jì)會(huì)很快，因?yàn)榻^大部分的城市居民要有工作、要有住房并要得到服務(wù)。城市周?chē)木劬拥?、集?zhèn)、城市和大城市的特點(diǎn)密度更高、聚居地規(guī)模大、社會(huì)多樣性更廣使創(chuàng)造生產(chǎn)性的就業(yè)機(jī)會(huì)變得更方便、使提供的服務(wù)更有效、使獲得新思想和學(xué)習(xí)變得更容易?？墒牵诜忾]的居住區(qū)內(nèi)居住許多人也會(huì)潛在地產(chǎn)生很多社會(huì)問(wèn)題犯罪和社會(huì)騷亂、環(huán)境污染，從而危及健康和安全，對(duì)于居住在沒(méi)有衛(wèi)生設(shè)備和下水道的街區(qū)內(nèi)的人和居住在潛伏著傳染病的區(qū)域內(nèi)的人來(lái)說(shuō)尤其危險(xiǎn)。城市物質(zhì)資本存量由于壽命長(zhǎng)而有可能被禁錮在某種發(fā)展路徑內(nèi)，從而使改革代價(jià)變得高昂。如果管理得當(dāng)，城市地區(qū)就能成為未來(lái)增長(zhǎng)的火車(chē)頭。如果不這樣做，則城市地區(qū)的環(huán)境和社會(huì)問(wèn)題將會(huì)成堆并難以收拾 7 參見(jiàn)World Development Report 2003(PDF), English version，第一章,第9頁(yè).7。城市是生產(chǎn)力最活躍的地方，高速的城市經(jīng)濟(jì)增長(zhǎng)為人類(lèi)帶來(lái)了巨大的物質(zhì)財(cái)富。但是，城市的發(fā)展是有規(guī)律的，城市要想作為經(jīng)濟(jì)快速發(fā)展的火車(chē)頭，必須按照其內(nèi)在規(guī)律采取行動(dòng)，使得城市減少內(nèi)在存在的問(wèn)題，實(shí)現(xiàn)內(nèi)部均衡。在現(xiàn)代社會(huì)中，如何實(shí)現(xiàn)城市的可持續(xù)發(fā)展以及城市化的可持續(xù)發(fā)展成為擺在我們面前的課題。中國(guó)作為世界上人口最多的發(fā)展中國(guó)家，長(zhǎng)期以來(lái)城市化發(fā)展水平嚴(yán)重滯后于經(jīng)濟(jì)社會(huì)發(fā)展水平與工業(yè)化發(fā)展水平8 關(guān)于中國(guó)城市化滯后的觀點(diǎn)參見(jiàn)Chang GH and Brada J,”Chinas Urbanization Lag during the Period of Reform: A Paradox, ” mimeo, University of Toledo and Arizona State University, 2001和 G Edward Ebanks and Chaoze Cheng, ”China: A Unique Urbanization Model,” Asia-pacific Population Jourmal, Vol.5, No.3 他們認(rèn)為，造成中國(guó)城市化滯后的原因是有政策所造成的。在國(guó)內(nèi)，一種比較有代表性的觀點(diǎn)認(rèn)為, 1998 年, 我國(guó)非農(nóng)就業(yè)的比重達(dá)到了50.12% , 而城市化的比重僅有30.14% , 城市化發(fā)展明顯滯后。另一種觀點(diǎn)認(rèn)為, 我國(guó)城市化滯后于工業(yè)化進(jìn)程十分明顯。孫永正認(rèn)為, 目前中低收入國(guó)家組的城市化率平均為52% , 高于我國(guó)22個(gè)百分點(diǎn)?？紤]到我國(guó)剛步入這一國(guó)家組, 農(nóng)村人口一般略高于農(nóng)業(yè)勞動(dòng)力比例, 我國(guó)城市化滯后于工業(yè)化進(jìn)程也至少在10 個(gè)百分點(diǎn)以上。參見(jiàn)，國(guó)務(wù)院發(fā)展研究中心“十五”計(jì)劃研究課題組. “十五”期間宏觀經(jīng)濟(jì)改革取向J . 經(jīng)濟(jì)工作者學(xué)習(xí)資料,2000, (41)； 孫永正. 城市化滯后的八大弊端J . 城市問(wèn)題, 1999, (6)； 溫鐵軍. 中國(guó)的城鎮(zhèn)化道路與相關(guān)制度問(wèn)題J . 開(kāi)放導(dǎo)報(bào), 2000, (5).。年，中國(guó)共有建制市個(gè)，其中直轄市個(gè)，副省級(jí)城市（計(jì)劃單列市）個(gè)，地級(jí)市個(gè)，縣級(jí)市個(gè)。同年，中國(guó)總?cè)丝跒閮|，其中市鎮(zhèn)人口為億中國(guó)統(tǒng)計(jì)年鑒2004，城市化率達(dá)到了40.5%。這不但與中等發(fā)達(dá)國(guó)家70%以上的城市化率水平比相差甚遠(yuǎn)，與2000年世界平均城市化率水平50%相比，低了10個(gè)百分點(diǎn)，與人均GNP相當(dāng)國(guó)家的城市化率水平46%相比，低了5個(gè)百分點(diǎn)。同時(shí)，與中國(guó)的工業(yè)化率相比，中國(guó)的城市化率低了12個(gè)百分點(diǎn)，與中國(guó)非農(nóng)就業(yè)比重相比，中國(guó)的城市化率低了20個(gè)百分點(diǎn)。按照鄧小平設(shè)計(jì)的到2050年中國(guó)達(dá)到中等發(fā)達(dá)國(guó)家水平，初步實(shí)現(xiàn)現(xiàn)代化的目標(biāo)要求，中國(guó)的城市化率到2050年必須達(dá)到70%-80%，這意味著，在今后50年的時(shí)間內(nèi)，中國(guó)的城市化增長(zhǎng)率要以每年0.78%-0.98%的速度增長(zhǎng)。這也意味著，在未來(lái)50年之內(nèi)，中國(guó)有7.2-8.8億人口從農(nóng)村轉(zhuǎn)移到城市，由此帶來(lái)居住問(wèn)題、就業(yè)崗位、生活方式和消費(fèi)方式等方面的深刻轉(zhuǎn)變，它不僅涉及社會(huì)經(jīng)濟(jì)問(wèn)題，也涉及資源與能源、生態(tài)與環(huán)境問(wèn)題，其范圍之廣，影響之深在人類(lèi)發(fā)展史上是空前的。城市化的發(fā)展促進(jìn)經(jīng)濟(jì)的發(fā)展，但是需要保持城市化的可持續(xù)發(fā)展9 在這里所說(shuō)的可持續(xù)發(fā)展的城市化主要是從經(jīng)濟(jì)均衡的意義上，而不是從社會(huì)學(xué)、地理學(xué)以及資源、環(huán)境等意義上講的城市化的可持續(xù)發(fā)展，在下面會(huì)重點(diǎn)論述。9卻是一個(gè)重大的理論和現(xiàn)實(shí)課題。一、研究中國(guó)可持續(xù)發(fā)展的城市化的意義1、可持續(xù)發(fā)展的城市化在中國(guó)經(jīng)濟(jì)發(fā)展中的重要地位（1） 可持續(xù)發(fā)展的城市化是解決中國(guó)“三農(nóng)問(wèn)題”的根本途徑農(nóng)業(yè)、農(nóng)村、農(nóng)民問(wèn)題是涉及到中國(guó)十三億人生存與發(fā)展的戰(zhàn)略性問(wèn)題。解決這一關(guān)鍵性的戰(zhàn)略問(wèn)題對(duì)于中國(guó)整體的經(jīng)濟(jì)發(fā)展起著至關(guān)重要的作用。如何解決好“三農(nóng)”問(wèn)題實(shí)際上已經(jīng)構(gòu)成了中國(guó)在新的世紀(jì)里需要研究和解決的最根本問(wèn)題。而解決“三農(nóng)”問(wèn)題的關(guān)鍵，在于減少農(nóng)民，實(shí)現(xiàn)農(nóng)村剩余勞動(dòng)力的順利轉(zhuǎn)移。據(jù)統(tǒng)計(jì)（待查），目前全國(guó)有7.3億勞動(dòng)力，其中4.8億在農(nóng)村10 數(shù)據(jù)來(lái)源，中國(guó)統(tǒng)計(jì)年鑒2004。10。在農(nóng)村勞動(dòng)力中，有1.6億在當(dāng)?shù)貜氖锣l(xiāng)鎮(zhèn)企業(yè)和其他非農(nóng)產(chǎn)業(yè)，3.2億為農(nóng)業(yè)勞動(dòng)力。按照目前勞動(dòng)力合理負(fù)擔(dān)耕地水平測(cè)算，農(nóng)業(yè)實(shí)際需要的勞動(dòng)力約為1.7億。全國(guó)農(nóng)村富余勞動(dòng)力實(shí)際存在1.5億，且每年新增勞動(dòng)力也達(dá)600多萬(wàn)人。如此巨大的農(nóng)業(yè)勞動(dòng)力存量是阻礙現(xiàn)代化農(nóng)業(yè)進(jìn)程的主要因素。一般認(rèn)為，當(dāng)農(nóng)村人口數(shù)量下降到總?cè)丝诘?5%以下時(shí)，農(nóng)村土地的價(jià)值才能達(dá)到市場(chǎng)化的要求，農(nóng)業(yè)土地的集約化生產(chǎn)、規(guī)模化生產(chǎn)和專(zhuān)業(yè)化生產(chǎn)才達(dá)到一定的水平，農(nóng)業(yè)的科技含量、服務(wù)水平和農(nóng)業(yè)成本才會(huì)有大幅度的改善，農(nóng)民的收入水平和整體素質(zhì)才會(huì)有明顯的進(jìn)步。因此，農(nóng)業(yè)剩余勞動(dòng)力轉(zhuǎn)移，不僅僅關(guān)系到農(nóng)民收入，它已經(jīng)成為我國(guó)國(guó)民經(jīng)濟(jì)發(fā)展中的一個(gè)全局性問(wèn)題。改革開(kāi)放20多年來(lái),農(nóng)村實(shí)行的生產(chǎn)責(zé)任制,使得農(nóng)業(yè)生產(chǎn)水平有了很大提高。但是,自80 年代中后期以來(lái)卻出現(xiàn)了農(nóng)民收入增加緩慢,其收入增長(zhǎng)速度明顯慢于城市居民的問(wèn)題,改革初期曾一度扭轉(zhuǎn)的城鄉(xiāng)收入差距再度擴(kuò)大,90 年代以來(lái)進(jìn)一步演變?yōu)樵霎a(chǎn)不增收。盡管人們采取了許多措施,仍難阻止農(nóng)民收入下滑的勢(shì)頭。造成這種狀況的原因是多方面的,但我國(guó)農(nóng)業(yè)人均均支配的土地資源太少,勞動(dòng)生產(chǎn)率提高緩慢無(wú)疑是最根本的原因。投入到土地中的勞力、資金、技術(shù)受到土地收益遞減規(guī)律的制約,制度創(chuàng)新和技術(shù)創(chuàng)新的收益效應(yīng)受到土地自然資源的限制,價(jià)格下跌。在農(nóng)產(chǎn)品總體上講已經(jīng)過(guò)剩,農(nóng)業(yè)已從供給約束型產(chǎn)業(yè)轉(zhuǎn)變?yōu)樾枨蠹s束型產(chǎn)業(yè)的背景下,價(jià)格的需求彈性很小,即使價(jià)格大幅度下降,需求也很難消化急速增加的供給,在這里先進(jìn)技術(shù)甚至成了農(nóng)民增收的殺手锏。隨著中國(guó)加入世界貿(mào)易組織,廉價(jià)農(nóng)產(chǎn)品進(jìn)入國(guó)內(nèi)市場(chǎng)將不可避免,這實(shí)際上已經(jīng)把我國(guó)農(nóng)產(chǎn)品價(jià)格總水平鎖定在國(guó)際價(jià)格水平上,上述矛盾將更加突出。結(jié)論十分明顯,農(nóng)民很難依靠經(jīng)營(yíng)小塊土地脫貧致富。因此,出路只能是把大量剩余勞動(dòng)力從農(nóng)業(yè)轉(zhuǎn)移到非農(nóng)產(chǎn)業(yè),把農(nóng)民轉(zhuǎn)移到城鎮(zhèn)中去11 沈越.三農(nóng)”問(wèn)題的根本出路在于城市化J.當(dāng)代經(jīng)濟(jì)研究.2002 ,(2).。這樣,一方面可以使轉(zhuǎn)移出來(lái)的勞動(dòng)力能依靠非農(nóng)產(chǎn)業(yè)脫貧致富;另一方面把置換出來(lái)的土地資源在農(nóng)民手中適度集中,實(shí)行農(nóng)業(yè)規(guī)模經(jīng)營(yíng)和集約經(jīng)營(yíng),提高人均產(chǎn)出量,保證農(nóng)民即使在農(nóng)產(chǎn)品價(jià)格下跌時(shí)也能增收,使農(nóng)業(yè)真正能成為致富的產(chǎn)業(yè)。20 多年來(lái)農(nóng)村鄉(xiāng)鎮(zhèn)企業(yè)的迅速發(fā)展,已使1億多農(nóng)民從土地上轉(zhuǎn)移出來(lái),另外城市和沿海工業(yè)加工區(qū)也吸納了1 億多農(nóng)村剩余勞動(dòng)力。這些方面都促進(jìn)了農(nóng)村問(wèn)題的改善，促進(jìn)了農(nóng)村產(chǎn)業(yè)結(jié)構(gòu)的調(diào)整，同時(shí)也促進(jìn)了中國(guó)的經(jīng)濟(jì)增長(zhǎng)。（2）可持續(xù)發(fā)展的城市化是中國(guó)走向現(xiàn)代化的必由之路陳軍濤認(rèn)為, 城市化是解決中國(guó)系列經(jīng)濟(jì)社會(huì)問(wèn)題的新起點(diǎn)。城市化將積極推動(dòng)我國(guó)農(nóng)業(yè)工業(yè)化和農(nóng)業(yè)產(chǎn)業(yè)規(guī)?；?jīng)營(yíng)的進(jìn)程, 為環(huán)境保護(hù)和生態(tài)控制提供新契機(jī)。同時(shí), 城市化本身所產(chǎn)生的巨大需求將促使中國(guó)經(jīng)濟(jì)長(zhǎng)期保持一個(gè)較高的增長(zhǎng)速度。據(jù)估計(jì), 在中國(guó)現(xiàn)有的發(fā)展水平上, 城市人口比重每增加1 個(gè)百分點(diǎn), 直接消費(fèi)可拉動(dòng)GDP 增加115個(gè)百分點(diǎn)3 。劉勇認(rèn)為, 城市化進(jìn)程對(duì)GDP 的貢獻(xiàn)舉足輕重。我國(guó)城市化的發(fā)展速度每提高1 個(gè)百分點(diǎn), 城市基礎(chǔ)設(shè)施投資將新增1 400 億元, 最終將帶來(lái)3 360 億元的GDP。據(jù)分析預(yù)測(cè),“十五”時(shí)期, 我國(guó)城市化率將每年提高1 個(gè)百分點(diǎn), 由此對(duì)經(jīng)濟(jì)發(fā)展的直接和間接貢獻(xiàn)將達(dá)到3 個(gè)百分點(diǎn)左右4 。程安東認(rèn)為, 城鎮(zhèn)化在西部大開(kāi)發(fā)中發(fā)揮著極其重要的作用。城鎮(zhèn)化程度不高是影響西部地區(qū)經(jīng)濟(jì)社會(huì)快速發(fā)展的一個(gè)根本問(wèn)題。在新世紀(jì)來(lái)臨之際, 突出地提出和解決這個(gè)問(wèn)題, 是西部地區(qū)由滯后發(fā)展走向全面振興的必由之路。因此, 在西部大開(kāi)發(fā)中應(yīng)把加快城鎮(zhèn)化放在重要的戰(zhàn)略位置,使其充分發(fā)揮推進(jìn)器和加速器的作用5 。二、可持續(xù)發(fā)展的城市化的理論界定1、可持續(xù)發(fā)展的城市化概念的界定城市化一詞來(lái)自英語(yǔ)Urbanizition，。對(duì)城市化的認(rèn)識(shí)如同對(duì)其他事物的認(rèn)識(shí)一樣,也經(jīng)歷了一個(gè)由淺入深的過(guò)程。迄今尚無(wú)一致的表述。中國(guó)大百科全書(shū)認(rèn)為，“城市化通常是指人口向城市地域集中和鄉(xiāng)村地域轉(zhuǎn)化為城市地域的過(guò)程。”不列顛百科全書(shū)認(rèn)為，“城市化是人口集中城市或城市地區(qū)的過(guò)程，這種過(guò)程有兩種方式：一是通過(guò)城市數(shù)量的增加，二是通過(guò)每個(gè)城市地區(qū)的人口的增長(zhǎng)?！本湍壳皝?lái)看，城市化概念的基本觀點(diǎn)主要有以下幾種：(1)城市化是伴隨工業(yè)化而產(chǎn)生的一種現(xiàn)象，是指在工業(yè)化發(fā)展過(guò)程中，一個(gè)國(guó)家的人口逐步由農(nóng)業(yè)人口占多數(shù)轉(zhuǎn)變?yōu)榉寝r(nóng)業(yè)人口占多數(shù)；由居住在農(nóng)村占多數(shù)轉(zhuǎn)變?yōu)榫幼≡诔擎?zhèn)占多數(shù)；該國(guó)由農(nóng)業(yè)國(guó)轉(zhuǎn)變?yōu)楣I(yè)國(guó)；由農(nóng)業(yè)社會(huì)轉(zhuǎn)變?yōu)槌鞘猩鐣?huì)的經(jīng)濟(jì)社會(huì)發(fā)展過(guò)程，是一個(gè)國(guó)家經(jīng)濟(jì)形態(tài)的重大變化，也是一個(gè)國(guó)家社會(huì)結(jié)構(gòu)的根本變革12 城市化問(wèn)題觀點(diǎn)綜述 王行偉 黨政干部學(xué)刊2002年第7期。(2)城市化是人類(lèi)社會(huì)為了滿足自身生存和發(fā)展需要而創(chuàng)造人工環(huán)境的過(guò)程。從城市化的本質(zhì)來(lái)看，主要有三層含義，第一，城市化意味著人的城市化；第二，城市化水平應(yīng)與生產(chǎn)力水平提高保持一致；第三，城市化水平的提高意味著城市環(huán)境現(xiàn)代化13 紀(jì)曉嵐 論城市的本質(zhì) 中國(guó)社會(huì)科學(xué)出版社 2002.5 第20-21頁(yè)。（3）城市化是指在人類(lèi)社會(huì)分工的發(fā)展過(guò)程中，伴隨著工業(yè)化進(jìn)程而出現(xiàn)的非農(nóng)產(chǎn)業(yè)及人口從農(nóng)業(yè)中分離出來(lái)，逐漸集聚到城市，從而使城市在國(guó)民經(jīng)濟(jì)中的比重日益增大，城市人口迅速增長(zhǎng)和城市地域范圍顯著擴(kuò)張的過(guò)程。它包括經(jīng)濟(jì)基礎(chǔ)過(guò)程中的城市化現(xiàn)象及城市生活方式的深化和擴(kuò)大14 石憶邵 中國(guó)城市化若干理論問(wèn)題芻議 城市規(guī)劃匯刊 1999年第1期。 （4）2、城市的可持續(xù)發(fā)展與經(jīng)濟(jì)增長(zhǎng)文獻(xiàn)綜述Why are some countries much poorer than others? Traditional neoclassical growth models, following Solow (1956), Cass (1965) and Koopmans (1965), explain differences in income per capita in terms of different paths of factor accumulation. In these models, cross-country differences in factor accumulation are due either to differences in saving rates (Solow), preferences (Cass-Koopmans), or other exogenous parameters, such astotal factor productivity growth. More recent incarnations of growth theory, following Romer (1986) and Lucas (1988), endogenize steady-state growth and technical progress, but their explanation for income differences is similar to that of the older theories. For instance, in the model of Romer (1990), a country may be more prosperous than another if it allocates more resources to innovation, but what determines this is essentially preferences and properties of the technology for creating ideas.1. The Chicago SchoolThe ecological approach by the Chicago School is one of the earliest efforts to systematically study city growth. The urban ecologists view city growth as the result of individual competitions for the best locations, the development of machine industry, and progress of communication and transportation technology. In the paper The Growth of the City, Burgess suggested to study urban growth by examining its physical expansion, population differentiation, and consequent social problems. The well-known concentric model describes the dynamic expansion process of city growth. The concentric model assumes a single center of business activitiesthe Loop. Encircling the Loop is the area in transition, which is being invaded by business and light manufacture. A third area is inhabited by the industrial workers who escaped from the area in transition but still wanted to live close to work. Beyond these zones is the residential area of high-class apartment buildings. Still farther, beyond the citylimits, is the commuters zonesuburban areas or satellite cities (Burgess 1925). This ecological thinking of urban growth was replaced by the political economy paradigm in urban sociological studies in the 1970s.42. Location Theories in EconomicsIn the field of economics, scholars have developed different theories to model urban growth. Marshall (1890), Arrow (1962) and Romer (1986) attribute urban growth to the concentration of an industry in a city that helps knowledge spillover between firms. The growth of that industry leads to the growth of the city. The evidence supporting this theory is the rise of Silicon Valley, where ideas quickly disseminate among neighboring firms through spying, imitation, and rapid inter-firm movement of human capital. Here, the mechanism of city growth is industrial monopoly. Porter (1990) developed a similar theory, which attributes city growth to the geographical concentration of some industries. However, he emphasizes local competition rather than local monopoly. The view that geographical specialization spurs urban growth had remained unchallenged until the publication of The Economy of Cities in 1969 by Jane Jacobs. According to Jane Jacobs, it is the diversity of geographically proximate industries, rather than geographical specialization, promotes innovation and growth.Economists have provided econometric evidence supporting Jane Jacobs theory. Glaeser and others tested Jacobs theory by using a data set on geographical concentration and competition of biggest industries in 170 of the largest U.S. cities. As measured by employment, industries grow slower in cities where they are heavily over-represented. They suggest that city diversity promotes growth as knowledge spills over industries (Glaeser 1992). 3. Human Capital Theory of Urban GrowthAlso influenced by Jane Jacobs, economists have developed human capital theory to explain urban growth. According to human capital theory, the key to the regional growth lies not in reducing the costs of doing business, but in endowments of highly educated and productive people. Robert Lucas sees the productivity effects that come from the clustering of human capital as the critical factor in regional economic growth, referring to this as “Jane Jacobs externality” (Florida 2002). He contends that cities would be economically infeasible if not for the productivity effects associated with endowments of human capital (Lucas 2002). Glaeser found empirical evidence that human capital is the main factor of regional growth. Such clustering of human capital is the ultimate cause of agglomerations of firmsfirms cluster to reap the advantages that stem from common labor pools, not only the advantages of networks of customers and suppliers as is more typically argued. So why some cities can attract human capital while others can not? Human capital economists think that the answer is amenities the attractiveness of a location depends on what amenities it can offer. Glaeser specified four particularly critical urban amenities a rich variety of services and consumer goods; aesthetics and physical settings, such as architectural beauty; good public services, such as less crime and good schools; and speedy transportation of people, goods, and ideas. Talented people would pay a price to live in an environment with such amenities. The difference between quickly rising urban rent and relatively stable real income suggests the increasing demand for amenities.Glaeser divided American urban areas in the year of 2000 into three classes in terms of their future of urban growth. First, there are the resurgent dense cities, including New York, San Francisco, Chicago, Pittsburgh, Boston and several others. These cities have relatively successful industries that have done well in the information economy. They all have relatively high human capital and offer diverse urban amenities. Second, there are older dense cities with little change for real growth, such as Detroit, Philadelphia, and St. Louis. These cities are generally marked by property values that are far below the costs of new construction. These cities have lower levels of amenities, and do not seem to be able to attract human capital in the near future. The third class of cities is the edge cities, including lower density, car cities such as Los Angeles, Las Vegas, and Atlanta. These are clearly thriving and in the absence of major government intervention they seem very likely to continue to grow.4. Urban Amenity Theory of Urban GrowthThe recent research by Florida has contributed to the discussion on amenities and urban development. Florida (2002) elaborated how amenities can attract talented people, in his case, the creative class. First, high-amenity cities offer a variety of lifestyles that creative class desired music, arts, technology, and outdoor sports. People move to somewhere for lifestyle and then set out to find jobs. Secondly, diversity itself attracts people. A diverse community with different ethnicities, ages, sexual orientations and alternative appearances (such as body piercing and tattoos) is a sign of a place open to outsiders. Diversity also means excitement or energy. An attractive place doesnt have to be a big city, but it has to be cosmopolitana place where anyone can find a peer group to be comfortable with, and also find other groups to be simulated by. Thirdly, authenticity is an important component of amenities. Authenticity comes from several aspects of a communityhistorical buildings, established neighborhoods, music scene, or cultural attributes. Music is a key part of what makes a place authentic, such as Blues in Chicago. In sum, not all amenities matter; smaller-scale, street level amenities can better attract talented people than traditional big-ticket attractions such as professional sports.可持續(xù)發(fā)展最為常用的一個(gè)定義是世界環(huán)境與發(fā)展委員會(huì)給出的（布倫特蘭委員會(huì)，1987），即它是一個(gè)“在滿足當(dāng)代人需求的同時(shí)，不會(huì)削弱后代人滿足他們需求的能力的進(jìn)程。最近的定義更加明確地把重點(diǎn)放在了可持續(xù)性的三根支柱上：經(jīng)濟(jì)、環(huán)境及社會(huì)。它們突出強(qiáng)調(diào)了不僅需要關(guān)注環(huán)境方面（進(jìn)而關(guān)注環(huán)境與經(jīng)濟(jì)問(wèn)題），而且需要關(guān)注可持續(xù)性的社會(huì)方面的問(wèn)題。關(guān)于社會(huì)可持續(xù)性的思想尚未發(fā)展到其他兩根支柱的思想水平。隨著時(shí)間的推移，社會(huì)的確會(huì)發(fā)生演變，而且將繼續(xù)發(fā)生演變。但看來(lái)已很清楚的事實(shí)是：嚴(yán)重的社會(huì)不和諧在極端的情況下是社會(huì)沖突將可能導(dǎo)致對(duì)所有資產(chǎn)的積累與保護(hù)陷于停滯，進(jìn)而損害代際財(cái)富。世界城市的發(fā)展已有五千多年的歷史了。城市的產(chǎn)生是社會(huì)分工的產(chǎn)物，是由于手工業(yè)與商業(yè)的產(chǎn)生和發(fā)展而從一般的村落居民點(diǎn)中分化出來(lái)的，是“非農(nóng)業(yè)集中，以從事工業(yè)、商業(yè)、交通等非農(nóng)生產(chǎn)活動(dòng)為主的居民點(diǎn)，是一定區(qū)域內(nèi)社會(huì)經(jīng)濟(jì)和文化活動(dòng)的集中點(diǎn)，是區(qū)別于比較單一而分散的農(nóng)村居民點(diǎn)的社會(huì)結(jié)構(gòu)形式?！痹诼L(zhǎng)的農(nóng)業(yè)社會(huì)中，城市的發(fā)展是十分緩慢的，城市數(shù)量少且規(guī)模比較小，城市人口所占的比重也很低。2