博论题目：城市大脑建构问题研究
答 辩 人：陈睿
指导老师：刘大椿
答辩时间：2023年5月20日
目 录
第1章 绪论
1.1研究的背景和问题的提出
1.1.1 研究的背景
1.1.2 问题的提出
1.2文献综述
1.2.1关于智慧城市与城市大脑
1.2.2关于技术的社会建构
1.2.3关于智慧城市和城市大脑的建构
1.2.4文献述评
1.3研究思路和方法
1.3.1论文的研究思路
1.3.2研究方法
1.4主要创新点和不足
1.4.1主要创新点
1.4.2不足之处
第2章 从智慧城市到城市大脑
2.1智慧城市的发展和传统模式的不足
2.1.1国内智慧城市发展的主要成效
2.1.2传统智慧城市建设模式的不足
2.2智慧城市发展中的新理念和新任务
2.2.1“一网通办”的公共服务模式
2.2.2“一网统管”的城市治理模式
2.2.3更为系统与宏观的“智慧决策”
2.3领域综合性系统平台的探索
2.3.1综合性卫生健康平台
2.3.2综合性交通平台
2.3.3领域综合性平台的优势与不足
2.4智慧城市的高级阶段—城市大脑
2.4.1理想的城市大脑功能特性
2.4.2城市大脑的建构原则和价值目标
2.4.3城市大脑的定义和技术模型
2.4.4城市大脑各领域的构成分析
2.5本章小结
第3章 城市大脑建构的技术要素分析
3.1相关的技术要素组成
3.1.1数据采集、传输与安全技术
3.1.2数据存储和运算技术
3.1.3人工智能技术
3.1.4数据挖掘与呈现技术
3.1.5低代码与微服务技术
3.1.6数据流通与协同应用技术
3.1.7各技术要素之间的关系
3.2技术风险及其防范
3.2.1主要的技术风险类型
3.2.2城市大脑建构中的风险防范
3.3技术“逆向突点”及其改进
3.3.1技术欠缺型“逆向突点”
3.3.2标准冲突型“逆向突点”
3.3.3对外依赖型“逆向突点”
3.3.4路径差异型“逆向突点”
3.3.5“逆向突点”危害及其改进对策
3.4本章小结
第4章 城市大脑建构的外部环境因素分析
4.1政治环境因素
4.1.1中央政府层面的政策支持
4.1.2地方政府行政环境的影响
4.1.3城市大脑建构中的府际关系
4.2经济环境因素
4.2.1企业的创新能力影响
4.2.2企业生态体系的影响
4.2.3企业商业模式的影响
4.3科技环境因素
4.3.1复杂性科学对城市大脑的影响
4.3.2城市大脑融合数字与传统技术
4.4法律和社会文化因素
4.4.1数字领域法律法规仍待完善
4.4.2数字化文化的影响
4.5外部环境因素的整体分析
4.5.1环境因素间的相互影响
4.5.2环境因素对城市大脑的综合影响
4.6本章小结
第5章 城市大脑建构的过程分析
5.1参与建构的人类行动者
5.1.1政府数据部门
5.1.2政府业务部门
5.1.3城市大脑开发商
5.1.4城市大脑应用者
5.2行动者网络的形成
5.2.1问题呈现
5.2.2利益赋予
5.2.3征召和动员
5.2.4行动者间的网络关系分析
5.3城市大脑建构全过程的协同
5.3.1底座建设阶段的“三螺旋”
5.3.2应用项目建设和实施阶段的“四棱锥”
5.3.3保障协同的机制设计
5.4城市大脑的拓展升级与模式变革
5.4.1拓展和升级的必要性分析
5.4.2城市大脑的建设模式变革
5.5本章小结
第6章 城市大脑建构的案例分析—以合肥市为例
6.1合肥城市大脑建构的背景
6.1.1智慧城市建设的早期探索
6.1.2智慧城市建设模式遇到困境
6.1.3城市大脑改革创新取得成效
6.2行动者的征召与协同
6.2.1数据与业务部门紧密合作
6.2.2培育城市大脑开发商
6.2.3便利城市大脑应用者
6.2.4充分考量参与主体的利益
6.2.5建立制度规范体系
6.3建设完善城市大脑技术体系
6.3.1建强城市大脑的底座
6.3.2应用牵引上层应用建设
6.3.3做强创新平台和技术标准
6.4主动营造良好发展环境
6.4.1抓住政策有利因素
6.4.2主动开展改革探索
6.5合肥城市大脑建构的经验与不足
6.5.1主要的经验
6.5.2存在不足和原因分析
6.6本章小结
第7章 城市大脑建构的若干思考和建议
7.1城市大脑是数字治理的良性框架
7.1.1数字技术治理的争议与隐忧
7.1.2城市大脑框架对数字技术的规制
7.1.3城市大脑减少数字技术“促逼”
7.2城市治理不应片面依赖城市大脑
7.2.1客观认识城市大脑局限性
7.2.2综合应用城市大脑和其他方法
7.2.3避免过度的量化和数据化
7.2.4避免技术导致的人本主义缺位
7.3推动建构更完善的城市大脑
7.3.1政府间更有效的分工协作
7.3.2完善数据相关法律体系
7.3.3优化技术创新环境
7.4本章小结
结语：走向未来的城市大脑
参考文献
后 记
摘要
近年来，国内很多城市开展了轰轰烈烈的智慧城市建设实践，在智慧城市的不断发展演进中，一些城市逐渐将建设内容从分立智慧城市系统转向城市大脑。为什么会发生这样的转向？城市大脑的内涵和功能是什么？城市大脑作为一个复杂的技术体系，又是如何由众多行动者共同参与建构的？这些问题都值得系统研究。本论文以城市大脑的建构问题作为研究主题，按照以下的研究进路进行了较为系统的研究分析。
第一章绪论部分，首先阐述了研究的背景，在实践中人们逐渐认识到，智慧城市乃至智慧社会需要从更为整体的路径加以构建，城市大脑作为系统化的智慧城市解决方案在一些城市开始探索。但目前对于城市大脑的内涵和建构过程等还缺乏全面系统的研究，本论文关于城市大脑建构的研究希望能够填补有关空白。在绪论部分还对智慧城市与城市大脑，技术的社会建构等相关文献做了综述，并概括提出了主要的研究思路和方法。
第二章主要分析智慧城市到城市大脑的演进过程。首先概述了近十余年国内智慧城市发展的整体情况，总结发展的成效以及不足；以及当前智慧城市发展中面临的新理念和新任务；进而对单一智慧城市系统向城市大脑演进的中间阶段—领域综合性系统平台做了研究，分析其优劣势。如同人脑是动物神经系统发展的高级阶段，城市大脑是智慧城市发展的高级阶段，通过与人脑功能的对比，提出城市大脑的功能特性、建构原则和价值目标，给出了城市大脑的定义和功能模型。
第三章对城市大脑的技术要素进行了研究。城市大脑的技术体系涵盖众多类型的数字技术，首先对这些技术进行了简单的概述，分析了不同技术在城市大脑技术体系中的作用。之后提出了数字技术的应用中可能出现的技术滥用、技术适配、数据偏差和算法失灵等风险，给出城市大脑建构过程中防范风险的有关建议。本章还对城市大脑技术体系中存在的“逆向突点”做了研究，将其归纳为技术欠缺型、标准冲突型、对外依赖型和路径差异型四类，并建议从关键技术攻关、信创产业发展、标准体系构建、数据要素流通等方面持续改进，以消除“逆向突点”，更好完善城市大脑技术体系。
第四章是城市大脑外部环境因素的分析研究。政治环境上，有国家政策层面的利好，地方实操层面上基层治理与数字技术也实现初步融合，但还存在一些传统治理方法手段同数字技术的冲突，以及不同层级政府间的分工不尽合理等因素。经济环境上，数字经济企业的发展推动了数字技术创新，但企业追求短平快收益的商业模式可能影响到城市大脑的深度建构。科技环境上，复杂性科学发展有助于城市大脑建构，城市大脑的发展也需要传统技术与数字技术的融合。法律与社会文化环境上，数据领域的法律制度不完善对城市大脑建构形成了制约，此外城市大脑功能设计时要考量公众参与城市治理的意愿。这些环境因素之间可能相互作用，对城市大脑的建构施加综合影响。
第五章重点研究城市大脑建构过程。首先分析了城市大脑建构的人类行动者，涵盖数据部门、业务部门、开发商、应用者等，接下来对各类行动者共同建构城市大脑的“转译”过程中各环节，包括问题呈现、利益赋予、征召动员做了细致的分析，研究了人类、技术和环境行动者之间的网络关系。进而分析了城市大脑建构各阶段行动者之间的“三螺旋”“四棱锥”协同关系。本章还研究提出，传统政府投资项目建设模式无法充分适应城市大脑应用拓展和迭代升级的需要，应该转向运营模式。
第六章对合肥城市大脑建构做了案例分析。合肥市前期的智慧城市建设取得初步成效，但也面临数据共享不足、缺乏统一平台等问题。2017年，合肥市成立数据资源局，开始系统建构城市大脑。数据资源局作为关键行动者，努力征召和动员其他行动者共同参与城市大脑建构，通过利益引导和制定规则让各参与方一致行动。合肥城市大脑建构中，统筹兼顾了城市大脑底座和上层应用，取得了较好的应用成效；但也存在着智能化程度不足，创新生态不优等短板，本章对原因做了剖析。
第七章在之前论述的基础上，对城市大脑建构问题做进一步探讨。首先是从人与技术关系维度的分析，认为城市大脑给数字技术的应用设定了一个合理的框架，对技术自主性进行了规制，也减少了数字技术对人的“促逼”。之后探讨如何更好使用城市大脑的问题，建议应综合使用城市大脑与其他方法，避免过度的量化手段，避免技术造成人本主义缺位。关于如何建构更好的城市大脑，本章也从各层级政府之间更有效的分工与协同，完善数据相关法律制度体系，健全技术创新体系等方面给出了建议。
本论文立足于技术的社会建构视角，对城市大脑的社会建构问题从理论分析与合肥的实践案例分析两方面做了较为全面系统的研究，提出了一些创新的观点和论断：将城市大脑与人脑功能做了全面比较，系统提出了城市大脑的体系模型，对城市大脑各个层级的功能进行了系统的提炼与概括；总结了城市大脑相关技术的风险和四类“逆向突点”；归纳了行动者协同中的“三螺旋”“四棱锥”关系；提出城市大脑能够规制数字技术的自主性，减少数字技术对人的“促逼”的新观点，也给出了避免数字技术的过度量化，避免技术发展损害以人为本等主张。
关键词：城市大脑；智慧城市；数字技术；技术建构
Abstracts
In recent years, various cities in China have extensively carried out smart city construction. In this process, some cities have gradually shifted the construction content from discrete smart city systems to urban brains. Why did this turn happen? What is the connotation and function of urban brain? How is the urban brain constructed by many actors? These problems are worthy of systematic study. This thesis takes the construction of the urban brain as the research subject, and carries out a systematic research and analysis according to the following research approaches.
The first chapter is the introduction. First of all, the background of the research is described. In practice, people gradually realize that smart cities and even smart society need to be built from a more systematic and integrated path. The urban brain, as a systematic smart city solution, has been explored in some cities. However, at present, there is still a lack of systematic research on the connotation and construction process of the urban brain. The research on the construction of the urban brain in this paper hopes to fill this research blank. In the introduction part, it also summarizes the relevant literature of smart city and urban brain, the social construction of technology, and puts forward the main research ideas and methods.
The second chapter mainly analyzes the evolution process from smart city to urban brain. Firstly, it summarizes the overall situation of the development of smart cities in China in the past ten years, and summarizes the achievements and shortcomings of the development; And the new ideas and tasks faced in the development of smart cities; Then, it studies the intermediate stage of the evolution from discrete smart city systems to an urban brain - the domain integrated system platform, and analyzes its advantages and disadvantages. Just as the human brain is the advanced stage of the development of the animal nervous system, the urban brain is the advanced stage of the development of the smart city. Through the comparison with the human brain function, the functional characteristics, construction principles and value objectives of the urban brain are proposed, and the definition and functional model of the urban brain are given.
The third chapter studies the technical elements of urban brain. The technical system of urban brain covers many types of digital technologies. First, a brief overview of these technologies is given. After that, it analyzes the possible risks of technology abuse, technology adaptation, data deviation and algorithm failure in the application of digital technology, and gives relevant suggestions to prevent risks in the process of urban brain construction. This chapter also studies the "reverse salients" in the urban brain technology system, and classifies them into four types: technology deficiency type, standard conflict type, external dependence type and path difference type. It also suggests continuous improvement in key technology research, information industry development, standard system construction, and data element circulation, so as to eliminate the "reverse salients" and better improve the urban brain technology system.
The fourth chapter is the analysis and research of external environmental factors of urban brain. In the political environment, there are advantages at the national policy level, and the preliminary integration of governance and digital technology has also been achieved at the local practical level, but there are still some factors such as the conflict between traditional governance methods and digital technology, and the unreasonable intergovernmental division in the construction of urban brain. In the economic environment, the development of enterprises in the digital economy has promoted digital technology innovation, but the business model of enterprises pursuing short and quick profits may affect the deep construction of the urban brain. In the scientific and technological environment, the development of complexity science is conducive to the construction of urban brain, and the development of urban brain also needs the integration of traditional technology and digital technology. In the social environment, the imperfection of the legal system in the field of data restricts the construction of urban brain. In addition, the design of urban brain function should consider the public's willingness to participate in urban governance.
The fifth chapter focuses on the process of urban brain construction. The actors involved in the construction of urban brain include data departments, business departments, developers, applicants, etc. This chapter makes a detailed analysis on the process of "translation" that impels the actors to jointly construct the urban brain, including problematisation, interessement, enrolment and mobilization. At the same time, it studies the "triple helix", "quadrangular pyramid" synergy among the actors in different stages of urban brain construction. This chapter also proposes that the traditional construction pattern cannot fully meet the application expansion and iterative upgrading of urban brain, and should be turned to the operational pattern.
The sixth chapter makes a case study of Hefei urban brain construction. Hefei's early smart city construction has achieved initial results, but it also faces problems such as insufficient data sharing and lack of a unified platform. In 2017, Hefei set up the Data Resources Bureau which start the systematically construction of the urban brain. As a key actor, the Data Resources Bureau strives to enrol and mobilize other actors to participate in the construction of the urban brain, and let all participants act in concert through interest guidance and rule making. In the construction of Hefei urban brain, both the urban brain base and the upper application have been taken into consideration, and good application results have been achieved; However, there are also shortcomings, such as insufficient intelligence and relatively weak innovation ecology. This chapter analyzes the reasons.
On the basis of the previous discussion, the seventh chapter further discusses the construction of urban brain. First of all, from the perspective of the relationship between human and technology, it is believed that the urban brain has set a reasonable framework for the application of digital technology, regulated technological autonomy, and reduced the "herausfordern" of digital technology on people. After that, we discussed how to use the urban brain more efficiently, and suggested that we should use the urban brain and other methods in a comprehensive way, avoid excessive quantitative means and the absence of humanism caused by technology. On the subject of how to build a better urban brain, this chapter also gives suggestions on more effective division of labor and coordination between governments, improving the legal system related to data, and improving the technological innovation system.
Based on the social construction of technology, this paper has made a relatively comprehensive and systematic study of the social construction of the urban brain from the theoretical analysis and the practical case analysis of Hefei, and has put forward some innovative ideas and conclusions: it has made a comprehensive comparison of the functions of the urban brain and the human brain, systematically proposed the system model of the urban brain, and systematically summarized the functions of the urban brain at all levels; Summarize the risks and four types of "reverse salients" of urban brain related technologies; The relationship of "triple helix", "quadrangular pyramid" in the coordination of actors is summarized; The new view that the urban brain can regulate the autonomy of digital technology and reduce the "herausfordern" of digital technology on people is put forward, and the idea of avoiding excessive quantitative means and the damage of humanism is also put forward.
Keywords: urban brain; smart city; digital technology; technology construction
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