资源枯竭型企业跨区转移行为的溢出效应与胁迫效应研究

The effective way and behavior effect of the resources-exhausted enterprises is not only an important practical problem, but also a frontier of theory. Centering on the spillover effect and intimidation effect of interregional transfer activities of resources-exhausted enterprises, and by the application of the ideas and methods of the systems engineering and econometrics, and through the theoretical and empirical study, this project makes us know well about the current situation, the exit features, edge elements of resources-exhausted enterprises along with the exploitation statue, the degree of industrial concentration and the edge elements of the Midwestern resources-abundant areas; reveals the driving mechanism of the coupling of edge elements between the resources-exhausted enterprises and the Midwestern resources-abundant areas; explores the mechanism, quantitative measurement, influencing factors of the spillover effect of transfer activities and its mechanism of incentives ; probes into the mechanism, quantitative measurement and influencing factors of the intimidation effect of transfer activities and its mechanism of prevention and control ; puts forward the measurement index of ecological spillover efficiency of the transfer activities, presents the results of comparative study between the spillover effect and intimidation effect; constructs an adjusting policy system based on ecological spillover efficiency improvement. The completion of the project strives to remedy the insufficiency of the research on effect theory and industrial organization theory of the interregional transfer activities of resources-exhausted enterprises, and supplies the basis and references to the government’s adjusting policy making of the interregional transfer activities from the perspective of ecological civilization construction.

资源枯竭型企业的有效出路与行为影响不仅是一个重要现实问题，而且是一个理论前沿问题。本项目围绕资源枯竭型企业跨区转移行为的溢出效应与胁迫效应，运用系统工程学与计量经济学的思想和方法，通过理论与实证研究，掌握资源枯竭型企业的现状、退出特征与优势要素，以及中西部资源富集地的开发现状、产业集中度与优势要素；揭示资源枯竭型企业与中西部资源富集地优势要素耦合的驱动机理；探究转移行为溢出效应的机理、量化测度、影响因素,及其行为激励机制；探究转移行为胁迫效应的机理、量化测度、影响因素,及其行为防控机制；提出转移行为生态溢出效率测度指标，显现溢出效应与胁迫效应的比较研究结果；构建基于生态溢出效率提升的调控政策体系。本项目的完成，力求弥补资源枯竭型企业跨区转移行为效应理论及产业组织理论研究的不足，为生态文明建设视角下企业跨区转移行为的政府调控政策制定提供依据与参考。

课题组按照研究的总体方案和具体计划，在文献查阅、资料收集与实地调查的基础上，建成了《中国资源枯竭型企业跨区转移项目数据库（2000～2019）》，形成了本项目全面研究的重要基础。运用系统工程的思想，通过精英访谈、扎根分析、灰色关联分析与实证检验，探究了我国东部资源枯竭型企业向中西部资源富集地转移的过程、特征、动机，揭示了双方优势要素的耦合正是企业跨区转移行为的本质。通过理论与实证研究，揭示了资源枯竭型企业跨区转移行为溢出效应、胁迫效应的机理、强度和影响因素；显现了溢出效应与胁迫效应的比较研究结果；构建了转移行为调控的政策体系。研究主要发现：(1)示范模仿渠道、竞争优化渠道是企业跨区转移行为溢出效应形成的主要渠道；竞争优化渠道的溢出效能明显高于示范模仿渠道的溢出效能。(2) “市场化程度”“行业发展水平”“政府干预程度”“知识产权保护力度”是溢出效应的主要影响因素。(3)企业跨区转移行为对于中西部省区土地塌陷、固体废物、废水、废气和粉尘五项胁迫指标都有显著的强化作用。(4) “环境规制”“企业发展方式水平”“企业规模”“企业环保投资水平”是胁迫效应的主要影响因素。(5)企业跨区转移行为既有溢出效应也有胁迫效应，强度比较结果的省际差异明显。由此，弥补了企业跨区转移行为效应理论及产业组织理论研究的不足，为调控企业的跨区转移行为和促进区域的创新协调、可持续、高质量发展提供了可行的政策建议。研究成果受到转移企业及其相关地区政府部门的高度重视和积极采纳。