摘要
煤炭资源是我国重要的能源资源、战略资源和化工原料,煤炭产业发展的好坏关系到我国工业化进程的速度和国民经济发展状况。我国煤炭资源丰富,知识经济和区域经济时代背景下,如何推动煤炭富集区域产业结构调整、提升煤炭企业和产业竞争力、协调产业、区域和国家经济发展,成为当前必须解决的一个现实问题。全球经济一体化背景下,产业集群化已成为世界范围内优化资源配置、提升产业与区域核心竞争力的典型战略模式。但对中国煤炭工业而言,大型煤炭集团化却是其“十一五”规划和“十二五”规划期间的主流产业组织模式,而对煤炭产业集群化关注较少“十二五”规划明确了实施“主体功能区战略”的区域经济发展思路,煤炭产业集群化将极有可能成为我国煤炭富集区、国家大型煤炭产业基地实施“主体功能区”战略的重要现实载体。
论文以煤炭产业为研究对象,以产业集群理论、战略管理理论、进化博弈理论等为理论依据,分析了煤炭产业大型集团化和产业集群化战略模式的比较问题。论文的主要观点与内容是：①煤炭产业具有强资源依赖性、强路径锁定性、产业延展性、低进入壁垒和高退出壁垒的特性；②全球经济一体化背景下,煤炭产业发展具有三大趋势：煤炭产业结构升级趋势、煤炭产品结构优化趋势、低碳绿色化趋势；③煤炭产业大型集团化战略模式具有跨地区或跨国经营、资本结构多元化、成员企业协作竞争、市场结构垄断性的特征,煤炭产业集群化战略模式具有跨区域性、政府关联性、地理根植性、生命周期性的特征；④从异质性和同质性两个角度,从适用范围、支撑条件、空间格局、资源配置机制、组织结构、运行模式、组织协调效率、组织属性、目的一致性、社会效益和环境效益十个方面对煤炭产业大型集团化和产业集群化进行对比分析,并以此为基础建立煤炭产业大型集团化—产业集群化时空耦合系统模型,得出两者之间螺旋上升的进化演进关系,并认为二者可以在一定时空结构下相互转化；⑤构建了更符合现实情境、基于有限理性的进化博弈模型,分析了煤炭富集区域内煤炭企业进行大型集团化或产业集群化战略模式选择的进化稳定策略的稳定性和演化机制,得出影响煤炭企业战略模式选择的关键条件：一是产业区内的交易费用和大型集团内的管理费用大小,二是战略选择后的经济收益分配比例,三是参与博弈的另一方企业战略选择概率；⑥通过对煤炭产业大型集团化和产业集群化进行比较,按照煤炭产业选择战略模式应遵循的原则,从政府层面和企业层面提出了相应的对策建议。政府层面,应制定相应的区域产业规划,完善扶持区域经济发展的政策体系；培育市场经济体制,推进区域市场一体化建设；煤与非煤并重,综合开发利用区域资源；积极营造良好的区域软环境。企业层面,建立合理的组织结构,保证战略目标的顺利实施；加强内部管理,建立集约高效的企业管理机制；推进改革重组,建立高效的运营机制；加快技术开发,建立科技创新机制。
论文可能的创新之处在于：①将煤炭产业大型集团化和产业集群化这两种战略模式进行比较研究,做出客观评价,为煤炭产业选择发展战略模式提供依据；②构建了煤炭产业大型集团化—产业集群化时空耦合系统模型,得出两者之间螺旋上升的进化演进关系；③提出了更符合现实情境、基于博弈参与者有限理性的假设前提,将交易费用、管理费用、费用差额收益率等影响因素引入到进化博弈模型中；④将进化博弈理论引入到对煤炭产业大型集团化和产业集群化的对比分析中,构建了大型集团化和产业集群化战略模式选择的进化博弈模型,判定影响煤炭富集区域煤炭企业选择战略模式的关键因素,为国家和企业制定相关对策提供依据。
论文认为,通过对煤炭产业大型集团化和产业集群化的比较研究,得出两种战略模式的关系以及影响煤炭富集区域煤炭企业选择战略模式的关键因素,为煤炭产业发展选择适宜的战略模式提供依据,可以有效促进煤炭产业结构调整、提升煤炭企业和产业核心竞争力、协调产业、区域及国家经济发展,具有一定的理论意义和应用价值。
Coal resources is the important energy resources, strategic resources and industrial chemicals, the stand or fall of coal industry development relates to the speed of our country industrialization and national economic development. China has abundant coal resources, under the knowledge economy and regional economic background, and how to promote the adjustment of industrial structure in the coal-rich region, enhance coal enterprise and industry competitiveness and, and coordinate the industrial, regional and national economic development is a real problem to be solved. Under the context of global economic integration, industry clustering have become the typical regional strategic model which can realize optimal allocation of resource and promote the core competence of coal industry and coal-rich region. As for coal industry in China, the large-scale coal grouping is the mainstream industrial organization model in the "Eleventh Five-Year" Plan and the "Twelfth Five-Year" Plan period while less attention on the coal industry clustering. The "Twelfth Five-Year" Plan clearly put forward to implement the regional economic development ideas which is called "the major function area" strategy, and coal industry clustering will most likely be the important realistic vector which the coal-rich region and the national large coal industry bases implement the strategy of "the major function area".
The thesis put the coal industry as the research object, industrial cluster theory, strategic management theory and evolutionary game theory as the theoretical basis, and analyzed the selection problem btween the large-scale grouping and the industrial clustering strategy modle of coal industry. The main ideas and contents are:①The coal industry has a strong resource dependency, strong path lock qualitative, industry scalability, low entry barriers and high exit barriers.②Under the context of global economic integration, the development of coal industry has three trends:the upgrading trend of coal industrial structure, the optimization trend of coal product mix, low-carbon greening trend.③Coal industry large-scale grouping strategic mode has these characteristics: cross-regional or multinational operations, capital structure diversity, the relationship among members is competitive collaboration, monopolistic market structure. The coal industry clustering strategy mode has these characteristics: cross-region, government relevance, geographic embeddedness, life periodicity.④The thesis analyzed the heterogeneity and homogeneity between large-scale grouping and industry clustering of coal industry about ten respects: applicable scope, support condition, spatial pattern, resource allocation mechanism, organizational structure, operation mode, coordination efficiency, organizational property, the unity of purpose, social and environmental benefits, and established time-space coupling system model about large-scale grouping and industry clustering of coal industry. The thesis reached the spiralled evolutionary relationship between large-scale grouping and industry clustering, and considered that the two Strategic mode could transform into each other in a certain space-time structure.⑤Constructed a evolutionary game model which according with a more realistic scenario and bounded rationality, the thesis analyzed the stability and evolution mechanism of the evolutionary stable strategy for coal enterprises in coal-rich region choosing the strategy. The thesis got the key conditions which influence coal enterprises selected strategic mode: one factor is the magnitude between the transaction costs in industrial areas and the management costs in the large-scale group, one factor is the ratio of economic benefits after choosing the strategic mode, another is the probability of strategy choice of the other side of game.⑥Pesented corresponding countermeasures system from government angle and enterprise angle, according to the selection principles what the coal industry should be followed when choosed strategy mode. The government should develop appropriate regional industry planning to improve the policy support system for regional economic development, develop the market economy system to promote the integration of regional markets, develop both coal enterprise and non-coal enterprise to comprehensively exploit and utilize regional resources, and actively create a good regional soft environment. Enterprises should establish reasonable organize structure to propitiously implement strategy aim, strengthen enterprise management to establish the intensive and efficient management mechanism, deepen the reform to establish efficient manage mechanism, implement technological innovation to establish a favorable self-innovative technical progress mechanism.
The innovation in this thesis may be the following aspects:①Comparatively studyed the large-scale grouping and industrial clustering of the coal industry strategic mode, made an objective evaluation and provided the basis for making countermeasures of coal industry choosing development strategy mode.②Presented an assumptions which according with a more realistic scenario and bounded rationality, and introduced transaction costs, management fee and rate of cost balance return into the evolutionary game model.③Introduced evolutionary game theory into the comparative analysis between the large-scale grouping and industrial clustering of coal industry, structured the evolutionary game model to determine the key factors which impact coal enterprises of the coal-rich region to choose strategic mode, and provided the basis for the state formulateing relevant policy.
This thesis considered that, through the comparative analysis between the large-scale grouping and industrial clustering of coal industry, got the relationship of the two strategic mode and the key factors which impact coal enterprises of the coal-rich region to choose strategic mode, provided the basis for making countermeasures of coal industry choosing development strategy mode, it can promote coal industrial restructuring, enhance enterprise and industrial competitiveness, and coordinate the industrial, regional and national economic development, which has some theoretical significance and application value.
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