陕西省的重污染企业为研究对象，从技术变迁的角度出发，通过分析陕西省重污染企业技术变迁模式及其与转型升级模式之间的关系，进而提出陕西省重污染企业的五种技术变迁式转型升级模式：生产流程重组、废弃物治理流程升级、产品升级、管理升级、销售模式升级；并进一步对构建的转型升级模式的运作机理进行具体阐述，利用SEM模型对各模式的转型升级效果进行实证分析，结果表明五种模式对企业转型都具有正向影响，且生产流程重组和管理升级影响效果比较明显；促进企业生产流程的智能化、管理的信息化成为陕西省重污染企业进行转型升级的重点。

Taking the heavy pollution enterprises in Shaanxi Province as the research object, from the perspective of technological transition, this paper analyzes the technological transition mode of heavy polluting enterprises in Shaanxi Province and its relationship with the transformation and upgrading mode, and then puts forward five technological transition-based transformation and upgrading modes of heavy polluting enterprises in Shaanxi Province: production process reorganization, waste treatment process upgrading, product upgrading, management upgrading and sales mode upgrading; and further elaborated the operation mechanism of the transformation and upgrading modes, and used SEM model to conduct empirical analysis on the transformation and upgrading effect of each mode, the results show that the five modes have a positive impact on enterprise transformation, and the effect of production process reorganization and management upgrading is relatively obvious; promoting the intelligent production process and information management of enterprises becomes the focus of transformation and upgrading of heavy pollution enterprises in Shaanxi Province.

陕西省社会科学基金项目“陕西重污染企业高端化转型升级实现对策研究”(2018S49)；国家自然科学基金项目“关联区域挥发性有机化合物(VOCs)排放可伸缩层次化联防联控云网格管理机制研究”(71874134)