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类型 综合研究 预答辩日期 2017-09-16
开始(开题)日期 2013-06-08 论文结束日期 2017-06-19
地点 东南大学榴园宾馆东大厅 论文选题来源 国家社科规划、基金项目     论文字数 10.5 (万字)
题目 环境规制对中国制造业技术创新的影响研究
主题词 环境规制,中国制造业,技术创新,技术创新效率,技术创新绩效
摘要 改革开放以来,中国经济发展速度飞速、经济发展水平日新月异、经济发展成绩令人瞩目,然而,中国的环境污染形势并不令人乐观。作为一种公共物品,污染的负外部性注定其必定被滥用。环境问题产生的根源在于污染负外部性导致的市场失灵,市场失灵要求政府参与其中以纠正其非效率性和不公性,以增进社会福利。加强政府的资源环境规制并提高规制有效性,仍是现阶段中国工业化进程中的一个极为重要的问题(金碚,2009)。 经济发展与环境保护似乎是一个悖论、是一种两难境地。在静态分析框架下,传统的新古典经济学理论认为环境保护与经济发展是相互逆向的关系,不可兼得;实施环境规制在本质上是社会环境保护的需求和企业的负担(成本)之间的权衡(Ambec和Barla,2002),以至于认为环境规制将对企业产生不利影响,即加强环境保护会增加企业的私人成本,占用企业的创新资源,最终影响厂商的生产率和竞争力。但在动态的分析框架下,“波特假说”认为合理的环境规制可以刺激企业技术创新,企业通过技术创新可以获得收益,收益可以弥补甚至超过由于遵循环境规制所带来的经济成本,进而提高企业的生产率和竞争力,环境保护与企业生产效率可以实现“双赢”(Porter,1991;Porter和Linde,1995)。技术创新是实现经济发展和环境保护“双赢”的关键所在。那么,“波特假说”的研究核心问题在于环境规制是否诱发了技术创新,政府如何制定环境规制引导企业技术创新尤为关键。在针对政府提出政策建议之前,需要厘清如下问题:环境规制对中国制造业的技术创新影响如何?在资源有限的条件下考虑投入产出,环境规制对中国制造业技术创新效率的影响如何?在可持续发展的目的下实现经济发展和环境保护“双赢”,环境规制对中国制造业技术创新绩效的影响如何?研究这些问题对促进中国制造业企业技术创新的路径选择提供理论支持,并为政府制定适宜环境规制政策提供有意义的参考建议,对实现“创新”、“绿色”发展理念具有较强的理论和现实意义。 本文的研究逻辑为“环境规制→技术创新→技术创新效率→技术创新绩效”,以中国制造业为研究对象,重点研究了以上三个重要问题。在研究环境规制对中国制造业技术创新之前,如何测度环境规制强度尤为重要。目前,国内外学者已有多种方法,既有单一指标也有综合指标。相对而言,早期单一指标表较多运用,后期综合指标比较流行。单一指标较多,反应的视角也较多;而综合指标较多体现在排放上。考虑到单一指标和综合指标的优缺点,本文在环境规制强度的测度上有所创新。测度环境规制强度采用综合指标,除了采用常用综合指标的指标外还增加了部分单一指标的指标,多角度多方位综合评价环境规制强度,最后采用离差最大化法把众多指标综合在一起。 基用行业异质性视角,采用动态面板数据模型,对环境规制对中国制造业技术创新的影响展开分析。最终发现:环境规制与中国制造业的技术创新水平呈现显著的倒“U”型关系,但具有产业异质性;环境规制与不同类型产业的技术创新呈现不同的曲线关系,且拐点有差异;人力资本对中国制造业技术创新有正向影响,但受环境规制约束时降低了促进作用;无论环境规制约束与否,外资参与程度对中国制造业技术创新影响均具有产业异质性;竞争程度对产业的技术创新水平有抑制作用。与此同时,中国制造业技术创新水平具有一定的惯性,即滞后一期的技术创新水平会受到上一期技术创新水平的影响。因而,政府在制定环境规制政策时要体现产业差异。 在资源有限的前提条件下,要考虑投入产出就要考虑效率问题。采用随机前沿方法,构建超越对数模型研究环境规制对中国制造业技术创新效率的影响。发现环境规制与中国制造业技术创新效率呈现显著的“U”型关系,随着环境规制强度的提高,企业的技术创新效率先减后增;企业规模、政府研发资金扶持力度、行业研发外向度都正向影响产业的技术创新效率;竞争程度、外资所占比重、利润率都负向影响产业的技术创新效率。因而政府应适度提高环境规制强度、出台相关政策鼓励企业做大做强、提高产业集中度、投入更多研发资金、适度、合理引进外资、充分挖掘低利润率企业的技术创新潜能;同时企业应把自己的技术创新的战略发展前景与“政府意愿”相结合、大力吸引海外研发资金、充分利用国家有利于本企业发展的政策。 技术创新的最终目的是为了既发展经济又保护环境。环境规制通过诱使企业技术创新进而提高中国制造业绩效。基于微观企业视角,采用世界银行2012年中国企业微观数据与城市层面宏观数据,实证检验了环境规制对中国企业技术创新绩效的影响。发现在其他条件不变情况下,以污染排放量综合指数代理的环境规制变量,在当期会对企业经济绩效产生显著促进作用,但不会改善企业的环境绩效;滞后一期的环境规制不利于企业经济绩效;无论是从地区、所有制及嵌入全球价值链的角度看,环境规制对企业经济绩效都存在稳健的正向促进作用;政府建立并实施适当的环境规制政策可以实现经济与环境“双赢”,并能推动我国企业的技术进步;同时政府在实施未来的环境规制政策时还要考虑如何运用环境规制工具,因为环境规制工具的选择会对企业的绩效产生异质性影响,未来实施的环境规制体系应考虑到各种规制工具的适用性,除“命令-控制”型政策工具之外,还需要采用“市场激励型”政策工具,进而“帮助企业实现环境与绩效共赢”;政府可以通过税收优惠、加大投入等方式引导企业进行创新;特别重要的发现,政府实施更为严格的环境规制并未“挤出”企业的创新活动,而且企业会倾向于采取不同的创新方式来补偿由于环境规制造成的成本增加,不同的创新方式是环境规制对企业创新绩效产生的影响中介;值得关注的是对环境规制变量的度量会影响到回归结果。 最后对全文的研究结论进行汇总和提炼,得出本文的研究结论,为完善中国环境政策体制提供有一定参考价值和借鉴意义的政策建议,并分别基于政府和企业视角提出了政策建议。
英文题目 Impact of Environmental Regulation on Manufacturing Industry’s Technology Innovation in China
英文主题词 Environmental regulation;China’s manufacturing industry; Technology innovation; Technical innovation efficiency; Technical innovation performance
英文摘要 Since the implementation of reform and opening-up policy, China witnessed rapid economic development and impressive economic development achievements. However, the environmental pollution situation is not optimistic. As a public item, the negative externalities of pollution are bound to be abused. The root reason of environmental problems is the market failure caused by the negative externalities of pollution, and this require the government to participate into it to correct its inefficiency and injustice in order to promote social welfare. Strengthening the regulation of the resources and environment of the government and improving the effectiveness of regulation is still a very important issue in the process of industrialization in China (Jinbei, 2009). Economic development and environmental protection seems to be a paradox or a dilemma. Under the framework of static analysis, In the framework of static analysis, the traditional neoclassical economic theory considers that environmental protection and economic development are mutually converse to each other, and the implementation of the environmental regulation is in essence a balance between the needs of social environmental protection and the burden (cost) of the enterprise (Ambec and Barla, 2002), so that they hold the idea that environmental regulation will have a negative impact on the enterprise. That is, strengthen environmental protection will increase the private costs of enterprises, occupy the enterprise’s innovative resources, and ultimately affect the manufacturers of productivity and competitiveness. However, in the dynamic analysis framework, the "Porter hypothesis" regards that rational environmental regulation can stimulate the technological innovation of enterprise. Enterprise can obtain benefits by technological innovation, this benefits can make up or even exceed to the economic costs brought about by environmental regulation, and then improve the productivity and competitiveness. Environmental protection and enterprise productivity can achieve "win-win" (Porter, 1991; Porter and Linde, 1995). Technological innovation is the key to achieving "win-win" for economic development and environmental protection. Then, the core problem of the "Porter hypothesis" is whether environmental regulation triggers to technological innovation, and how the government develops environmental regulation to guide enterprise technological innovation is particularly critical. Before proposing policy recommendations for the government, it is necessary to clarify the following questions: how does environmental regulation affect the technological innovation of China’s manufacturing industry? Under the circumstances of limited resources to consider the conditions of input and output, how does the environmental regulation of China’s manufacturing industry impact the technological innovation efficiency? In the purpose of sustainable development to achieve the "win-win" between economic development and environmental protection, how does the environmental regulation impact the performance of the technological innovation in China’s manufacturing industry? The study of these problems provides theoretical support for the path selection of technological innovation in China’s manufacturing enterprises and provides meaningful consultant suggestions for the government to formulate appropriate environmental regulation policies. Also, it has strong theoretical and realistic meanings for realizing the concept of "innovation" and "green". The research logic of this paper is "environmental regulation → technological innovation → technological innovation efficiency → technological innovation performance", and the research object is the Chinese manufacturing industry, which emphatically studied the above three important problems. It is particularly important to measure the intensity of environmental regulation before studying the environmental regulation of China’s manufacturing industry. At present, domestic and foreign scholars have used a variety of methods, both a single indicator and a comprehensive index. Relatively speaking, early studies used single indicator more and then comprehensive indicators are more popular in later stage. More single indicators can reflect more perspectives, and comprehensive indicators are reflected in the emissions. Taking the advantages and disadvantages of the single index and the comprehensive index into account, this paper has made some innovation in the measure of environmental regulation intensity. In addition to use the common indicators, the indicators of the use of common indicators also increased the index of some single indicators, multi-angle multi-faceted comprehensive evaluation of environmental regulation intensity, and finally the use of maximum deviation method to integrate many indicators together. Based on the panel data of manufacturing industry in China from 2008 to 2013,this paper analyzes the influence of environmental regulation on technology innovation from the perspective of industrial heterogeneity by using dynamic panel data model. The results showed that: (1)There was a significant inverted-U shape relationship between environmental regulation and manufacturing’s technology innovation in China , the inflection point is 0.4962; but lies in different relationships in other industries on account of industry heterogeneity; (2) The human capital has a positive impact on manufacturing technology innovation in China, but the promotion reduces when constrained by environmental regulation; (3) The impact of foreign participation on manufacturing technology innovation in China are different whether constrained by environmental regulation or not; (4) The degree of competition inhibits China’s manufacturing technology innovation. Meanwhile, there is certain inertia in the. That is, the current China’s manufacturing technology innovation will be affected by that of previous. Finally, this paper puts forward specific suggestions to formulate the environmental regulations and policies differently as to different industries. In the premise of limited resources, considering the input and output should consider the problem of the efficiency. This paper uses the stochastic frontier method to construct the transcendental logarithmic model to study the influence of environmental regulation on the technological innovation efficiency of China’s manufacturing industry. It is found that environmental regulation has a significant "U" type relationship with the efficiency of technological innovation in China’s manufacturing industry. With the improvement of environmental regulation intensity, the efficiency of technological innovation is first reduced and then increased. Enterprise scale, government research and development support, are directly affecting the efficiency of technological innovation in the industry; the degree of competition, the proportion of foreign capital, profit margins are negative impact on the efficiency of technological innovation. Therefore, the government should appropriately improve the intensity of environmental regulation, introduce relevant policies to encourage enterprises to become bigger and stronger, improve industrial concentration, invest more R & D funds, appropriate and reasonable introduce foreign capital, fully dig the technological innovation potential of low-profit-margin enterprises. At the same time, the enterprises should combine their strategic development prospects of their own technological innovation with the "government will", and vigorously attract overseas R & D funds, make full use of the country is conducive to the development of the enterprise policy. The ultimate purpose of technological innovation is to develop both the economy and the environment. Environmental regulation enhances Chinese manufacturing industries’ performance by inducing technological innovation. Based on the microscopic enterprise perspective, the World Bank’s micro-data of Chinese enterprises in 2012 and the macroscopic data at the urban level were used to test the impact of environmental regulation on the technological innovation performance of Chinese enterprises. It is found that the environmental regulation variables with the pollution index of the pollutant index can significantly promote the economic performance of the enterprise in the current period, but it will not improve the environmental performance of the enterprise. The environmental regulation of the lagging period is not conducive to corporate economic performance. Both from the region, ownership and embedded in the global value chain perspective, environmental regulation of corporate economic performance has a steady positive role in promoting the performance of corporate economy. The government establish and implement appropriate environmental regulation policies can achieve the "win-win " of economic and environmental and then promote the technological progress of our enterprises. At the same time, the government in the implementation of the future environmental regulation policy should also consider how to use environmental regulatory tools, due to the choice of environmental regulatory tools will have a heterogeneous impact on corporate performance. The future implementation of the environmental regulation system should take into account the applicability of various regulatory tools, in addition to "command - control" type of policy tools, but also need to use "market incentive" policy tools, and then "help enterprises to achieve the win-win of environmental and performance". The government can guide enterprises to innovate through tax incentives, more investment and other ways. It is particularly important to find that the implementation of more stringent environmental regulation by the government does not "squeeze" the innovation activities of enterprises, and companies will tend to adopt different innovative ways to compensate for the increase in costs due to environmental regulation. Different ways of innovation are the influence of environmental regulation on the innovation performance of enterprises. It is noteworthy that the measurement of environmental regulation variables will affect the regression results. Finally, the conclusion of the study of the full text is summarized and refined as the conclusion of this paper which provides some suggestions for improving the environmental policy system of China and puts forward some policy suggestions based on the government and enterprise perspective.
学术讨论
主办单位时间地点报告人报告主题
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南京信息工程大学经济管理学院 2014年5月 经管院逸夫楼S427 钟念 公众环境关心与环境友好行为一致吗? ——基于中国综合社会调查数据的分析
南京信息工程大学经济管理学院 2014 年6月 经管院逸夫楼S403 余菜花 “再工业化”对中国贸易的影响及对策
南京信息工程大学经济管理学院 2011年12月 经管院逸夫楼S403 唐宝庆 服务贸易出口、知识产权保护与经济增长
南京信息工程大学经济管理学院 2014年 9月 经管院逸夫楼S403 钟念 Impact of Environmental Regulation on Manufacturing Industry’s Technology Innovation in China
南京信息工程大学经济管理学院 2015年4月 经管院逸夫楼S403 钟念 环境规制对中国制造业技术创新效率的影响研究
南京信息工程大学经济管理学院 2015年11月 经管院逸夫楼S427报告厅 寇纲 SCI论文: Author、Reviewer和Editor
南京信息工程大学经济管理学院 2015年12月 经管院逸夫楼S427 龚业明 Optimal Models of IT-enable Fulfillment Systems for Online Retailers
南京信息工程大学经济管理学院 2015年12月 经管院逸夫楼S427 徐国祥 大数据、云计算背景下的社会经济和金融数据分析
南京信息工程大学经济管理学院 2016年10月 经管院逸夫楼S427 钟念 环境规制对中国制造业技术创新绩效的影响研究
     
学术会议
会议名称时间地点本人报告本人报告题目
2014《中国工业经济》青年作者学术研讨会 2014年10月18日 南京信息工程大学 环境规制对中国制造业技术创新的影响研究
第二届全国高校创新管理研究与教学研讨会 2016年6月2日 浙江大学 环境规制对中国制造业技术创新绩效的影响研究
     
代表作
论文名称
环境规制对中国制造业技术创新的影响研究
 
答辩委员会组成信息
姓名职称导师类别工作单位是否主席备注
周德群 正高 教授 博导 南京抗天航空大学
史安娜 正高 教授 博导 河海大学
吴先华 正高 教授 博导 南京信息工程大学
张宗庆 正高 教授 博导 东南大学
袁健红 正高 教授 博导 东南大学
      
答辩秘书信息
姓名职称工作单位备注
冯伟 副高 副教授 东南大学