环境规制对绿色技术创新的影响研究
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摘要
政府环境规制对绿色技术创新产出的影响作用,从企业层面来看属于微观经济的问题,但是,从整个社会经济的大环境来看也是宏观层面的问题。因此,有必要从宏微观经济视角,探索政府环境规制对绿色技术创新的影响。本文首先从微观视角,通过建立政府与企业间的环境规制博弈模型,运用数据模拟分析了不同企业选择各自绿色技术创新策略的内在机理,从理论上解决了绿色技术水平下限和环境规制系数阀值的问题,说明了如果政府不强化环境规制,企业通常不会主动采取措施进行环境保护、污染治理,承担其相应的环境责任。进一步探讨了政府如何根据经济发展和环境目标选择环境规制系数,以利于达到经济发展和环境保护的目的。进而从宏观视角,运用我国1995—2016年省际面板数据实证研究了环境规制对绿色技术创新的影响作用,证实了微观分析中环境规制对绿色技术创新产出的影响呈现"U"型关系的结论,且滞后一期的影响显著,并据此提出相应的政策建议。
At present,under the premise of China's economy entering a new normal and increasing downward pressure on economic growth,some local governments are often in a dilemma between the economic development and environmental protection when facing double assessment of economic and environmental indicators. In the market economy,the decisive role of the market in resource allocation is required and the government's positive role in the market is played. The impact of government's environmental regulation on green technology innovation output is a microeconomic issue from the perspective of enterprises. However, it is also a macroeconomic issue from the perspective of the whole social economic development. Firstly,this paper establishes a game model of environmental regulation between government and enterprises from the micro perspective,and analyzes the internal mechanism of different enterprises by choosing their own green technology innovation strategies and using data simulation. Therefore,the problems of the lower limit of green technology level and the threshold of environmental regulation coefficient are solved theoretically. If environmental regulation has not been carried out by the government,enterprises seldom take measures to carry out environmental protection and pollution control,and are unwilling to undertake corresponding environmental responsibilities. It also discusses how the government chooses the environmental regulation coefficients according to the actual situation of economic development and environmental objectives so as to achieve the goals of economic development and environmental protection. Then,from a macro perspective,based on panel data of provinces in 1995-2016,the paper conducts empirical tests and verifies the U-shaped relationship of the effect of environmental regulation on green technology innovation,but finds significant effects in the lag phase. Finally,the corresponding policy recommendations are put forward.
At present,under the premise of China's economy entering a new normal and increasing downward pressure on economic growth,some local governments are often in a dilemma between the economic development and environmental protection when facing double assessment of economic and environmental indicators. In the market economy,the decisive role of the market in resource allocation is required and the government's positive role in the market is played. The impact of government's environmental regulation on green technology innovation output is a microeconomic issue from the perspective of enterprises. However, it is also a macroeconomic issue from the perspective of the whole social economic development. Firstly,this paper establishes a game model of environmental regulation between government and enterprises from the micro perspective,and analyzes the internal mechanism of different enterprises by choosing their own green technology innovation strategies and using data simulation. Therefore,the problems of the lower limit of green technology level and the threshold of environmental regulation coefficient are solved theoretically. If environmental regulation has not been carried out by the government,enterprises seldom take measures to carry out environmental protection and pollution control,and are unwilling to undertake corresponding environmental responsibilities. It also discusses how the government chooses the environmental regulation coefficients according to the actual situation of economic development and environmental objectives so as to achieve the goals of economic development and environmental protection. Then,from a macro perspective,based on panel data of provinces in 1995-2016,the paper conducts empirical tests and verifies the U-shaped relationship of the effect of environmental regulation on green technology innovation,but finds significant effects in the lag phase. Finally,the corresponding policy recommendations are put forward.
引文
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[7]王锋正,郭晓川.环境规制强度对资源型产业绿色技术创新的影响---基于2003-2011年面板数据的实证检验[J].中国人口·资源与环境,2015,25(5):143-146.
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[16]JAFFE A B,PALMER K.Environmental regulation and innovation:a panel data study[J].Review of economics and statistics,1997,79(4):610-619.
[17]LANOIE,PATRY M,LAJEUNESSE R.Environmental regulation and productivity:testing the Porter Hypothesis[J].Journal of productivity analysis,2008,30(2):121-128.
[18]BAKER E,CLARKE L,SHITTU E.Technical change and the marginal cost of abatement[J].Energy economics,2008(30):2799-2816.
[19]沈能.环境规制对区域技术创新影响的门槛效应[J].中国人口·资源与环境,2012,22(6):14-18.
[20]臧传琴,张菡.环境规制技术创新效应的空间差异---基于2000-2013年中国面板数据的实证分析[J].宏观经济研究,2015(11):72-83.
[21]彭文斌,程芳芳,路江林.环境规制对省域绿色创新效率的门槛效应研究[J].南方经济,2017(9):73-84.
[22]肖黎明,高军峰,刘帅.基于空间梯度的我国地区绿色技术创新效率的变化趋势---省际面板数据的经验分析[J].软科学,2017(9):63-68.
[23]原毅军,谢荣辉.环境规制与工业绿色生产率增长---对“强波特假说”的再检验[J].软科学,2016(7):144-154.
[24]BERNOULLI D.Exposition of a new theory on the measure of risk[J].Econometrica,1954,22:23-36.
[25]MOORTHY K S.Product and price competition in a duopoly[J].Marketing science,1988,7(2):107-210.
[26]王文宾,达庆利.零售商与第三方回收下闭环供应链回收与定价研究[J].管理工程学报,2010(2):130-134.
[27]唐国平,李龙会,吴德军.环境管制、行业属性与企业环保投资[J].会计研究,2013(6):83-89.
[28]姜雨峰,田虹.绿色创新中介作用下的企业环境责任、企业环境伦理对竞争优势的影响[J].管理学报,2014(8):1191-1198.
[29]GRILICHES Z.Issues in assessing the contribution of R&D to productivity growth[J].Bell journal of economics,1979,10(1):92-116.
[30]GRILICHES Z.Market value,R&D,and patents[J].Economics letters,1981,7(2):183-187.
[31]庞瑞芝,李鹏.中国新型工业化增长绩效的区域差异及动态演进[J].经济研究,2011(11):36-47.
[32]张成,陆旸,郭路,等.环境规制强度和生产技术进步[J].经济研究,2011(2):113-124.
[33]TONE K.Dealing with undesirable outputs in DEA:a slacks-based measure(SBM)approach[R].GRIPS research report seriesⅠ,2003:5.
[2]PORTER M E,LINDE C V D.Toward a new conception of the environment-competitiveness relationship[J].Journal of economic perspectives,1995,9(4):97-118.
[3]JAFFE A B,PALME K.Environmental regulation and innovation:a panel data study[J].Review of economics and statistics,1997,79(4):610-619.
[4]颉茂华,王瑾,刘冬梅.环境规制、技术创新与企业经营绩效[J].南开管理评论,2014,17(6):106-113.
[5]FRONDELM,Horbach J,RENNINGS K.End-of-pipe or cleaner production an empirical comparison of environmental innovation decisions across OECD countries[J].Business strategy and the environment,2007,16(8):571-584.
[6]贾军,张伟.绿色技术创新中路径依赖及环境规制影响分析[J].科学学与科学技术管理,2014(5):44-52.
[7]王锋正,郭晓川.环境规制强度对资源型产业绿色技术创新的影响---基于2003-2011年面板数据的实证检验[J].中国人口·资源与环境,2015,25(5):143-146.
[8]GOLLOP F M,ROBERT M J.Environmental regulationsand productivitygrowth:the case of fossil-fueled electric power generation[J].Journal of political economy,1983,91(4):654-674.
[9]BARBERA A J,MCCONNELL V D.The impact of environmental regu-lations on industry productivity:direct and indirect effects[J].Journal of environmental economics and management,1990,18(1):50-65.
[10]JORGENSON D J,WILCOXEN P J.Environmental regulationand U.S economic growth[J].The RAND journal of economics,1990,21(2):313-340.
[11]WAGNER M.On there lationship between environmental management,environmental innovation and patenting:evidence from German manufacturing firms[J].Research policy,2007(10):1587-1602.
[12]CHINTRAKARN P.Environmental regulation and U.S.states’technical inefficiency[J].Economics letters,2008(3):363-365.
[13]LANJOUW J O,MODY S.Innovation and the international diffusion of environmentally responsive technology[J].Research policy,1996,25(4):549-571.
[14]SCHERER F M,HARHOFF D.Technology policy for a world of skew-distributed outcomes[J].Research policy,2000,29(4):559-566.
[15]SCHERER F,HARHOFF D,KUKIES J.Uncertainey and the size distribution of rewards from technological innovation[J].Journal of evolutionary economics,2000(10):175-200.
[16]JAFFE A B,PALMER K.Environmental regulation and innovation:a panel data study[J].Review of economics and statistics,1997,79(4):610-619.
[17]LANOIE,PATRY M,LAJEUNESSE R.Environmental regulation and productivity:testing the Porter Hypothesis[J].Journal of productivity analysis,2008,30(2):121-128.
[18]BAKER E,CLARKE L,SHITTU E.Technical change and the marginal cost of abatement[J].Energy economics,2008(30):2799-2816.
[19]沈能.环境规制对区域技术创新影响的门槛效应[J].中国人口·资源与环境,2012,22(6):14-18.
[20]臧传琴,张菡.环境规制技术创新效应的空间差异---基于2000-2013年中国面板数据的实证分析[J].宏观经济研究,2015(11):72-83.
[21]彭文斌,程芳芳,路江林.环境规制对省域绿色创新效率的门槛效应研究[J].南方经济,2017(9):73-84.
[22]肖黎明,高军峰,刘帅.基于空间梯度的我国地区绿色技术创新效率的变化趋势---省际面板数据的经验分析[J].软科学,2017(9):63-68.
[23]原毅军,谢荣辉.环境规制与工业绿色生产率增长---对“强波特假说”的再检验[J].软科学,2016(7):144-154.
[24]BERNOULLI D.Exposition of a new theory on the measure of risk[J].Econometrica,1954,22:23-36.
[25]MOORTHY K S.Product and price competition in a duopoly[J].Marketing science,1988,7(2):107-210.
[26]王文宾,达庆利.零售商与第三方回收下闭环供应链回收与定价研究[J].管理工程学报,2010(2):130-134.
[27]唐国平,李龙会,吴德军.环境管制、行业属性与企业环保投资[J].会计研究,2013(6):83-89.
[28]姜雨峰,田虹.绿色创新中介作用下的企业环境责任、企业环境伦理对竞争优势的影响[J].管理学报,2014(8):1191-1198.
[29]GRILICHES Z.Issues in assessing the contribution of R&D to productivity growth[J].Bell journal of economics,1979,10(1):92-116.
[30]GRILICHES Z.Market value,R&D,and patents[J].Economics letters,1981,7(2):183-187.
[31]庞瑞芝,李鹏.中国新型工业化增长绩效的区域差异及动态演进[J].经济研究,2011(11):36-47.
[32]张成,陆旸,郭路,等.环境规制强度和生产技术进步[J].经济研究,2011(2):113-124.
[33]TONE K.Dealing with undesirable outputs in DEA:a slacks-based measure(SBM)approach[R].GRIPS research report seriesⅠ,2003:5.