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环境规制对绿色技术创新的影响研究——分阶段数字化转型的调节分析
Research on the impact of environmental regulation on green technology innovation: An analysis of the moderating effect of phased digital transformation
环境规制是促进绿色技术创新的动力之一,而其对绿色技术创新的影响却具有正负两面性,数字化转型则能有效解决环境规制的负作用。本文基于双向固定模型和门限回归模型探究环境规制对绿色技术创新的影响及数字化转型在二者间的调节效应。研究发现:总体而言中国环境规制实施对绿色技术创新表现出显著的抑制作用,而数字化转型主要通过降低企业生产成本路径能对环境规制促进绿色技术创新产生正向调节作用;进一步分阶段数字化转型研究表明,数字化融合是降低企业生产成本的主要手段且对两者关系的调节效应存在非线性特征。因此,政府应同步推进环境规制与数字化转型,更好地发挥数字化转型在环境规制激励绿色技术创新中的正向调节作用,同时也要加大对企业环境规制遵循成本与数字化转型投入成本的补贴力度,以此抵消企业生产成本增加、扩大数字化融合规模。
Environmental regulation is one of the driving forces to promote green technology innovation, and its impact on green technology innovation has both positive and negative effects. Digital transformation can effectively solve the negative effects of environmental regulation. Based on the two-way fixed model and threshold regression model, this paper explored the impact of environmental regulation on green technology innovation and the moderating effect of digital transformation between them. The study found that: in general, the implementation of environmental regulation in China has a significant inhibitory effect on green technology innovation, and digital transformation can positively regulate environmental regulation to promote green technology innovation mainly by reducing the production cost path of enterprises. Further research on phased digital transformation showed that digital integration is the main means to reduce the production cost of enterprises and has nonlinear characteristics in regulating the relationship between the two. Therefore, the government should simultaneously promote environmental regulation and digital transformation, and better play the positive role of digital transformation in environmental regulation to stimulate green technology innovation. At the same time, it should also increase subsidies for corporate environmental regulation compliance costs and digital transformation input costs, so as to offset the increase in corporate production costs and expand the scale of digital integration.
环境规制 / 数字化转型 / 绿色技术创新 / 分阶段调节效应
environmental regulation / digital transformation / green technology innovation / phased regulatory effect
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Our era is one of increasingly pervasive digital technologies, which penetrate deeply into the very core of the products, services, and operations of many organizations and radically change the nature of product and service innovations. The fundamental properties of digital technology are reprogrammability and data homogenization. Together, they provide an environment of open and flexible affordances that are used in creating innovations characterized by convergence and generativity. An analysis of convergence and generativity observed in innovations with pervasive digital technologies reveals three traits: (1) the importance of digital technology platforms, (2) the emergence of distributed innovations, and (3) the prevalence of combinatorial innovation. Each of the six articles in this special issue relates to one or more of these three traits. In this essay, we explore the organizational research implications of these three digital innovation traits and identify research opportunities for organization science scholars. Examples from the articles in this special issue on organizing for innovation in the digitized world are used to demonstrate the kind of organizational scholarship that can faithfully reflect and inform innovation in a world of pervasive digital technologies.
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结合计划行为理论，以高端制造企业为例，探讨了不同类型的环境规制、绿色技术创新意愿与绿色技术创新行为之间的内在逻辑关系和相互作用程度。层级回归分析结果表明：环境规制中的命令控制型和市场激励型均对绿色技术创新意愿和行为有显著的直接正向诱导作用，其中命令控制型环境规制对绿色技术创新意愿的诱导性更强，市场激励型环境规制对绿色技术创新行为的诱导性更强；绿色技术创新意愿能够对绿色技术创新行为产生显著的直接正向影响。研究结果还表明：绿色技术创新意愿在不同类型的环境规制与绿色技术创新行为之间所起的中介作用具有差异性，对命令控制型环境规制与绿色技术创新行为之间的关系发挥着完全中介效应，对市场激励型环境规制与绿色技术创新行为之间的关系发挥着部分中介效应，这揭示了“不完全规制”现象背后产生的原因以及“波特假说”得到进一步支持的中介变量。
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随着中国生态环境的恶化，绿色技术创新已成为环境规制约束下制造业转型升级的重要途径。基于环境规制、绿色技术创新和中国制造业转型升级的作用机理，运用GMM估计法检验环境规制对技术创新及绿色技术创新对制造业转型升级的影响。结果表明，严格的环境规制会促进企业进行绿色技术创新，绿色技术创新与制造业转型升级呈U型关系。进一步将全国样本分为东部地区和中西部地区，检验绿色技术创新对制造业转型升级的区域性差异。结果表明，东部和中西部地区的绿色技术创新水平均位于U型曲线左侧。随着绿色技术创新的不断实施，相比于东部地区，中西部地区会更早到达U型曲线的“门槛值”，实现制造业转型升级。
With the deterioration of China's ecological environment, green technology innovation has become an important way for the transformation and upgrading of manufacturing industry under the constraints of environmental regulation. We use the mechanism of environmental regulation, green technology innovation and the transformation and upgrading of China's manufacturing industry as an entry point, and GMM estimation method is used to test the impact of environmental regulation on technological innovation and green technology innovation on manufacturing transformation and upgrading. The results show that strict environmental regulation will promote enterprises to carry out green technology innovation, and green technology innovation and manufacturing transformation and upgrading have a U-shaped relationship. We further divide the national sample into the eastern region and the central and western regions to exam the regional differences in the transformation and upgrading of green technology innovation. The results show that the green technology innovation level in the eastern and the central and western regions is located on the left side of the U-shaped curve. With the continuous implementation of green technology innovation, the central and western regions will reach the “threshold value” of the U-shaped curve and achieve transformation and upgrading of the manufacturing industry earlier than the eastern region.
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企业数字化转型是数字经济的重要组成部分和微观体现，在推动企业绿色技术创新发展方面发挥着重要作用。基于上市公司2011—2019年的非平衡面板数据，通过爬取企业年报中的“数字化转型”关键词，构造微观企业层面的数字化转型指标，从绿色技术创新数量和质量两个维度来全面反映企业的绿色技术创新能力,实证检验了数字化转型对企业绿色技术创新数量和质量的影响。研究表明：（1）企业数字化转型不仅提升了企业绿色技术创新数量，还显著提高了企业绿色技术创新质量，上述结论在经过内生性检验、替换被解释变量等稳健性检验后依然成立。（2）在作用机制方面，企业数字化转型通过优化人力资本结构和提升产学研合作水平促进了企业绿色技术创新数量和质量的提升，管理性交易成本机制并不显著。（3）异质性结果表明，企业数字化转型对国有企业绿色技术创新数量和质量的提升效应显著高于非国有企业，对东部和中部地区企业绿色技术创新数量和质量的提升效应显著高于西部地区企业，对不同知识产权保护强度企业绿色技术创新数量和质量的提升效应没有显著差异。在数字经济快速发展的背景下，研究结论为深化企业数字化转型发展、提升企业绿色技术创新数量和质量具有重要的政策启示。
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环境规制的绿色技术创新效应研究具有重要理论价值和现实意义。在有效测度环境规制强度和城市绿色技术创新的基础上，本文选取2005至2020年全国274个地级及以上城市的面板数据，基于异质性效应和空间溢出视角，探究了环境规制对绿色技术进步的影响及其机制。研究结果表明，环境规制显著激励了绿色技术创新，但其边际效应受到城市创新能力的调节作用。在此基础上，本文采用部分线性函数型系数模型进一步考察了环境规制对绿色技术创新的非线性影响。环境规制政策效应存在空间溢出现象，受规制地区环境政策强度提升可以通过地区间产业转移影响其相邻地区的产业结构与工业化进程，推动产业承接地区的经济增长和研发投入扩张，进而提高相邻地区的绿色创新产出。
How to achieve high-quality development with low carbon emission, one of the most important challenges for environmental regulation (ER) design, has attracted increasing attention from researchers and policymakers. On the basis of scientifically measuring the stringency of ER and the green technological innovation, the panel data of 274 cities at the prefecture level and above from 2005 to 2020 are used to examine the impact of ER on green technological progress and its mechanisms from the perspectives of heterogeneous effects and spatial spillovers.
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孙浩, 郭劲光. 环境规制和产业集聚对能源效率的影响与作用机制:基于空间效应的视角[J]. 自然资源学报, 2022, 37(12):3234-3251.
在中国向高质量发展转型下，探究环境规制、产业集聚对能源效率的作用，对实现“双碳目标”具有重要的现实意义。系统梳理了三者间的作用机制，并基于中国2006—2018年的数据，运用多种“近邻”权重下的空间杜宾模型，检验环境规制、产业集聚以及二者的融合发展对能源效率的溢出效应及其区域差异。研究发现：（1）环境规制和能源效率二者间存在“波特假说”，但这种效应却具有“度”的限制；产业集聚（专业化、多样化）能够有效地助推自身以及与之“相邻”（地理邻近、经济互动）地区能源效率的提升。（2）环境规制对能源效率的作用表现出明显的区域差异，且在中国东、中以及西部三区域间也具有显著的经济地理关联性；产业集聚对能源效率的影响也表现出明显的区域差异，东部来源于多样化集聚，而中西部来源于专业化与多样化集聚。（3）在效应分解方面，无论是全样本还是分区域样本中，环境规制、产业集聚对能源效率的空间溢出效应并不单单是由于地理“相邻”造成的，更多是地区间地理邻近与经济互动协同的结果。（4）环境规制与专业化集聚的融合发展，抑制了专业化带来的正效应，而其与多样化集聚的融合发展对推动能源效率提升具有更强效果。
In the transition to high-quality development in China, it is important to investigate the effect of environmental regulation and industrial agglomeration on energy efficiency to achieve energy conservation and emission reduction. Based on the data from 2006 to 2018, the spatial Durbin model with various "near-neighbor" weights is applied to examine the spillover effects of environmental regulation, industrial agglomeration and their integration on energy efficiency and their regional differences. The study finds that there is a "Porter's hypothesis" between environmental regulation and energy efficiency, but this effect is limited by "degree". Industrial agglomeration (specialization and diversification) can effectively contribute to itself and its own effect of environmental regulation on energy efficiency. The role of environmental regulation on energy efficiency shows significant regional differences, and there is also a significant economic-geographic correlation between the eastern, central and western regions of China. The impact of industrial agglomeration on energy efficiency also shows obvious regional differences, with the eastern part from diversified agglomeration, and the central and western parts from specialized and diversified agglomeration. In terms of effect decomposition, the spatial spillover effects of environmental regulation and industrial agglomeration on energy efficiency are not solely due to geographical "proximity", but are more the result of geographical proximity and economic interaction between regions. The integration of environmental regulation and specialized agglomeration suppresses the positive effect of specialization, while its integration with diversified agglomeration has a stronger effect on promoting energy efficiency. |
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