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低碳发展、知识产权保护与低碳技术创新
Low-carbon development, intellectual property protection and low-carbon technology innovation
缺乏政策引导的低碳技术创新存在技术和环境的双重外部性,双重外部性严重抑制了企业的低碳技术创新活力。为探讨低碳发展和知识产权保护政策的实施是否有效缓解了低碳技术创新的双重外部性,以2007—2021年A股上市的高碳排企业及全国主要城市为样本,运用双重差分和三重差分方法进行了考察。研究发现:(1)低碳城市试点政策和知识产权示范城市政策在城市层面和企业层面均有效缓解了低碳技术创新的双重外部性,在克服了内生性及多重稳健性检验后该结论依然成立,进一步的异质性研究发现,两项政策对位于“胡焕庸线”以东、非国有、轻污染、初创型企业的低碳技术创新有更好的促进效果;(2)机制检验表明,低碳发展和知识产权保护政策分别通过提升企业环境注意力和创新注意力缓解了低碳技术创新双重外部性;(3)政策叠加作用检验结果显示,两项政策存在协同作用效果,且协同作用的成效大于政策各自独立的作用效果。本文的研究深化了低碳发展情境下的企业竞争理论,拓展了低碳技术创新外部性问题的研究边界,探索了多重政策协同效果的研究思路与方法,为未来相关政策体系的建构及完善提供了理论参考及经验证据。
Lack of policy guidance in low-carbon technology innovation poses dual externalities in terms of technology and environment, which severely inhibits the vitality of enterprises in low-carbon technology innovation. To explore whether the implementation of low-carbon development and intellectual property protection policies effectively alleviates the dual externalities of low-carbon technology innovation, this study examined a sample of high-carbon emission enterprises listed on A-share markets and major cities across China from 2007 to 2021, by using the Difference-in-Differences (DID) and difference-in-differences-in-differences (DDD) methods. The findings are as follows: (1) Both the low-carbon city pilot policy and the intellectual property demonstration city policy effectively alleviate the dual externalities of low-carbon technology innovation at both the city and enterprise levels. This conclusion remains valid after addressing endogeneity and undergoing multiple robustness tests. Further heterogeneity studies revealed that these two policies have a better effect on promoting low-carbon technology innovation in enterprises located east of the "Hu Line", non-state-owned enterprises, lightly polluting enterprises, and startups. (2) The mechanism tests indicated that low-carbon development and intellectual property protection policies alleviate the dual externalities of low-carbon technology innovation by enhancing enterprises' environmental attention and innovation attention, respectively. (3) The results of policy interaction tests showed that there is a synergistic effect between the two policies, and the effectiveness of this synergy is greater than the individual effects of each policy. This research will deepen the understanding of enterprise competition theory in the context of low-carbon development, expand the research boundaries of externality issues in low-carbon technology innovation, explore the research ideas and methods for the synergistic effects of multiple policies, and provide theoretical references and empirical evidence for the construction and improvement of relevant policy systems in the future.
低碳城市试点 / 知识产权示范城市 / 低碳技术创新 / 双重外部性
low carbon city pilot / intellectual property demonstration city / low carbon technology innovation / double externality
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The establishment of ecological compensation mechanism is an important institutional guarantee to promote the collaborative maintenance of ecological environment security between the upstream and downstream of the basin, and to realize the benefits and benefits of ecological environment protection economic benefit is an important way to win-win. Under the background of establishing socialist ecological civilization, based on differential game theory, Nash non-cooperative strategy is constructed, centralized strategy and ecological compensation strategy with cost sharing contract, and discusses the interactive game strategy between the central government's participation in subsidizing upstream and downstream pollution control investment and upstream and downstream choosing to share pollution control cost, The corresponding optimal feedback strategies of the upstream and downstream of the basin and the optimal trajectory of pollution control over time are obtained and compared, and a bargaining model is designed to distribute the environmental benefits of the basin. The following conclusions are drawn:①Downstream local governments and central governments should give priority to ensuring the long-term benefits of upstream local governments by establishing a perfect vertical transfer payment mechanism and formulating cost sharing contracts.②Only with the coordination of the central government and reasonable cost sharing between the upstream and downstream can the economic growth of the basin achieve Pareto improvement, and it is considered to improve the ecological compensation of the basin. The focus of the mechanism is to improve the financial transfer payment mechanism combining horizontal and vertical. By improving the central financial compensation mechanism, local governments are encouraged to control pollution and reduce emissions by means of tax adjustment, policy preference and special funds for ecological protection.③In the long run, due to the existence of the natural attenuation rate of pollution control, the joint efforts of governments at all levels, social organizations, people and other parties in the basin are more needed for the environmental problems of cross administrative regions. Finally, the relevant parameters are analyzed through an example to verify the effectiveness of the conclusion, which provides theoretical support for the upstream and downstream local governments to establish long-term cooperative environmental governance and formulate ecological compensation policies.
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低碳试点是实现中国低碳经济发展的一项重要政策,客观评价其实施效果,不仅有利于低碳试点地区更好地推进低碳工作,而且对于低碳试点政策的进一步推广具有重要意义,但低碳试点政策能否实现碳排放绩效的提升尚未得出一致的结论。本文以第二批低碳试点政策为例,基于2012—2016年的地级市面板数据,采用倾向得分匹配—双重差分（PSM-DID）方法研究低碳试点政策对降低城市碳排放强度的影响,以有效降低样本自选择及政策内生性等问题导致的处理效应偏差。研究发现：低碳试点政策对城市的碳排放强度下降具有显著且持续的推动作用;进一步的机制识别结果显示,低碳试点城市主要是通过能源效率的提高以及产业结构升级等方式实现碳强度的下降,且产业升级的效果有逐年增强的趋势,但通过城市绿地碳汇水平的提高而降低碳排放的目标尚未实现。基于此结论,本文认为中国应进一步推广低碳试点政策,积极探索低碳城市的发展模式,特别是提升宜居绿色的城市环境。
Low-carbon pilot project is an important policy to realize the development of low-carbon economy in China. Objectively evaluating its implementation effect is not only conducive to better promoting low-carbon work in low-carbon pilot project areas, but also of great significance for the further promotion of low-carbon pilot policy. However, there is no consistent conclusion on whether the low-carbon pilot policy can enhance the performance of carbon emissions. Taking the second batch of low-carbon pilot projects as an example and using city panel data from 2012 to 2016, this study examined the impact of low-carbon pilot policy on the reduction of local carbon emission intensity by using the Propensity Score Matching-Difference in Difference (PSM-DID) method in order to effectively reduce the processing effect bias caused by the problem of sample selection and policy endogeneity. It was found that the low-carbon pilot policy had a significant and sustained effect on local carbon intensity reduction. Further mechanism identification results show that low-carbon pilot areas mainly achieve a decline in carbon intensity through the improvement of energy efficiency and upgrading of industrial structure, and the upgrading of industrial structure shows a trend of increase year by year. However, the goal of reducing carbon emissions by raising the level of carbon sink in urban green spaces has not yet been achieved. Based on this conclusion, we believe that China should further promote the low-carbon pilot policy and actively explore the development model of low-carbon cities, in particular by further establishing a livable and green urban environment. |
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Based on the stakeholder theory and ecological modernization theory, this study presents an empirical analysis by using data from the listed high-polluting enterprises in Shanghai and Shenzhen stock exchanges from 2012 to 2018. The results show that media coverage, which is measured by negative environmental reports, can significantly improve the green technology innovation performance of high-polluting enterprises, implying the effect of “strengthen” rather than “straiten”. However, this effect can be mitigated by several factors, that is, too strict environmental regulation in macro aspect, too fierce market competition in meso aspect, and too loose internal control in micro aspect will reduce the positive impact of media coverage.
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