政府市场规制对企业绿色技术创新决策与绩效的影响

汪明月, 李颖明, 管开轩

系统工程理论与实践 ›› 2020, Vol. 40 ›› Issue (5) : 1158-1177.

PDF(1952 KB)
PDF(1952 KB)
系统工程理论与实践 ›› 2020, Vol. 40 ›› Issue (5) : 1158-1177. DOI: 10.12011/1000-6788-2019-0408-20
论文

政府市场规制对企业绿色技术创新决策与绩效的影响

    汪明月1, 李颖明1,2, 管开轩1,2
作者信息 +

Impact of market regulations on decision-making and performance of enterprises' green technological innovation

    WANG Mingyue1, LI Yingming1,2, GUAN Kaixuan1,2
Author information +
文章历史 +

摘要

政府市场型规制较高的创新要素配置效率决定了其在促进企业绿色技术创新的优势.为此,对比分析了无市场规制+集中决策(情景1)、无市场规制+独立决策(情景2)、价格型规制+集中决策(情景3)、价格型规制+独立决策(情景4)、竞争型规制决策(情景5)下企业市场最优定价策略和绿色技术创新水平,并计算出了每种情形下的系统废弃物排放量、系统经济效益和系统消费者剩余.借助数值模拟的方法,分析了不同决策情景下,各外生变量对企业绿色技术创新努力水平与创新绩效的敏感性.研究结果表明,市场规制对企业绿色技术创新水平的影响同规制类型和博弈决策类型有关.集中决策情形下,系统废弃物排放量和消费者剩余会降低,系统经济收益增多;在市场规制下,系统经济收益和消费者剩余会升高;在集中决策下,市场规制会降低废弃物排放量,在独立决策下,市场规制会增加系统废弃物排放量,但是无论什么决策类型下,随着市场规制的引入,废弃物排放强度都是处于下降趋势;在竞争型规制决策情景下,系统废弃物排放量和系统经济效益均实现了最小化,但是社会福利达到了最大化.上述分析对于政府进一步优化市场化规制工具也有一定的借鉴意义.

Abstract

The allocation efficiency of high innovation elements in government's market-oriented regulation brings superiority of promoting enterprises' green technological innovation. This paper compares and analyses the optimal pricing strategy and green technological innovation level of enterprise under non-market regulation + centralized decision-making (scenario 1), non-market regulation + independent decision-making (scenario 2), price regulation + centralized decision-making (scenario 3), price regulation + independent decision-making (scenario 4), command regulation decision-making (scenario 5). The system waste discharge, system economic benefit and system consumer surplus in each scenario are calculated. By means of numerical simulation, the sensitivity of exogenous variables to enterprise green technological innovation level and innovation performance under different decision-making scenarios is analyzed. The results show that the impact of market regulation on the level of green technological innovation of enterprises is related to the types of regulation and game decision-making. In the case of centralized decision-making, system waste emissions and consumer surplus will decrease, while system economic benefits will increase; in the case of market regulation, system economic benefits and consumer surplus will increase; in the case of centralized decision-making, market regulation will reduce waste emissions, and in the case of independent decision-making, market regulation will increase system waste. Under any decision-making type, however, with the introduction of market regulation, the intensity of waste emission is in a downward trend; under the competitive regulation decision-making scenario, system waste emissions and system economic benefits are minimized, but social welfare is maximized. It has a certain reference significance for the government to further optimize market regulation tools.

关键词

市场规制 / 绿色技术创新 / 经济绩效 / 环境绩效 / 社会福利

Key words

market regulations / green technological innovation / financial performance / environment performance / social welfare

引用本文

导出引用
汪明月 , 李颖明 , 管开轩. 政府市场规制对企业绿色技术创新决策与绩效的影响. 系统工程理论与实践, 2020, 40(5): 1158-1177 https://doi.org/10.12011/1000-6788-2019-0408-20
WANG Mingyue , LI Yingming , GUAN Kaixuan. Impact of market regulations on decision-making and performance of enterprises' green technological innovation. Systems Engineering - Theory & Practice, 2020, 40(5): 1158-1177 https://doi.org/10.12011/1000-6788-2019-0408-20
中图分类号: F205    F273   

参考文献

[1] 徐秋艳,房胜飞,马琳琳.新型城镇化、产业结构升级与中国经济增长—— 基于空间溢出及门槛效应的实证研究[J].系统工程理论与实践, 2019, 39(6): 1407-1418. Xu Q Y, Fang S F, Ma L L. New urbanization, upgrading of industrial structure and China's economic growth—Empirical research based on spatial spillover and threshold effect[J]. Systems Engineering—Theory & Practice, 2019, 39(6): 1407-1418.
[2] 李婧婧,李勇建,刘露, 等.激励绿色供应链企业开展生态设计的机制决策[J].系统工程理论与实践, 2019, 39(9): 2287-2299.Li J J, Li Y J, Liu L, et al. Mechanism decisions to encourage product eco-design implemented by green supply chain enterprises[J]. Systems Engineering—Theory & Practice, 2019, 39(9): 2287-2299.
[3] 王旭, 褚旭. 基于企业规模门槛效应的外部融资对绿色创新影响研究[J]. 系统工程理论与实践, 2019, 39(8): 2027-2037.Wang X, Chu X. External financing and enterprises' green technology innovation: A study based on the threshold model of firm size[J]. Systems Engineering—Theory & Practice, 2019, 39(8): 2027-2037.
[4] Schiederig T, Tietze F, Herstatt C. Green innovation in technology and innovation management—An exploratory literature review[J]. R&D Management, 2012, 42(2): 180-192.
[5] 汪明月, 李颖明, 毛逸晖, 等. 市场导向的绿色技术创新机理与对策研究[J]. 中国环境管理, 2019, 11(3): 82-86.Wang M Y, Li Y M, Mao Y H, et al. Mechanism and policy recommendations of enterprises green technological innovation driven by market orientation[J]. Chinese Journal of Environment Management, 2019, 11(3): 82-86.
[6] Gronum S, Verreynne M L, Kastelle T. The role of networks in small and medium-sized enterprise innovation and firm performance[J]. Journal of Small Business Management, 2012, 50(2): 257-282.
[7] Wang X, Qin S S, Wang K. The exploration of corporate green technology innovation drive green development[J]. Technoeconomics & Management Research, 2014, 14(8): 26-29.
[8] 周远祺,杨金强,刘洋.高能耗企业绿色转型技术的实物期权选择路线[J].系统工程理论与实践, 2019, 39(1): 19-35.Zhou Y Q, Yang J Q, Liu Y. Selecting route of green transformation technologies of energy intensive enterprise with real options[J]. Systems Engineering—Theory & Practice, 2019, 39(1): 19-35.
[9] 李广培, 李艳歌, 全佳敏. 环境规制、R&D投入与企业绿色技术创新能力[J]. 科学学与科学技术管理, 2018, 39(11): 61-73.Li G P, Li Y G, Quan J M. Environmental regulation, R&D investment and enterprises' green technological innovation capability[J]. Science of Science and Management of S&T, 2018, 39(11): 61-73.
[10] Li D Y, Tang F, Jiang J L. Does environmental management system foster corporate green innovation? The moderating effect of environmental regulation[J]. Technology Analysis & Strategic Management, 2019: 1-15.
[11] 周晶淼, 武春友, 肖贵蓉. 绿色增长视角下环境规制强度对导向性技术创新的影响研究[J]. 系统工程理论与实践, 2016, 36(10): 2601-2609.Zhou J Z, Wu C Y, Xiao G R. Study on the influence of environmental regulation intensity on the directed technological change under the perspective of green growth[J]. Systems Engineering—Theory & Practice, 2016, 36(10): 2601-2609.
[12] 张娟, 耿弘, 徐功文, 等. 环境规制对绿色技术创新的影响研究[J]. 中国人口·资源与环境, 2019, 29(1): 168-176.Zhang J, Geng H, Xu G W, et al. Research on the influence of environmental regulation on green technology innovation[J]. China Population, Resources and Environment, 2019, 29(1): 168-176.
[13] Cai W, Li G. The drivers of eco-innovation and its impact on performance: Evidence from China[J]. Journal of Cleaner Production, 2018, 176: 110-118.
[14] 王娟茹, 张渝. 环境规制、绿色技术创新意愿与绿色技术创新行为[J]. 科学学研究, 2018(2): 352-360.Wang J R, Zhang Y. Environmental regulation, green technological innovative intention and green technological innovative behavior[J]. Studies in Science of Science, 2018(2): 352-360.
[15] Bigliardi B, Doran J, Ryan G. Regulation and firm perception, eco-innovation and firm performance[J]. European Journal of Innovation Management, 2012, 15(4): 421-441.
[16] Lin B Q, Chen Y F. Does electricity price matter for innovation in renewable energy technologies in China?[J]. Energy Economics, 2019(78): 259-266.
[17] OECD. Fostering innovation for green growth[J]. Sourceoecd Environment & Sustainable Development, 2011, 2011: 108-119.
[18] Yang G, Maskus K E. Intellectual property rights, licensing, and innovation[J]. Social Science Electronic Publishing, 2010, 53(1): 169-187.
[19] Li Z, Liao G, Wang Z, et al. Green loan and subsidy for promoting clean production innovation[J]. Journal of Cleaner Production, 2018, 187: 421-431.
[20] Wang C, Nie P Y, Peng D H, et al. Green insurance subsidy for promoting clean production innovation[J]. Journal of Cleaner Production, 2017, 148: 111-117.
[21] Rainville A. Standards in green public procurement—A framework to enhance innovation[J]. Journal of Cleaner Production, 2017, 167: 1029-1037.
[22] 汪明月, 刘宇, 史文强, 等. 碳交易政策下低碳技术异地协同共享策略及减排收益研究[J]. 系统工程理论与实践, 2019, 39(6): 1419-1434.Wang M Y, Liu Y, Shi W Q, et al. Research on technology remote synergic sharing of low carbon under the ETS in China[J]. Systems Engineering—Theory & Practice, 2019, 39(6): 1419-1434.
[23] Ren S G, Li X L, Yuan B L, et al. The effects of three types of environmental regulation on eco-efficiency: A cross-region analysis in China[J]. Journal of Cleaner Production, 2018, 173: 245-255.
[24] 万建香. 基于环境政策规制绩效的波特假说验证——以江西省重点调查产业为例[J]. 经济经纬, 2013(1): 115-119.Wan J X. Retest on Porter hypothesis based on environmental policy regulation performance—A key industrial survey in Jiangxi province[J]. Economic Survey, 2013(1): 115-119.
[25] Hamamoto M. Environmental regulation and the productivity of Japanese manufacturing industries[J]. Resource and Energy Economics, 2006, 28(4): 299-312.
[26] Wang H. Pollution regulation and abatement efforts: Evidence from China[J]. Ecological Economics, 2002, 41(1): 85-94.
[27] 王旭, 褚旭, 王非. 绿色技术创新与企业融资契约最优动态配置—— 基于高科技制造业上市公司面板数据的实证研究[J]. 研究与发展管理, 2018, 30(6): 16-26.Wang X, Chu X, Wang F. Green technology innovation and enterprises' optimal dynamic configuration of financing contracts—An empirical study based on panel data of the listed high-tech manufacturing companies[J]. R&D Management, 2018, 30(6): 16-26.
[28] 侯建, 陈恒. 中国高专利密集度制造业技术创新绿色转型绩效及驱动因素研究[J]. 管理评论, 2018(4): 59-69.Hou J, Chen H. Research on the green technological innovation performance and driving factors of high patent-intensive manufacturers in China[J]. Management Review, 2018(4): 59-69.
[29] 李冬琴. 环境政策工具组合、环境技术创新与绩效[J]. 科学学研究, 2018, 36(12): 160-169.Li D Q. The interaction of regulation policy instruments, environmental technological innovation and performance[J]. Studies in Science of Science, 2018, 36(12): 160-169.
[30] Wang H, Wheeler D. Financial incentives and endogenous enforcement in China's pollution Levy system[J]. Journal of Environmental Economics & Management, 2005, 49(1): 174-196.
[31] Langpap C, Shimshack J P. Private citizen suits and public enforcement: Substitutes or complements?[J]. Journal of Environmental Economics & Management, 2010, 59(3): 235-249.
[32] Chávez C A, Villena M G, Stranlund J K. The choice of policy instruments to control pollution under costly enforcement and incomplete information[J]. Journal of Applied Economics, 2009, 12(2): 207-227.
[33] 郑君君,王璐,王向民,等. 考虑消费者环境意识及企业有限理性的生产决策研究[J]. 系统工程理论与实践, 2018, 38(10): 2587-2599. Zheng J J, Wang L, Wang X M, et al. Impact of carbon tax and consumers' environmental awareness on carbon emissions in supply chains[J]. Systems Engineering—Theory & Practice, 2018, 38(10): 2587-2599.
[34] Liu Z, Anderson T D, Cruz J M. Consumer environmental awareness and competition in two-stage supply chains[J]. European Journal of Operational Research, 2012, 218(3): 602-613.
[35] Zhou Y, Hu F, Zhou Z. Pricing decisions and social welfare in a supply chain with multiple competing retailers and carbon tax policy[J]. Journal of Cleaner Production, 2018, 190(20): 752-777.
[36] Ritzenhofen I, Birge J R, Spinler S. The structural impact of renewable portfolio standards and feed-in tariffs on electricity markets[J]. European Journal of Operational Research, 2016, 255(1): 224-242.
[37] Wang M Y, Li Y M, Li M M, et al. Will carbon tax affect the strategy and performance of low-carbon technology sharing between enterprises?[J]. Journal of Cleaner Production, 2019, 210: 724-737.
[38] Mohammadreza S, Morteza R B. A game theoretic approach for pricing, greening, and social welfare policies in a supply chain with government intervention[J]. Journal of Cleaner Production, 2018, 196(20): 1443-1458.
[39] Hafezalkotob A. Modelling intervention policies of government in price-energy saving competition of green supply chains[J]. Computers & Industrial Engineering, 2018, 119(5): 247-261.
[40] Ma P, Zhang C, Hong X, et al. Pricing decisions for substitutable products with green manufacturing in a competitive supply chain[J]. Journal of Cleaner Production, 2018, 183: 618-640.

基金

科技部发展改革专项(2018.3-2019.12);国家自然科学基金面上项目(71473241);国家重点研发计划"全球变化及应对"重点专项(2016YFA0602500)
PDF(1952 KB)

582

Accesses

0

Citation

Detail

段落导航
相关文章

/