投入产出视角下工业技术创新的环境规制协同效应
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摘要
技术创新是实现经济发展和环境保护"双重红利"的必要途径。为此,构建环境规制影响工业技术创新投入产出的三阶段分析框架,利用中国2002—2015年大中型工业企业35个分行业面板数据,使用动态面板系统广义矩估计(GMM)方法,在区分行业间污染排放强度波动趋势异质性的条件下实证检验环境规制对工业技术创新投入、产出的非线性影响及分阶段作用机制,找寻工业技术创新的环境规制最优协同区间,进一步引入交互项模型分析环境规制、创新投入、创新产出之间的交互影响与协同效应,以综合探究工业技术创新的环境规制协同机制。研究结果表明:(1)除在污染排放强度为递增样本,环境规制与创新人员、资金投入均呈现"U形"关系;(2)环境规制与创新知识、产品产出均呈现"倒U形"关系;(3)虽然在全样本中存在创新投入产出分阶段协同作用的最优环境规制区间,但中国现阶段环境规制水平还处于各曲线拐点左侧,远低于协同区间水平;(4)在创新技术研发阶段,存在环境规制与创新资金投入的协同效应,在创新技术转化阶段,存在环境规制与创新知识产出的协同效应。目前,中国工业行业整体环境规制水平仍然较低,为实现环境与经济的双赢,应提高环境规制强度,针对不同工业行业制定环境规制滚动修正、动态调整机制,充分发挥环境规制对工业行业技术创新的推动作用。
Technological innovation is a necessary approach to solve the dilemma between economic development and environmental protection. In order to seek the optimal synergistic region of environmental regulation for industrial technology innovation,this paper took the panel data of 36 industrial sectors of large and medium-sized industrial enterprises in China from 2002 to 2015 as samples,constructed multi-stage analysis framework of environmental regulation on technological innovation's input and output,as well as empirically tested the nonlinear effects and multi-stage mechanisms of environmental regulation on technological innovation's input and output with distinguishing the heterogeneity of the fluctuation trend of pollution emission intensity by system GMM method.Further,it introduced the interaction models to analyze the interaction effects and synergies between environmental regulation,innovation's input and innovation's output,and comprehensively explored the collaborative mechanisms of environmental regulation on industrial technology innovation. The results showed that:(1)In the input stage,there was a "U-shaped",relationship between environmental regulation and technological innovation's input except in the sample of increasing pollution emission intensity;(2) In the output stage,environmental regulation and technological innovation's output showed an"inverted U-shaped" relationship;(3) Although there was an optimal synergetic interval of environmental regulation for collaborative innovation in the total sample,environmental regulation of industrial sectors were staying on the left of inflection point and much lower than the level of optimal synergetic interval;(4)environmental regulation and R&D investment intensity created synergistic effects on technological innovation's knowledge output at the stage of research and development; environmental regulation and technological innovation's knowledge output had synergistic effects on technological innovation's product output in the transformation phase. The overall environmental regulation of China's industries is still at a low level. To achieve a win-win situation for economy and environment,the government should increase the intensity of environmental regulation,establish differentiated and dynamically adjusted environmental regulation policies towards different industries,and promote technological innovation in industrial sectors effectively.
Technological innovation is a necessary approach to solve the dilemma between economic development and environmental protection. In order to seek the optimal synergistic region of environmental regulation for industrial technology innovation,this paper took the panel data of 36 industrial sectors of large and medium-sized industrial enterprises in China from 2002 to 2015 as samples,constructed multi-stage analysis framework of environmental regulation on technological innovation's input and output,as well as empirically tested the nonlinear effects and multi-stage mechanisms of environmental regulation on technological innovation's input and output with distinguishing the heterogeneity of the fluctuation trend of pollution emission intensity by system GMM method.Further,it introduced the interaction models to analyze the interaction effects and synergies between environmental regulation,innovation's input and innovation's output,and comprehensively explored the collaborative mechanisms of environmental regulation on industrial technology innovation. The results showed that:(1)In the input stage,there was a "U-shaped",relationship between environmental regulation and technological innovation's input except in the sample of increasing pollution emission intensity;(2) In the output stage,environmental regulation and technological innovation's output showed an"inverted U-shaped" relationship;(3) Although there was an optimal synergetic interval of environmental regulation for collaborative innovation in the total sample,environmental regulation of industrial sectors were staying on the left of inflection point and much lower than the level of optimal synergetic interval;(4)environmental regulation and R&D investment intensity created synergistic effects on technological innovation's knowledge output at the stage of research and development; environmental regulation and technological innovation's knowledge output had synergistic effects on technological innovation's product output in the transformation phase. The overall environmental regulation of China's industries is still at a low level. To achieve a win-win situation for economy and environment,the government should increase the intensity of environmental regulation,establish differentiated and dynamically adjusted environmental regulation policies towards different industries,and promote technological innovation in industrial sectors effectively.
引文
[1] MAGAT W A. Pollution control and technological advance:a dynamics model of the firm[J].Journal of Environmental Economics and Management,1978,5(1):1-25.
[2] DENISON E F. Accounting for slower economic growth:the United States in the 1970s[J]. Southern Economic Journal,1981,47:1191-1193.
[3] GRAY W B. The cost of regulation:OSHA,EPA and the productivity slowdown[J]. American Economic Review,1987,77(5):998-1006.
[4] CHRISTAINSEN G B,HAVEMAN R H. Contribution of environmental regulations to the slowdown in productivity growth[J].Journal of Environmental Economics&Management,1981,8(4):381-390.
[5] GRAY W B,SHADBEGIAN R J. Environmental regulation and manufacturing productivity at the plant level[R]. NBER Working Papers,1993.
[6] JAFFE A B,STAVINS R N. Dynamic incentives of environmental regulations:the effects of alternative policy instruments on technology diffusion[J]. Journal of Environmental Economics and Management,1995,29(3):S43-S63.
[7] GOLLOP F M,ROBERTS M J. Environmental regulations and productivity growth:the case of fossil-fueled electric power generation[J]. Journal of Political Economy,1983,91(4):654-674.
[8] PORTER M E. America’s green strategy[J]. Scientific American,1991,264:168.
[9] 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.
[10] RUBASHKINA Y,GALEOTTI M,VERDOLINI E. Environmental regulation and competitiveness:empirical evidence on the Porter hypothesis from European manufacturing sectors[J]. Energy Policy,2015,83(8):288-300.
[11] XEPAPADEAS A,ZEEUW A D. Environmental policy and competitiveness:the Porter hypothesis and the composition of capital[J]. Journal of Environmental Economics&Management,1999,37(2):165-182.
[12] AMBEC S,COHEN M A,ELGIE S,et al. The Porter hypothesis at 20:can environmental regulation enhance innovation and competitiveness?[J]. Review of Environmental Economics&Policy,2013,7(1):2-22.
[13]赵红.环境规制对产业技术创新的影响———基于中国面板数据的实证分析[J].产业经济研究,2008(3):35-40.
[14]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):114-124.
[15] VILLEGAS-PALACIO C,CORIA J. On the interaction between imperfect compliance and technology adoption[J]. Regulatory Economics,2010,38(3):274-291.
[16]许士春,何正霞,龙如银.环境规创新的影响[J].科研管理,2012,33(6):67-74.
[17]童健,刘伟,薛景.环境规制、要素投入结构与工业行业转型升级[J].经济研究,2016(7):43-57.
[18] GRAY W B,SHADBEGIAN R J. Plant vintage,technology,and environmental regulation[J]. Environmental Economics and Management,2003,46(3):384-402.
[19] LEE M. Environmental regulations and market power:the case of the Korean manufacturing industries[J]. Ecological Economics,2008,68(1):205-209.
[20]白嘉,韩先锋,宋文飞. FDI溢出效应、环境规制与双环节R&D创新———基于工业分行业的经验研究[J].科学学与科学技术管理,2013,34(1):56-66.
[21]张成,郭炳南,于同申.污染异质性、最优环境规制强度与生产技术进步[J].科研管理,2015,36(3):138-144.
[22]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(6):12-16.
[23]李阳,党兴华,韩先锋,等.环境规制对技术创新长短期影响的异质性效应———基于价值链视角的两阶段分析[J].科学学研究,2014,32(6):937-949.
[24]任胜钢,胡兴,袁宝龙.中国制造业环境规制对技术创新影响的阶段性差异与行业异质性研究[J].科技进步与对策,2016,33(12):59-66.
[25] DRUCKER P F. Entrepreneurship in business enterprise[J]. Journal of Business Policy,1970,3(12):429-519.
[26] DRUCKER P F. The theory of business[J]. Harvard Business Review,1994,1:100-109.
[27]张平,张鹏鹏,蔡国庆.不同类型环境规制对企业技术创新影响比较研究[J].中国人口·资源与环境,2016,26(4):8-13.
[28] BOND S R. Dynamic panel data models:a guide to micro data methods and practice[J]. Portuguese Economic Journal,2002,1(2):141-162.
[29]李斌,彭星,陈柱华.环境规制、FDI与中国治污技术创新———基于省际动态面板数据的分析[J].财经研究,2011,37(10):92-102.
[30]余东华,胡亚男.环境规制趋紧阻碍中国制造业创新能力提升吗?———基于“波特假说”的再检验[J].产业经济研究,2016(2):11-20.
[31]卢方元,李小鸽.基于SVAR模型的自主创新投入产出动态效应分析———以中国大中型工业企业为例[J].科研管理,2014,35(1):25-32.
[32] GUAN J C,GAO X. Exploring the H-index at patent level[J]. Journal of the American Society for Information Science and Technology,2009,60(1):35-40.
[33]范如国,蔡海霞. FDI技术溢出与中国企业创新产出[J].管理科学,2012,25(4):13-21.
[34]宋文飞,李国平,韩先锋.价值链视角下环境规制对R&D创新效率的异质门槛效应———基于工业33个行业2004—2011年的面板数据分析[J].财经研究,2014,40(1):93-104.
[35]蒋伏心,王竹君,白俊红.环境规制对技术创新影响的双重效应———基于江苏制造业动态面板数据的实证研究[J].中国工业经济,2013(7):44-55.
[36] ANTWEILER W,COPELAND B R,TAYLOR M S. Is free trade good for the environment[J]. American Economic Review,2001,91(4):877-908.
[37] BERMAN E,BUI L T M. Environmental regulation and productivity:evidence from oil refineries[J]. Review of Economics and Statistic,2001,83:498-510.
[38]赵红.环境规制对中国产业技术创新的影响[J].经济管理,2007(21):57-61.
[39] DOMAZLICKY B R,WEBER W L. Does environmental protection lead to slower productivity growth in the chemical industry[J].Environmental and Resource Economics,2004,28(3):301-324.
[40] SANCHO F H,TADEO A P,Martinez E. Efficiency and environmental regulation:an application to Spanish wooden goods and furnishings industry[J]. Environmental and Resource Economics,2000,15(4):365-378.
[41]王杰,刘斌.环境规制与企业全要素生产率———基于中国工业企业数据的经验分析[J].中国工业经济,2014(3):44-56.
[42] COLE M,ELLIOTT R,OKUBO T. Trade,environmental regulations and industrial mobility:an industry-level study of Japan[J].Ecological Economics,2010,69(10):1995-2002.
[43]刘建民,陈果.环境管制对FDI区位分布影响的实证分析[J].中国软科学,2008(1):102-107,124.
[44]王万珺. FDI、装备制造业增长和地区差异———基于2001—2007年中国面板数据的实证分析[J].科学学研究,2010,28(3):365-373,428.
[45]秦昌波,王金南,葛察忠,等.征收环境税对经济和污染排放的影响[J].中国人口·资源与环境,2015,25(1):17-23.
[46]刘伟,童健,薛景.行业异质性、环境规制与工业技术创新[J].科研管理,2017,28(5):1-11.
(1)因环境规制强度已进行标准化,不再采用去对数形式。
(1)各行业污染物主要包括废水、废气和固体废物,其中废气排放量的单位为亿标立方米,为体积单位,不能满足于其他环境规制指标的可加性与可比性,因此,本文使用烟粉尘和SO2的排放量对其进行替换。
(1)本文将连续报告年份的工业总产值与工业销售产值数据进行对比,发现两者相差基本没有超过5%。
(2)本文以2002年为基期对数据进行了调整:使用消费者价格指数(CPI)对R&D内部经费支出、港澳台资本、其他外商资本进行价格调整;使用工业生产者出厂价格指数对各行业工业总产值、工业销售产值、利润总额、新产品销售收入进行价格调整;使用固定资产投资价格指数对固定资产净值进行价格调整。
(1)由于篇幅限制,具体计算过程文章中未详细说明,如需要可向作者索取。
[2] DENISON E F. Accounting for slower economic growth:the United States in the 1970s[J]. Southern Economic Journal,1981,47:1191-1193.
[3] GRAY W B. The cost of regulation:OSHA,EPA and the productivity slowdown[J]. American Economic Review,1987,77(5):998-1006.
[4] CHRISTAINSEN G B,HAVEMAN R H. Contribution of environmental regulations to the slowdown in productivity growth[J].Journal of Environmental Economics&Management,1981,8(4):381-390.
[5] GRAY W B,SHADBEGIAN R J. Environmental regulation and manufacturing productivity at the plant level[R]. NBER Working Papers,1993.
[6] JAFFE A B,STAVINS R N. Dynamic incentives of environmental regulations:the effects of alternative policy instruments on technology diffusion[J]. Journal of Environmental Economics and Management,1995,29(3):S43-S63.
[7] GOLLOP F M,ROBERTS M J. Environmental regulations and productivity growth:the case of fossil-fueled electric power generation[J]. Journal of Political Economy,1983,91(4):654-674.
[8] PORTER M E. America’s green strategy[J]. Scientific American,1991,264:168.
[9] 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.
[10] RUBASHKINA Y,GALEOTTI M,VERDOLINI E. Environmental regulation and competitiveness:empirical evidence on the Porter hypothesis from European manufacturing sectors[J]. Energy Policy,2015,83(8):288-300.
[11] XEPAPADEAS A,ZEEUW A D. Environmental policy and competitiveness:the Porter hypothesis and the composition of capital[J]. Journal of Environmental Economics&Management,1999,37(2):165-182.
[12] AMBEC S,COHEN M A,ELGIE S,et al. The Porter hypothesis at 20:can environmental regulation enhance innovation and competitiveness?[J]. Review of Environmental Economics&Policy,2013,7(1):2-22.
[13]赵红.环境规制对产业技术创新的影响———基于中国面板数据的实证分析[J].产业经济研究,2008(3):35-40.
[14]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):114-124.
[15] VILLEGAS-PALACIO C,CORIA J. On the interaction between imperfect compliance and technology adoption[J]. Regulatory Economics,2010,38(3):274-291.
[16]许士春,何正霞,龙如银.环境规创新的影响[J].科研管理,2012,33(6):67-74.
[17]童健,刘伟,薛景.环境规制、要素投入结构与工业行业转型升级[J].经济研究,2016(7):43-57.
[18] GRAY W B,SHADBEGIAN R J. Plant vintage,technology,and environmental regulation[J]. Environmental Economics and Management,2003,46(3):384-402.
[19] LEE M. Environmental regulations and market power:the case of the Korean manufacturing industries[J]. Ecological Economics,2008,68(1):205-209.
[20]白嘉,韩先锋,宋文飞. FDI溢出效应、环境规制与双环节R&D创新———基于工业分行业的经验研究[J].科学学与科学技术管理,2013,34(1):56-66.
[21]张成,郭炳南,于同申.污染异质性、最优环境规制强度与生产技术进步[J].科研管理,2015,36(3):138-144.
[22]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(6):12-16.
[23]李阳,党兴华,韩先锋,等.环境规制对技术创新长短期影响的异质性效应———基于价值链视角的两阶段分析[J].科学学研究,2014,32(6):937-949.
[24]任胜钢,胡兴,袁宝龙.中国制造业环境规制对技术创新影响的阶段性差异与行业异质性研究[J].科技进步与对策,2016,33(12):59-66.
[25] DRUCKER P F. Entrepreneurship in business enterprise[J]. Journal of Business Policy,1970,3(12):429-519.
[26] DRUCKER P F. The theory of business[J]. Harvard Business Review,1994,1:100-109.
[27]张平,张鹏鹏,蔡国庆.不同类型环境规制对企业技术创新影响比较研究[J].中国人口·资源与环境,2016,26(4):8-13.
[28] BOND S R. Dynamic panel data models:a guide to micro data methods and practice[J]. Portuguese Economic Journal,2002,1(2):141-162.
[29]李斌,彭星,陈柱华.环境规制、FDI与中国治污技术创新———基于省际动态面板数据的分析[J].财经研究,2011,37(10):92-102.
[30]余东华,胡亚男.环境规制趋紧阻碍中国制造业创新能力提升吗?———基于“波特假说”的再检验[J].产业经济研究,2016(2):11-20.
[31]卢方元,李小鸽.基于SVAR模型的自主创新投入产出动态效应分析———以中国大中型工业企业为例[J].科研管理,2014,35(1):25-32.
[32] GUAN J C,GAO X. Exploring the H-index at patent level[J]. Journal of the American Society for Information Science and Technology,2009,60(1):35-40.
[33]范如国,蔡海霞. FDI技术溢出与中国企业创新产出[J].管理科学,2012,25(4):13-21.
[34]宋文飞,李国平,韩先锋.价值链视角下环境规制对R&D创新效率的异质门槛效应———基于工业33个行业2004—2011年的面板数据分析[J].财经研究,2014,40(1):93-104.
[35]蒋伏心,王竹君,白俊红.环境规制对技术创新影响的双重效应———基于江苏制造业动态面板数据的实证研究[J].中国工业经济,2013(7):44-55.
[36] ANTWEILER W,COPELAND B R,TAYLOR M S. Is free trade good for the environment[J]. American Economic Review,2001,91(4):877-908.
[37] BERMAN E,BUI L T M. Environmental regulation and productivity:evidence from oil refineries[J]. Review of Economics and Statistic,2001,83:498-510.
[38]赵红.环境规制对中国产业技术创新的影响[J].经济管理,2007(21):57-61.
[39] DOMAZLICKY B R,WEBER W L. Does environmental protection lead to slower productivity growth in the chemical industry[J].Environmental and Resource Economics,2004,28(3):301-324.
[40] SANCHO F H,TADEO A P,Martinez E. Efficiency and environmental regulation:an application to Spanish wooden goods and furnishings industry[J]. Environmental and Resource Economics,2000,15(4):365-378.
[41]王杰,刘斌.环境规制与企业全要素生产率———基于中国工业企业数据的经验分析[J].中国工业经济,2014(3):44-56.
[42] COLE M,ELLIOTT R,OKUBO T. Trade,environmental regulations and industrial mobility:an industry-level study of Japan[J].Ecological Economics,2010,69(10):1995-2002.
[43]刘建民,陈果.环境管制对FDI区位分布影响的实证分析[J].中国软科学,2008(1):102-107,124.
[44]王万珺. FDI、装备制造业增长和地区差异———基于2001—2007年中国面板数据的实证分析[J].科学学研究,2010,28(3):365-373,428.
[45]秦昌波,王金南,葛察忠,等.征收环境税对经济和污染排放的影响[J].中国人口·资源与环境,2015,25(1):17-23.
[46]刘伟,童健,薛景.行业异质性、环境规制与工业技术创新[J].科研管理,2017,28(5):1-11.
(1)因环境规制强度已进行标准化,不再采用去对数形式。
(1)各行业污染物主要包括废水、废气和固体废物,其中废气排放量的单位为亿标立方米,为体积单位,不能满足于其他环境规制指标的可加性与可比性,因此,本文使用烟粉尘和SO2的排放量对其进行替换。
(1)本文将连续报告年份的工业总产值与工业销售产值数据进行对比,发现两者相差基本没有超过5%。
(2)本文以2002年为基期对数据进行了调整:使用消费者价格指数(CPI)对R&D内部经费支出、港澳台资本、其他外商资本进行价格调整;使用工业生产者出厂价格指数对各行业工业总产值、工业销售产值、利润总额、新产品销售收入进行价格调整;使用固定资产投资价格指数对固定资产净值进行价格调整。
(1)由于篇幅限制,具体计算过程文章中未详细说明,如需要可向作者索取。