管理评论

管理评论 ›› 2021, Vol. 33 ›› Issue (1): 92-102.

• 技术与创新管理 • 上一篇    下一篇

不同类型环境规制对工业企业技术创新的异质性作用研究

张国兴1,2, 冯祎琛3, 王爱玲4   

  1. 1. 兰州大学绿色金融研究院, 兰州 730000;
    2. 兰州大学管理学院, 兰州 730000;
    3. 兰州大学经济学院, 兰州 730000;
    4. 大连理工大学人文与社会科学学部, 大连 116024
  • 收稿日期:2020-01-14 出版日期:2021-01-28 发布日期:2021-02-03
  • 通讯作者: 冯祎琛(通讯作者),兰州大学经济学院硕士研究生
  • 作者简介:张国兴,兰州大学绿色金融研究院副院长,兰州大学管理学院教授,博士生导师,博士;王爱玲,大连理工大学人文与社会科学学部副教授,硕士生导师,博士。
  • 基金资助:
    国家自然科学基金面上项目（71874074；71804063）；教育部人文社会科学研究青年基金项目（18YJC630208；19YJC810007）；教育部人文社会科学西部研究青年基金项目（17XJC630002）。

The Heterogeneous Effects of Different Types of Environmental Regulation on Technological Innovation of Industrial Enterprises

Zhang Guoxing1,2, Feng Yichen3, Wang Ailing4   

  1. 1. Institute of Green Finance, Lanzhou University, Lanzhou 730000;
    2. School of Management, Lanzhou University, Lanzhou 730000;
    3. School of Economics, Lanzhou University, Lanzhou 730000;
    4. Faculty of Humanities and Social Science, Dalian University of Technology, Dalian 116024
  • Received:2020-01-14 Online:2021-01-28 Published:2021-02-03

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摘要： 技术创新是推动环境保护的有效途径，不同类型环境规制能否成为推动企业技术创新的动力，以及这些不同类型环境规制是否存在规制的异质性作用，是环境规制领域值得深究的问题。本文将环境规制划分为命令控制型、市场激励型与公众参与型三种不同类型，基于政策文本量化得到三种类型环境规制的规制强度指标，应用面板数据回归方法实证分析了它们对规模以上工业企业技术创新的作用。研究结果表明，三种不同类型的环境规制对工业企业技术创新的作用具有异质性。命令控制型环境规制有积极的即期效应和抑制技术创新的滞后作用；市场激励型环境规制能够在较长一段时间内激励企业的技术创新行为；公众参与型环境规制只在短期内对企业技术创新有小幅激励作用。现有不同类型环境规制协同作用不足，只有市场激励型与命令控制型环境规制的协同对企业技术创新投入有显著的激励作用。因此，政府在推动工业企业技术创新的过程中，应重视命令控制型环境规制的作用时效性，针对市场激励型环境规制应给予充分时间发挥作用，并且应注意提高公众参与环境规制的积极性，通过制定相关政策提高公众参与度。

关键词: 环境规制, 政策量化, 技术创新, 政策协同

Abstract: Technological innovation is an effective way to protect environment. It's a question worth researching in the field of environmental regulation, whether different types of environmental regulation can become the driving force to promote technological innovation of industrial enterprises, and whether they have the heterogeneous effects in the aspect of regulation. This paper divides existing environmental regulation into three different types:command-control regulation, market-incentive regulation and public-participation regulation. We can get the intensity index of the three types environmental regulation based on the quantitative research of policy text, and use panel-data analysis methods to study their roles in technological innovation of industrial enterprises. The results show that the three different types of regulation have heterogeneous effects on technological innovation of industrial enterprises. Command-control environmental regulation has positive spot effect and negative lag effect. Market-incentive regulation can stimulate the technological innovation in a long period of time. Public-participation regulation only has a small incentive effect on enterprise technological innovation in the short term. There is a lack of synergies among different types of environmental regulation. Only the synergies between market-incentive and command-control environmental regulation have significant incentive effect on enterprises' technological innovation input. Therefore, in the process of promoting sustainable development, the government should pay attention to the timeliness of the effect of command-control environmental regulations, give sufficient time for market-incentive environmental regulation to play a role and promote the enthusiasm of public participation in environmental protection through the formulation of relevant policies.

Key words: environmental regulation, policy quantification, technological innovation, policy synergy