人力资本、技术创新对环境污染的影响机制——基于全国285个城市的实证分析

基于2003~2016年中国285个城市数据,讨论了人力资本和技术创新对环境污染的影响机制。主要研究结论为：（1）人力资本和技术创新可以显著降低环境污染;（2）人力资本和技术创新对环境污染的影响存在协同作用,在人力资本的影响下,技术创新显现出明确的减污效应,同时在技术创新的影响下,人力资本也显现出明确的减污效应;（3）人力资本和技术创新跨越各自的门槛值后,二者的协同效应会增强,减污效果更明显;（4）人力资本和技术创新对环境污染的影响是通过“产业清洁效应”、“外资清洁效应”和“金融清洁效应”3类中介途径实现的。研究结论为我国环境污染的治理提供了有益的借鉴。     

Study on the efficiency and regional disparity of green technology innovation in China’s industrial companies

This paper first constructed a system to evaluate the innovation efficiency of industrial companies within Mainland China. Then, a principal component analysis (PCA) was performed to these indicators for dimensionality reduction, so as to figure out the technology innovation efficiency in these two phases, respectively. Finally, the overall efficiency of industrial companies in different regions was estimated and factorized via data envelopment analysis (DEA). The results showed that: (1) the efficiency of green technology innovation of industrial companies in China was relatively low as a whole, which mainly resulted from pure technical efficiency (PTE). Further, this huge gap continues to expand in these regions. And both PTE and scale efficiency (SE) in central and western regions leave much to be expected. (2) In the first phase of green technology development, when environmental factors were concerned, the efficiency was much lower than that without environmental considerations. Besides, the central and western regions were facing increasingly severe environmental problems, and there was a wide disparity in technology development efficiency among eastern, central, and western regions. (3) In the second phase of green technology commercialization, there were still more rooms for improvement in raising the efficiency of green technology innovation, and the efficiency in eastern, central, and western regions was ranked from highest to lowest. (4) Liaoning, Hebei, Heilongjiang, Xinjiang, Shanxi, Inner Mongolia, Yunnan, and Qinghai should focus on improving their technology; Jilin, Jiangxi, Anhui, and Guangxi should make their efforts to reduce resource redundancy; whereas Ningxia and Gansu should try to solve the above two issues.     

Research on the effects of command-and-control and market-oriented policy tools on China’s energy conservation and emissions reduction innovation

The impact of environmental regulation on technology innovation is a hot spot in current research where a large number of empirical studies are based on Porter Hypothesis (PH). However, there are still controversies in academia about the establishment of “weak” and “narrow” versions of PH. Based on the panel data of application for patent of energy conservation and emission reduction (ECER) technology of Chinese city scale during 2008–2014, comprehensive energy price, pollutant emission, etc., mixed regression model and systematic generalized method of moments method were adopted, respectively, to study the impact of market-oriented and command-and-control policy tool on China’s ECER technology innovation. The results show that the environmental regulation hindered the technological innovation in the immediate phase; however, it turned out to be positive in the first-lag phase. Hence, the establishment of “weak” PH is time-bounded. The command-and-control policy tool played a more positive role in promoting technological innovation in the first-lag phase than market-oriented policy tool. Therefore, “narrow” PH is not tenable. The reason is that the main participants of China’s ECER technology innovation are state-owned companies and public institutions. Regionally speaking, the impact which command-and-control policy tool has on technological innovation at sight was non-significant in the eastern, the central, and the western regions of China whilst market-oriented policy tool had a negative effect. And market-oriented policy tool in the central region had strongest negative effect, which would diminish in the eastern region and become weakest in the western region. This was related to regional energy consumption level and the market economic vitality.     

环境规制对区域技术创新影响的门槛效应

实现环境规制和经济增长之间"双赢"的关键在于环境规制能否促进企业技术创新。本文在环境规制强度和企业技术创新之间构建了数理模型,并基于区域异质性假定检验了我国环境规制与技术创新的非线性关系并确定了环境规制的最优规制水平。研究表明:环境规制强度与技术创新是非线性的。在强度维度上,环境规制强度和企业技术创新之间符合"U"型关系,即随着环境规制强度的由弱变强,对企业技术创新产生先降低后提高的影响。环境规制的创新效应还取决于经济发展水平的变量。经济发展水平则存在双门槛,经济发展水平跨越的门槛值越高,环境规制对技术创新的促进作用越显著。本文政策涵义明显:政府切忌走入盲目提高环境规制强度的误区,应根据各区域现实特点,有针对性地制定差异化的环境规制强度和标准,并注重滚动修订,及时调整至最优水平。     

内外资对中国碳排放影响的比较

国内外学者大多忽略内资而单独研究外资对碳排放的影响,本文基于碳排放核算公式和柯布—道格拉斯生产函数,从资本、劳动异质性角度将资本投入、劳动投入、技术进步按内外资企业分类构建了理论模型,然后基于2002—2014年中国30个省级行政区的相关数据采用经典的Moran’s I指数、局域LISA集群示意图进行了全局和局域空间相关性检验;最后构建空间面板模型比较分析了内外资企业资本投入、劳动投入、技术进步对中国碳排放的影响。结果表明:1中国各省区碳排放存在不可忽视的正向空间自相关性;2内外资企业的资本投入、劳动投入、技术水平的提高均会增加碳排放,其中技术进步因可能的回弹效应而对中国各省区碳排放带来正向影响;3与外资相比,同等幅度的资本投入和技术进步下内资企业带来的碳排放更多,而等量劳动投入下内资企业带来的碳排放更少;4内外资企业资本投入对碳排放的影响程度及其差异均为最大,而劳动投入和技术进步则相对较小。从"两害取其轻"这一相对意义上来看:与外资企业相比,内资企业才是2002—2014年中国碳排放增长的更大推手。由此认为:首先,中国各省级行政区应当以"联防联控"的治理思维来抑制碳排放增长,而不是"各自为政"的思维;其次,制定节能减排政策时应该更加重视回弹效应;最后,制定节能减排政策时应该以"共同而有区别的责任"态度来对待内外资企业,避免"一刀切"。     

How does government environmental regulation “unlock” carbon emission effect?—evidence from China

ABSTRACT

The disordered emission of carbon dioxide is an important sign of market failure, making it a must to “unlock” the high emission effect of carbon dioxide by effective means. From the perspective of technological innovation, on the basis of the data of time series from 1985 to 2014 in Beijing, China, this article empirically analyzed the relationship between environmental regulation and carbon emissions through VAR model, impulse response function, and variance decomposition. It is concluded that in a short term, environmental regulation has an inhibitory effect on carbon emissions and technological innovation and has a positive effect on industrial structure. In a long term, environmental regulation can enhance the technological innovation and reduce the effect of carbon emissions, which may even eliminate it. Generally, environmental regulation and technological innovation have a greater impact on carbon dioxide emissions, while the industrial structure has a relatively small effect. Finally, the targeted countermeasures and suggestions are put forward.     

Towards an integrated framework for sustainable innovation

Sustainable innovation represents a current challenge for companies, as firms need to change the way they design, develop, produce and distribute products and services. Therefore, this paper proposes a new framework to be used as a reference guideline for organisations to define a roadmap, specific actions and projects to achieve sustainable innovation, integrating four key enablers. The first enabler is mass customisation (MC), which targets the identification and compliance with customers' specific needs and requirements in order to achieve customer‐driven design. At the same time, the sustainable development (SD) paradigm is taken into consideration, where for any new product or service, companies analyse the benefits, risks and impacts of not only economic factors, but also social and environmental implications. The third enabler is linked to the value network (VN), where innovations happen owing to the active collaboration and distributed knowledge of partners inside and outside the company. Finally, the fourth and last considers the complete product and service life cycle (PSLC), where the three sustainable elements are identified and analysed in each single business process. Two case studies, (footwear sector and water treatment plants) are described to show the validity and successful deployment of the proposed framework in real industrial scenarios.     

可持续发展问题的技术根源与创新抉择

资源与环境退化产生的根源主要是由于经济活动中技术手段不合理的运用造成的,而可持续发展问题的解决又必须依靠技术创新来实现,所以,我们在实现可持续发展目标的过程中必须要对技术创新的作用进行重新反思,要充分认识技术创新的两面性,并通过寻求新的思路对传统技术创新体系加以调整和转换,使之能够成为推动经济、社会和自然复合系统协调、持续发展的结合点。     

Empirical Research on Factors Influencing Level of Environmental Protection Information Disclosure in Annual Reports by Listed Companies

Taking 248 A-share manufacturing listed companies in 2006 Shanghai Stock Exchange as example, using ＂index method＂ to measure level of environmental protection information disclosure, this paper examines the factors influencing level of environmental protection information disclosure. The findings show that the disclosure level has improved, but the overall level is still low and unable to satisfy information users; there is positive correlation between corporate size, industry type, accounting firm＇s type and corporate environmental disclosure index. The companies of large scale and heavy pollution and those audited by international ＂Big 4＂ and domestic ＂Big 10＂ accounting firms have a high level of environmental disclosure, while the profitability and financial leverage has no impact on the disclosure level. Finally some suggestions are put forward to establish environmental information disclosure system in China.     

长江经济带科技创新与绿色发展的耦合协调及其空间关联

绿色发展是长江经济带战略的首要要求,而创新是驱动区域绿色发展的核心要素。通过构建科技创新与绿色发展综合评价指标体系,以长江经济带108个地级及以上城市为研究对象,采用熵权Topsis法,耦合协调度模型和空间马尔科夫链方法,分析2006～2016年长江经济带科技创新与绿色发展的耦合协调水平、时空分布格局以及空间关联性演变。研究结果表明研究期内:(1)长江经济带科技创新和绿色发展指数总体上虽然均有一定的上升,但整体水平较低,2013年开始呈现同步增长的趋势;(2)科技创新与绿色发展的耦合度及协调度指数整体上呈上升趋势,但带内空间分异明显,长三角地区协调度明显高于其他地区;(3)科技创新与绿色发展的协调性呈现集群化现象,且具有"下游中游上游"的梯度化空间分异特征,低水平协调的城市单元可以划分为科技创新领先区、绿色发展领先区和平衡区3种类型;(4)科技创新与绿色发展协调性具有明显的空间溢出效应,长江经济带内相邻城市协调度的变换具有趋同特征。最后,提供了相关政策建议。     

钢铁产业生态化设计与政策选择

钢铁产业是国民经济重要的支柱产业,也是典型的高能耗、高排放、高污染产业。钢铁产业生态化设计与政策选择是落实科学发展观,推动生态文明建设,加快转变经济发展方式的必然要求。以烧结(球团)、焦化、炼铁、炼钢、轧钢工序中节能减排、污染防治和落后生产能力淘汰为重点,以环境影响评价为导向,基于钢铁全生产流程物质流分析,融入循环经济和清洁生产理念,以新型节能清洁工艺技术、装备技术和仿真、信息化技术的开发应用为切入点,融入生态文明、循环经济和清洁生产理念,完善钢铁生态产业链,加强资源综合利用,强化生态技术创新。本文从市场引导、政策促进、环境监管、技术创新、过程控制、内部循环、外部联合、责任延伸、行业自律、公众参与等10个层面,构建促进钢铁产业生态化的政策体系,充分发挥政府、企业、行业、中介组织、金融机构和社会公众的作用,在规划、机制和技术层次上全面落实钢铁产业生态化政策,全面推动我国钢铁产业的转型升级和绿色发展。     

碳排放交易制度与企业创新质量:抑制还是促进

近年来,有关环境规制与企业创新关系的研究大量涌现,但基于中国碳排放交易制度,尤其是从微观企业层面考察碳排放交易制度对企业创新质量影响的研究仍有待丰富和深化。有鉴于此,采用2008—2016年中国A股上市公司面板数据,以专利申请总量表示创新数量,以发明专利申请和实用新型专利申请分别表示高质量创新和低质量创新,进而采用DID模型构建中国碳排放交易制度对企业创新质量影响的准自然实验框架。同时,为增强实证结果的解释力,采用PSM-DID方法对实证结果进行了稳健性检验、异质性检验以及政府补贴方式的创新激励机制检验。结果表明:①碳排放交易制度在提高"处理组"企业创新数量的同时,也能促使企业兼顾创新质量,但从影响程度来看,碳排放交易制度对低质量创新促进作用更为强劲。②从企业所有权和规模异质性来看,碳排放交易制度主要对国有股份企业和大规模企业创新质量有促进作用,而对民营企业和小规模企业进行高质量创新的诱导力度较小或不显著。③机制检验结果表明,政府补贴政策能够有效弥补碳排放交易制度对高质量创新诱导乏力的不足,但创新激励效果因政府补贴方式而异,其中政府事前补贴优于政府事后补偿;此外,碳排放交易制度通过促使政府为被规制企业提供更多的政府事前补贴,从而有效缓解企业"遵循成本"压力,推动企业转向高质量创新。由此认为,加大对小规模民营企业高质量创新补贴、采取更具灵活性和针对性的创新补贴方式,应是进一步助力碳排放交易制度诱导企业转向高质量创新的政策制定方向。     

环境污染防治设施授权管理与政策探讨

本文针对中国目前环境污染防治措施和环境保护产业发展过程中普遍存在的低效率状况,提出并论述了污染防治设施授权管理模式,并把现阶段的授权管理具体界定为两个方面的主要内容：一是指国家作为现有污染防治措施的投资主体,将现有的以及未来由政府投资兴建的污染防治措施委托给专业化的环境保护公司或企业,由其按照市场化的方式运行和经营;二是排污者（企业或个人）,以合同形式,直接委托环境保护公司或企业由其防止和治理污染     

Eco-efficiency in Portuguese companies of marble sector

The activities developed within an eco-efficiency project in mineral industries located in the largest area for marble extraction in Portugal, in Alentejo region, in the Estremoz – Borba and Vila Viçosa anticline are presented in this paper. The project was designed to apply the sustainability concept in seven companies of marble extraction and transformation. The adopted strategy used new cleaner production models together with sustainable value (SV) improvement, leading to the rationalization of the industrial process, the involvement of economic agents and the orientation of the management of production processes towards eco-efficiency. The challenge was to have the mineral industry managing efficiently the resources on which the business depends, according to sustainability principles. Different opportunities for improvement, related to the minimization of materials, water and energy use, were identified in the companies. Some proposals mainly related to social improvement and small and medium-sized enterprise competitiveness benefits were also selected and discussed. This approach allows the integration of sustainability at company's and region's levels by combining in the entrepreneurial activity the creation of wealth together with the environment protection and the achieving of social benefits. Highlights: The involvement of different stakeholders in the project (Eco-efficiency in Portuguese companies of marble sector) was positive in the discussion and search of solutions for companies. It is possible to involve marble extraction and processing companies in eco-efficiency improvement towards sustainability. Companies from the marble sector improved environmental and social performance and reduced the costs of their production processes by applying SV methodology.     

Pharmaceutical management through environmental product labeling in Sweden

There is an increased awareness that medicinal products for human use may cause negative effects in the environment. In Sweden a voluntary environmental classification system for drugs has been established in collaboration between producers, authorities and the public health care, and used for five years. The idea is to enhance the market demand for medicines with less environmental impact, which in turn will stimulate the producers to design future medicines to be more environmentally friendly. The system is open to the public and based on assessment of the active ingredient in the medicinal product into several classes of risk and hazard, respectively. It is closely related to the EMEA guidelines. Risk is expressed as the ratio between the predicted environmental concentration (PEC) of the active ingredient (AI) and its predicted no effect concentration (PNEC). The hazard is expressed in terms of the AI's persistence, potential to bioaccumulation, and eco-toxicity. Drug data for the classification are delivered by the respective producers.Hitherto more than 300 AI, representing more than 50% of the Swedish volume of drug use, have been classified. Data for risk assessment were missing in 47% of AI. Among drugs with data 7% had a PEC/PNEC ratio > 1, and another 7% had a ratio between 0.1 and 1. The AIs with highest ratio (> 10) were two estrogens. Data for hazard assessment were lacking in 16% of the AI. Among drugs with environmental data 92% were not ready biodegradable, 23% had potential to bioaccumulation, and 61% were toxic to aquatic organisms at a concentration below 1 mg/l. These data are utilized by regional pharmaceutical expert groups when selecting substances to be recommended in public health care in Sweden. They may also be used by prescribing doctors who want to identify the environmentally most favourable substance among several with equivalent medical effect.We conclude that environmental data on human medicinal products are often missing, or reveal unfavourable environmental properties. A proper judgement of the environmental impact of an AI requires a joint evaluation of its risk and hazard. We suggest that the pharmaceutical producers should highlight environmental precaution when designing new AIs, and that the environmental data should be transparent to the general public.     

环境规制对企业竞争力的影响

除改进环境源效外．环境规恻对本国企业竟争力的影响也是政策恻定的关键影响因素。传统假设认为环境规铆会负面影响企业竞争力。波特假设认为在一定条件下。环境规制通过创新补偿与先动优势可提高企业竟争力。本文在提出问题的基础上，对上逮假设进行了剖析。然后讨论了该领域研究的新动向．即不确定性因素的存在对环境规恻与企业竟争力关采的影响。提出环境规制能否影响企业的竟争力还依赖于企业面临的内外部条件、环境管理动机等多种因素。     

Environmental regulation and firms’ performance: a quasi-natural experiment from China

ABSTRACT

This paper investigates whether environmental regulation affects firm’s performance including productivity, wage and employment using firm-level data in 1996–2007. The identification uses Two Control Zones (TCZ) policy implemented by the Chinese government in 1998, in which tougher environmental regulations were imposed in TCZ cities but not others. By difference-in-differences estimation, we find that tougher environmental regulation leads to larger increase on both total factor productivity and wage, and firms tend to employ fewer workers under pressure of environmental protection. Heterogeneous tests show that the impacts are better for non-pollution intensive firms, non-exporters and SOEs. Finally, we find that R&D input and exiting firms among industry are the driving forces for enhancing TFP and increasing wage and unemployment.     

中国工业水污染排放的空间格局及结构演变研究

我国工业企业污染物排放的空间格局正在发生变化。现有的统计数据不能提供区分区域和行业层面的工业企业污染物排放数据,无法刻画地市尺度上各个工业部门污染排放的空间格局及其演变。工业企业污染物排放的空间认知是制定环境污染控制和区域产业发展规划的科学基础。本文聚焦于工业水污染,构建了新的工业企业水污染排放的空间估算方法,估算分行业分区域的工业水污染排放量,来分析地市尺度上中国工业水污染排放的空间格局及其演变。本文构建的空间估算方法首先将全国分行业污染排放量依据产值分解到省级和地市层面,再依据企业规模校正系数、生产工艺校正系数和环境管制能力校正系数对未考虑区域差异的排放强度进行校正,最后采用适时修正法对污染物排放量的估算结果进行部门和区域的平衡调整。以基于空间估算方法估算的工业COD为例,剔除个别异常值后,2010年省级尺度重点行业工业COD排放量估算结果的平均误差为12.7%,数据质量优良,显示本估算方法较强的适用性。根据本文的结果,发现2005年至2010年间我国工业COD的减排主要由造纸及纸制品业的技术效应贡献,其中又以西部地区造纸及纸制品业贡献突出,其次是东部地区,中部地区略有贡献,东北部地区贡献为负值。其他对工业COD减排作出较大贡献的行业包括食品加工业和化学原料及化学品制造业,但不同产业的区域差异显著。基于可持续性发展的视角,技术效应与规模效应同样显著的产业应当作为区域的主导产业予以重点发展。     

Technological innovation paths toward green industry in China

With the environmental carrying capacity reaching its limits and the decreasing margin benefits of traditional production factors, the green transformation and green development through technological innovations has been a major direction for the future development of Chinese industries. However, the characteristics and heterogeneities of various types of industries call for different approaches regarding technological innovations. How to choose the most effective mode of technological innovation according to the characteristics of a certain industry has been a key issue. This paper measures the green total factor productivity of 32 industrial trades using the Slacks Based Measure(SBM)-DDF method. The effects of three innovation modes in the green transformation of industrial industry, including the independent innovation(Ⅱ), the technology introduction(TI), and the government support(GS), are empirically analyzed based on industry heterogeneity. Results indicate that the green total factor productivities of different industries show significant differences if taking into account the energy input and the undesirable output of pollutant emissions. The green total factor productivities of traditional high input,high pollution, and high energy consumption industrial trades were significantly lower than those with obvious green features. The year of 2009 is a leap year for the industrial green transformation in China. For resource-intensive industries, the II and the GS are the important ways to achieve green transformation. For labor-intensive industries, the TI is the best path to achieve green transformation, while for technology-intensive industries, the II is the primary driving force for the promotion of green developments. In addition, the innovation-compensating effect of the current Chinese environmental regulations to the resource-intensive industries has been revealed. Improving the overall scale and the industrial concentration of the industries is also beneficial for the green transformation of the industries.     

Problems and Strategies of Industrial Transformation of China's Resource-based Cities

Resource-based cities face vital economic, social, and environmental problems during their industrial transformation. Urban industrial structure is a traditional primary industrial pattern, which is resource-based and resource-intensive economy with low level technology and efficiency. They encounter tremendous pressure of unemployment and social security. Resources of such cities are on the verge of extinction, in addition, the environmental pollution and ecological conditions are becoming worse. The cities have significant institutional issues and their innovation capacity is inadequate. Therefore, it is necessary to carry out strategic innovations to realize the successful economic transformation of resource-based cities. The strategic innovations include innovation of development goals, equalization of social welfare, sustainable economic development, coordinative development between eco-environment and socioeconomy, and circular economy development strategies optimizing diversified industrial structures. In addition, forming eco-industrial system and changing traditional growth pattern, strategy of resource and industrial substitution and supplement, scientific and technological innovation strategy —late-comer's advantages of development of new high-tech ecocity development strategy and innovation of institutional mechanism and systems.