【作者】 李巧华；

【导师】 唐明凤；

【作者基本信息】 西南财经大学 ， 企业管理， 2014， 博士

【摘要】 随着全球市场经济竞争程度的加剧,资源、环境、生态危机问题日益凸显。资源与环境问题已成为严重制约经济社会发展的瓶颈。如何统筹环境保护和经济发展,已成为当今人类面临的亟待解决的重大课题,也是现阶段中国加快转变经济发展方式和满足人们日益增长的绿色消费需求的直面问题。十八届三中全会明确提出“围绕建设美丽中国”为目标,“深化生态文明体制改革,加快建立生态文明制度”,锐意推进生态文明建设。在这样的背景下,基于环境视角的绿色经济的发展正在成为世界各国经济发展寻求的共鸣。生产型企业作为提供社会发展必需的物质基础的微观经济主体,当如何顺应绿色经济发展浪潮这一趋势?这给企业发展的根本动力——创新,无论形式和内涵上都带来了更大的挑战和压力。无疑,创新的“绿色”化,是企业适应绿色经济发展和满足企业自身可持续发展需要的必然选择。生产型企业绿色创新亦是推进生态文明建设和加强生态环境保护工作的内在要求和实现路径。那么,如何促进和实现生产型企业实施绿色创新是首要解决的关键问题,也就是说生产型企业绿色创新的主要影响因素有哪些,是当前首要关注和解决的问题。绿色创新(Green Innovation)是继环境创新、可持续创新概念之后,成为了组织和环境研究中的主流概念。随着近年来绿色创新在管理理论和实践中重要性越来越大,绿色创新逐渐成为管理学研究领域的一个高频词汇绿色创新研究也成为了管理学领域的热点问题。但是,相关研究就国外已有成果来看仍处于早期阶段。而国内学界关于绿色创新的研究才开始起步,台湾对于绿色创新研究相对成熟。因此,无论是在理论上还是在实践上,对绿色创新影响因素的讨论都具有重大的意义。现有文献对绿色创新影响因素的研究,分别从环境经济学、创新经济学、战略管理和产业组织视角对绿色创新进行了探讨,也取得了比较丰硕的研究成果。但对企业绿色创新影响因素的研究主要集中于以下方面：(1)从环境规制方面,研究了环境规制对企业绿色创新的影响,而且主要以定性案例研究的研究方法为主；(2)基于创新经济学为绿色创新的影响因素研究提供了一个基本的分析框架,在已有的一般创新影响因素模型中加了环境规制因素,而且也多是定性研究为主,有的实证研究也只是对市场因素且多为顾客需求单一因素考察其驱动作用。(3)从战略管理的视角讨论了绿色创新对企业竞争优势的影响。于此,笔者通过已有相关文献研究和实践调研,提出从市场因素、政策因素、企业资源和企业管理者角度,构建企业绿色创新影响因素的分析框架,并通过269家生产型企业有效数据实证分析市场导向、政策导向、企业资源中的冗余资源和管理者对环境的关注对企业绿色创新的实际驱动效应。同时实践中,虽然很多企业都认识到企业绿色创新对经济社会的可持续发展很重要,但事实上很少企业会主动进行绿色创新,因为有一个传统观点认为“企业进行绿色创新,绿色创新带来的环境绩效势必会挤出经济绩效”。这一观点是当前阻碍企业实施绿色创新的一个重要因素。而关于企业绿色创新与企业绩效的关系主要存在两种对立的观点：一种是新古典经济学为代表的学者,认为企业实施绿色创新会分散企业在其核心业务上的注意力和投资,加重企业的负担,从而影响企业的绩效,降低企业的竞争力；另一种是以Porter和Van der Linde (1995b)和Eiadat等(2008)等为代表的学者,认为企业绿色创新不仅可以提高环境效益也可以提升企业的经济效益。也就是说,企业绿色创新与企业经济绩效具有显著相关性,只是存在正相关和负相关之争。这两种观点多以西方发达国家企业为样本,其结论并不一定适用我国企业。基于这一实际情况和理论基础,本文研究还必须关注企业绿色创新与企业经济绩效的相关关系。基于以上分析,笔者将通过文献理论梳理和实践调研为基础和依据,提出从外部和内部两方面研究市场导向、政策导向、组织冗余和管理者对环境的关注四个因素对生产型企业绿色创新的影响,以及绿色创新和企业经济绩效的相关性,作为研究命题,以为促进和实现生产型企业实施绿色创新提供指导和有针对性的建议。本文共分为六章,具体安排如下：第一章绪论。主要介绍了本文的研究背景、研究意义、研究方法和研究思路,以及本文研究的创新点。第二章理论基础和文献回顾。首先对本文展开研究的理论基础：创新理论、利益相关者理论、新制度主义理论、资源基础观和管理者注意力进行阐述；然后对已有关于绿色创新影响因素和绿色创新与企业绩效的关系研究进行文献综述,为构建概念模型和提出的理论假设奠定理论基础。第三章概念模型与理论假设。本章根据一般创新理论和案例分析,并依据相关理论为基础,提出本研究的理论框架和概念模型。然后,本章通过梳理已有研究文献选取可测量指标,并在准确详细界定阐明研究变量涵义的基础上,提出符合本文研究主旨的理论假设。第四章研究设计与方法。本章为了获得科学有效的数据验证前面提出的概念模型,在研究设计中首先明确采取的问卷调查使用的问卷设计的原则、方法和程序,然后介绍市场导向、政策导向、组织冗余、管理者对环境的关注、绿色创新和企业绩效变量的测量题项形成的过程；最后通过预调研获得的小样本数据,利用信度和效度检验,对初步形成的问卷的所有变量的测量题项进行筛选和修正,最终形成正式的调查问卷。第五章实证分析与结果讨论。首先对大样本获得的数据进行描述,对调查样本有一个简明的了解,也是对前面推到出的理论假设的初步验证；然后利用SPSS、VisualPLSl.04b1等软件对获得的数据进行信度和效度分析,在此基础上通过实证分析检验前面提出的理论假设和概念模型,并对实证结果进行了分析。第六章研究结论与展望。根据上一章实证分析的结果,提出主要研究结论和政策建议；并归纳本文的研究贡献；揭示本文研究局限的基础上并提出今后进一步的研究方向。研究结论：第一,本文通过对已有研究成果的梳理和基于扎根理论的案例分析,提出从企业内外部两方面探索,构建了生产型企业绿色创新影响因素分析的理论框架,解释了影响生产型企业进行绿色创新的主要因素。并通过实证检验,生产型企业绿色创新主要受到市场导向、政策导向、组织冗余和管理者对环境的关注因素影响。由实证分析的结果可知,这四个影响因素对生产型企业绿色产品创新和绿色工艺创新的拟合度分别为0.529和0.538,由此可见,这四个因素对生产型企业绿色产品创新和绿色工艺创新有着较高的解释力,即目前影响我国生产型企业是否进行绿色创新的主要因素为市场导向、政策导向、组织冗余和管理者对环境的关注。第二,生产型企业进行绿色创新与企业经济绩效呈显著正相关。关于绿色创新与企业绩效的研究并没有取得一致的结论,而且分歧主要体现在企业绿色创新是否有助于企业经济绩效的提升。以古典经济学为代表的学者们,多数认为企业绿色创新会降低企业经济绩效,因为他们认为绿色创新因环境效益的公共性而致其并不能全部转化为企业绩效,这样绿色创新的实施占用企业经济业务的花费势必成为企业的负值,从而降低企业绩效和竞争力。近年来,也有很多学者研究表明绿色创新有助于提升企业经济绩效。本文研究证实了我国生产型企业实施绿色创新与企业经济绩效存在正相关关系,尤其现阶段的绿色产品创新显著正作用于企业经济绩效。因此,企业应对绿色创新有一个全面正确的认识。当前,资源、环境的生态恶化已引起社会各界的广泛关注,中国许多企业的产品由于环保等指标超标而被市场拒之门外,相信企业产品未来会面临更为严厉的市场绿色准入标准,因此企业实施绿色创新势在必行。目前,由于许多企业家对绿色创新有较为负面的认识,导致许多企业并没有认真考虑将环境问题纳入组织战略层次考虑,这势必会阻碍企业的长远发展。因此,企业应正确认识绿色创新,通过先发行动抢占绿色市场,进而提升企业的经济绩效和可持续发展能力。第三,市场导向对绿色创新具有积极作用。市场导向对中国企业绿色创新的影响,无论是绿色产品创新还是绿色工艺创新都得到了验证,也就是说,“绿色”的市场导向可以促进企业进行绿色创新。这主要是因为市场中的顾客的“绿色消费”需求即顾客导向可以促进企业进行绿色产品创新和绿色工艺创新。因此,应积极倡导绿色消费,培养消费者的绿色消费意识,从而推动企业自主的进行绿色创新。同时当企业的竞争对手实施绿色创新时,企业为了不失去市场份额,也会改进生产,实行绿色创新,因此,在公平合理的市场竞争中,竞争者导向势必会促进企业进行绿色产品创新和绿色工艺创新,所以完善的市场竞争机制是提高企业绿色创新的关键。因此,在以绿色创新为实现路径,加快经济发展转变方式,锐意推进生态文明建设的进程中,必须要发挥市场的“决定性作用”。第四,政策导向对绿色创新具有显著作用。政策导向无论对绿色产品创新和绿色工艺创新都起到了显著的正向作用,这说明政府通过制定科学的环保、节能、降耗等法规、政策,在推动企业“绿色化”进程中发挥了很好的监管和引导作用。以往关于绿色创新研究许多的文献表明,环境规制是影响企业是否进行绿色化的最主要驱动因素。本文把市场因素、组织冗余资源和管理者对环境的关注引入研究,发现政策因素会被弱化,根据已有理论和调查的实践表明,这主要是因为绿色政策更多会在促使企业开展反应式的绿色环保上有帮助,因为不遵循环境规制的企业难以逃脱政府的环保惩处。而现有绿色政策对企业的创新激励企业表示不足,因此,政府应加大财政、税收及金融等方面对企业绿色创新的政策支持力度,通过推进工艺创新发展企业绿色创新。正如十八届三中全会提出优化税制,调整资源税、消费税等,以及考虑对积极推动绿色创新的企业给予税收减免,或是贴息贷款以平衡绿色创新的高投资和高风险的特点。由此可见,发挥政府的“规则”制定者和监管职能,对转变经济发展方式和推进生态文明建设具有重要作用。第五,组织冗余有助于生产型企业进行绿色创新。企业进行创新需要有一定的资源与之相匹配。而组织冗余作为企业的冗余资源刚好可以用于为企业试验绿色创新,开发潜在的绿色产品提供了资源基础。因此,组织冗余有利于企业进行绿色创新。其中,对于已吸收冗余由于已经成为企业在固定设备或技术上的剩余资源,因此,企业愿意挖掘这方面的资源用于开展环保的经营活动,而那些能灵活用于多种用途的未吸收冗余在市场需求和政策管制的压力下则更有可能对探索性的绿色创新起到推动作用。尤其基于绿色消费引起的市场绿色需求,组织冗余资源有显著的促进作用。鉴于此,企业应努力充分挖掘和利用组织冗余资源,以更好的进行绿色创新,赢得绿色创新主动权,获得可持续的竞争力。第六,管理者对环境的关注对绿色创新具有显著的正向作用。这说明提高和强化企业高层管理者的环保意识,培育企业管理者对绿色环保的关注和注意力,对企业绿色创新具有直接的显著作用。同时,当环保意识转化为现实生产中的绿色创新活动时,往往需要各种资源的投入,而高层管理者可以通过对生产运营活动所需的资源进行配置来影响企业绿色创新行为。因此通过《企业环境信用评价办法(试行)》和开展企业环境信用评价等办法,提升企业的环保意识,具有重要意义和显著作用。本文的创新点：创新点一,本文在中国加快转变经济发展方式,锐意推进生态文明建设的背景下,基于企业绿色创新是一个多因素综合作用的结果,提出了一个包括外部因素和内部因素的生产型企业绿色创新影响因素分析模型。已有研究主要停留在理论探讨层面,或只是少量的外部单一因素实证,很少将企业外部因素和内部因素同时纳入一个分析框架进行研究。因此,本文研究提出了一个相对全面的分析框架,拓展了以往的理论研究。创新点二,本文基于我国目前正处在工业化的中期阶段,生产型企业是我国国民经济发展的支柱产业和国民经济增长的主要源泉,选择我国269家生产型企业作为样本,实证验证了市场导向、政策导向、组织冗余和管理者对环境的关注对企业绿色创新的影响。已有实证研究多以西方发达国家企业为样本,基于我国本土化数据的实证研究,不仅丰富了已有研究,而且有助于为我国企业实施绿色创新提供切实可行的建议和相关政策涵义。创新点三,本文检验了外部因素市场导向和政策导向,与内部因素即组织情景因素组织冗余和管理者对环境的关注之间的交互作用对企业绿色创新影响的实际效应。现有文献只是从管理者对环境的关注对绿色创新与企业竞争优势和企业绩效的调节作用进行了研究,并没有从企业绿色创新的前置因素中,考虑其与其他前置因素的交互作用对企业绿色创新的影响。而这一交互作用更符合实践,企业是否进行绿色创新不是某一或某几个因素独立作用的结果,而是各因素综合作用的结果,鉴于此,本文在主效应分析的基础上,考证外部因素与组织情景因素的交互效应,这一交互作用研究更能切实地为企业提供有效可行的指导建议。更多还原

【Abstract】 As the development of global market economy competition, resource, environment and ecological crisis are becoming increasingly prominent. The problems of resources and environment have become the bottleneck of economic and social development. How to co-ordinate environmental protection and economic development, has become a major issue facing mankind today. It also is our problem of accelerating the transformation of economic development and meeting the growing demand for green consumption in the present stage. The Third Plenary Session of the eighteen proposed "building the beautiful China" as the goal,"to deepen the reform of the system of ecological civilization, accelerate the establishment of ecological civilization system", to promote the construction of ecological civilization. In this context, the green economy is becoming the resonance of all the countries to develop economy. Enterprises as the main body of micro economy, how to adapt to this trend of the green economy development? This gives the fundamental driving force for enterprise development. Innovation has brought more challenges and pressure regardless of the form and connotation. Undoubtedly,"green" innovation, is the inevitable choice for enterprises to adapt to the need of green economic development and meet the enterprise’s own sustainable development. Green innovation of enterprises is the inherent requirement and the way of implementation to promote the construction of ecological civilization and strengthen the ecological environmental protection.This paper is divided into six chapters, as follows:The first chapter mainly introduces the background, research significance, research methods and research ideas of this research, and reveals the innovation of this paper and illustrates the difficulty of this research.The second chapter is theoretical basis and literature review. The theoretical basis for this research:first launched the basis of innovation theory, resource view, management attention are expounded in this paper, on the basis of analysis of the factors, the formation of green innovation influence; and then study the relationship through combing the existing research on green innovation and green innovation and enterprise performance by literature review, which lays a theoretical foundation for the green influence factors of constructing innovation model and the theoretical hypothesis.The third chapter is theoretical hypothesis and conceptual model. In this chapter, based on the relevant theoretical literature on the definition of research variables, market orientation, policy orientation, organizational slack, managers focus on the environment, green innovation and business performance; then according to the literature analysis of explanatory variables of market orientation, policy orientation, organizational slack and managers focus on the environment the relationship between the dependent variable, and the green innovation and enterprise performance, and puts forward the corresponding theoretical assumptions; finally, based on the existing theory of hypothesis proposed conceptual model to study.The fourth chapter is the research design and methods. This chapter to conceptual model for scientific and effective data to verify the principle, method, and program design questionnaire used in the study design firstly adopted questionnaire survey, and then introduces the market orientation, policy orientation, organizational slack, management of the environmental concerns, green innovation and enterprise performance variable measurement items forming process; small sample data obtained through the pre investigation, the reliability and validity testing, all the variables measured items were selected and revised the questionnaire, finally formed the formal questionnaire.The fifth chapter discusses the analysis and results. The large sample data obtained are described, a concise understanding of the survey sample, but also on the front to verify hypotheses out; and then analyze the reliability and validity of the data obtained using SPSS, VisualPLS1.04b1and other software, on the basis of the theoretical hypothesis and conceptual model proposed above model empirical test the empirical results; finally to analyze.The sixth chapter is conclusion and prospect research. According to the analysis of the last chapter empirical results, put forward the main research conclusions and policy suggestions; research contributions and concludes the paper; reveal the research limitations and further research directions in the future.The conclusion of the study:First, pay attention to the influence factors of green innovation of enterprises are mainly affected by the policy guidance, market orientation, organizational slack, management of the environment. By the empirical analysis of the results, the four factors influencing the fitting of green product innovation and green technology innovation degree were0.529and0.538, these four factors that have higher explanatory power of green product innovation and green technology innovation. In this paper, based on the existing research, from the enterprise internal and external two aspects to explore, constructs a theory framework for the analysis of the influencing factors of the green innovation of enterprises, the main driving force explained the influence of enterprise green innovation. In the study, more from the environmental regulation, single factor or market demand analysis, no analysis of the formation of a clear framework, but also the relative lack of empirical support for the theoretical study, this paper studies to a certain extent, make up for the lack of.Second, the green innovation of enterprises can significantly improve the economic performance of enterprise. Study on green innovation and enterprise performance have not yielded consistent results, and the differences are mainly reflected in the green innovation of enterprises will help the enterprise economic performance. In classical economics represented by scholars, most think the green innovation of enterprises will reduce the enterprise economic performance, because they think the green innovation for public and environmental benefits and can’t be transformed into enterprise performance, it would cost the implementation of green innovation occupy the enterprise economic business will become the company’s negative, to reduce the enterprise performance and competitiveness. In recent years, there are many scholars study shows that green innovation helps to improve the economic performance of enterprise. As mentioned above, this study also confirms that there is a positive correlation between the implementation of economic performance of green innovation and enterprise, especially the green product innovation at the present stage is significantly positive to corporate economic performance. Therefore, the green innovation enterprises should have a comprehensive understanding of the right. At present, the ecological resources, the deterioration of the environment has caused widespread concern in the community, many enterprises Chinese products due to environmental indicators exceed the standard and market was shut sb., believe that enterprise products will face more stringent market access standards for enterprises to implement green, so green innovation be imperative. At present, because many entrepreneurs know more negative on green innovation, many enterprises did not seriously consider environmental issues into the strategic level to consider, this will further hinder the development of enterprise. Therefore, enterprises should have a correct understanding of green innovation, the first action to occupy the green market, and promote enterprise’s economic performance and the ability of sustainable development.Third, market orientation has positive effects on green innovation. The impact of market orientation on green innovation China enterprises, whether green product innovation and green technology innovation have been verified, that is to say,"market oriented green" can promote the enterprise green innovation. This is mainly because customer orientation can promote enterprises to carry out green product innovation and green technology innovation. Therefore, should actively advocate green consumption, foster consumer awareness of green consumption, thus promoting enterprise independent innovation of green. At the same time as the implementation of green innovation of enterprise competition, enterprises in order not to lose market share, will also improve the production, the implementation of green innovation, therefore, in a fair and reasonable competition in the market, competitor orientation will promote enterprises to carry out green product innovation and green technology innovation, so perfecting the market competition mechanism is the key to improve the green innovation of enterprises the. Therefore, in order to realize green innovation path, speed up the transformation of economic development mode, and promote the construction of ecological civilization in the process, market must play the decisive role.Fourth, policy orientation has significant effect on green innovation. Policy orientation regardless of the green product innovation and the innovation of green technology innovation plays a significant and positive effect, suggesting that the government to formulate a scientific and environmental protection, energy saving, energy saving regulations, policy, in promoting the process of enterprises "green" play a very good supervision and guidance. Previous research of green innovation of many literatures shows that, environmental regulation is whether green enterprises the main driving factors of influence. This paper introduced the research focus on the environment of market factors, organizational slack resources and management, found that the policy factors will be weakened, according to the existing theory and practice investigation showed that this is mainly because the green policy more will urge the enterprises to carry out green reaction’s help, because they do not follow the environmental regulation of the enterprise is difficult to escape the government’s environmental punishment. But the existing green policies on enterprise innovation incentive of enterprise that is insufficient, therefore, the government should increase the fiscal, taxation and financial and other aspects of the green innovation enterprise policy support, through the green innovation to advance the process of enterprise innovation and development. As the Third Plenary Session of the eighteen proposed the optimization of tax system, adjust the resource tax, consumption tax, and consider to give tax breaks to actively promote the green innovation of enterprises, or the characteristics of loans to balance the green innovation of high investment and high risk. Therefore, give full play to the government’s "rule" makers and regulatory functions, and plays an important role in the transformation of economic development mode and promoting the construction of ecological civilization.Fifth, organizational slack and help enterprises carry out green innovation. Organization redundancy as redundant resources of enterprises just can be used for green innovation enterprise test, provide the resource base to develop the potential of green products. Therefore, organizational slack is advantageous to the enterprise green innovation. Among them, the absorbed slack because has become surplus resources, enterprises in the fixed equipment or technology. Therefore, the enterprise is willing to the resources mining is used to carry out environmental protection activities, and those can be used for many purposes not absorb redundant in market demand and policy control pressure is more likely to drive exploration of green innovation of the. Especially green, green consumption demand caused by the market based on organization redundancy, a significant role in promoting. In view of this, enterprises should make great efforts to fully tap and utilize organizational slack resources, to better carry out the green innovation, win the green innovation initiative, gain sustainable competitiveness.Sixth, managerial environmental concern has significant positive effect on green innovation. This shows that to improve and strengthen the enterprise top management’s awareness of environmental protection, the cultivation of enterprise managers on the green environmental concern and attention, and has obvious effect directly on Green Innovation of enterprises. The attention of managers is one of the key factors affecting the behavior of enterprises. The special status of senior managers in enterprises, they are more capable of factors will influence on the enterprise told employees, and through the relevant management and incentive measures to increase support and commitment of the employees to the green innovation activities of enterprises. At the same time, when the environmental protection consciousness into green innovation in practical production, often requires a commitment of resources, and managers can be required for the production and operation activities of the resources are allocated to the influence of green innovation behavior of enterprises. Therefore, the "corporate environmental credit evaluation methods (for Trial Implementation)" and the development of corporate environmental credit evaluation methods, enhance their awareness of environmental protection, has the vital significance and the significant role.更多还原