企业应对环境管制的战略与技术创新行为

【作者】 李云雁；

【导师】 王俊豪；

【作者基本信息】 浙江工商大学 ， 企业管理， 2010， 博士

【摘要】 随着工业化进程的加速,传统的粗放型经济增长方式对经济社会的破坏作用正日益凸显,自然资源和环境对经济社会发展的约束变得越来越紧迫。如何改善生态环境、转变经济增长方式,成为现阶段摆在政府和企业面前亟待解决的问题。无疑,加强环境管制将成为我国环境保护制度建设的发展趋势。如果我国企业能充分运用环境管制加强的契机,发挥后发优势,积极参与环境技术创新活动的话,企业将能实现经济与环境绩效的“双赢”。但从实际情况看,现阶段,我国企业主动参与环境管理的积极性不高,以被动和防御型的环境战略为主,偏重于末端治理技术的创新行为,环境管理加重了企业负担,并不能提升企业的可持续竞争优势。现有的研究多是对环境管制、环境战略和环境技术创新行为进行孤立的研究,对三者的整合性研究较少。鉴于此,本文尝试在经济增长与环境保护协调发展的目标约束下,通过宏观制度和微观机制的相互转换,分析企业应对环境管制的战略与技术创新行为,以建立环境管制、企业环境战略与环境技术创新行为的良性互动,为形成环境保护促进经济增长方式转变的长效机制提供了微观基础,为企业实施环境管理、提升可持续竞争优势提供了有效路径。因此,无论从理论上,还是从实践上来说,该研究对于转型期的中国而言都具有重要的学术价值和实践意义。全文分为五部分共6章内容,具体如下：第一部分,提出问题(第1章),导论。首先通过分析现实背景和理论背景,逻辑地推出本文的选题,确立本文的理论意义和现实意义。其次介绍本文的结构安排、各章节的主要内容及其内在的逻辑关系。随后提出企业应对环境管制的战略与技术创新行为的分析框架。在此基础上,指出本文的主要创新点。第二部分,理论基础(第2章),文献综述。本章主要从环境管制的理论与实践、企业环境战略、企业环境技术创新以及环境管制与企业的关系等四方面进行文献综述。具体分析了企业环境战略与环境技术创新的制度背景,环境战略理论的历史沿革和影响因素,环境技术创新的概念、内涵及其实现过程,以及企业应对环境管制可能采取的态度。第三部分,理论论证(第3章和第4章),全文主体。第3章,管制约束下的企业环境战略。首先在确立概念的基础上,明确了企业环境战略的四种类型：被动型、防御型、适应型和主动型,并从计划系统、组织结构和管理控制三方面对企业环境战略的体系架构进行了分解。其次,从制度、市场、和组织等三方面分析了企业环境战略的影响因素。最后,运用博弈论的分析方法和工具,通过建立单层和双层委托代理模型,模拟了企业环境战略选择的决策过程,动态地分析了在环境管制约束下,企业环境战略选择的路径和效果。第4章,环境管制约束下的企业环境技术创新行为。本章首先分析了企业环境技术创新的成本和收益和面临的困境：有限理性、外部性和不确定性。然后,具体分析了环境管制会对企业环境技术创新产生怎样的影响,是如何影响的,可以采取哪些政策,以及不同的政策所产生的影响效果如何等等。最后,研究了企业环境技术创新的技术选择和模式匹配问题,并在此基础上,从环境管制、环境战略、可持续竞争优势与环境技术创新等四者之间的互动出发,描述了企业环境技术创新行为的动态演化轨迹。第四部分,实证检验(第5章)。本文主要从浙江、广东、上海、江西等地选取污染密集型企业作为样本,通过深度访谈和调查问卷的方式,运用因子分析、聚类分析、多元线性回归和方差分析等方法,对企业环境战略和环境技术创新的选择及关键影响因素进行实证检验,并将检验结果与理论分析的结论进行比较、分析和讨论。第五部分,结论与展望(第6章)。在前面各章节理论论证和实证检验的基础上,得出研究结论和政策建议,并提出本文在理论和方法上存在的不足及对未来研究的方向的展望。本文的主要创新点如下：1.建立了企业应对环境管制的战略与技术创新行为的分析框架。本文以实现环境保护与经济增长的协调发展为总体目标,以环境保护和企业可持续竞争优势的提升为抓手,建立了企业应对环境管制的战略与技术创新行为的分析框架,重点考察在环境管制的制度约束下,企业如何制定环境战略和实施环境技术创新行为,既满足环境管制的目标要求,又实现企业可持续竞争优势的提升。2.模拟了管制约束下企业环境战略的动态选择过程。本文首先论证了制度对企业环境战略的重要影响作用,在此基础上,运用博弈论的方法和工具,通过构建“政府—企业”单层委托代理模型和“中央政府—地方政府—企业”双层委托代理模型,模拟了企业应对环境管制的战略决策过程,动态地分析了环境管制影响企业环境战略选择的路径和效果。3.揭示了管制约束下企业环境技术创新的动态演化规律。本文从环境管制的约束入手,通过建立环境技术创新的供需均衡模型,讨论了环境管制影响企业环境技术创新的作用和路径,并推导了不同的环境管制政策或政策组合对企业环境技术创新的方向、规模等方面的影响效果存在差异。同时,借鉴传统技术创新动态演化的研究方法和结论,研究了企业环境技术创新的技术决策、模式选择和匹配,并描述了企业环境技术创新行为的动态演化轨迹,进而揭示了企业环境技术创新的动态演化规律。4.实证检验了企业应对环境管制的战略与技术创新行为。本文通过聚类分析和因子分析对企业环境战略与环境技术创新行为的现状及其特征进行了描述,通过多元线性回归和方差分析对企业环境战略与环境技术创新行为的关键影响因素进行了甄别。弥补了我国对环境管制、企业环境战略与环境技术创新行为等问题缺乏经验研究的空白,为政府制定环境管制政策提供了数据支撑,为企业制定适宜的环境战略和实现环境技术的自主创新提供了指导。更多还原

【Abstract】 With the acceleration of industrialization, the destructive effect of the traditional extensive economic growth on the economy and society are becoming increasingly prominent, and the constraints from natural resources and environment on economic and social development is becoming increasingly urgent. How to improve the ecological environment, and change the economic growth pattern, these problems are to be solved government and business facing with currently. Undoubtedly, the strengthen environmental regulation will become the trend of development of the environmental protection system construction.If our enterprises can make full use of the chance of the strengthening environmental regulation, exert its late-development advantage and actively participate in environmental technology innovation, businesses will be able to achieve the "win-win" between economic and environmental performance. But the actual situation is that, the inclination of China’s enterprises participating in environmental management are not enthusiastic, enterprises are inclined to the passive and defensive environmental strategy, and stress the end of treatment technology innovation. At this stage, environmental management increased the burden on enterprises, and can not upgrade their sustainable competitive advantages. Most of existing research on environmental regulation, environmental strategy and environmental technology innovation are isolated, and integrated research on the the three are less.In view of this, the dissertation attempts to under the objective constraints of coordinating economic growth and environmental protection, through the mutual transformation of macro-system and micro-mechanism, analyses the enterprise’s strategy and technological innovation responding to environmental regulation. Based on it, the dissertation establishes the positive interaction on environmental regulation, corporate environmental strategy and the environment technological innovation, provides a micro foundation to form the long-term mechanism of environmental protection promoting economic growth pattern transformation, and valid path of implement environmental management and enhancing the sustainable competitive advantage for enterprises. Therefore, the study has important academic value and practical significance for China in transition.In view of this, the dissertation attempts to under the objective constraints of coordinating economic growth and environmental protection, through the mutual transformation of macro-system and micro-mechanism, analyses the enterprise’s strategy and technological innovation responding to environmental regulation. Based on it, the dissertation establishes the positive interaction on environmental regulation, corporate environmental strategy and the environment technological innovation, provides a micro foundation to form the long-term mechanism of environmental protection promoting economic growth pattern transformation, and valid path of implement environmental management and enhancing the sustainable competitive advantage for enterprises. Therefore, the study has important academic value and practical significance for China in transition.The dissertation is divided into five parts of six chapters, as follows:The first part, put forward questions (Chapter 1), Introduction. First, by analyzing the realistic and theoretical background, achieved the topics of the dissertation logically, and established the theoretical and practical significance. Then, we introduced the structure of the dissertation, the main contents of each chapter and its internal logic. Subsequentlly, we drawed the analysis framework of enterprise’s strategy and technological innovation responding to environmental regulation. On this basis, the main innovation of the dissertation are obtained.The second part, the theoretical basis (Chapter 2), Literature Review. This chapter reviewed four aspects of literatures, including the theory and practice of environmental regulation, corporate environmental strategy, corporate environmental technological innovation and the relationship between environmental regulation and corporate behavior. Detailed analysis of the institutional background of the corporate environmental strategy and technology innovation, the historical evolution and influence factors of the theory on environmental strategy, the concept, content and implementation process of environmental technology innovation, and the corporate manner responding to environmental regulations.The third part, theoretical arguments (Chapter 3 and Chapter 4), the main text.Chapter 3, corporate environmental strategy under environmental regulation. Firstly, based on the concept, this chapter defined four types of corporate environmental strategy: passive, defensive, adaptive and proactive, and analyzed the environmental strategy system from the planning system, organizational structure and management control. Secondly, analyzed three factors influence corporate environmental strategy, including the institution, markets, and organization. Finally, using the game theory, through the establishment of single-and double-agent model, the dissertation simulated the corporate decision-making process of environmental strategy choice, analyzed the path and the effect of corporate environmental strategy choice under the environmental regulation.Chapter 4, corporate environmental technological innovation behavior under the environmental regulation. This chapter first analyzed the costs and benefits of corporate environmental technologiy innovation and dilemma:bounded rationality, external and uncertainty. Then, analyzed how and what the environmental regulation impact on corporate environmental technology innovation, policies taken by government and effectiveness of these different polices, and so on. Finally, studied the technological choice and pattern matching of corporate environmental technology innovation, on this basis, described the dynamic evolution trajectory of the corporate environmental technology innovation from the interaction between the environmental regulation, environmental strategy, sustainable competitive advantage and environmental technology innovation.The fourth part, empirical testing (Chapter 5). The dissertation selected pollution-intensive enterprises from Zhejiang, Guangdong, Shanghai, Jiangxi province as sample, through depth interviews and questionnaire methods, using the factor analysis, cluster analysis, multiple linear regression and variance analysis methods, inspected the choice and influence factors of the corporate environmental strategy and technology innovation, and compared the empirical results with the theoretical analysis, and analyzed and discussed the results.The fifth part, conclusion and outlook (Chapter 6). Based on the theory of argumentation and empirical analysis in the previous chapters, the chapter drawed conclusions and policy recommendations, and proposed the shortcomings and the prospects for future research directions of the method and theory in the dissertation.The main innovation of this paper is as follows:1. Established an analysis framework of corporate strategy and technological innovation behavior responding to environmental regulation. This dissertation took the achievement of the harmonious development between environmental protection and economic growth as the overall objective, took environmental protection and enhancement of corporate sustainable competitive advantage as the starting point, established analysis framework of corporate strategy and technological innovation behavior responding to environmental regulation, focusing on enterprises how to develop environmental strategies and implementation of environmental technology innovation behavior, both to realize environmental protection and enhance the sustainable competitive advantage under environmental regulation. 2. Simulated the dynamic process of the corporate environmental strategy selection under environmental regulation. This dissertation demonstrates the important role of the institution on the corporate environmental strategy. On this basis, using game theory, by building the single principal-agent model of "government-enterprise" and the double principal-agent model of "general government-local government-enterprise", simulated the corporate decision-making process of environmental strategy, analyzed dynamically the affected path and effect of environmental regulation on the environmental strategy selection.3. Reveal the the dynamic evolution of corpotate environmental technology innovation under environmental regulation. Through the establishment of the equilibrium model of supply-demand, starting from the restriction of the environmental regulation., the dissertation discussed the role and path of infection of environmental regulation on the corporate environmental technology innovation, and derived the difference of the direction and scale of the infection of different environmental regulation policy or policy combination on the corpotate environmental technology innovation. At the same time, learning the dynamic evolution of the traditional technological innovation research methods and conclusions, the dissertation studied the technological choice and pattern matching of corporate environmental technology innovation, described the dynamic evolution trajectory of the corporate environmental technology innovation, and revealed the law of the dynamic evolution of the corporate environmental technology innovation.4. Empirically tested the corporate strategy and technological innovation behavior responding to environmental regulation. In the dissertation, using the factor analysis and cluster analysis methods, described the status and characteristics of the corporate environmental strategy and technological innovation behavior, and analyzed the key factors affected the corporate environmental strategy and technological innovation behavior by multiple linear regression and variance analysis methods. Accordingly, the study fetched up the lack of empirical research on environmental regulation, environmental strategy, environmental technology innovation in China, provided the data support for government to develop environmental regulation policy, and guided the enterprise obtain sustainable competitive advantate.更多还原