1、不同类型环境规制对长江经济带企业技术创新效率的空间异质效应研究摘 要：长江经济带是我国经济最为活跃且环境问题突出的地区，在中国经济发展中具有重要的战略地位。本研究运用两阶段网络 模型基于2000-2014年长江经济带11个省市规模以上工业企业的面板数据对长江经济带工业企业技术创新效率及其阶段效率进行测算，然后运用空间计量模型作为研究工具，探究不同的环境管制类型对长江经济带工业企业的技术创新效率的空间异质效应。本论文的主要研究内容有以下几个方面：首先，对环境规制、技术创新、技术创新效率的概念和内涵进行界定并梳理相关的理论基础，通过厘清环境规制、技术创新和技术创新效率的相互关系和作用机制，在此基础
2、上发现相关领域研究的不足和本文研究的切入点。其次，基于理论机制视角探究环境规制与企业技术创新效率的内在关系，分析并比较了环境规制与企业技术创新效率的内在关系主要分为“创新补偿效应”和“创新抵消效应”。此外，对环境规制政策工具进行类型划分，揭示不同类型的环境政策对技术创新影响效果所呈现的差异，发现不同类型环境政策工具对技术创新效率的发挥作用的条件、路径及效果差异。再次，对环境规制强度及企业技术创新效率进行测量。合理测度和评价环境规制强度和企业技术创新效率水平是进行定量化研究的基础。关于环境规制强度的测度及评价，寻找能够直接表征或间接替代环境规制强度的测量指标。基于两阶段创新价值链将创新过程划分为
3、技术开发阶段和技术商业化阶段，从生产阶段投入、期望产出和非期望产出三个方面建立了技术创新效率评价指标体系，采用 测量长江经济带工业企业技术创新效率整体效率和两阶段效率。最后，本研究建立了环境规制对技术创新效率影响的空间计量模型，检验了 指数检验空间相关性和环境规制对工业企业技术创新效率的空间异质效应。研究结论表明：（1）长江经济带工业企业技术创新创新效率不高，工业企业技术创新效率存在明显的空间差异。（2）工业企业技术创新效率在不同类型的环境规制下存在差异：在命令控制型环境规制下，工业企业技术创新效率没有产生显著的变化；而经济激励型环境规制却显著地促进了工业企业技术创新效率，自愿意识型环境规制与
4、工业企业技术创新效率的关系则呈现了“U”型的非线性关系。结合本文的主要研究结论，从环境保护政策、及技术创新政策等方面提出了我国应如何提升长江经济带工业企业技术创新效率的对策建议。本文的研究结论对设定合理的环境规制形式以促进长江经济带工业企业绿色技术创新效率，进而打造我国绿色经济支撑带具有重要的政策启示。图10幅，表9个，参考文献111篇关键词：长江经济带；工业企业技术创新效率；命令控制型环境规制；经济激励型环境规制；自愿意识型环境规制；空间异质性分类号：？Abstract：The economic zone of the Yangtze River is the strategic area
5、of Chinas economic development, and it is also a sensitive area for environmental protection. The coordination of its economy and environment is particularly important. In order to further implement the strategy of driving the development of ecological civilization construction and innovation, relat
6、ed research review of environmental regulation and technological innovation efficiency, and strive to seek a mutually beneficial interaction mechanism between environmental regulation, technological innovation and environmental protection, effects of environmental regulation on enterprises technolog
7、ical innovation deeply, and analyze the influences of different regulation and the strength of the policy. This study based on the panel data of 11 provinces and cities in the Yangtze River economic belt industrial enterprises above the scale of 2000-2014, using two stage SBM-DEA network model to es
8、timate the efficiency of technological innovation and efficiency industrial enterprises in the Yangtze River economic belt, and uses spatial econometric model to test different types of environmental regulation on the Yangtze River economic belt, the efficiency of industrial enterprise technology in
9、novation spatial heterogeneity effect. The main research contents include the following aspects:First of all, define the relevant concepts, theoretical basis and build theoretical research. Using literature method and normative analysis method, the basic idea of previous studies, clear mechanism of
10、environmental regulation, technological innovation and technological innovation efficiency of the proposed Potter hypothesis theory, this study proposes the insufficiency and the breakthrough of the research in this field.Secondly, through the classification of different types of environmental regul
11、ation on enterprise technological innovation dynamic mechanism and cost-benefit effects, combined with the entry - exit barriers, reveal the differences of technological innovation effect of regulation policies, explore the enterprise technology innovation strategy facing the environmental regulatio
12、n of the response. To build the basic assumption model based on the analysis of the social welfare maximization decision, and combined with the specific command and control and market incentive policies for the optimal equilibrium decision is to compare different types of environmental policies play
13、 a role in the conditions, way and differences on enterprises technological innovation effect.Again, the intensity of environmental regulation and the measurement and evaluation of the efficiency level of enterprise technological innovation. The basis of quantitative research is to measure and evalu
14、ate the intensity of environmental regulation and the level of the efficiency of technological innovation. The measurement and evaluation of the intensity of environmental regulation is to find the measurement indicators that can directly represent or indirectly replace the intensity of environmenta
15、l regulation. The measure and evaluation on the efficiency of enterprise technology innovation, the concept of the accurate definition of the efficiency of enterprise technology innovation through the literature review and theoretical research, two stages of innovation value chain innovation process
16、 is divided into the stage of technology development and technology commercialization stage based on the production process, from the enterprise investment, desirable and undesirable outputs consist of three dimensions the comprehensive evaluation index system of enterprise technological innovation efficiency, the level of technological innovation efficiency of industrial enterprises SBM-NDEA measurement of the Yangtze River economic belt and the ove