中国区域绿色创新绩效评价及其时空差异分析——基于2005-2015年的省际工业企业面板数据
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摘要
从界定绿色创新绩效的内涵出发,构建绿色创新绩效评价指标体系,选取2005-2015年地区工业企业面板数据,运用DEA-SBM模型与熵权法对中国区域绿色创新绩效进行评价及时空差异分析。结果表明:时间维度下:(1)全国及三大地区绿色创新绩效水平整体较低,呈周期性波动;(2)东部地区绿色创新绩效始终处于"高产出、高效率"水平,中西部地区持续处在"低产出、低效率"水平;(3)"低产出、低效率"省份数始终占全国省份半数以上。空间维度下:(1)全国及三大地区绿色创新绩效水平差异性显著,呈两极分化态势,东部地区>全国均值>中部地区>西部地区;(2)全国各省份绿色创新绩效水平空间集聚特征明显,30%的省份处于"高产出、高效率"水平,集中于东部地区(青海除外),60%的省份处于"低产出、低效率"水平,聚集在中西部地区(辽宁除外)。综上说明中国区域绿色创新发展迟缓且不均衡,据此提出提升区域绿色创新绩效水平、促进可持续发展的政策建议。
Since the reform and opening up 40 years ago,China's economy has made rapid development,but also paid a huge price in resources and environment. China urgently needs to explore new ways of scientific development to achieve sustainable development. As a fusion point of"innovation-driven"and"green development",green innovation has become an effective means to break through resource and environmental constraints and promote sustainable development. At present,there is still no consistent understanding of the construct of green innovation in existing research. Scholars try to define it from three levels in different research fields: enterprise,industry and macro. From the perspective of resources and environment,this study argues that green innovation is an innovative mode of balancing economic efficiency,resource consumption and environmental pollution.However,innovation compensation theory points out that emphasizing blindly innovation input and ignoring the rationality test and evaluation of environmental impact will inevitably hinder the sustainable development of China 's economy. Therefore,how to make China's economy achieve efficient and sustainable development,green innovation is undoubtedly an inevitable strategy,how to evaluate the performance of green innovation scientifically and objectively is particularly important.At present,the research on performance evaluation of green innovation,scholars mainly focus on the construction of evaluation index system and extension of the object level and so on. In the construction of evaluation index system,scholars mainly take the view of output perspective and input-output; the evaluation target is mainly for the manufacturing industry,service industry and other industrial categories. Existing research has laid the foundation for the performance evaluation of green innovation,but there are still some gaps that need to be filled: Firstly,the existing research only considers the efficiency dimension or output dimension of green innovation performance,and there is no clear definition of green innovation performance; Secondly,existing research pays more attention to the index of performance evaluation of green innovation,and less evolutionary analysis of green innovation performance. Based on previous studies,this paper argues that green innovation performance contains two dimensions:process and result. It is the integration of transformation efficiency and output efficiency. That is,the output efficiency of green innovation input and the transformation efficiency between input and output under the constraints of innovation resources and the impact of innovation environment in a specific period of time. At the same time,according to the combination of different of transformation efficiency and output efficiency,the green innovation performance can be divided into four levels: high output-high efficiency,high output-low efficiency,low output-high efficiency,low output-low efficiency.Industrial enterprises are the mainstay of the national economy,with high environmental sensitivity and great potential for green innovation. For a long time,the vigorous development of green innovation activities in industrial enterprises has played an important role in balancing the relationship between China 's economic development and resources,environment and ecology.Based on these,this paper defines the green innovation performance,constructs the evaluation index system of green innovation performance,chooses panel data of regional industrial enterprises from 2005 to 2015,usesthe DEA-SBM model to measure the transformation efficiency of regional green innovation in China,uses entropy weight method to evaluate the output efficiency of regional green innovation in China,based on the four levels of green innovation performance,and evaluates the green innovation performance of region in China. At the same time,this paper analyses the evolution characteristics of green innovation performance in different regions from two dimensions of time and space. Which can grasp the reasons objectively and accurately for the low quality,evolution and performance of regional green innovation development in China,provide reference for the large-scale development of future green innovation activities in China,and to further promote the transformation of China's economy into a scientific development model driven by innovation and green development?The main conclusions and theoretical contributions are as follows: under the temporal dimension,the level of green innovation performance is generally low in national and the three major regions and is showing periodic fluctuation; the level of green innovation performance in the eastern region is always"high output-high efficiency",and the central and western regions continue to be at the level of"low output-low efficiency"; the number of provinces that is at the level of"low efficiency-low output"always account for more than half of the national provinces. Under the spatial dimension,the level of green innovation performance is significantly different in the national and three major regions which is Eastern Region > National Average > Central Region > Western Region and is showing a polarization trend; the level of green innovation performance is presenting significant spatial agglomeration characteristics in all provinces of the national. About 30% of the provinces concentrated in the eastern region( except Qinghai Province) are at the level of"high output-high efficiency"and the provinces concentrated in the central and western regions( except Liaoning Province) with level of"low output-low efficiency"account for 60%.This paper has some theoretical contributions in that it defines the green innovation performance,argues that " the level of green innovation performance = transformation efficiency of green innovation + output efficiency of green innovation ",and divide the level of green innovation performance into four types according to the combination of transformation efficiency and output efficiency,makes up for the deficiency of existing literature in evaluating green innovation performance from the single perspective of efficiency or output,and expands the research of green innovation performance evaluation. Drawing on and synthesizing relevant researches in the past,enriching the evaluation index system of green innovation performance,which can help make up for the shortcomings of the evaluation index of green innovation performance in previous research,which can be seen in the tube,and make the research results closer to reality. Analyzing the evolution differences of green innovation performance from the two dimensions of time and space,and have certain theoretical value in the field of green innovation management.Finally,in order to implement the strategy of innovation-driven green development,improve the level of regional green innovation performance,and realize the balanced development of China's economic development,resources,environment and ecology,the paper puts forward policy recommendations from the aspects of green innovation environment,green innovation management,green innovation system and mechanism,and the level of opening up to the outside world.
Since the reform and opening up 40 years ago,China's economy has made rapid development,but also paid a huge price in resources and environment. China urgently needs to explore new ways of scientific development to achieve sustainable development. As a fusion point of"innovation-driven"and"green development",green innovation has become an effective means to break through resource and environmental constraints and promote sustainable development. At present,there is still no consistent understanding of the construct of green innovation in existing research. Scholars try to define it from three levels in different research fields: enterprise,industry and macro. From the perspective of resources and environment,this study argues that green innovation is an innovative mode of balancing economic efficiency,resource consumption and environmental pollution.However,innovation compensation theory points out that emphasizing blindly innovation input and ignoring the rationality test and evaluation of environmental impact will inevitably hinder the sustainable development of China 's economy. Therefore,how to make China's economy achieve efficient and sustainable development,green innovation is undoubtedly an inevitable strategy,how to evaluate the performance of green innovation scientifically and objectively is particularly important.At present,the research on performance evaluation of green innovation,scholars mainly focus on the construction of evaluation index system and extension of the object level and so on. In the construction of evaluation index system,scholars mainly take the view of output perspective and input-output; the evaluation target is mainly for the manufacturing industry,service industry and other industrial categories. Existing research has laid the foundation for the performance evaluation of green innovation,but there are still some gaps that need to be filled: Firstly,the existing research only considers the efficiency dimension or output dimension of green innovation performance,and there is no clear definition of green innovation performance; Secondly,existing research pays more attention to the index of performance evaluation of green innovation,and less evolutionary analysis of green innovation performance. Based on previous studies,this paper argues that green innovation performance contains two dimensions:process and result. It is the integration of transformation efficiency and output efficiency. That is,the output efficiency of green innovation input and the transformation efficiency between input and output under the constraints of innovation resources and the impact of innovation environment in a specific period of time. At the same time,according to the combination of different of transformation efficiency and output efficiency,the green innovation performance can be divided into four levels: high output-high efficiency,high output-low efficiency,low output-high efficiency,low output-low efficiency.Industrial enterprises are the mainstay of the national economy,with high environmental sensitivity and great potential for green innovation. For a long time,the vigorous development of green innovation activities in industrial enterprises has played an important role in balancing the relationship between China 's economic development and resources,environment and ecology.Based on these,this paper defines the green innovation performance,constructs the evaluation index system of green innovation performance,chooses panel data of regional industrial enterprises from 2005 to 2015,usesthe DEA-SBM model to measure the transformation efficiency of regional green innovation in China,uses entropy weight method to evaluate the output efficiency of regional green innovation in China,based on the four levels of green innovation performance,and evaluates the green innovation performance of region in China. At the same time,this paper analyses the evolution characteristics of green innovation performance in different regions from two dimensions of time and space. Which can grasp the reasons objectively and accurately for the low quality,evolution and performance of regional green innovation development in China,provide reference for the large-scale development of future green innovation activities in China,and to further promote the transformation of China's economy into a scientific development model driven by innovation and green development?The main conclusions and theoretical contributions are as follows: under the temporal dimension,the level of green innovation performance is generally low in national and the three major regions and is showing periodic fluctuation; the level of green innovation performance in the eastern region is always"high output-high efficiency",and the central and western regions continue to be at the level of"low output-low efficiency"; the number of provinces that is at the level of"low efficiency-low output"always account for more than half of the national provinces. Under the spatial dimension,the level of green innovation performance is significantly different in the national and three major regions which is Eastern Region > National Average > Central Region > Western Region and is showing a polarization trend; the level of green innovation performance is presenting significant spatial agglomeration characteristics in all provinces of the national. About 30% of the provinces concentrated in the eastern region( except Qinghai Province) are at the level of"high output-high efficiency"and the provinces concentrated in the central and western regions( except Liaoning Province) with level of"low output-low efficiency"account for 60%.This paper has some theoretical contributions in that it defines the green innovation performance,argues that " the level of green innovation performance = transformation efficiency of green innovation + output efficiency of green innovation ",and divide the level of green innovation performance into four types according to the combination of transformation efficiency and output efficiency,makes up for the deficiency of existing literature in evaluating green innovation performance from the single perspective of efficiency or output,and expands the research of green innovation performance evaluation. Drawing on and synthesizing relevant researches in the past,enriching the evaluation index system of green innovation performance,which can help make up for the shortcomings of the evaluation index of green innovation performance in previous research,which can be seen in the tube,and make the research results closer to reality. Analyzing the evolution differences of green innovation performance from the two dimensions of time and space,and have certain theoretical value in the field of green innovation management.Finally,in order to implement the strategy of innovation-driven green development,improve the level of regional green innovation performance,and realize the balanced development of China's economic development,resources,environment and ecology,the paper puts forward policy recommendations from the aspects of green innovation environment,green innovation management,green innovation system and mechanism,and the level of opening up to the outside world.
引文
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(1)来自2015年4月,中国大连,绿色增长理论与实践国际研讨会,武春友代表国家自然科学基金重大国际合作研究项目“绿色增长理论与实践的国际比较研究”课题组的发言。
(1)“新产品开发经费与技术引进及改造经费”属于技术投入指标,但同样具备费用成本指标的特性,为便于数据统计,本文将其归入绿色创新的资本投入范畴。
(2)专利创造的经济效益与专利权的维持时间直接相关,时间越长,市场价值才会越高。因此,本文选取“有效发明专利数”衡量企业绿色创新的潜在市场收益与经济价值实现,尽量让研究结果贴近于真实。
(1)鉴于文章篇幅要求,文章表3仅保留重要节点年限的数据。
(1)东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、海南;中部地区包括山西、吉林、黑龙江、安徽、江西、河南、湖北、湖南;西部地区包括内蒙古、广西、重庆、四川、贵州、云南、西藏、陕西、甘肃、青海、宁夏、新疆。
[2]吴超,杨树旺,唐鹏程,等.中国重污染行业绿色创新效率提升模式构建[J].中国人口·资源与环境,2018,28(5):40-48.Wu Chao,Yang Shuwang,Tang Pengcheng,et al. Construction of the efficiency promotion model of green innovation in China's heavy polluted industries[J]. China Population,Resources and Environment,2018,28(5):40-48.
[3] Schiederig T,Tietze F,Herstatt C. What is green innovation?–A quantitative literature review[J]. Social Science Electronic Publishing,2011.
[4]张江雪,朱磊.基于绿色增长的我国各地区工业企业技术创新效率研究[J].数量经济技术经济研究,2012,29(2):113-125.Zhang Jiangxue,Zhu Lei. Research on technological innovation efficiency of industrial enterprises in various regions of China based on green growth[J]. The Journal of Quantitative&Technical Economics,2012,29(2):113-125.
[5] Sally Gee,Andrew Mc Meekin. Eco-innovation systems and problem sequences:The contrasting cases of US and Brazilian biofuels[J]. Industry&Innovation,2011,18(3):301-315.
[6] Garcíapozo A,Sánchezollero J L,Marchantelara M. Eco-innovation and management:An empirical analysis of environmental good practices and labour productivity in the Spanish hotel industry[J]. Innovation,2015,17(1):58-68.
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(1)来自2015年4月,中国大连,绿色增长理论与实践国际研讨会,武春友代表国家自然科学基金重大国际合作研究项目“绿色增长理论与实践的国际比较研究”课题组的发言。
(1)“新产品开发经费与技术引进及改造经费”属于技术投入指标,但同样具备费用成本指标的特性,为便于数据统计,本文将其归入绿色创新的资本投入范畴。
(2)专利创造的经济效益与专利权的维持时间直接相关,时间越长,市场价值才会越高。因此,本文选取“有效发明专利数”衡量企业绿色创新的潜在市场收益与经济价值实现,尽量让研究结果贴近于真实。
(1)鉴于文章篇幅要求,文章表3仅保留重要节点年限的数据。
(1)东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、海南;中部地区包括山西、吉林、黑龙江、安徽、江西、河南、湖北、湖南;西部地区包括内蒙古、广西、重庆、四川、贵州、云南、西藏、陕西、甘肃、青海、宁夏、新疆。
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