企业生态创新的机理研究
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摘要
生态创新是环境绩效能够得到显著改善的创新。与一般创新比较,它能够在产品或服务整个生命周期内有效降低环境风险并减少资源使用或环境污染所带来的负面效应。作为可持续发展转型的动力源泉,生态创新已经成为国际竞争的焦点,也是我国国家发展战略的内在组成。然而我国企业的生态化实践尚为稚嫩,生态创新能力薄弱,生态创新绩效不容乐观。当前所面临的一个紧迫任务就是,如何促进企业生态创新并进而推动我国产业结构和经济发展模式的生态化转型。
同时,创新理论与环境管理理论的交叉融合发展也逐渐使生态创新成了一个独立的学术概念。但生态创新研究刚刚起步,即使定义都还存在诸多争议,研究结论也存在着冲突。尤其是,结合环境管理和创新管理的分析还非常欠缺。因此从环境外部性视角运用创新系统理论来实证分析中国企业生态创新的要素与机理是企业界和理论界亟待研究的新兴领域。
基于现实和理论背景,本论文提出了基本的研究问题：即在中国产业背景下(1)企业生态创新如何分类及其绩效如何测定?(2)不同的生态创新类型和环境政策对企业生态创新绩效的作用如何?(3)企业生态创新的特征要素有哪些?企业生态创新绩效的作用机制如何?
本文从环境保护和可持续发展的背景出发,理清生态创新的概念、性质及分类,综合管理学、经济学和社会学等理论视角,围绕“企业生态创新机理”这一基本研究命题,在历时4年实地调研访谈了浙江、江苏和河南等110余家工业企业生态创新实践的基础上,选取了四家典型企业进行探索性案例研究。在此基础上,为进一步探讨生态创新类型的绩效差异及其作用机理,本文提出了三个模型,即生态创新类型与生态创新绩效的关系模型、环境政策与生态创新绩效的关系模型以及生态创新机理模型,通过对279家企业的有效问卷数据进行统计分析和结构方程建模,对上述所提假设及模型分别进行验证,最终得出企业生态创新的关键因素及作用机理。主要研究结论包括：
1、不同的生态创新类型会导致企业环境绩效的差异,而对竞争绩效则没有体现出明显的差异性；2、企业生态创新类型与生态创新绩效之间的关系会受到环境管制严格性(环境政策和政策执行情况)的调节,政策执行情况对于环境绩效的调节作用显著,而环境政策类型对于竞争绩效的调节作用更强；3、不同的环境政策对企业生态创新绩效的直接影响并不明显,在不区分企业类型的情况下只有自愿协议对于企业环境绩效起到了正向作用；4、在企业类型变量的调节作用下,不同环境政策的推拉效应均十分显著。无论是资源依赖型、资本密集型、劳动力密集型还是技术密集型企业,对命令控制类、市场导向类、自愿协议及信息工具等环境政策和企业环境及竞争绩效均表现出显著的调节作用；5、提出了基于“特征维度—能力—绩效”的企业生态创新机理提出企业生态创新的三个特征维度：技术、资源和关系,创造性地引入环境与经济的内外部整合能力作为探索企业生态创新特征影响绩效的中介机制,通过279个样本的SEM结构分析,验证了企业生态创新的四条主要作用路径：“资源维直接影响生态创新绩效”、“生态创新特征维度(技术、资源和关系)通过环境与经济的内部整合能力影响生态创新绩效”、“生态创新特征维度(技术、资源和关系)通过环境与经济的外部整合能力影响生态创新绩效”和“环境与经济的内部整合能力直接影响企业生态创新绩效”
本研究取得了如下三项创新性研究成果：
1、明晰了企业生态创新类型及企业生态创新绩效的界定及度量,揭示了生态创新的尺度差异性,批判了传统环境管理对于生态创新认识的片面性,指出企业应树立和加强生态创新的全局观；2、对环境政策与企业生态创新绩效的关系在中国背景下进行了新的思考,引入企业类型的调节作用,提出环境政策分类指导的必要性,是对原有“环境政策—企业生态创新绩效”直接关联的突破和完善。3、从多重理论视角出发,构建并验证了“特征维度—能力—绩效”的企业生态创新机理模型,打开了生态创新的“黑箱”,探明了企业生态创新的四条路径,解析了生态创新的双重外部性是如何影响创新绩效的以及环境政策的推拉效应是如何产生的,从而使生态创新的理论研究更具系统性。
总之,本文的理论和实证研究成果细化、丰富和完善了企业生态创新理论,从经济学、管理学和社会学等多重理论视角使企业层面的生态创新研究更具系统性和可指导性,为我国企业和政府推进生态创新实践和管理提供了新的、切实可行的理论与政策启示。
According to the Measuring Eco-Innovation (MEI) project, eco-innovation is the production, assimilation or exploitation of a product, production process, service or management or business method that is novel to the organization (developing or adopting it) and which results, throughout its life cycle, in a reduction of environmental risk, pollution and other negative impacts of resources use (including energy use) compared to relevant alternatives. Eco-innovation has been widely considered as the engine of sustainable transition of economic development and has become an integral national development strategy by many countries, including our country China. In the last 20 years, China has taken varieties of measures to promote eco-innovation at enterprise and national level, such as cleaner production audits, eco-industrial parks and circular economy implementation. However, eco-innovation performance is not optimistic and the corresponding capability is still weak. Currently, an urgent task is how to realize ecological transition of economic development by encouraging enterprises to promote eco-innovation.
Along with eco-innovation practices, meanwhile, eco-innovation has gradually become an independent academic concept by integrating innovation theory and environmental management theory Being still in the initial stage, there exist many disputes on some key questions and lead to conflict conclusions, such as "how to define eco-innovation and how to classify them", "how to measure eco-innovation performance", "what are key factors for corporate eco-innovation and what is the operational mechanism". All these questions should be studied further in order to provide guidelines to enterprises and/or governments, especially to China. Currently, China lacks of systematical, in-depth empirical researches on corporate eco-innovation, which makes eco-innovation study to be an important and urgent task.
From the start of discussion on eco-innovation content and typology, the thesis focuses on the basic research propositions, how enterprise carry out eco-innovation by presenting "feature-capability-performance" model. Specifically, three research questions are explored layer by layer:(1) what types of eco-innovation? what is the relationship between eco-innovation typology and performance? (2) what is the relationship between environmental policies and eco-innovation performance? (3) what factors influence enterprise eco-innovation and what is the operational mechanism?
To explore these issues, this study lasted 4 years'field research in Zhejiang, Jiangsu and Henan provinces by visiting more than 110 industrial enterprises. Three models were designed and validated based on four typical exploratory case studies and a survey on 279 enterprises in Beilun region of Zhejiang Province:1) the first model (Model 1) analyzes the relationship between eco-innovation typology and performance; 2) the second model (Model 2) on the relationship between environmental policy types and eco-innovation performance; 3) the third model (Model 3) is on what factors are key to corporate eco-innovation and the operational mechanism. By combining the exploratory case studies and econometric analysis with structural equation modeling, the thesis draws the following main conclusions:
1) different types of eco-innovation will lead to differences in environmental performance, however not lead to differences in competitiveness performance;
2) the relationships between eco-innovation topolopy and performance are affected by the stringency of environmental regulation (environment policy and policy implementation), in more details, policy implementation has a more remarkable regulation effect on environmental performance than policy types, while the policy type has a more remarkable regulation effect on competitiveness performance than policy implementation;
3) no significant direct roles has been observed for environmental policy on eco-innovation performance, except the case of voluntary agreements on environmental performance;
4) when considering the regulation effect of business types, the push-pull effect of different environmental policies are very significant. For the resource-dependent, capital-intensive, labor-intensive or technology-intensive enterprises, each type can be observed to have a significant role of environmental policy on both environment and competitive performance, regardless of command and control type, market-oriented classes, information tools, or voluntary agreements;
5) A corporate eco-innovation mechanism model based on "feature dimensions-capacity-performance" is proposed, with the three feature dimensions being technology, resources and relationships, and the two intermediary viariables being the internal and external capability to integrate environmental and economic issues. Through the Structure Equation Modeling (SEM) with the survey of 279 samples, four major opreratoinal paths of corporate eco-innovation have been found: "resources directly affecting the eco-innovation performance", "all dimensions of innovation characteristics (technology, resources and relationships) affecting the eco-innovation performance through the internal integration of environmental and economic issues", "all dimensions (technology, resources and relationships) affecting the eco-innovation performance through the external integration of environmental and economic issues", and "the internal integration of environmental and economic issues directly affecting eco-innovation performance".
This thesis has three innovative achievements as follows:
(1) Clarifying the meaning of corporate eco-innovation and presenting eco-innovation topology including end-of-pipe innovation, process innovation, product innovation and organizational innovation. Model 1 reveals the scale effect of eco-innovation on innovatioin performance, and challenges the traditional understanding of environmental management theory on eco-innovation (such as the different competitiveness performance of end-of-pipe and cleaner production). The policy implication is that enterprises should establish and strengthen the overall viewpoint of eco-innovation;
2) Model 2 reveals that the relationship between environmental policy and corporate eco-innovation performance are regulated by enterprises typology. By introducing the corporate type as regulation viariable, the paper contributes to the Porter Hypothesis which talks about the impact of environmental regulation on business performance. The policy implication is that Chinese government should formulate different environmental policies for different types of enterprises;
3) The mechanism model based on "feature-capability-performance" unlocks the "features-performance" black box of corporate eco-innovation. It reveals the relationship and interactions existing among the corporate structure, capacity and eco-innovation performance. Especially, this model uncovers how the "dual-externality" of eco-innovation affects the business performance and how the push-and-pull effect of enviromental policy happens.
In summary, the above theoretical and empirical researches enrich and improve the enterprise eco-innovation theory, from multiple theoretical perspectives by incorporating economics, management and sociology science. These studies have important theoretical and practical values, which can provide not only theoretical bases for follow-up study but also practical guidelines for enterprises and government.
同时,创新理论与环境管理理论的交叉融合发展也逐渐使生态创新成了一个独立的学术概念。但生态创新研究刚刚起步,即使定义都还存在诸多争议,研究结论也存在着冲突。尤其是,结合环境管理和创新管理的分析还非常欠缺。因此从环境外部性视角运用创新系统理论来实证分析中国企业生态创新的要素与机理是企业界和理论界亟待研究的新兴领域。
基于现实和理论背景,本论文提出了基本的研究问题：即在中国产业背景下(1)企业生态创新如何分类及其绩效如何测定?(2)不同的生态创新类型和环境政策对企业生态创新绩效的作用如何?(3)企业生态创新的特征要素有哪些?企业生态创新绩效的作用机制如何?
本文从环境保护和可持续发展的背景出发,理清生态创新的概念、性质及分类,综合管理学、经济学和社会学等理论视角,围绕“企业生态创新机理”这一基本研究命题,在历时4年实地调研访谈了浙江、江苏和河南等110余家工业企业生态创新实践的基础上,选取了四家典型企业进行探索性案例研究。在此基础上,为进一步探讨生态创新类型的绩效差异及其作用机理,本文提出了三个模型,即生态创新类型与生态创新绩效的关系模型、环境政策与生态创新绩效的关系模型以及生态创新机理模型,通过对279家企业的有效问卷数据进行统计分析和结构方程建模,对上述所提假设及模型分别进行验证,最终得出企业生态创新的关键因素及作用机理。主要研究结论包括：
1、不同的生态创新类型会导致企业环境绩效的差异,而对竞争绩效则没有体现出明显的差异性；2、企业生态创新类型与生态创新绩效之间的关系会受到环境管制严格性(环境政策和政策执行情况)的调节,政策执行情况对于环境绩效的调节作用显著,而环境政策类型对于竞争绩效的调节作用更强；3、不同的环境政策对企业生态创新绩效的直接影响并不明显,在不区分企业类型的情况下只有自愿协议对于企业环境绩效起到了正向作用；4、在企业类型变量的调节作用下,不同环境政策的推拉效应均十分显著。无论是资源依赖型、资本密集型、劳动力密集型还是技术密集型企业,对命令控制类、市场导向类、自愿协议及信息工具等环境政策和企业环境及竞争绩效均表现出显著的调节作用；5、提出了基于“特征维度—能力—绩效”的企业生态创新机理提出企业生态创新的三个特征维度：技术、资源和关系,创造性地引入环境与经济的内外部整合能力作为探索企业生态创新特征影响绩效的中介机制,通过279个样本的SEM结构分析,验证了企业生态创新的四条主要作用路径：“资源维直接影响生态创新绩效”、“生态创新特征维度(技术、资源和关系)通过环境与经济的内部整合能力影响生态创新绩效”、“生态创新特征维度(技术、资源和关系)通过环境与经济的外部整合能力影响生态创新绩效”和“环境与经济的内部整合能力直接影响企业生态创新绩效”
本研究取得了如下三项创新性研究成果：
1、明晰了企业生态创新类型及企业生态创新绩效的界定及度量,揭示了生态创新的尺度差异性,批判了传统环境管理对于生态创新认识的片面性,指出企业应树立和加强生态创新的全局观；2、对环境政策与企业生态创新绩效的关系在中国背景下进行了新的思考,引入企业类型的调节作用,提出环境政策分类指导的必要性,是对原有“环境政策—企业生态创新绩效”直接关联的突破和完善。3、从多重理论视角出发,构建并验证了“特征维度—能力—绩效”的企业生态创新机理模型,打开了生态创新的“黑箱”,探明了企业生态创新的四条路径,解析了生态创新的双重外部性是如何影响创新绩效的以及环境政策的推拉效应是如何产生的,从而使生态创新的理论研究更具系统性。
总之,本文的理论和实证研究成果细化、丰富和完善了企业生态创新理论,从经济学、管理学和社会学等多重理论视角使企业层面的生态创新研究更具系统性和可指导性,为我国企业和政府推进生态创新实践和管理提供了新的、切实可行的理论与政策启示。
According to the Measuring Eco-Innovation (MEI) project, eco-innovation is the production, assimilation or exploitation of a product, production process, service or management or business method that is novel to the organization (developing or adopting it) and which results, throughout its life cycle, in a reduction of environmental risk, pollution and other negative impacts of resources use (including energy use) compared to relevant alternatives. Eco-innovation has been widely considered as the engine of sustainable transition of economic development and has become an integral national development strategy by many countries, including our country China. In the last 20 years, China has taken varieties of measures to promote eco-innovation at enterprise and national level, such as cleaner production audits, eco-industrial parks and circular economy implementation. However, eco-innovation performance is not optimistic and the corresponding capability is still weak. Currently, an urgent task is how to realize ecological transition of economic development by encouraging enterprises to promote eco-innovation.
Along with eco-innovation practices, meanwhile, eco-innovation has gradually become an independent academic concept by integrating innovation theory and environmental management theory Being still in the initial stage, there exist many disputes on some key questions and lead to conflict conclusions, such as "how to define eco-innovation and how to classify them", "how to measure eco-innovation performance", "what are key factors for corporate eco-innovation and what is the operational mechanism". All these questions should be studied further in order to provide guidelines to enterprises and/or governments, especially to China. Currently, China lacks of systematical, in-depth empirical researches on corporate eco-innovation, which makes eco-innovation study to be an important and urgent task.
From the start of discussion on eco-innovation content and typology, the thesis focuses on the basic research propositions, how enterprise carry out eco-innovation by presenting "feature-capability-performance" model. Specifically, three research questions are explored layer by layer:(1) what types of eco-innovation? what is the relationship between eco-innovation typology and performance? (2) what is the relationship between environmental policies and eco-innovation performance? (3) what factors influence enterprise eco-innovation and what is the operational mechanism?
To explore these issues, this study lasted 4 years'field research in Zhejiang, Jiangsu and Henan provinces by visiting more than 110 industrial enterprises. Three models were designed and validated based on four typical exploratory case studies and a survey on 279 enterprises in Beilun region of Zhejiang Province:1) the first model (Model 1) analyzes the relationship between eco-innovation typology and performance; 2) the second model (Model 2) on the relationship between environmental policy types and eco-innovation performance; 3) the third model (Model 3) is on what factors are key to corporate eco-innovation and the operational mechanism. By combining the exploratory case studies and econometric analysis with structural equation modeling, the thesis draws the following main conclusions:
1) different types of eco-innovation will lead to differences in environmental performance, however not lead to differences in competitiveness performance;
2) the relationships between eco-innovation topolopy and performance are affected by the stringency of environmental regulation (environment policy and policy implementation), in more details, policy implementation has a more remarkable regulation effect on environmental performance than policy types, while the policy type has a more remarkable regulation effect on competitiveness performance than policy implementation;
3) no significant direct roles has been observed for environmental policy on eco-innovation performance, except the case of voluntary agreements on environmental performance;
4) when considering the regulation effect of business types, the push-pull effect of different environmental policies are very significant. For the resource-dependent, capital-intensive, labor-intensive or technology-intensive enterprises, each type can be observed to have a significant role of environmental policy on both environment and competitive performance, regardless of command and control type, market-oriented classes, information tools, or voluntary agreements;
5) A corporate eco-innovation mechanism model based on "feature dimensions-capacity-performance" is proposed, with the three feature dimensions being technology, resources and relationships, and the two intermediary viariables being the internal and external capability to integrate environmental and economic issues. Through the Structure Equation Modeling (SEM) with the survey of 279 samples, four major opreratoinal paths of corporate eco-innovation have been found: "resources directly affecting the eco-innovation performance", "all dimensions of innovation characteristics (technology, resources and relationships) affecting the eco-innovation performance through the internal integration of environmental and economic issues", "all dimensions (technology, resources and relationships) affecting the eco-innovation performance through the external integration of environmental and economic issues", and "the internal integration of environmental and economic issues directly affecting eco-innovation performance".
This thesis has three innovative achievements as follows:
(1) Clarifying the meaning of corporate eco-innovation and presenting eco-innovation topology including end-of-pipe innovation, process innovation, product innovation and organizational innovation. Model 1 reveals the scale effect of eco-innovation on innovatioin performance, and challenges the traditional understanding of environmental management theory on eco-innovation (such as the different competitiveness performance of end-of-pipe and cleaner production). The policy implication is that enterprises should establish and strengthen the overall viewpoint of eco-innovation;
2) Model 2 reveals that the relationship between environmental policy and corporate eco-innovation performance are regulated by enterprises typology. By introducing the corporate type as regulation viariable, the paper contributes to the Porter Hypothesis which talks about the impact of environmental regulation on business performance. The policy implication is that Chinese government should formulate different environmental policies for different types of enterprises;
3) The mechanism model based on "feature-capability-performance" unlocks the "features-performance" black box of corporate eco-innovation. It reveals the relationship and interactions existing among the corporate structure, capacity and eco-innovation performance. Especially, this model uncovers how the "dual-externality" of eco-innovation affects the business performance and how the push-and-pull effect of enviromental policy happens.
In summary, the above theoretical and empirical researches enrich and improve the enterprise eco-innovation theory, from multiple theoretical perspectives by incorporating economics, management and sociology science. These studies have important theoretical and practical values, which can provide not only theoretical bases for follow-up study but also practical guidelines for enterprises and government.
引文
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