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MBA毕业论文_境规制、技术创新与企业绩效-基于A股重污染上市公司的实证研究PDF

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摘要 伴随着我国长期的粗放型经济发展模式的弊端凸显,有限的环境资源被浪费 和破坏,导致我国的环境问题变得十分严峻,这也成为影响我国经济可持续发展 的重要原因之一。为了使棘手的环境污染问题得到有效遏制的同时兼顾经济高质 量发展的需求,环境规制逐渐成为最重要也是最有效的手段。那么面临巨大的环 境规制压力之下,企业作为主要的微观经济主体,会受到怎样的影响,影响的效 果又是如何,这些问题一直备受专家学者的关注。此前,有关环境规制、技术创 新与企业绩效三者关系的研究中,较多文献结论均是支持技术创新在环境规制与 企业绩效之间的中介传导作用。但是由于是基于单一的环境规制的衡量指标,因 此无法考察多个不同类型的环境规制是否均能通过技术创新的中介路径影响企业 绩效。 基于对已有文献的梳理和总结,本文利用2012-2017年沪深A股重污染行业 326家上市公司为研究样本,通过定性与定量分析相结合以及宏观与微观数据相结 合的方法,在构建环境规制、技术创新与企业绩效的理论框架的基础上,采用 Edward和Lambert(2007)的全效应调节模型,实证检验了命令控制型环境规制、 市场激励型环境规制、企业自愿型环境规制、公众参与型环境规制四种类型的环 境规制与技术创新、环境规制与企业绩效的非线性关系以及技术创新在环境规制 与企业绩效之间的中介作用。 本文的研究结果表明:(1)命令控制型环境规制对技术创新的影响呈“U” 型关系,并通过技术创新的中介路径对企业绩效产生“U”型影响;(2)市场激 励型环境规制对技术创新的影响呈“U”型关系,并通过技术创新的中介路径对企 业绩效产生“U”型影响;(3)公众参与型环境规制对技术创新的影响呈“U” 型关系,并通过技术创新的中介路径对企业绩效产生“U”型影响;(4)企业自 愿型环境规制与技术创新之间并不存在显著的“U”型关系,进而也不能通过技术 创新的中介作用影响企业绩效。 因此,在本文研究的基础上,提出以下几点政策建议:(1)避免出现市场命 令控制型环境规制现象;(2)充分释放市场激励型环境规制的活力;(3)重视 发挥公众参与型环境规制的作用;(4)提升企业自愿型环境规制作用的认识。通 过不同类型的环境规制相互配合,多管齐下,才能将规制的效用发挥到最大。 关键词:环境规制;技术创新;企业绩效;重污染上市公司 I Abstract Abstract With the prosperity of China's long-term extensive economic development model highlighted, resulting in the destruction and waste of limited environmental resources, China's environmental problems have become very serious, which has also become one of the important reasons affecting the sustainable development of our economy. In order to effectively contain difficult environmental pollution problems while taking into account the needs of high-quality economic development, environmental regulation has gradually become the most important and effective means. So under the pressure of huge environmental regulations, how will the enterprise as the main microeconomic subject be affected, and how will the effect be affected? These issues have always attracted the attention of experts and scholars. Previously, in studies on the relationship between environmental regulation, technological innovation, and corporate performance, many literature conclusions supported the mediating role of technological innovation between environmental regulation and corporate performance. However, because it is based on a single environmental regulation measurement index, it is impossible to investigate whether multiple different types of environmental regulation can affect corporate performance through the intermediary path of technological innovation. Based on the review and summary of the existing literature, this paper uses 326 listed companies in the Shanghai-Shenzhen A-share heavy pollution industry from 2012 to 2017 as a research sample, through the combination of qualitative and quantitative analysis, and the combination of macro and micro data, the Based on the theoretical framework of environmental regulation, technological innovation and corporate performance, the full-effect adjustment model of Edward and Lambert (2007) was used to empirically test the command-controlled environmental regulation, market-driven environmental regulation, corporate voluntary environmental regulation, and the public. The four types of environmental regulation and technological innovation, the non-linear relationship between environmental regulation and corporate performance, and the intermediary role of technological innovation between environmental regulation and corporate performance. I Abstract The research results of this paper show that:(1) the influence of command-and-control environmental regulation on technological innovation is u-shaped, and it exerts a u-shaped influence on enterprise performance through the intermediate path of technological innovation;(2) the influence of market incentive environmental regulation on technological innovation is u-shaped, and it exerts a u-shaped influence on enterprise performance through the intermediary path of technological innovation;(3) the influence of public participation environmental regulation on technological innovation is u-shaped, and it exerts a u-shaped influence on enterprise performance through the intermediary path of technological innovation;(4)there is no significant u-shaped relationship between the voluntary environmental regulation and technological innovation of enterprises, and the mediating role of technological innovation cannot affect enterprise performance. Based on the research of this article, the following policy recommendations are proposed: (1) Avoid market command and control environmental regulation; (2) Fully release the vitality of market incentive environmental regulation; (3) Pay attention to the public participation environmental regulation The role of (4) to raise awareness of the voluntary environmental regulation of enterprises. Through the coordination of different types of environmental regulations and the multi-pronged approach, the effectiveness of regulation can be maximized. Keywords:Environmental regulation;Technological innovation;The listed comp- anies of heavy pollution industry II 目 录 目 录 第1章 引言 ........................................................ 1 1.1 选题背景与研究意义 ............................................ 1 1.1.1 选题背景 .................................................. 1 1.1.2 研究意义 .................................................. 2 1.2 研究综述 ....................................................... 3 1.2.1 国外研究综述 ............................................... 3 1.2.2 国内研究综述 ............................................... 6 1.2.3文献述评 .................................................. 13 1.3 研究内容与方法 ................................................. 9 1.3.1 研究内容 ................................................... 9 1.3.2 研究方法 .................................................. 11 1.4 研究创新点 .................................................... 12 第2章 概念界定及理论基础 ......................................... 14 2.1 相关概念 ...................................................... 14 2.1.1 环境规制 .................................................. 14 2.1.2 技术创新 .................................................. 15 2.1.3 企业绩效 .................................................. 16 2.2理论基础 ...................................................... 17 2.2.1 波特假说 .................................................. 17 2.2.2 外部性理论 ................................................ 18 2.2.3 公共产品理论 .............................................. 19 2.2.4 可持续发展理论 ............................................ 19 第3章 理论分析与研究假设 ......................................... 21 3.1 环境规制对技术创新的影响 ...................................... 21 3.2 环境规制对企业绩效的影响 ...................................... 23 3.3 技术创新的中介作用 ............................................ 25 第4章 研究设计 ................................................... 27 4.1 样本选取和数据来源 ............................................ 27 4.2 变量选取 ...................................................... 28 I 目 录 4.2.1 被解释变量 ................................................ 28 4.2.2 解释变量 .................................................. 29 4