环境规制、技术创新与全要素生产率——基于对“波特假说”的实证检验  

作　　者：许水平[1] 邓文涛[1] 赵一澍 

机构地区：[1]南昌大学经济管理学院 [2]南昌大学资源环境与化工学院

出　　处：《企业经济》2016年第12期19-27,共9页Enterprise Economy

基　　金：江西省高校人文社科规划项目"资源型城市创新系统效率缺失研究---基于系统失灵的视角"(项目编号:JJ1334);2012年江西省社科规划项目"资源型城市创新系统失灵机理及其创新政策设计"(项目编号:12YJ43)

摘　　要：当前,有关"波特假说"的实证研究未能形成一致结论 ,一个重要的原因是环境规制的内生性会干扰回归结果的稳健性。在引入工具变量克服环境规制内生性的基础上,通过建立面板模型来验证"弱"波特假说和"强"波特假说以及二者之间的因果关系。研究发现,环境规制对技术创新和全要素生产率都具有显著的非线性影响,呈现出先抑制后促进再抑制的倒"N"型关系,从而验证了"弱"和"强"波特假说的存在。但是,研究结论并未显示出"弱"和"强"波特假说之间具有显著的因果关系。因此,政府要制定适宜的环境规制措施,根据地区和产业具体情况采取差异化环境规制措施;培育技术创新人才,加强专利和知识产权的保护工作;合理有序引进外资和引导外资流向。At present, the empirical study on ＂Potter hypothesis＂ has not formed a consistent conclusion. An important reason is that the endogeneity of environmental regulation will interfere with the robustness of regression results. Based on the adoption of instrumental variables to overcome the endogeneity of environmental regulation, this paper establishes a panel model to verify the ＂weak＂ and the ＂strong＇versions of Potter hypothesis （PH） and the causal relationship between them. The re- search shows that the environmental regulation has a significant non-linear effect on technological innovation and TFP, which presents an inverted N-type relationship from inhibition to promotion and then back to inhibition, so as to verify the existence of the ＂weak＂ Potter hypothesis and the ＂strong＂ Potter hypothesis. However, the research does not show a sig- nificant causal relationship between the ＂weak＂ Potter hypothesis and the ＂strong＂ Potter hypothesis. Therefore, the gov- ernment should make appropriate environmental regulation measures, according to the specific circumstances of the region and industry to take the differentiated environmental regulation measures; focus on nurturing technological innovation per- sonnel, strengthen the protection of patents and intellectual property rights; and rationally and orderly introduce foreign capitals and guide the flow of foreign capitals.

关 键 词：环境规制 内生性 技术创新 全要素生产率 波特假说 

分 类 号：X-01[环境科学与工程]