双重负外部性下战略性资源企业技术升级的激励机制与政策体系研究

Building a comprehensive system of environmental regulation and industrial policy to improve the incentive mechanism for firm’s innovation is the fundamental solution for the problem of lagged technology upgrading of China’s strategic resource industries, while the existing research literature could not afford an effective plan for the solution. Therefore the specific characteristic of the resource industry, that is, the resource negative externality and strong environment negative externality, should be integrated into the theoretical research and policy study. This project selects the firm’s incentive mechanism as the point cut of the research to build a system of government regulation and industrial policy for the reconstruction of the micro foundation of industry upgrading, and to design the optimal path towards green development and effective implement plan. Concretely, this project will explore the intention of green development and then build an indicator system for measuring the dual negative externalities and evaluating the status and factors of green development and technology progress of resource industry; this project will creatively build a new research paradigm, regulation-structure-conduct-performance (R-S-C-P), which is adaptive to the characteristic of resource industry for theoretical and empirical study to reveal the critical factors and their logical relationship for industry upgrading; this project will explore the influence mechanism of environmental regulation and industrial policy to the incentive system of firm’s technology innovation behavior and mining behavior under dual negative externalities; and this project will try to find the optimal combination of environmental regulation and industrial policy based on theoretical research and empirical study. Especially, the analysis on common property rights among above will give some guidance for the mixed-ownership reform of state-owned enterprises.

构建环境规制和产业政策综合体系以完善企业创新激励机制是解决中国战略性资源产业升级严重滞后的治本之道，但现有研究尚不能提供有效方案。为此必须将该产业特有的资源负外部性和强环境负外部性纳入理论研究和政策制定中。本课题以企业行为激励机制为切入点，构建政府规制与产业政策体系以重构产业升级的微观基础，并设计面向绿色发展的最优路径和有效实施方案。具体地，将发掘绿色发展内涵并构建指标体系测度双重负外部性，评价该产业绿色发展和技术进步现状及其成因；构建契合资源产业特性的R-S-C-P范式进行理论创新和实证研究，揭示资源产业转型升级的关键影响因素及其逻辑联系；探究双重负外部性下环境规制和产业政策对资源企业的激励机制及其对技术创新行为和开采行为的影响机理；对环境规制与产业政策综合效应进行理论研究和实证检验，构建最优政策组合。特别是，其中关于共有产权的分析将为国有企业混和所有制改革提供最优股权比例等方面的指导。

1. 研究计划执行情况概述。.中国绝大部分资源产业始终存在过度开采、环境污染与生态破坏严重、安全事故频发、效率低下等问题，尤其是战略性资源的过度开发已经使一些稀有资源濒临耗竭，并对产业绩效与企业创新产生了阻碍，影响了产业的绿色发展转型。.构建环境规制和产业政策综合体系以完善企业创新激励机制是解决中国战略性资源产业升级滞后的治本之道，但现有研究尚不能提供有效方案。为此必须将该产业特有的资源负外部性和强环境负外部性纳入理论研究和政策制定中。本课题以企业行为激励机制为切入点，构建政府规制与产业政策体系以重构产业升级的微观基础，并设计面向绿色发展的最优路径和有效实施方案。.具体地，将发掘绿色发展内涵并构建指标体系测度双重负外部性，评价该产业绿色发展和技术进步现状及其成因；构建契合资源产业特性的R-S-C-P范式进行理论创新和实证研究，揭示资源产业转型升级的关键影响因素及其逻辑联系；探究双重负外部性下环境规制和产业政策对资源企业的激励机制及其对技术创新行为和开采行为的影响机理；对环境规制与产业政策综合效应进行理论研究和实证检验，构建最优政策组合。特别是，其中关于共有产权的分析将为国有企业混和所有制改革提供最优股权比例等方面的指导。.截止目前，本项目取得了如下成果：第一，构建了绿色发展评价体系，并对中国资源产业绿色发展现状进行了评估。由1篇硕士学位论文体现；第二，深入探讨了双重外部性对企业及其技术创新的影响。由表1中的成果1-3体现；第三，对环境规制、不同规制工具对企业绿色创新行为、投资偏好的影响。由表1中的成果4-6体现；第四，产业政策及相关政策对企业绿色创新的激励与约束。由表1中的成果7、9-12体现；第五，政府规制与产业政策的最优组合。由表1中的成果13-14体现。尚有1篇相关内容的论文预期将于2022年7月完成。