碳交易框架下企业生态创新策略研究

生态创新是实现节能减排的有效载体和基本路径。2017年末我国启动全国性碳市场，在此背景下，深入研究企业生态创新决策优化问题具有重要的理论和现实意义。本文在区分生态过程创新和末端治理的基础上，建立了企业生态过程创新研发策略（独立研发策略和合作研发策略）与政府碳交易制度的三阶段博弈模型，运用逆向求解法得出各阶段均衡解，比较不同研发策略下企业生态过程创新水平、末端治理、政府最优碳排放基准和社会福利。结果表明：合作研发策略优于独立研发策略。通过湖北省电力行业的数据进行仿真实验，进一步发现，政府减少碳排放基准会降低企业生态过程创新水平，增加企业末端治理；研发成本系数与企业生态过程创新水平呈负相关关系；社会最优的技术溢出系数临界值为0.8。本文研究结论为政府确定科学的碳排放基准和企业制定合理的生态创新研发策略提供启示。

Research on Enterprise Eco-innovation Strategy Based on Carbon Trading System

Eco-innovation is an effective carrier and basic way to realize energy saving and emission reduction.In the end of 2017, China started the national carbon trading system. In this context,it is a very important theoretical and practical significance to study the optimization of enterprise eco-innovation decision. Eco-innovation is divided into the ecological process innovation and the end-of-pipe treatment. By building a three-stage game model of cooperation and competition strategy within carbon trading system, the inverse method is used to obtain the equilibrium solution of each stage, then the level of ecological process innovation, end-of-pipe treatment, the optimal carbon emission standard and social welfare are compared. Results show that:the cooperation strategy is better than the competition strategy. Based on the data of electric power industry in Hubei Province,the simulation further finds that the reduction of carbon emission standard will reduce the level of ecological process innovation, increase end-of-pipe treatment. There is a negative correlation between R&D cost coefficient and the level of ecological process innovation. In addition, the socially optimal technology spillover coefficient is 0.8. The article provides several implications for both policy makers and enterprise managers.