【作者】 杜磊；

【导师】 任胜钢；

【作者基本信息】 中南大学 ， 技术经济及管理， 2024， 博士

【摘要】 在生态文明建设的过程中,我国政府已颁布了一系列环境政策,并取得显著成效。但由于环境问题的分散性、隐蔽性、蔓延性和多元性,我国生态系统脆弱的现况还未得到根本性扭转。政府规制力量也面临着行政权力延伸成本高、监测覆盖面有限的监管难题。因此,污染问题的解决,不仅需要强化以政府为中心的刚性治理,还需要调动社会公众的参与积极性,凝聚起公众参与型的社会治理力量,充分发挥其灵活性、广泛性、持续性的优势,形成治污合力。只有改变单一治理模式,构建各方力量共同参与的环境共治体系,才能不断改善环境福祉,实现污染的长效治理。基于此,本研究运用制度理论、环境合法性理论、公共治理理论、科层管理理论深入分析政府约束型环境规制和公众参与型环境规制的不同特点,并厘清二者在环境治理中的不同优势和短板。在此基础上,探讨了政府和公众的环境协同治理对企业绿色创新的影响机理。本文选择沪深A股重污染行业上市公司的面板数据作为研究样本,选取污染物总量控制政策作为政府约束型环境规制的代理指标,它是一个自上而下的刚性约束政策;选取污染信息公开指数(PITI)作为公众参与型环境规制的代理指标,它是公众借助于组织化载体广泛参与环境治理的体现。本文实证检验了政府和公众的环境协同治理对企业绿色创新的影响,并进行了多种内生性处理和多重稳健性检验。同时,从信息披露质量、持续性监督、长期导向三个角度探讨了协同治理效应的影响机制,并从区域、行业和企业三个层面考虑了影响环境协同治理效应的情境因素。根据实证结果得出以下结论:其一,政府约束型环境规制与公众参与型环境规制的协同治理能显著促进企业的绿色创新。政府规制力量和公众治理力量的协同,能有效匹配政府规制在环境监管中的刚性优势和公众在社会监督中的广泛性、持续性等优势,进而弥补单一政府规制行政成本高、脉冲性监管的不足,形成常态化压力,从而促进企业去通过绿色创新来长期性、实质性解决污染问题。而单一的政府规制对企业绿色创新没有显著影响,但能显著减少企业的污染违规来实现污染治理。其二,提高环境信息披露质量、加强环境持续性监督、促进企业环境治理的长期导向是环境协同治理效应的影响机制。政府和公众的协同治理构成了一种多方参与的透明式治理模式,能限制企业的信息披露裁量自由、降低企业的虚假性披露,推动企业更高质量的环境信息公开,并选择实质性的污染解决方案来回应多方环境诉求。此外,二者协同构成了一种多渠道督查机制,能弥补政府规制“强治理、弱监督”的不足,通过持续性社会监督来加强政府监管效力,使环境压力更具有长期性和持续性,迫使企业选择更长期性的环境策略。其三,就情境因素而言,在区域层面,当环境执法强度更高、公众环保意识更高、环保组织数量更多时,政府与公众的协同治理对企业绿色创新的影响更强;在行业层面,协同治理对受行业绿色信贷限制、环境合法性差距大的企业的影响更大;在企业层面,当企业受到更多媒体关注、绿色基金约束时,协同效应的影响会更强。据此,本文提出相应政策建议。政府应着力健全环境治理体系,充分发挥其领导和引导作用;公众应加强有效参与,不断提升专业素养,以环保组织为组织化载体,不断提高环境治理的能力和水平;企业应切实重塑发展观,将绿色创新贯穿发展全过程。本文创新点如下:第一,从政府与公众协同治理的角度,拓展了环境规制的研究视角,弥补了现有研究中单一规制视角的不足;第二,丰富了企业绿色创新的驱动因素研究,为解决现有研究中政府规制与企业绿色创新间的矛盾结论提供了新观点。与仅促进达标治理的单一政府规制不同,协同治理压力能激励企业采取绿色创新作为其长期战略回应;第三,从信息披露、持续监督、长期导向三个机制解构了协同治理效应的影响机理,并阐释了政府和公众两种互补力量如何发挥协同作用;第四,从区域、行业、企业三个层面揭示了影响协同效应的边界条件,丰富了协同效应的应用情境。图9幅,表41个,参考文献243篇更多还原

【Abstract】 In the process of ecological civilization construction,the Chinese government has promulgated a series of environmental policies,achieving significant results.However,due to the dispersed,concealed,pervasive,and diverse nature of environmental issues,the fragile state of China’s ecosystem has not been fundamentally reversed.The government’s regulatory power faces the regulatory challenges of high administrative costs and limited monitoring coverage.Therefore,resolving pollution issues requires not only strengthening rigid governance centered on the government but also mobilizing the enthusiasm of the public to participate.It is essential to promote social supervision and consolidate a public participation-driven regulatory force.By fully exploiting its adaptability,extensive reach,and continuous supervision,this approach fosters the development of a collaborative environmental co-governance system.Only by shifting from the traditional singular governance model to a collaborative environmental governance model with participation from all actors can continuous improvement in environmental well-being be achieved.Based on this,this thesis applies institutional theory,environmental legitimacy theory,public governance theory,and bureaucratic management theory to thoroughly analyze the distinct characteristics of government constrained environmental regulation and public participatory environmental regulation,elucidating their respective strengths and limitations within environmental governance.Building on this foundation,the thesis explores the impact of collaborative governance between these two types of regulation on firms’green innovation.This thesis selects panel data from heavily polluting industries listed on the Shanghai and Shenzhen A-shares as the research sample.The total pollutant load control policy is chosen as a proxy indicator for government constrained environmental regulation,which is a top-down rigid constraint policy.The Pollution Information Transparency Index(PITI)is selected as a proxy indicator for public participatory environmental regulation,reflecting widespread public involvement and orderly organized participation in environmental governance.This thesis empirically examines the impact of environmental collaborative governance between the government and the public on corporate green innovation,using various endogenous treatments and multiple robustness tests.Moreover,this thesis examines the influence mechanisms from information disclosure quality,continuous supervision,and long-term orientation,and situational factors affecting environmental collaborative governance were considered from three levels:regional,industry,and firm.According to the empirical results,the following conclusions are drawn:Firstly,the collaborative governance of government constrained regulation and public participatory environmental regulation can significantly promote firms’green innovation.The collaboration between governmental regulatory power and public governance power can effectively align the rigid advantages of governmental regulation in environmental supervision with the broad and continuous advantages of public supervision.This synergy compensates for the high administrative costs and intermittent nature of singular governmental regulation,forming a normalized pressure that encourages firms to adopt green innovation as a long-term and substantial solution.In contrast,singular governmental regulation has no significant impact on green innovation and only promotes pollution control by reducing firms’pollution violations.Secondly,improving information disclosure,strengthening continuous supervision,and promoting the long-term orientation of firm environmental strategies serve as mechanisms for the impact of environmental collaborative governance.The collaborative governance of the government and the public constitutes a transparent governance model with multi-party participation,which can limit firms’discretionary power in information disclosure,reduce false disclosures,and promote more truthful and substantial disclosures.This encourages firms to choose substantial pollution solutions to meet multiple demands.Furthermore,the synergy forms a multi-channel supervision mechanism that compensates for the government’s“strong governance,weak supervision”shortcoming.Through continuous social supervision,governmental regulation is strengthened,making environmental pressure more long-term and normalized,thereby forcing firms to adopt more long-term environmental strategies.Thirdly,regarding regional heterogeneity,the collaborative effects of government and public on firms’green innovation are stronger in areas with higher environmental enforcement intensity,higher public environmental awareness,and a greater number of environmental organizations.In terms of industry heterogeneity,collaborative governance has a more significant effect on firms facing green credit constraints and those with larger gaps in environmental legitimacy.Regarding firm heterogeneity,the impact of collaborative governance is stronger when firms receive more media attention and are constrained by green funds.Based on empirical findings,this thesis proposes targeted policy advice.The government should focus on improving the environmental governance system,fully exerting its leadership and guiding role;the public should enhance its orderly and effective participation,continuously improve professional literacy,and take environmental organizations as the organizational carrier to continuously improve the ability and level of environmental governance;firms need to effectively reshape their development concepts,integrating green innovation throughout the entire development process.The contribution of this thesis lies in the following aspects.Firstly,this thesis enriches the current perspective on environmental regulation by unveiling the collaborative governance between the government and the public from a policy-mix viewpoint,addressing the inadequacies in existing studies that predominantly focus on a single regulatory perspective.Secondly,this analysis not only enriches the study of the antecedents of green innovation,but also offers a new perspective to resolve the contradictory conclusions between government regulation and green innovation found in existing research.Traditional rigid regulation may promote compliance-driven governance,but it is difficult to promote green innovation.This analysis finds that the pressures of collaborative governance can promote firms to choose green innovation as a long-term strategic response.Thirdly,this thesis deconstructs the influence mechanism of the collaborative governance effect from three mechanisms:information disclosure,continuous supervision,and long-term orientation,and explains how the complementary forces of the government and the public play a synergistic role.Fourthly,it reveals the situational factors affecting the collaborative governance effect at regional,industrial,and firm levels,thereby enriching the application scenarios of the collaborative governance effect.更多还原