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在自然环境持续性恶化的背景下,各国政府逐渐将经济重心转移到可持续发展领域。越来越多的企业意识到生态创新的重要性,生态创新也逐渐成为企业获取持续性竞争优势的重要源泉。生态创新是一类能够减少因资源(包括能源)使用而产生的环境风险、污染和其他负面影响的创新[1],它可以实现清洁生产、节能减排的目标,是解决环境问题的有效途径[2]。随着中国经济从高速发展向高质量发展的跨越式转变,在国家“双碳”战略的积极引领下,企业的生态创新已初见成效;但受商业的趋利性、正式制度发展不完善等因素的影响,生态创新在企业间的普及和扩散现状与预设目标仍存在较大鸿沟[3]。如何实现可持续发展与环境保护,以及最大限度地激励企业进行生态创新,已成为各国学者和政府亟须探索的首要问题。
已有文献表明,消费者压力[4]、资源[5]、知识[6]、高管环保认知[7]等因素都能促进企业积极开展生态创新。然而,生态创新的“双重外部性”内在特征会导致市场失灵[8],使得企业主动开展环境保护的动力不足。因此,构建完善的制度环境,并敦促企业积极开展生态创新成为较为理想的解决办法[9]。制度理论认为,制度是人类设计的构建人们相互行为的约束条件[10],企业做出的任何战略决策都会受到特定制度框架下的正式和非正式约束的内在影响,并决定了企业在博弈过程中所能打出的“牌”[11]。制度压力在企业引入生态创新过程中发挥着不可替代的作用[12]。相比于非正式制度,正式制度的压力可能对促进生态创新更为有效[13]。
随着学界对企业生态创新的日益重视,生态创新的大量驱动因素被提出和证实。在该过程中,政府规制、经济激励制度等正式制度发挥的决定性作用逐渐明确。然而,不同学者仅从各自的视角出发,研究某项具体正式制度对生态创新的影响,针对性较强,尚未形成清晰的系统性路径。为厘清正式制度影响生态创新过程的系统路径,本文对不同视角下323篇相关文献进行了结构性梳理,总结各类实证研究以形成体系,旨在构建该领域的研究框架。在此基础上,指出已有文献现存的不足之处,以期启发未来的研究方向,从而完善相关理论的研究。
Formal Institutions and Firms’ Environmental Innovation: a Literature Review
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摘要:正式制度对企业生态创新的战略决策具有极为重要的影响。基于对323篇相关文献的系统性梳理,对正式制度的内涵、分类和测量方法进行总结,并在此基础上结合制度理论、资源基础观理论、利益相关者理论和计划行为理论,探讨政治制度、经济制度和法律制度对企业生态创新的影响。对正式制度与企业生态创新之间的复杂机理进行深入剖析,归纳国家创新体系、融资约束、知识获取等变量的中介作用,以及企业规模、动态能力、吸收能力等变量在两者之间发挥的调节作用,形成该热点领域的研究框架。基于以往相关研究做出总结,并提出未来研究展望。Abstract:The formal system has an extremely important influence on the strategic decision-making of firms’ environmental innovation. Firstly, based on a systematic review of 323 related papers, this study summarized the definition, classification and measurement methods of formal institutions, and discussed the influence of political system, economic system and legal system on firms’ environmental innovation. Secondly, it deeply analyzed the complex mechanism between formal institutions and firms’ environmental innovation, summarized the mediating role of variables such as national innovation system, financing constraints, and knowledge acquisition, and the moderating role played by variables such as enterprise scale, dynamic capacity, and absorptive capacity, and constructs the research framework of this hotspot field. Finally, a summary is made based on previous related research, and future prospects are proposed.
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