企业能力视角下价值链驱动企业自愿性环境管理及其环境绩效研究：以ISO14001认证为例

In faced with the internal and external environment stress, the environmental management action of enterprises gradually shifted from being forced to taking environmental responsibility voluntarily. Pollution control is not an isolated action by a single operator, but a penetration into all the phases of product life cycle, then to become an important driving force of environmental management by transferring the environment protection demands and pressures though value chains..Based on the analysis of the former empirical research conclusions and characteristics, this topic is mainly to do three issues from the perspective of enterprise competence and value chain management theory: firstly, we will contrast and analyze the different influences to the Chinese enterprise ISO14001 certification by embedding different value chain models. Secondly, using the endogenous switching regression model, we will test the impact of enterprise ISO14001 certification on the efficiency of energy use and the pollution emission respectively, then, we are also to analyze the regulation effect of enterprise management innovation and technology capability by using the mediating effect model. At last, combined with the field survey data, we can resolve the strategic behavior and the later environment performance of enterprise ISO14001 certification by using the case analysis method. This research is not only in favor of our deeper understanding for the mechanism of action of the market means to Chinese enterprise environment management conduction, but also provides a more solid micro foundation for the formulation of economic incentive environment policies in the future.

面对内外部环保压力，企业环境管理行为逐渐从被动采纳向主动自愿承担责任转变。但企业污染治理并非单个企业的孤立行为，而是渗透到产品生命周期的各个阶段，通过价值链传递的环境保护诉求和压力成为企业进行环境管理的重要驱动力。.在使用Meta-analysis方法对已有实证研究结论和特征进行总结的基础上，本课题从企业能力和价值链治理理论出发，首先对比分析嵌入不同价值链模式对中国企业ISO14001认证的驱动作用；然后利用内生转换模型，分别检验企业ISO14001认证对能源利用效率和污染排放的影响，并运用中介效应模型分析企业管理创新和技术能力在其中的调节作用；最后结合实地调研数据，采用案例分析法解析企业ISO14001认证的策略性行为及其后的环境绩效。本课题研究不仅有利于深入理解市场化手段对中国企业环境管理行为的作用机制，也为未来经济激励型环境规制政策的制定提供了更加坚实的微观基础。

企业是污染物的主要排放者，也污染治理主要承担者，因此企业的环境管理行为将直接影响到宏观环境治理的成效。在不同的条件下，由于企业拥有的资源基础不同，将导致企业的环境行为具有异质性。本项目对企业自愿性环境行为及其环境绩效进行了实证分析。为此，本项目探讨了环境规制在实施中受到政府层级的调节影响，论证了环境联邦主义理论在实践中的制约条件；并进一步使用产业层面和企业层面数据，采用比较外生的环境规制测度方法，分别检验了政府环境规制对出口及企业创新绩效的影响，剖析了产业与企业在严格环境规制情况下如何做出反应，证实了“波特假说”在宏观及微观层面的存在性。通过对企业占有的资源基础条件的分析，探索了新技术应用对企业环境绩效的影响，以及宏观金融条件对企业成长的影响，这有助于识别异质性条件在企业环境管理行为中所起的作用。项目研究成果不仅能从宏观层面洞察环境规制的效果，而且还在微观层面有助于检验环境规制对企业环境管理的作用及机制，推动了相关学科发展。