I 摘要 面对全球碳排放量激增、生态压力上涨，实施“绿色经济”已成为全球共 识，中国对此明确将产业低碳绿色转型列为国家重大发展战略。制造业是国民 经济的支柱产业，其发展直接关系到国家命脉，制造业的“绿色基因”丰富度 对缓解生态压力与支撑国民经济健康可持续发展意义重大。尤其是在欧美发达 国家再工业化和发展中国家低成本承接产业转移的双重挤压下，中国制造业迫 切需要实现从依赖资源、低成本劳动力等要素投入和投资规模为主的驱动向以 绿色创新驱动发展为主的转变。据此，本文以制造业绿色创新效率为视角，在 对其绿色创新效率的内涵、外延及特征进行解析的基础上，重点分析制造业绿 色创新效率的时序变化规律、关键短板要素及驱动机制，并选取化工制造型企 业为案例进行多视角研究，主要包括： （1）现阶段制造业绿色创新发展的总体状况及制造业绿色创新效率相关概 念的解析。通过对当前国内制造业绿色创新发展基础条件进行解析及国际部分 制造强国的绿色创新发展经验政策分析，辨识制造业绿色创新发展的主要瓶颈。 同时，在对制造业绿色创新发展理论基础解析基础上，系统性界定制造业绿色 创新系统及制造业绿色创新效率的内涵和特征。 （2）基于非强制性幅度调整与随机前沿函数构建制造业绿色创新的三阶段 效率测度模型，引入经济水平、公众素质、政府扶持强度作为其环境变量，对 国内30省市2006-2016年制造业绿色创新效率进行实证分析。研究发现制造业 绿色创新效率评估中规制因素及统计噪音对测算结果可产生不同程度的影响， 而全国制造业绿色创新效率在具有持续提高的趋势，并呈“三大梯度”和“都 市联动效应”的状况下，仍存在局部短板要素制约其效率的快速提升。 （3）采用动态面板数据计量模型辨析资源禀赋、环境规制对制造业绿色创 新效率的驱动关系，发现全国层面资源禀赋对制造业绿色创新效率提升起到关 键的正向支撑作用，环境规制对制造业绿色创新效率具有同向的显著性推动效 应。但在长期视角下资源禀赋与制造业绿色创新效率之间作用关系会发生一定 改变，而且两者之间形成倒“U”型变动关系。在主要经济圈制造业绿色发展驱 动检验中，不同经济圈中资源禀赋对制造业绿色创新效率呈差异化影响，其中 摘要 II 长三角、泛珠三角经济圈与全国层面相类似，进一步印证了制造业集聚中“资 源诅咒”的存在性，而京津冀经济圈中资源禀赋对制造业绿色创新的约束形势 已然不容乐观，并存在制造业绿色创新效率与资源约束相悖现象。而长江三角 洲与泛珠江三角洲经济圈的环境规制直接作用虽然为正向效应，但从长期角度 来看两者存在环境规制效应的效应扭转问题。 （4）选取化工企业TMS公司进行制造型企业绿色创新发展的案例解析， 即在对其发展约束环境、生产工艺和管理模式绿色创新分析的基础上，从企业 产品效益、经济效益、安全和环境效益等方面评估其绿色创新成效，进一步印 证了绿色创新对制造型企业发展的关键推进作用，并结合前文的系列研究，提 出了制造业绿色创新效率提升的相关策略。 关键词：制造业转型；绿色创新；效率；驱动要素 Abstract III Abstract The industrial low-carbon and green transformation has been listed as a major national development strategy in China. While Manufacturing is the pillar industry of the national economy, and its development is directly related to the national development level, so the "green genes" of manufacturing to be enriched is very meaningful to alleviate ecological stress and support the healthy and sustainable development of national economy, and then the manufacturing sector urgently needs a transformation from factor input to green innovation in China, especially under the background of European and American developed countries reindustrialization and developing countries low cost to undertake industrial transfer. Therefore, the green innovation efficiency of manufacturing industry was selected as the research perspective, and its timing change rule, key short board elements and driving mechanism were analyzed emphatically, and a chemical manufacturing enterprise was chosen as a case study. Firstly, the overall situation of green innovation in manufacturing industry and the concept of green innovation efficiency in manufacturing industry were described. According to the analysis of basic condition of green innovation development of Chinese manufacturing industry and the policy of green innovation and development of some manufacturing powers, the main bottleneck of green innovation development in Chinese manufacturing industry was excavated. Meanwhile, the manufacturing green innovation system and the connotation and characteristic of green innovation efficiency in manufacturing industry was systematically defined on the basis of theoretical foundation of green innovation development in manufacturing industry. Secondly, the three-stage efficiency measure model of manufacturing green innovation was constructed based on the non-mandatory amplitude adjustment and stochastic frontier function, and the economic level, public quality and government support intensity were used as environmental variables of the model. In turn, the green innovation efficiency of manufacturing industry in the 30 provinces in China Abstract IV was analyzed from 2006 to 2016. Results showed that the regulatory factors and statistical noise could not be ignored, and the green innovation efficiency of manufacturing industry had a trend of continuous improvement and formed the characteristics of "three major gradients" and "urban linkage effect". However, there were still local short board elements which restricted its improvement. Thirdly, the drive relationships of resource endowment, environmental regulation to manufacturing green innovation efficiency were analyzed by the dynamic panel data measurement model. Results showed that the resource endowment played a key positive role in the improvement of the green innovation efficiency of the manufacturing industry, and the environmental regulation had an opposite effect on the manufacturing green innovation efficiency. However, under the long-term perspective, environmental regulation had shifted from negative impact to positive impetus to the green development of manufacturing industry, and it formed the u-shaped relationship. In the green development driving test of the main economic belt manufacturing industry, the resource endowment in different economic belts had different influence on the green innovation efficiency of manufacturing industry, and the Yangtze River Delta showed negative effect, while the Pan-Pearl River Delta and Bohai Economic Belt were both positive effects. In the direct effect of environmental regulation on the green innovation efficiency of manufacturing industry, the Yangtze River Delta and the Pan-Pearl River Delta had negative effects, but the environmental regulation of Bohai Economic Belt was directly positive effect. Fourthly, the chemical enterprise TMS company was selected as the case to research on the green innovation development of manufacturing industry. The environmental constraints on company development, and green innovation in production process and management mode were systematically analyzed, and then product benefits, economic benefits, safety and environmental benefits were assessed to test the effectiveness of green innovation. While this study further confirmed the key role of green innovation in the development of manufacturing enterprises. Finally, the relevant strategies for improving the efficiency were proposed. Key words: manufacturing transformation; green innovation; efficiency; driving factors 目录 V 目录 摘要 ....... I Abstract ............................. III 目 录 .... V 第一章 绪论 ...................... 1 第一节 研究背景 .......... 1 第二节 研究目的及研究意义 ..................... 3 一、研究目的 ... 3 二、研究意义 ... 4 第三节 文献综述及评析 ............................. 5 一、绿色创新 ... 5 二、制造业绿色创新影响要素及其传导机制 ............. 6 三、制造业绿色创新测度方法 ...... 8 四、文献评析 ... 9 第四节 研究内容与研究方法 ..................... 9 一、研究内容 ... 9 二、研究方法 . 10 三、技术路线 . 11 第二章 制造业绿色创新基础概念及其相关理论 ............ 12 第一节 基础概念的界定 ........................... 12 一、绿色经济、绿色制造与绿色创新 ....................... 12 二、制造业绿色创新系统 ............ 14 三、制造业绿色创新效率 ............ 16 目录 VI 第二节 相关理论概述 17 一、创新驱动理论 ........................ 17 二、可持续发展理论 .................... 18 三、工业生态化理论 ..................