生態創新是實現節能減排的有效載體和基本路徑。2017年末我國啟動全國性碳市場,在此背景下,深入研究企業生態創新決策優化問題具有重要的理論和現實意義。本文在區分生態過程創新和末端治理的基礎上,建立了企業生態過程創新研發策略(獨立研發策略和合作研發策略)與政府碳交易制度的三階段博弈模型,運用逆向求解法得出各階段均衡解,比較不同研發策略下企業生態過程創新水平、末端治理、政府最優碳排放基準和社會福利。結果表明:合作研發策略優于獨立研發策略。通過湖北省電力行業的數據進行仿真實驗,進一步發現,政府減少碳排放基準會降低企業生態過程創新水平,增加企業末端治理;研發成本系數與企業生態過程創新水平呈負相關關系;社會最優的技術溢出系數臨界值為0.8。本文研究結論為政府確定科學的碳排放基準和企業制定合理的生態創新研發策略提供啟示。

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.