中文摘要：

本文以降低污染物排放量为投资动力，将技术溢出水平、单位排污费用、环境损害系数等因素一起纳入分析框架，构建政府和企业间“补贴一研发一生产”的三阶段动态博弈模型，探讨研发竞争、研发卡特尔和RJV卡特尔等不同竞合模式下，企业生态技术创新研发投入和政府最优补贴政策，并结合数值模拟方法，对比分析各因素的影响。研究结果显示：研发补贴有利于提高企业生态技术创新的积极性，不会产生“排挤效应”，并且最优补贴能够促使生态技术创新实现经济绩效和社会绩效双赢：最优补贴政策下，技术溢出与最优研发投入、产量、利润和社会福利正向相关；单位排污费用与企业最优研发投入和产量之间呈现先下降后上升的“U”型动态特征；环境损害系数一旦超过临界值，企业将面临停产的危险。因此，政府应根据不同竞合模式，制定差异化最优补贴政策、积极鼓励技术溢出、加大环境规制强度并实施排污权有偿使用与交易制度、建立信息甄别机制，努力形成“政府主导，市场推进，企业参与”的减排机制，促使企业生态技术创新实现经济绩效和社会绩效“双重帕累托改进”。

英文摘要：

With the goal of emission reduction, by taking technology spillover, unit pollution charge, and environmental damage coefficient into consideration, this paper constructs a three-stage dynamic game model between the government and enterprise. Furthermore, we discuss the enterprise＇s R＆D investment and the government optimal subsidy policy under different co-competition modes, such as R＆D competition, R＆D cartelization, RJV cartelization and so on. Meanwhile, combining with numerical method, we analysis the effect of each factor. The study result has shown that the R＆D subsidy is beneficial to improving enterprise＇s initiatives for eco-technology innovation and will not result in crowding-out effect. Especially, the optimal subsidy makes eco- technology innovation to present a win-win situation for economic performance and social performance. With the optimal subsidy policy, technology spillover, unit pollution charge, and environmental damage coefficient have their own different impacts on enterprise＇s optimal R＆D investment. Technology spillover has significant positive influence on R＆D investment, output, profit and social welfare. Also, this paper demonstrates a significant U-shaped relationship between unit pollution charge and R＆D investment and output. Whereas, once environmental damage coefficient exceeds critical value, the enterprise will face stopping manufacturing and even going bankrupt. As a result, in order to make efforts to form an emission reduction mechanism with ＂government-oriented, market- driven, enterprise-participation＂, and achieve the ＂double pareto improvement＂ of economic performance and social performance, the government should take the following measures： reasonably determining the optimal subsidy, actively encouraging technology spillover, modestly strengthening environmental regulation, implementing emissions trading system, and establishing information screening mechanism.