市场型和命令型政策工具的节能减排技术创新效应--基于中国工业行业专利数据的实证

The Effect of Market-Oriented and Command-and-Control Policy Tools on Emissions Reduction Innovation——An Empirical Analysis Based on China's Industrial Patents Data

进入"十三五"时期,中国迫切需要走出一条经济发展和节能减排"双赢"的道路,创新是关键驱动力。那么,不同的节能减排政策工具,如市场型和命令型工具是否能有效促进节能减排技术创新?为此,本文构建了中国工业行业节能减排专利、能源价格指数和政策执行措施的面板数据进行实证检验。结果发现:1市场型工具的效果存在外溢性,而命令型工具则更针对节能减排技术创新,并对创新程度更高的发明专利效应更强。2政策工具向行业的有效传导是诱发技术创新的前提,因此,市场型工具在电力行业的作用受到限制,而命令型工具在国有化程度高的行业效果更强。3在高耗能行业和成本难以转嫁的行业,更容易诱发技术创新。当然,两种政策工具的效果还存在行业异质性:对于电力、石化等国有化程度高的上游行业,命令型工具更为有效,而对于钢铁、有色金属等产能过剩行业,市场型工具效果更明显。因此,在当前经济增速换档、企业成本转嫁能力减弱的背景下,市场型工具有助于实现"去产能"和工业生产方式绿色升级的"双赢",而命令型工具对国有化程度高的行业依然有显著为正的短期效应,应在行业间充分发挥政策组合的互补和协同作用。

Stepped into the 13th Five Year Period, China urgently requires a win-win path of economic growth and emissions reduction. Innovation is the key driving force. Could the market-oriented or command-and- control （CAC） policy tools induce such innovation effectively under China＇s energy saving and emissions reduction （ESEC） policy scheme？ To answer the question, we construct a dataset of ESEC patents, energy price index and related policy enforcement measures for China＇s industrial sectors and make an empirical analysis. Our results show that, firstly, market-oriented tools＇ inducement effect can spillover to other classifications of innovation activities while CAC is more specific, and will exert stronger inducement effect in invention patents which embodied higher level innovation activities. Secondly, the transmission of policy tools to industrial sectors is the premise for the effectiveness of policies. Therefore, the effect of the market-oriented tools on power sector is limited. For CAC policies, state-owned enterprises （SOEs） are the key for successful enforcement. Thirdly, the ESEC policies can exerts stronger cost pressure in sectors with higher energy consumption and lower cost pass-through rate. Nevertheless, the inducement effect still varies among sectors. CAC policies are more effective for power, petrochemical and chemical sectors, while the market-oriented tools are more suitable for steel and non-ferrous metals, which are also experiencing severe excess capacity. The economic growth is currently changing pace and firms＇ cost pass- through ability is weakening. In such condition, market-oriented tools are concurrently beneficial for capacity reduction and clean transition of industrial production. Besides, the CAC policies will still have positive inducement effect in sectors with high proportion of SOEs in the short-run. Therefore, it is necessary to exert the complementary and synergistic effects of the policy combination.