Article(id=1213131708921205245, tenantId=1146029695717560320, journalId=1210938733613449225, issueId=1213131702797517129, articleNumber=null, orderNo=null, doi=10.19666/j.rlfd.202309144, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=null, receivedDate=1695571200000, receivedDateStr=2023-09-25, revisedDate=null, revisedDateStr=null, acceptedDate=null, acceptedDateStr=null, onlineDate=1767162738303, onlineDateStr=2025-12-31, pubDate=1708790400000, pubDateStr=2024-02-25, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1767162738303, onlineIssueDateStr=2025-12-31, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1767162738303, creator=13701087609, updateTime=1767162738303, updator=13701087609, issue=Issue{id=1213131702797517129, tenantId=1146029695717560320, journalId=1210938733613449225, year='2024', volume='53', issue='2', pageStart='1', pageEnd='198', issueExtLink='null', onlineDate='null', pubDate='null', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=-1, specialIssue=null, createTime=1767162736844, creator=13701087609, updateTime=1767168616029, updator=13701087609, preIssue=null, nextIssue=null, ext={EN=IssueExt(id=1213156361978954089, tenantId=1146029695717560320, journalId=1210938733613449225, issueId=1213131702797517129, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1213156361978954090, tenantId=1146029695717560320, journalId=1210938733613449225, issueId=1213131702797517129, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null}, startPage=8, endPage=16, ext={EN=ArticleExt(id=1213131709697151522, articleId=1213131708921205245, tenantId=1146029695717560320, journalId=1210938733613449225, language=EN, title=Research on collaborative incentive mechanism for low carbon technology innovation in the power generation industry, columnId=1213131705389597040, journalTitle=Thermal Power Generation, columnName=Technical and economic review, runingTitle=null, highlight=null, articleAbstract=

Clarifying the driving factors for promoting low-carbon technology innovation in the power generation industry, and exploring incentive mechanisms for low-carbon technology innovation in the power generation industry, is of great significance for achieving the unity of economic, environmental, and social performance in the power industry, and ultimately achieving the “dual carbon” goal of the country. This article focuses on the characteristics of technological innovation in the power generation industry, starting from the two stages of low-carbon technological innovation, and based on external driving forces and internal driving forces of enterprises, it proposes 11 incentive factors to construct an internal and external collaborative incentive mechanism for low-carbon technological innovation in the power generation industry. The results show that, with the synergistic effect of the low-carbon technology innovation incentive mechanism in the power generation industry, the innovation research and development level of low-carbon technologies of enterprises can be promoted, and the economic, environmental and social performance of the enterprises can be improved through the transformation of low-carbon technology achievements. Therefore, an organic unity of enterprise development, environmental improvement and social progress is realized ultimately.

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厘清促进发电行业低碳技术创新的驱动因素,探索发电行业低碳技术创新的激励机制,对电力行业实现经济、环境和社会绩效的统一,以及国家最终实现“双碳”目标具有重要意义。针对发电行业技术创新特点,从低碳技术创新的两阶段出发,基于外部驱动力和企业内驱力两大层面,提出11种激励因素,构建了发电行业低碳技术创新的内外部协同激励机制。结果表明,在发电行业低碳技术创新激励机制的协同作用下,能促进企业低碳技术创新研发水平,并最终通过低碳技术成果转化,提高企业的经济绩效、环境绩效和社会绩效,实现企业发展、环境改善和社会进步的有机统一。

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武静云(1988),女,硕士,高级经济师,主要研究方向为能源经济、企业管理,
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汪红(1988),女,硕士,高级经济师,主要研究方向为能源经济、企业管理,

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Statistics & Decision, 2022, 38(18): 176-179., articleTitle=Empirical evaluation of urban business environment in China, refAbstract=null)], funds=[Fund(id=1213131718345805834, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, awardId=2023-35, language=EN, fundingSource=Soft Science Research Project of China Huaneng Group Co., Ltd.(2023-35), fundOrder=null, country=null), Fund(id=1213131718484217876, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, awardId=2023-35, language=CN, fundingSource=中国华能集团有限公司软科学研究计划项目:发电行业低碳技术创新激励机制与支持政策研究(2023-35), fundOrder=null, country=null)], companyList=[AuthorCompany(id=1213131712171790979, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, xref=null, ext=[AuthorCompanyExt(id=1213131712180179589, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, companyId=1213131712171790979, language=EN, country=null, province=null, city=null, postcode=null, companyName=null, departmentName=null, remark=Xi’an Thermal Power Research Institute Co, Ltd, Xi’an 710054, China), AuthorCompanyExt(id=1213131712188568199, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, companyId=1213131712171790979, language=CN, country=null, province=null, city=null, postcode=null, companyName=null, departmentName=null, remark=西安热工研究院有限公司,陕西 西安 710054)])], figs=[ArticleFig(id=1213131717070738339, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=EN, label=Fig.1, caption=Internal and external collaborative incentive mechanism for low carbon technology innovation in the power generation industry, figureFileSmall=7dAkfu9wCrDsNCestOLi2Q==, figureFileBig=yWeYcXY7f7s4FYaSWjtPIQ==, tableContent=null), ArticleFig(id=1213131717154624424, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=CN, label=图1, caption=发电行业低碳技术创新的内外部协同激励机制, figureFileSmall=7dAkfu9wCrDsNCestOLi2Q==, figureFileBig=yWeYcXY7f7s4FYaSWjtPIQ==, tableContent=null), ArticleFig(id=1213131717360145336, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=EN, label=Tab.1, caption=

Variables definitions and measurement methods

, figureFileSmall=null, figureFileBig=null, tableContent=
变量类型层面驱动因素变量名称变量符号计量方式
被解释变量低碳技术创新Inno企业绿色专利申请量
解释变量外部激励外部驱动力政府影响力Gov企业获得的政府补助与总资产的比值
政策引导力Tec《国家重点推广的低碳技术目录》中低碳发电技术个数与企业研发投入相乘
Carb以首批纳入碳排放权交易市场的控排企业作为虚拟变量
市场竞争力Stru上一年度发电行业内最大的前十家企业的营业收入占全行业营业收入的比例
需求拉动力Dem全国电力消费总量
环境影响力Busi城市营商环境指数
内部
激励
企业内驱力研发激励R&D企业研发投入金额与营业收入的比值
股权激励MHS企业高级管理人员持股比例
数字化转型激励Dige企业数字化转型指数
资源配置激励Fin企业金融资产占总资产的比例
融资约束激励SA企业融资约束SA指数
社会声誉激励Repu华证环境、社会和公司治理(ESG)评分
控制变量企业规模Size企业总资产取对数
企业年龄Lnage当年与企业上市时间相减取对数
托宾QTobin企业托宾Q
负债水平Banklev企业银行借款与总资产的比值
盈利能力Roe企业净资产收益率
资本密集度Density企业总资产与营业收入的比值
), ArticleFig(id=1213131717460808638, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=CN, label=表1, caption=

变量定义与计量方式

, figureFileSmall=null, figureFileBig=null, tableContent=
变量类型层面驱动因素变量名称变量符号计量方式
被解释变量低碳技术创新Inno企业绿色专利申请量
解释变量外部激励外部驱动力政府影响力Gov企业获得的政府补助与总资产的比值
政策引导力Tec《国家重点推广的低碳技术目录》中低碳发电技术个数与企业研发投入相乘
Carb以首批纳入碳排放权交易市场的控排企业作为虚拟变量
市场竞争力Stru上一年度发电行业内最大的前十家企业的营业收入占全行业营业收入的比例
需求拉动力Dem全国电力消费总量
环境影响力Busi城市营商环境指数
内部
激励
企业内驱力研发激励R&D企业研发投入金额与营业收入的比值
股权激励MHS企业高级管理人员持股比例
数字化转型激励Dige企业数字化转型指数
资源配置激励Fin企业金融资产占总资产的比例
融资约束激励SA企业融资约束SA指数
社会声誉激励Repu华证环境、社会和公司治理(ESG)评分
控制变量企业规模Size企业总资产取对数
企业年龄Lnage当年与企业上市时间相减取对数
托宾QTobin企业托宾Q
负债水平Banklev企业银行借款与总资产的比值
盈利能力Roe企业净资产收益率
资本密集度Density企业总资产与营业收入的比值
), ArticleFig(id=1213131717599220682, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=EN, label=Tab.2, caption=

Regression results of external incentive mechanisms for low-carbon technology innovation in the power generation industry

, figureFileSmall=null, figureFileBig=null, tableContent=
变量(1)(2)(3)(4)(5)
Gov22.72**(10.520)
Tec1.003***(0.241)
Carb0.389(1.302)
Stru–37.190**(17.952)
Dem0.001**(0.001)
Busi
Size3.643***(0.454)2.172***(0.390)3.158***(0.403)3.580***(0.443)2.937***(0.400)
Lnage−2.806***(0.862)−2.141**(0.851)−2.694***(0.798)−4.767***(1.364)−3.433***(0.988)
Tobin1.571***(0.334)1.287***(0.463)0.417***(0.127)0.464***(0.131)0.383***(0.116)
Banklev−4.983***(1.716)−1.452(2.222)−4.408***(1.602)−4.094**(1.767)−3.223**(1.453)
Roe−0.539*(0.315)0.144(0.363)0.159(0.232)0.239(0.252)0.194(0.245)
Density−0.198***(0.069)−0.159**(0.078)−0.166***(0.061)−0.118(0.073)−0.093(0.065)
常量c−74.450***(9.593)−53.43***(9.255)−62.09***(8.266)−35.210*(18.134)−61.386***8.961)
地区效应控制控制控制控制控制
时间效应控制控制控制控制控制
观测值912742958869881
R20.414 50.484 50.404 60.434 90.397 6
), ArticleFig(id=1213131717729244116, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=CN, label=表2, caption=

发电行业低碳技术创新的外部激励机制回归结果

, figureFileSmall=null, figureFileBig=null, tableContent=
变量(1)(2)(3)(4)(5)
Gov22.72**(10.520)
Tec1.003***(0.241)
Carb0.389(1.302)
Stru–37.190**(17.952)
Dem0.001**(0.001)
Busi
Size3.643***(0.454)2.172***(0.390)3.158***(0.403)3.580***(0.443)2.937***(0.400)
Lnage−2.806***(0.862)−2.141**(0.851)−2.694***(0.798)−4.767***(1.364)−3.433***(0.988)
Tobin1.571***(0.334)1.287***(0.463)0.417***(0.127)0.464***(0.131)0.383***(0.116)
Banklev−4.983***(1.716)−1.452(2.222)−4.408***(1.602)−4.094**(1.767)−3.223**(1.453)
Roe−0.539*(0.315)0.144(0.363)0.159(0.232)0.239(0.252)0.194(0.245)
Density−0.198***(0.069)−0.159**(0.078)−0.166***(0.061)−0.118(0.073)−0.093(0.065)
常量c−74.450***(9.593)−53.43***(9.255)−62.09***(8.266)−35.210*(18.134)−61.386***8.961)
地区效应控制控制控制控制控制
时间效应控制控制控制控制控制
观测值912742958869881
R20.414 50.484 50.404 60.434 90.397 6
), ArticleFig(id=1213131717863461856, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=EN, label=Tab.3, caption=

Regression results of internal incentive mechanisms for low-carbon technology innovation in the power generation industry

, figureFileSmall=null, figureFileBig=null, tableContent=
变量(1)(2)(3)(4)(5)(6)
R&D1.192**(0.578)
MHS12.307**(5.671)
Dige0.142*(0.080)
Fin−6.245*(3.324)
SA−15.678***(4.601)
Repu0.079*(0.046)
Size4.961***(0.872)3.411***(0.431)3.451***(0.433)2.388***(0.625)1.766***(0.425)3.137***(0.400)
Lnage−2.870**(1.330)−2.801**(1.134)−2.798***(0.933)−1.952**(0.828)−0.181(0.721)−2.950***(0.878)
Tobin2.110**(0.977)0.449***(0.137)0.442***(0.125)0.309***(0.104)0.058(0.088)0.441***(0.135)
Banklev−5.113(4.964)−4.224**(1.640)−3.935**(1.882)−4.630**(1.882)−1.184(1.928)−3.917**(1.680)
Roe−0.453(0.683)0.186(0.246)0.170(0.264)0.194(0.179)0.081(0.108)0.157(0.265)
Density−0.348**(0.138)−0.155**(0.071)−0.145*(0.076)0.138(0.125)−0.184***(0.061)−0.178***(0.068)
常量c−106.471***(19.554)−67.785***(8.689)−72.968***(9.742)−47.632***(13.345)22.828(23.747)−66.765***(8.476)
地区效应控制控制控制控制控制控制
时间效应控制控制控制控制控制控制
观测值380893808316958942
R20.484 70.411 10.425 10.583 70.454 80.411 6
), ArticleFig(id=1213131717993485288, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=CN, label=表3, caption=

发电行业低碳技术创新的内部激励机制回归结果

, figureFileSmall=null, figureFileBig=null, tableContent=
变量(1)(2)(3)(4)(5)(6)
R&D1.192**(0.578)
MHS12.307**(5.671)
Dige0.142*(0.080)
Fin−6.245*(3.324)
SA−15.678***(4.601)
Repu0.079*(0.046)
Size4.961***(0.872)3.411***(0.431)3.451***(0.433)2.388***(0.625)1.766***(0.425)3.137***(0.400)
Lnage−2.870**(1.330)−2.801**(1.134)−2.798***(0.933)−1.952**(0.828)−0.181(0.721)−2.950***(0.878)
Tobin2.110**(0.977)0.449***(0.137)0.442***(0.125)0.309***(0.104)0.058(0.088)0.441***(0.135)
Banklev−5.113(4.964)−4.224**(1.640)−3.935**(1.882)−4.630**(1.882)−1.184(1.928)−3.917**(1.680)
Roe−0.453(0.683)0.186(0.246)0.170(0.264)0.194(0.179)0.081(0.108)0.157(0.265)
Density−0.348**(0.138)−0.155**(0.071)−0.145*(0.076)0.138(0.125)−0.184***(0.061)−0.178***(0.068)
常量c−106.471***(19.554)−67.785***(8.689)−72.968***(9.742)−47.632***(13.345)22.828(23.747)−66.765***(8.476)
地区效应控制控制控制控制控制控制
时间效应控制控制控制控制控制控制
观测值380893808316958942
R20.484 70.411 10.425 10.583 70.454 80.411 6
), ArticleFig(id=1213131718127703027, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=EN, label=Tab.4, caption=

Regression results of low-carbon technology achievements transformation in the power generation industry

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变量经济绩效环境绩效
L1.Inno0.005*(0.003)
L3.Inno−0.005**(0.002)
Size1.127***(0.038)0.986***(0.016)
Lnage−0.011(0.056)−0.126**(0.053)
Tobin−0.008(0.008)−0.014**(0.005)
Banklev−2.177***(0.276)−0.373***(0.120)
Roe8.016***(2.334)−0.037***(0.010)
Density−0.007(0.010)−0.140***(0.019)
常量c−6.475***(0.717)−8.564***(0.412)
地区效应控制控制
时间效应控制控制
观测值719616
R20.855 60.963 8
), ArticleFig(id=1213131718224172029, tenantId=1146029695717560320, journalId=1210938733613449225, articleId=1213131708921205245, language=CN, label=表4, caption=

发电行业低碳技术成果转化回归结果

, figureFileSmall=null, figureFileBig=null, tableContent=
变量经济绩效环境绩效
L1.Inno0.005*(0.003)
L3.Inno−0.005**(0.002)
Size1.127***(0.038)0.986***(0.016)
Lnage−0.011(0.056)−0.126**(0.053)
Tobin−0.008(0.008)−0.014**(0.005)
Banklev−2.177***(0.276)−0.373***(0.120)
Roe8.016***(2.334)−0.037***(0.010)
Density−0.007(0.010)−0.140***(0.019)
常量c−6.475***(0.717)−8.564***(0.412)
地区效应控制控制
时间效应控制控制
观测值719616
R20.855 60.963 8
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发电行业低碳技术创新协同激励机制研究
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汪红 , 牟君禾 , 武静云 , 苏连超 , 陈辰 , 何燕 , 王玥琪
热力发电 | 技术经济综述 2024,53(2): 8-16
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热力发电 | 技术经济综述 2024, 53(2): 8-16
发电行业低碳技术创新协同激励机制研究
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汪红 , 牟君禾, 武静云 , 苏连超, 陈辰, 何燕, 王玥琪
作者信息
  • 西安热工研究院有限公司,陕西 西安 710054
  • 汪红(1988),女,硕士,高级经济师,主要研究方向为能源经济、企业管理,

通讯作者:

武静云(1988),女,硕士,高级经济师,主要研究方向为能源经济、企业管理,
Research on collaborative incentive mechanism for low carbon technology innovation in the power generation industry
Hong WANG , Junhe MU, Jingyun WU , Lianchao SU, Chen CHEN, Yan HE, Yueqi WANG
Affiliations
  • Xi’an Thermal Power Research Institute Co, Ltd, Xi’an 710054, China
出版时间: 2024-02-25 doi: 10.19666/j.rlfd.202309144
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厘清促进发电行业低碳技术创新的驱动因素,探索发电行业低碳技术创新的激励机制,对电力行业实现经济、环境和社会绩效的统一,以及国家最终实现“双碳”目标具有重要意义。针对发电行业技术创新特点,从低碳技术创新的两阶段出发,基于外部驱动力和企业内驱力两大层面,提出11种激励因素,构建了发电行业低碳技术创新的内外部协同激励机制。结果表明,在发电行业低碳技术创新激励机制的协同作用下,能促进企业低碳技术创新研发水平,并最终通过低碳技术成果转化,提高企业的经济绩效、环境绩效和社会绩效,实现企业发展、环境改善和社会进步的有机统一。

发电行业  /  低碳技术  /  内外驱动力  /  技术创新

Clarifying the driving factors for promoting low-carbon technology innovation in the power generation industry, and exploring incentive mechanisms for low-carbon technology innovation in the power generation industry, is of great significance for achieving the unity of economic, environmental, and social performance in the power industry, and ultimately achieving the “dual carbon” goal of the country. This article focuses on the characteristics of technological innovation in the power generation industry, starting from the two stages of low-carbon technological innovation, and based on external driving forces and internal driving forces of enterprises, it proposes 11 incentive factors to construct an internal and external collaborative incentive mechanism for low-carbon technological innovation in the power generation industry. The results show that, with the synergistic effect of the low-carbon technology innovation incentive mechanism in the power generation industry, the innovation research and development level of low-carbon technologies of enterprises can be promoted, and the economic, environmental and social performance of the enterprises can be improved through the transformation of low-carbon technology achievements. Therefore, an organic unity of enterprise development, environmental improvement and social progress is realized ultimately.

power generation industry  /  low carbon technology  /  internal and external driving forces  /  technological innovation incentive mechanism
汪红, 牟君禾, 武静云, 苏连超, 陈辰, 何燕, 王玥琪. 发电行业低碳技术创新协同激励机制研究. 热力发电, 2024 , 53 (2) : 8 -16 . DOI: 10.19666/j.rlfd.202309144
Hong WANG, Junhe MU, Jingyun WU, Lianchao SU, Chen CHEN, Yan HE, Yueqi WANG. Research on collaborative incentive mechanism for low carbon technology innovation in the power generation industry[J]. Thermal Power Generation, 2024 , 53 (2) : 8 -16 . DOI: 10.19666/j.rlfd.202309144
根据中国碳核算数据库(CEADs)数据,2022年我国碳排放量累计110亿t,约占全球碳排放量的28.87%;其中电力行业累计碳排放量51亿t,在各行业中占比最大,达到46.37%。在我国,电力产业是关乎国民经济命脉的支柱型产业;发电行业又是其中的关键源头和重要环节,其技术水平的高低直接影响后续电力系统的发展趋势。党的十八大以来,我国积极贯彻新发展理念,强调创新驱动的绿色发展战略。党的二十大进一步确认绿色化和低碳化是实现高质量发展的关键环节,并要求推动能源结构调整优化,发展绿色低碳产业。国家发改委发布的《关于做好可再生能源发展“十四五”规划编制工作有关事项的通知》明确了实现2030年非化石能源消费占比20%的战略目标。这不仅对我国清洁能源发电技术创新应用提出了重大挑战,也意味着未来需要构建完备的低碳技术创新支持政策。
推动低碳技术创新是实现我国“双碳”目标的重要条件,近年来随着企业创新主体地位不断强化,国家实行“揭榜挂帅”“赛马”等激励制度后,我国低碳技术创新水平得到了有效提升。在2023年5月新一批“科改企业”名单中,我国五大发电集团全部入选,这充分体现国家对发电行业提升自主科技创新能力的重视。在此背景下,我国低碳技术创新进展明显。根据国家知识产权局最新数据显示,近7年来中国专利权人获得全球绿色低碳技术发明专利授权量累计达17.8万件,占全球比例31.9%,年均增速达12.5%,明显高于全球2.5%的整体水平[1]。在我国用电总需求持续攀升、发电行业减碳降碳的背景下,必须降低煤炭发电的比例或提高煤电能源利用效率,这就需要实施清洁能源替代,增加可再生能源装机、发电和消费比重。未来,发电行业的发展趋势将是实现“多能互补”,推动煤炭和新能源优化组合,进而建立以可再生能源为主体的低碳绿色发电体系。在这一过程中,低碳技术研发和存量技术改造的激励工作是重中之重。
在国际上,发达国家较早开始针对能源转型和低碳技术制定激励支持政策。欧盟早在1973年便公布第1个《环境行动计划》,要求进行能源转型;此后陆续出台4项能源政策,鼓励发电行业开发利用低碳能源。近年来,欧盟先后发布《欧盟2050战略性长期愿景》和《欧盟适应气候变化战略》,从宏微观层面辅以能源财税政策、碳排放交易额调控、新兴低碳技术投资计划等促进企业新能源和碳减排项目的开发应用。美国从2006年开始发布《气候变化技术项目(CCTP)战略计划》支持开发低碳发电技术、碳处理技术和清洁能源开发项目;采取需求拉动的方式,通过税收和消费抵免、政府采购、技术授权、完善知识产权保护等方式增加企业创新后的实际收益。日本于1994年发布了第1个《环境基本计划》。2016年,日本要求发电企业提供44%以上的几乎不排放温室气体的清洁电量。2020年,日本政府颁布《革新环境技术创新战略》,主要涉及技术创新行动计划和研发投资促进计划,实施“补贴为主、减税为辅”的财税政策,旨在未来以非化石能源技术创新为核心构建零碳电力供给体系和以碳捕集、利用与封存(CCUS)技术创新为支柱构建碳循环再利用体系。
在国内,我国早在2005年2月就颁布《中华人民共和国可再生能源法》,将可再生能源的开发利用列为能源发展的优先领域,明确支持可再生能源领域的低碳技术创新工作,并对相关科技创新主体实施经济激励。2006年国务院发布的《国家中长期科学和技术发展规划纲要》(以下简称《纲要》)将能源列为重点科技创新领域,确定清洁能源技术创新为优先主题,并提出进行科技体制改革,从国家计划、财政税收、科研平台、国际合作、人才培养等方面推出一揽子支持政策,促使企业成为技术创新主体,推动发电行业开展低碳技术创新工作。2007年6月,科技部联合国家发改委等14个部门发布《中国应对气候变化科技专项行动》,作为落实上述《纲要》的配套性政策文件,对发电行业的可再生能源和新能源技术、煤的清洁高效开发利用技术、CCUS技术等低碳技术做出创新规划,为企业和科研机构开展低碳技术创新工作提供方向指导。此后,国家发改委相继制定4批《国家重点推广的低碳技术目录》,进一步引导低碳技术发展并加大市场化推广应用力度。目前,最新一批低碳技术目录中涉及发电行业的技术共9个,占比达到27%。在支持低碳发电项目的鼓励性政策上,财政部2020年出台的《关于促进非水可再生能源发电健康发展的若干意见》提到“以收定支”的新能源项目预计新增补贴资金额度为50亿元,可用于支持新增风电、光伏发电、生物质发电项目。
党的二十大强调要完善科技创新体系,深入推进能源革命,加快规划建设新型能源体系。在低碳技术创新上,中央财经委员会第9次会议强调,要解决好推进绿色低碳发展的科技支撑不足问题,加强CCUS技术、零碳工业流程再造技术等科技攻关,支持绿色低碳技术创新成果转化。进入“十四五”时期后,国家以《“十四五”现代能源体系规划》为总蓝图,同步推出《“十四五”能源领域科技创新规划》,将可再生能源低碳发电技术创新作为重点任务,按照“集中攻关”“示范试验”和“推广应用”3个阶段的时间表,提出八大低碳技术创新激励措施,对发电行业大型国有企业的创新工作均有实际政策价值。
低碳技术是能够降低或消除温室气体排放的技术总和,也被称为清洁能源技术,在实践上主要是通过提高能效来减少对能源的需求量,同时减少对传统化石燃料依赖的技术[2]。在发电领域,低碳技术按照3个生产流程可以分为4种类型:源头减排的化石能源低碳开采技术;过程减排中包含2类低碳技术,分别是提高燃煤能效的减碳发电技术和使用可再生能源的零碳发电技术;末端减排的CCUS技术。这4类低碳技术覆盖了电力生产全流程,是未来发电领域实现“双碳”目标的重要技术创新方向。
激励,是指激发人的动机,并引导人的行为实现预定目标的过程[3]。在经济学分析框架下,企业在低碳技术创新中会面临生产活动的双重外部性问题[4],这阻碍了企业进行低碳技术创新的动机形成,需要挖掘激励企业进行低碳技术创新的驱动因素,并发挥驱动因素的激励作用,系统性构建企业低碳技术创新的激励机制理论,助力企业低碳技术发展。
按照激励主体不同,本文将影响企业低碳技术创新的激励因素划分为外部激励因素和内部激励因素2个层面。2个层面的激励因素分别形成了外部驱动力和企业内驱力,共同构成了企业低碳技术创新的协同激励机制。
发电企业作为创新主体,其低碳创新行为不仅来源于企业自身,也会受到外部环境的影响。外部驱动力是诱导发电企业实施低碳技术创新的外部动力,具体包括政府影响力、政策引导力、市场竞争力、需求拉动力和环境影响力。
在社会主义市场经济中,核心问题是处理好政府和市场的关系,使市场在资源配置中起决定性作用,更好发挥政府作用。在企业低碳技术创新过程中,由于双重外部性问题导致的市场失灵,需要发挥政府干预和引导的作用。政府主要通过产业政策、科技政策以及配套的财政税收政策等,主导企业低碳技术创新的方向和强度。由于我国发电行业基本由国有资本垄断经营,政府在我国发电行业低碳技术创新上的影响力将更大。
政策包括国家政策和行业政策2类。国家和行业通过出台引导性和规制性政策激励发电企业低碳技术创新,包括产业发展规划和科技创新政策等。例如国家层面共出台4批《国家重点推广的低碳技术目录》,公开征集具有推广应用价值的低碳技术,并通过财政投资的方式在在全社会进行推广应用,这激励了企业对低碳技术的采纳力度。此外,国家也通过出台行动计划的方式,以行政性手段安排重点发电企业开展低碳技术研发工作。
企业低碳技术创新的目标是追求利润最大化,最终成果需要依靠市场实现,即将企业的低碳技术优势转化为产品和服务的市场竞争优势。因此,发电企业低碳技术创新的激励因素包括外部市场环境,即发电行业的市场化程度和市场结构[5]。公平充分的行业竞争结构有利于激发企业低碳技术创新,通过技术创新形成企业新的竞争优势。
有效的市场需求是技术创新的动力之一,也是技术创新活动的出发点[6]。随着我国经济进入新发展阶段,能源需求随着经济同步扩张,电力能源缺口日益凸显。在发电行业,国家和市场对低碳清洁电力的需求有助于倒逼企业采取低污染、低能耗的低碳技术,通过需求拉动供给侧发电结构的改变,形成对企业低碳技术创新的有效激励。
企业所面临的外部环境会对企业行为产生影响,营商环境是企业经营面临的较大外部因素。营商环境是指市场主体在经营全过程中涉及的政务环境、市场环境、法治环境、人文环境等有关外部因素和条件的总和。现有研究表明,营商环境是企业研发决策行为的重要决定因素[7],同时也决定了企业的研发强度[8]。发电企业往往和公用事业单位存在交集,良好的外部营商环境可以通过优化外部服务,降低制度性交易成本的方式,激励企业将更多的资源配置到低碳技术创新活动中,形成有效的创新产出。
企业是我国科技创新的主体,企业内部激励往往是提升低碳技术创新能力的直接可控的有效手段。从管理学角度看,激励是企业管理的核心,因为企业管理的目标是充分利用所拥有的资源,高效率地实现企业发展目标,这其中就包含科技创新目标。“双碳”目标为能源企业带来历史性发展机遇,也催生着能源技术的革新与重构。因此,有必要探索影响发电企业低碳技术创新的内部激励因素,构建提升企业内驱力的内部激励机制。
企业的研发资金、研发人员的投入力度,直接关系着企业低碳技术创新的水平。研发强度越大,往往意味着更高的技术成果产出。同时研发过程中产生的新技术思路和预期的经济价值,也会诱发企业家组织技术创新活动,并将技术创新成果投入商业化运营[5]。在发电行业中,电力产品较为单一且不具备差异性,难以通过利益驱动的方式实现技术进步,技术创新往往依靠供给端的自发动力,因此发电企业需要重视低碳技术的研究开发和技术储备工作,通过不断提高企业自身的研发强度的方式,激励低碳发电技术水平提升。
企业管理人员和员工是企业内部重要组成部分,也是企业发展的最直接的利益相关者,企业的低碳技术创新方向需要由管理人员决策制定,并由内部科研人员和基层员工在实践中执行。因此,对企业管理者及其内部人员实施包括资金在内的激励措施必不可少,人的因素才能在低碳技术创新中被充分发挥。通过员工持股、技术入股等股权安排将企业内部人员的利益与企业创新收益相联结的股权激励,是促进企业进行低碳技术创新活动的重要手段。
在数字经济时代,数字化转型已经成为企业高质量发展的重要路径[9]。国家也提出要促进数字技术与实体经济深度融合,赋能传统产业转型升级。已有研究表明数字化转型可以优化创新技术资源,驱动企业实现技术创新[10],也可以加快企业数字新技术的应用,通过智能化技术和大数据管理的方式加快企业的技术改进与创新能力[11]。目前,国内五大发电集团都将企业数字化转型和数字化电力技术作为科技创新的方向。针对发电行业的用能峰谷特征,发电技术智能化有助于提高能源利用效率,在生产过程中通过智能化技术实现节能减排,提升低碳技术创新能力和转化能力。
目前,大型国有企业为追逐高额利润,存在过度配置金融资产的趋势,这是企业金融化的重要表现。企业金融化会导致企业的大量资产资源从流动性弱、变现期长的固定资产转移至高回报率和变现期短的虚拟产业[12],从而忽视企业主营业务的资源投入。拥有强烈套利动机的企业在其研发创新中表现出消极的投资意愿,其配置金融资产的占比会对企业创新活动产生明显的排挤作用[13],从而存在抑制企业低碳技术创新的可能性。因此,需要重视发电企业低碳技术创新中的资源配置激励,通过降低企业金融化程度的方式,缓解资源配置扭曲程度,促进更多企业资源流向激励低碳技术创新的用途。
由于研发创新活动具有长周期、高风险和不可逆的特征,企业在进行创新活动时容易面临较强的融资约束[14]。发电企业低碳技术研发需要依靠资金驱动,为企业低碳技术创新活动提供融资便利和稳定充足的资金来源,缓解企业面临的融资约束难题,能对技术创新产生正向激励效应。
企业的社会声誉可以帮助企业获得声誉收益,良好的声誉能帮助企业稳健经营和培养竞争优势[15]。在当前倡导创新驱动低碳发展的背景下,企业的绿色绩效是其社会声誉的重要组成部分,企业为获得绿色社会声誉从而得到市场投资和关注,会在社会舆论的压力下开展低碳技术创新,从而形成企业社会声誉对低碳技术创新的正向激励作用。
通过理论分析,本文提出了发电行业低碳技术创新的内外部协同激励机制,如图1所示。
本节将在前文理论分析基础上,进一步对前文提出的发电行业低碳技术创新的内外部协同激励机制进行实证分析。
本文实证分析部分所用数据,选取2009—2021年全国A股88家发电行业上市公司的面板数据。公司层面的数据均来源于中国经济金融研究数据库(CSMAR)。
本文首先构建双向固定效应多元回归模型,分别衡量内外部不同激励因素对企业低碳技术创新的影响。具体方程如下:
Innoit=c+βMotivatorit+jαjXit+             γi+μt+εit
式中:i代表企业;t代表年份;被解释变量Innoit为企业低碳技术创新的代理变量,用i企业t年的绿色专利申请量表示;核心解释变量Motivatorit分别为影响企业低碳技术创新的内外部激励因素;Xit为企业层面的控制变量,包含企业规模、企业年龄、托宾Q值、负债水平、盈利能力、资本密集度等。本文采用双固定效应面板数据模型,γi为地区效应,μt为时间效应,εit为随机扰动项,C为常量。
各变量具体定义和计算方式见表1
本文使用前文得出的企业内外部激励因素作为核心解释变量进行分别回归,外部驱动力如下。
1)政府影响力(Gov) 政府往往通过财政税收政策为企业低碳技术创新活动提供资金支持。本文选用企业获得的政府补助与总资产的比值作为政府影响力的代理变量,可以有效衡量政府对企业技术创新的影响强度。
2)政策引导力(Tec、Carb) 政府针对发电行业所发布的科技创新类引导性政策和规制性政策,也会对企业的低碳技术创新行为产生影响。作为国家鼓励低碳技术创新的重要手段,国家发改委发布的4批《国家重点推广的低碳技术目录》对行业低碳技术发展方向有很强的引导性,因此本文选择《目录》中涉及发电行业技术的个数与企业研发投入相乘衡量政策引导力。同时,为衡量碳排放权交易市场政策对控排企业的影响,本文还以首批纳入碳排放权交易市场的控排企业作为虚拟变量,衡量碳排放权交易市场对企业低碳技术创新的影响。
3)市场竞争力(Stru) 本文使用上一年度发电行业内最大的前10家企业的营业收入占全行业营业收入的比例衡量发电行业的市场集中度,作为行业竞争程度的代理变量。
4)需求拉动力(Dem) 更大的市场需求会拉动企业进行低碳技术创新以实现创新收益。本文选用全国电力消费总额衡量需求拉动力。
5)环境影响力(Busi) 本文参考丁鼎等[16]的方法,使用熵权法从6个层面对城市营商环境指数进行测算,用以衡量环境影响力。本文的回归模型利用企业所在地信息,将发电企业数据与地级市数据相匹配,从而实现城市营商环境指数与企业数据的匹配,具体实证过程通过stata计量软件实现。
企业内驱力如下。
1)研发投入激励(R&D) 使用企业研发投入金额与营业收入的比值衡量企业研发投入强度。
2)股权激励(MHS) 使用企业高级管理人员持股比例作为股权激励的代理变量。
3)数字化转型激励(Dige) 使用CSMAR发布的企业数字化转型指数,从战略引领、技术驱动、组织赋能环境支撑、数字化成果、数字化应用等多个维度衡量企业的数字化转型水平。
4)资源配置激励(Fin) 使用企业金融资产占总资产的比例衡量企业金融化水平,作为企业资源配置激励反向代理变量。
5)融资约束激励(SA) 使用企业融资约束SA指数衡量企业融资约束水平。
6)社会声誉激励(Repu) 使用华证ESG评分作为企业社会声誉的代理变量。
外部激励因素对企业低碳技术创新的影响回归结果见表2
表2第(1)列报告了将政府影响力作为解释变量对企业低碳技术创新的回归结果。回归系数在5%的统计水平上显著为正,说明政府补助显著增加了企业的绿色创新申请量,证实了政府影响力对企业低碳技术创新的激励作用。
第(2)、(3)列反映了政策引导力对企业低碳技术创新的影响效果,其中《国家重点推广的低碳技术目录》中涉及发电行业的低碳技术个数,会显著提高企业的绿色专利申请量,说明国家对发电行业低碳技术创新方向的引导和鼓励,会激发企业低碳技术创新活动。但碳排放权交易市场的建设和城市营商环境对企业低碳技术创新的影响虽然为正却不显著,说明碳排放权交易市场建设和优化营商环境的政策举措的技术创新效应尚未发挥。
第(4)列中市场竞争力的回归系数显著为负,说明行业集中度过高会抑制发电企业低碳技术创新,应该增加发电行业的竞争因素、提高行业的市场化程度,通过公平充分的市场竞争激励企业提高低碳技术创新水平,缓解由于垄断所造成的创新乏力现象。
第(5)列中显示全国电力消费总量对企业低碳技术创新的影响显著为正,说明电力消费需求能激励企业从供给端对技术进行低碳化改造,以满足市场对低碳清洁能源的需要。
构成企业内驱力的内部激励因素对企业低碳技术创新的影响回归结果见表3。由表3可见:
1)核心解释变量R&D显著为正,说明公司增加研发投入强度有利于低碳技术创新,研发投入对创新产出有正向激励作用。
2)股权激励对公司低碳技术创新的回归系数显著为正,证实了股权激励是公司内部激励的重要组成部分,适当增加高级管理人员的持股比例或推行员工持股方案,将公司职工福利与公司绩效相联结,能促进发电企业低碳技术创新水平。
3)数字化转型作为当前企业发展的热点改革方向。回归结果表明,公司数字化转型程度显著提升了公司绿色专利申请量,同样证实了公司数字化转型对低碳技术创新的正向激励作用。
4)回归结果中,企业金融化和融资约束的回归系数均显著为负,说明企业金融化和融资约束都会抑制企业低碳技术创新水平,一方面,企业应该避免过多投资金融业务,扭转过度金融化的趋势,发挥资源配置激励在低碳技术创新中的重要作用,将更多的资源合理配置到主营业务的技术创新上。另一方面,企业应该缓解面临的融资约束问题,拓宽融资渠道和力度,为投资周期长、变现期长的低碳技术提供稳定可靠的资金支持。
5)企业社会声誉的代理变量的回归系数显著为正,显示了企业社会声誉对低碳技术创新的正向激励结果。
本文将低碳技术创新过程分为技术研发阶段和成果转化阶段,在前文实证分析的基础上,进一步将发电企业绿色专利申请量作为解释变量,衡量低碳技术创新成果能否顺利转化,对企业经济绩效、环境绩效和社会绩效产生正向影响。回归模型设定如下:
Perfit=c+βInnoitk+jαjXit+            γi+μt+εit
式中:Perfit为分别用企业营业利润和企业碳排放表征的企业经济绩效和环境绩效,回归结果见表4
考虑到企业低碳技术投资周期长、技术创新成果的转化周期长等特征,本文使用企业绿色专利申请量的时间滞后项进行回归。表4回归结果显示,企业低碳技术创新能显著增加企业的营业利润和降低企业碳排放,提升企业的经济绩效和环境绩效。但是这一提升效果存在时间滞后性,企业低碳技术创新成果在1年后能提升企业的经济绩效,3年后能提升企业的环境绩效,这再度证明企业低碳技术创新的投资回报周期长,只有在长期能同步提升企业的经济和环境绩效。
本文针对发电行业技术创新特点,从低碳技术创新的2阶段出发,基于外部驱动力和企业内驱力两大层面,提出11种激励因素,构建了发电行业低碳技术创新的内外部协同激励机制。在发电行业低碳技术创新激励机制的协同作用下,能促进企业低碳技术创新研发水平,并最终通过低碳技术成果转化,提高企业的经济绩效、环境绩效和社会绩效,实现企业发展、环境改善和社会进步的有机统一。
2023年7月中央全面深化改革委员会第二次会议提出要从能源消耗总量和强度双控制度转向碳排放总量和强度双控制度,这意味着我国进入了以降碳为重点战略方向的关键时期。随着电力系统改革的不断深入,发电行业要继续完善自身的科技创新体系,形成由外部驱动力和企业内驱力构成的低碳技术创新内外部协同激励机制,推动低碳技术创新工作不断取得新成效。
  • 中国华能集团有限公司软科学研究计划项目:发电行业低碳技术创新激励机制与支持政策研究(2023-35)
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2024年第53卷第2期
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doi: 10.19666/j.rlfd.202309144
  • 接收时间:2023-09-25
  • 首发时间:2025-12-31
  • 出版时间:2024-02-25
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  • 收稿日期:2023-09-25
基金
Soft Science Research Project of China Huaneng Group Co., Ltd.(2023-35)
中国华能集团有限公司软科学研究计划项目:发电行业低碳技术创新激励机制与支持政策研究(2023-35)
作者信息
    西安热工研究院有限公司,陕西 西安 710054

通讯作者:

武静云(1988),女,硕士,高级经济师,主要研究方向为能源经济、企业管理,
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2种不同金属材料的力学参数

Family
属数
Number of
genus
种数
Number of
species
占总种数比例
Percentage of
total species (%)

Genus
种数
Number of
species
占总种数比例
Percentage of total
species (%)
鹅膏菌科Amanitaceae 2 11 5.26 鹅膏菌属 Amanita 10 4.78
小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
栓菌属 Trametes 5 2.39
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