ESI高被引论文（Highly Cited Papers）指发表在最近10-11年根据同年同ESI学科统计被引用次数进入前1%的论文。

       依据清华大学图书馆发布的“清华大学ESI高影响力论文简讯”，在过去一年（统计数据为2022年3月10日至2023年3月9日），我院新增七篇一作论文入选ESI高被引论文。这七篇一作论文的作者分别是(以论文发表时间先后为序)：朱俊明、高宇宁、高雨辰、陈金辉、周源、朱俊明、郇轶中。

1.朱俊明

题名：Low-carbon innovation induced by emissions trading in China

作者：Junming Zhu, Yichun Fan, Xinghua Deng, Lan Xue

出处：《Nature communications, Volume 10, September 2019》

摘要：

       Emissions trading scheme (ETS) has been adopted by an increasing number of countries and regions for carbon mitigation, but its actual effect depends on specific program design and institutional context. Before launching the world largest ETS, China experimented with seven independent regional pilots, whose effects are only indirectly explored. Here we provide firm-level evidence of the innovation effect directly from China's pilot emissions trading, based on latest patenting information and a quasi-experimental design. China's pilots increase low-carbon innovation of ETS firms by 5-10% without crowding out their other technology innovation. The increase from ETS firms accounts for about 1% increase of the regional low-carbon patents, while a similar increase from large non-ETS firms is also induced by the ETS. Most importantly, the effect is not associated with permit price, auction, or firm characteristics, but is driven by mass-based allowance allocation. A rate-based approach, however, is adopted by China's national market.

2.高宇宁

题名：Accounting and determinants analysis of China's provincial total factor productivity considering carbon emissions

作者：Yuning Gao, Meichen Zhang, Jinghai Zheng

出处：《China Economic Review, Volume 65, February 2021》

摘要：

       One of the most undesirable output of China's rapid economic growth has been increasing carbon emissions. This study measures and analyzes the impact of carbon emissions on China's regional total factor productivity from 2000 to 2017. Using global Malmquist-Luenberger productivity indexes, we re-estimate the provincial total factor productivity taking carbon emission into account, comparing different assumptions of returns to scale and considering the rank reverse issue. The differences of technical progress and efficiency change across Chinese regional economies are also investigated and we found that the former was the primary contributor to improved Chinese provincial productivity performance. In addition, we analyze the influencing factors of productivity based on provincial panel data. Our results indicate that innovation capacity, energy and employment structure had significant impact on the provincial productivities while urbanization had a negative impact. A more sustainable development can be expected by expanding regional investment in R&D, adjusting and optimizing structures of regional industries and energies.

3.高雨辰

题名：Can Public R&D Subsidy Facilitate Firms’ Exploratory Innovation? The Heterogeneous Effects between Central and Local Subsidy Programs

作者：Yuchen Gao, Yimei Hu, Xielin Liu, Huanren Zhang

出处：《Research Policy, Volume 50, Issue 4, May 2021》

摘要：

       Public R&D subsidy is a commonly adopted policy instrument to promote firms’ exploratory innovation that encourages novel knowledge learning. Under the multi-level institutional settings such as China, however, it is unclear in current literature as to whether central and local-level governmental R&D subsidy programs exert heterogeneous influences on recipient firms’ exploratory innovation. By employing an exclusive panel data of manufacturing firms in Jiangsu Province, this study investigates the heterogeneous effects of central and local R&D subsidies on firms’ exploratory innovation. Considering that regional innovation contexts may influence the learning and innovation of subsidy recipients, we further test the interaction effects of specialized industrial agglomeration and R&D subsidies. We find that R&D subsidies in general do promote firms’ exploratory innovation, and the local R&D subsidy exhibits a more salient effect. In addition, the positive effect of subsidies is stronger for the recipients in a highly specialized industrial agglomeration. This study contributes to R&D subsidy literature and extends our knowledge on the different roles of central and local governments in firms’ learning behaviors and technological upgrading.

4.陈金辉

题名：A hybrid decision model and case study for comprehensive evaluation of green mine construction level

作者：Jinhui Chen, Izhar Mithal Jiskani, Aiguo Lin, Chaocheng Zhao, Peixing Jing, Fengjie Liu, Mingyin Lu

出处：《Environment, Development and Sustainability, Published online: 22 February 2022》

摘要：

       The mining industry around the world is plagued by environmental concerns associated with the exploitation and utilization of mineral resources, as well as the economic issues caused by resource depletion. With the increasing awareness of these issues and the urge to realize the goal of green transformation on the road to sustainable development, green mining has been advocated and supported by the government and society. Although it has become the development trend of the Chinese mining industry, coal mines account for only a small proportion of green mine construction. As an integral approach to promoting green mining practices, it is crucial to have a scientific and reliable evaluation index and method. However, there is a lack of research in this aspect. This study addresses this research gap by developing a hybrid grey-based decision model based on the grey analytic hierarchy process and grey clustering method to evaluate the level of green mine construction. An evaluation index system containing 24 indicators divided into four groups was built according to the connotation of green coal mines. The practicality of the proposed model is verified through a real-world case analysis of the mining area in China. The work provides technical knowledge and theoretical support for the evaluation and construction of the green mines.

5.周源

题名：Environmental Policy Mixes and Green Industrial Development: An Empirical Study of the Chinese Textile Industry From 1998 to 2012

作者：Yuan Zhou, Rong Zhou, Luyi Chen, Yun Zhao, Qintian Zhang

出处：《IEEE Transactions on Engineering Management, Volume 69, Issue 3, June 2022》

摘要：

       Policy mixes integrate distinct policy instruments into one coherent policy package as a measure to avoid the potentially counterproductive impacts of any given policy on another. In China, local governments recently have pursued policy mix approaches to resolve the existing policy conflicts, which are associated with the debates over the development priorities between manufacturing productivity growth and environmental mitigations. However, there has been little research that has empirically examined the effects of policy mixes, especially those concerned with the dual-faceted requirements that involve both productivity and the control of emissions. The study presented here employs a model designed to examine firm-level total factor productivity (TFP) and green TFP as performance measures. This article assesses the impacts of municipal-level environmental policy mixes on the textile industry in 13 Chinese cities by using the difference-in-differences technique to analyze the microfirm panel data of 12 133 Chinese textile firms during the period from 1998 to 2012. The results show that these environmental policy mixes could significantly promote green performance without compromising productivity growth. The results also indicate that the impacts varied in different cities. This article offers insight into policy mixes and industrial policy literature as well as practical guides for policymakers and industrialists.

6.朱俊明

题名：Evaluating regional carbon emissions trading in China: effects, pathways, co-benefits, spillovers, and prospects

作者：Junming Zhu, Zhangming Ge, Jiali Wang, Xiao Li, Can Wang

出处：《Climate Policy, Volume 22, Issue 7, August 2022》

摘要：

       Emissions trading systems (ETS) have been a widely-adopted policy instrument for global climate mitigation and a key choice in China’s pledge for peaking emissions and carbon neutrality. Broader adoption and linkage of ETS programmes require a better understanding of whether, to what extent, and how existing regional programmes address carbon emissions at an aggregate level. Combining a synthetic control method and event studies, we adopt a comprehensive evaluation framework to investigate regional mitigation effects, pathways, and ancillary impacts in three Chinese regions with four independent pilot ETS programmes. The findings show economy-wide responses to pilot announcement even in non-ETS sectors, but enduring mitigation only within ETS sectors. Mitigation was achieved via improvement in energy efficiency and fuel switch, without impairing industrial activities. There were local air-pollution reduction co-benefits but no leakage or spillover. Bounded extrapolation from the pilots suggests 18%–20% reductions can be achieved in non-pilot regions by a national market, which could learn from pilots’ experiences to broaden sector coverage and ensure policy consistency and transparency. Regional ETS were able to stabilize emissions with little cost, providing rationale for rapidly developing economies to adopt such systems. (#br)Key policy insights(#br) Despite being unlinked, regional ETS pilots delivered substantial climate mitigation and local air pollution reduction in China. Policy effects were initially driven by economy-wide mitigation due to policy expectations, followed by ETS-sector mitigation due to carbon pricing. Industries reduced CO2 emissions from energy efficiency improvements and fuel switch. Mitigation was accompanied by little emission leakage or impairment to the economy. Extrapolating mitigation rates in a national market suggests 18%–20% reduction of CO2. Despite being unlinked, regional ETS pilots delivered substantial climate mitigation and local air pollution reduction in China.Policy effects were initially driven by economy-wide mitigation due to policy expectations, followed by ETS-sector mitigation due to carbon pricing.Industries reduced CO2 emissions from energy efficiency improvements and fuel switch.Mitigation was accompanied by little emission leakage or impairment to the economy.Extrapolating mitigation rates in a national market suggests 18%–20% reduction of CO2.

7.郇轶中

题名：A multi-perspective composite assessment framework for prioritizing targets of sustainable development goals

作者：Yizhong Huan, Lingqing Wang, Mark Burgman, Haitao Li, Yurong Yu, Jianpeng Zhang, Tao Liang

出处：《Sustainable Development, Volume30, Issue 5, October 2022》

摘要：

       The 17 Sustainable Development Goals (SDGs) and 169 targets proposed in 2015 are wide ranging and achieving them before 2030 may require extraordinarily high costs. Prioritizing a more manageable and logical sequence of SDGs targets based on national conditions is critical to reduce the complexity of SDGs, lower costs, ensure transitions are efficient, and accelerate implementation. Researchers have proposed a range of methods to rank the prioritizations of SDGs from different perspectives. Unfortunately, prioritizations of SDGs arising from different methods are not entirely consistent due to the limitations of each method. Therefore, an integrated methodological framework is required to reconcile these inconsistencies. To fill this research gap, we synthesized several methods to create a new composite assessment framework to prioritize SDGs targets. The framework consists of assessment models from three perspectives, including the impact of targets in a network composed of the interactions between targets, the gap between the targets' current and ideal performances, and the urgency of improving participation by government and society in achieving the targets. We then tested the effectiveness of this assessment framework empirically by ranking prioritizations for six targets of SDG 6 (clean water and sanitation) in Southeast Asia. Empirical results show that target 6.5 has the highest priority, followed by targets 6.4 and 6.6, while the lowest ranking target is 6.1. Finally, we outlined the advantages and limitations of each assessment method to assist stakeholders in using and broadening this composite assessment framework in the future.

       Essential Science Indicators （基本科学指标，简称ESI） 是科瑞唯安（Clarivate Analytics）推出的基于文献计量方法的科研绩效分析工具。它将Web of Science（简称WOS）核心合集中SCIE/SSCI论文和SCIE/SSCI/A&HCI引用数据，分22个学科领域进行文献计量，在此基础上，对国家、机构和期刊等的科研绩效水平排名。

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