【摘要】 近年来，中国新能源汽车动力电池大规模退役，但动力电池回收的关键技术瓶颈尚未得到有效突破。在此背景下，2018年工信部等7部门出台《关于做好新能源汽车动力蓄电池回收利用试点工作的通知》，旨在推动动力电池回收产业体系规范、高效运转。然而，尚未有文献科学评估动力电池回收利用试点政策的技术创新效应。鉴于此，该研究基于2013—2022年中国220个地级市的面板数据，以动力电池回收利用试点政策为一项准自然实验，采用双重差分法考察了试点政策对动力电池回收技术创新的影响，从不同角度开展了异质性分析，并进一步检验了政策效应的作用机制。研究发现：(1)动力电池回收利用试点政策的实施显著促进了动力电池回收技术创新，且安慰剂检验和PSM-DID等一系列稳健性检验支持了此结论。相对于非试点地区，试点地区的专利申请量提升了约40.3%。(2)试点政策的效果存在专利、城市区位和城市资源禀赋异质性；动力电池回收利用试点政策对发明型专利的促进效应强于实用新型专利、对东部地区城市和非资源型城市的回收技术创新具有显著正向作用。(3)机制分析结果表明，试点政策可以通过运用结构强制型政策工具发挥技术创新效应。因此，该研究从试点范围、区域差异、政策工具3个方面提出了促进动力电池回收技术创新的政策建议。一是总结可推广的试点经验，进一步扩大和深化试点范围；二是因地制宜，针对东中西部地区设计和实施差异化的工作方案；三是需要注重政策工具的多元组合运用，进一步强化契约诱导型和交互影响型政策工具的综合协同应用。更多还原

【Abstract】 In recent years, China has witnessed the large-scale retirement of traction batteries of new energy vehicles. However, key bottlenecks in recycling technology have not yet been effectively overcome. In response, the Ministry of Industry and Information Technology and other seven departments issued the Notice on Advancing the Pilot Program of Recycling Traction Batteries of New Energy Vehicles in 2018, with the aim of promoting the standardized and efficient operation of the traction battery recycling industrial system.However, no existing literature has scientifically assessed the effects of this pilot program of traction battery recycling in terms of technological innovation. This study employed panel data from 220 prefecture-level cities in China from 2013 to 2022 to examine the impact of the pilot program on technological innovation in traction battery recycling. Using the difference-in-differences method, the study analyzed the impact of the pilot program of traction battery recycling as a quasi-natural experiment. This analysis also conducted a heterogeneity analysis from multiple perspectives and examined mechanisms of the policy effects. The findings indicated that:(1) The implementation of the pilot program of traction battery recycling significantly promoted the technological innovation in this field, as evidenced by a series of robustness tests, including the placebo test and PSM-DID analysis. Compared to non-pilot regions, the number of patent applications in the pilot regions increased by approximately 40.3%.(2) The impact of the pilot program varied across different regions, cities, and urban resource endowments. The pilot program of traction battery recycling demonstrated a stronger effect on the promotion of invention patents than on utility model patents and exhibited a significant positive effect on the recycling technology innovation in the cities of China’s eastern region and non-resource-dependent cities.(3) The results of the mechanism analysis indicated that the pilot program could play a role in technological innovation through the use of structural mandatory instruments. Based on these findings, this study provides policy recommendations to promote technological innovation in traction battery recycling from three perspectives: pilot scope, regional variation, and policy tools. First, it is essential to summarize replicable pilot experiences and further expand and deepen the pilot scope. Second, a region-specific approach should be adopted, with differentiated work plans designed and implemented to accommodate the distinct characteristics of the eastern, central, and western regions. Third, it is necessary to emphasize the diversified application of policy instruments, strengthening both contractual incentives and interactive impact mechanisms.更多还原