The Path Driving China’s Energy Structure Transformation from the Perspective of Policy Tools

Round 1

Reviewer 1 Report

Comments and Suggestions for Authors

The paper explores China's energy structure transformation from 2001 to 2020, analyzing national energy policies using fuzzy set qualitative comparative analysis (fs-QCA). It identifies three transformation models: "multiple objectives + information," "single objective + information," and "single objective," emphasizing the crucial role of policy tools and information technology.

 

Here are. My suggestions for improvement:

-              The paper outlines China's energy policy goals and strategies but could benefit from more explicit articulation of the key objectives in the introduction. Providing a clear, concise statement of the main research question would make the article more accessible.

-              The organization is sound, but the transition between sections, especially from policy tools to policy intensity, could be smoother. There could be clearer subheadings to help guide readers through the methodology and findings.

-              While the paper provides data-driven insights, the use of case examples could be enhanced with more recent data to validate the models discussed. In addition, the comparative analysis with other countries could be expanded to give more depth to the argument.

-              The paper does a good job identifying the challenges in China's energy policy, but the critical evaluation of how effective current policy tools are, in practice, needs more elaboration. Discussion of limitations could be expanded to show a deeper critical engagement with the methodology.

-              The formatting is generally appropriate, but there are some issues with references (e.g., “[Error! Reference source not found]”) that need to be corrected. Ensuring consistency in citation style would also improve the paper's overall presentation.

-              Relevant literature: the following two papers, on energy transformation in the Mediterranean region, would be useful addition to your manuscript: 1) Schuetze, Benjamin "The geopolitical economy of an undermined energy transition: The case of Jordan." Energy Policy 180 (2023): 113655; 2) Sandri, Serena "The European green deal: Challenges and opportunities for the Southern Mediterranean." Mediterranean Politics (2023): 1-12.

Author Response

Comments 1: The paper outlines China's energy policy goals and strategies but could benefit from more explicit articulation of the key objectives in the introduction. Providing a clear, concise statement of the main research question would make the article more accessible.

Response1: We agree with this point. Accordingly, we have revised the contents of this section. In the previously submitted manuscript we placed the introduction and literature review elements together, which seemed to make the article less concise and obscured the main topic of the article. As such, in the revised manuscript, we removed the literature review content from the section of Introduction and made it the content of a separate section. As well, we have added statements of the research question. For details, see page 2 of the revised manuscript (Section 1. Introduction), paragraphs 2 and 3; lines from 64 to 79.

Specific additions are excerpted below (which have been highlighted in red):

With this background in mind, based on existing research, the fuzzy set qualitative comparative analysis method was employed to examine the evolutionary path of China's energy structural transformation. This study took 39 national-level energy policy documents issued in China from 2001 to 2020 as the research object. The aim of this study was to identify the conditions that lead to differences in the intensity of energy structure transformation at different development stages through the synergistic driving effect of factors. Particularly, it was aimed to provide an explanation of the pathways that accelerate successful energy structure transformation and references for the low-carbon and clean transformation of energy structure in the future.

Firstly, we provide some background information about energy structure trans-formation and research objectives in Section 1. In Section 2 we reviewed the literature around energy transition practices across countries. In Sections 3 and 4, we presented the research theoretical foundation and research design. In Section 5, we illustrated the findings, focusing on how the different elements act synergistically to drive the trans-formation of energy transformation. Sections 6 and 7 contained respectively discussion and conclusions.

 

Comments 2: The organization is sound, but the transition between sections, especially from policy tools to policy intensity, could be smoother. There could be clearer subheadings to help guide readers through the methodology and findings.

Response2: We agree with this point. Accordingly, we have revised the contents of this section. We replaced the original title “Theoretical framework” with “Theoretical background” and deleted the three original sub-titles. We also simplified and merged the contents under the previous three subheadings, adding statements of the relationship between policy objectives, policy intensity, and policy tools. For details, see pages 4 and 5 of the revised manuscript (Section 3. Theoretical background), paragraphs 2 ,3, 4 and 5; lines from 177 to 215.

Specific new additions are excerpted below (which have been highlighted in red):

The positive impacts of policy objectives [33], policy tools [34], and policy intensity [35] on the energy transition have been identified in a few studies in the literature. Although considerable attention has been paid to the antecedents of the energy structure transition, researches to date have mainly focused on the impact effects of different types of policy tools on the energy structure transition, and the impact of different policy dimensions on energy transition has received little consideration. By referring to the existing literature and using a policy tool perspective [4], this study analyzed the necessary conditions and the combination of factors affecting the transformation of the energy structure within the theoretical framework of policy objectives, policy intensity, and policy tools.

In fact, policy objectives represent the direction for action, and policy intensity represents the motivation for action, and policy tools represent the pathway for action, and all three interact with each other. Policy objectives are the desired outcomes, and their concentration and clarity are one of the prerequisites for policy synergy [36]. Energy policy objectives are necessary to promote the low-carbon transformation of the energy structure. It has been shown that strategies to improve energy efficiency and increase the share of renewable energy in almost all European Union countries have had a statistically significant impact on CO₂ emission reductions [37]. China's energy policy objectives are numerous in nature, and carry policy tasks such as energy supply security, economic growth, resource conservation, and environmental protection. The problems and major contradictions faced by society at different historical stages will change; therefore, different policy objectives may have strong or weak effects on the transformation of the energy structure in the process of energy policy formulation. In general, the clearer and more focused the green and low-carbon objectives of energy policy are, the more conducive they are to the achievement of energy structural transformation goals.

Under the decentralized system, principal-agent problems often emerged between the central and local governments. Under the long-lasting political goal of “centering on economic development,” many Chinese officials tend to prioritize GDP achievements [38]. Therefore, in the energy structure transition, the central government has proposed various energy objectives, yet the inefficient implementation of these policies remains a significant impediment. Policy intensity reflects the degree of importance the government attaches to it [39], and can be used to assess the impact of a policy. The authoritative, high-pressure and sustained characteristic of the policy intensity makes it a powerful signal to promote the transformation of the energy structure [34].

A reasonable policy structure requires the organic combination of policy objectives and policy tools [39]. If the policy objectives are the antecedents of the choice of policy tools, then the policy tools are the basic pathways for the realization of policy objectives [40]. The degree of synergy between policy tools and policy objectives has a direct impact on the effectiveness of policy implementation [41]. According to the classification of policy tools proposed by Howlet [42], the policy tools that affect energy restructuring were classified into four categories: administrative control tools, economic incentive tools, information tools, and voluntary participation tools. Different types of policy tools have different functions, as well as their own strengths and weaknesses. The policy tools used for energy restructuring need to be selected according to the specific energy goals and targets.

 

Comments 3: While the paper provides data-driven insights, the use of case examples could be enhanced with more recent data to validate the models discussed. In addition, the comparative analysis with other countries could be expanded to give more depth to the argument.

Response 3: First of all, thank you for your suggestion on the sample size. As you mentioned, it would make sense to update the sample data. However, as mentioned in the introduction, the context on which our article is based is the historical stage of China's transition from general well-off to a moderately prosperous society. One of the purposes of the article is to summarize the historical achievements and experiences of energy transition through the changes in policies during this historical phase. As such, policies from the last 3 years were excluded from the sample collection. According to the existing literature (see ① and ② for details), fs-QCA is a case-oriented research methodology, and case selection is adequate to achieve maximum heterogeneity in a minimum number of cases. In the samples of the article, the above requirements have been achieved. Based on the fs-QCA results, it could be seen that there were enough samples to cover for driving paths. And the findings in the article also passed the robustness test, proving the validity of the models discussed. For more samples, we can deepen it in a later extended study.

• Zhang, M.; Du, Y.Z.Qualitative Comparative Analysis (QCA) in Management and Organization Research: Position, Tactics, and Directions. Chinese Journal of Management 2019,16(09),1312-1323.
• Rihoux, B.; Ragin, C.C.Configurational Comparative Methods: Qualitative Comparative Analysis (QCA) and Related Techniques [M]. Beijing: Mechanical Industry Press, 2017, translated by Du Y.Z.; Li Y.F.; et al.

Secondly, the comparative analysis with other countries has been supplemented in the article. For details, see page 15 of the revised manuscript (Section 6. Discussion), paragraph 2; lines from 562 to 582.

Specific new additions are excerpted below (which have been highlighted in red):

Since the oil-energy crisis, there has been a general focus on energy-related policy adjustments around the world. There are both differences and commonalities in the energy policies of various countries. For the EU, innovation is an important part of their energy policies. The new version of the Strategic Energy Technology Plan (SET-Plan), published by the European Commission, clearly placed innovation at the center of the transition to a low-carbon energy system. It was found recently that financial tools, such as green bonds, could be a beneficial aid to the development of green energy [57]. EU set up €17.5 billion Just Transition Fund to support the transition of fossil fuel-dependent regions [58]. The EU's target system on energy transition is detailed to the end-use sectors and quantitative transition schemes have been developed through energy system modeling combined with data monitoring and reports. In order to address the slowness and complexity of the approval process for projects, the European Commission specifically revised the Renewable Energy Directive [59]. For the United States (US), which is abundant in fossil resources, it advocates the synergistic development of fossil energy and new energy sources for the purpose of stability in the economic order. Moreover, the US implemented specific policies at both the holistic level and specialized areas. Similar to the EU, the US has focused on the utilization of economic tools in promoting its energy clean-up strategies. The US, for example, has encouraged the reflow of manufacturing through high industrial subsidies [60]. The US has been developing clean energy infrastructure through diverse initiatives such as government purchases, tax support and technology diffusion in Bipartisan Infrastructure Deal [61].

 

Comments 4: The paper does a good job identifying the challenges in China's energy policy, but the critical evaluation of how effective current policy tools are, in practice, needs more elaboration. Discussion of limitations could be expanded to show a deeper critical engagement with the methodology.

Response 4: We agree with these points. First of all, based on the comparison of the energy policies of the United States and the European Union, we explored the weaknesses in the utilization of China's energy policy tools. For details, see pages 15 and 16 of the revised manuscript (Section 6. Discussion), paragraph 3; lines from 583 to 599.

Specific new additions are excerpted below (which have been highlighted in red):

After the Copenhagen Conference in 2009, China has been actively participating in the process of green development in the world. China has now established a diversified target system that covers energy restructuring, and total carbon emission peaking [62], becoming the second largest country in the application of renewable energy. Yet there are still many weaknesses in the practical application of energy policy in China. Firstly, China has issued a large number of energy policies in the macro-planning category, and neglected laws and ordinances, which may weaken the control and binding power of energy policies. In the past decade, China formulated a number of highly coercive policies centered on subdivided energy sectors and industries. However, compared with the systematic promotion mechanism of the US and the EU, China's energy policies are fragmented and poorly interconnected [63]. Secondly, there has been a distinct preference for the use of China's energy policy tools. From the point of application, when it comes to environmental protection, carbon emissions, etc., the government prefers to use mandatory policy tools, which are often linked to the performance evaluation of officials [64]. However, according to the results of fs-QCA, mandatory policy tools are generally ineffective in promoting energy transition. With reference to the characteristics of energy policies in EU and the US, China has not made sufficient use of economic incentive-based policy tools. 

Secondly, based on the review comments, we have also expanded the article's discussion of limitations. For details, see page 17 of the revised manuscript (Section 7 Conclusions), paragraph 1; lines from 646 to 667.

Specific new additions are excerpted below (which have been highlighted in red):

This study investigated China's energy policy at the national level. Through a histogram analysis of the energy structure transition, the evolutionary logic behind the energy structural adjustment was explained comprehensively and effectively. However, energy structure transition is a system that involves various fields such as economy, society, environment, etc. Because of the complexity of the problem and the limitations in the individual knowledge, this study has some deficiencies, which should be further addressed. This study mainly focused on the pathways of the energy structure transition and performed a qualitative analysis at the macro level, thus excluding regional and provincial energy policies, which may result in some details being overlooked. Owing to the characteristics of the fs-QCA methodology, our study lacked consideration of control variables. So apart from the three major factors we have proposed, there may be other political factors affecting the energy structure transition. Moreover, the pathway for energy structure transformation may vary according to a country's environmental and economic situation. We may not yet be able to provide more useful insights from our results for countries that differ significantly from China's average level of energy production and consumption. In terms of research methodology, qualitative comparative analysis involves the assignment of values to different indicators and data calibration, which include a number of subjective factors. Although robustness tests were performed to avoid biases in the results, the handling of the data inevitably affected the final results. Therefore, objective energy statistics should be supplemented in future studies. On the basis of more quantitative data, the path of energy structure transition at the micro level in China can be explored, so as to further expand the depth and breadth of this study.

 

Comments 5: The formatting is generally appropriate, but there are some issues with references (e.g., “[Error! Reference source not found]”) that need to be corrected. Ensuring consistency in citation style would also improve the paper's overall presentation.

Response 5: Thank you for pointing this out. We have corrected the reference formatting errors in the revised manuscript. For details, see page 3 of the revised manuscript (Section 2 A literature review: pathways to energy transition practices), paragraph 1; line 110.

Specific additions are excerpted below (which have been highlighted in red):

Other examples include Japan's energy system model, AIM/Enduse, which is designed to minimize total energy costs within a given set of constraints [8], and the Price-induced Market Equilibrium System (PRIMES) model, developed by the European Union (EU), which is used to provide a quantitative assessment of EU energy and environmental policies [9].

 

Comments 6: Relevant literature: the following two papers, on energy transformation in the Mediterranean region, would be useful addition to your manuscript: 1) Schuetze, Benjamin "The geopolitical economy of an undermined energy transition: The case of Jordan." Energy Policy 180 (2023): 113655; 2) Sandri, Serena "The European green deal: Challenges and opportunities for the Southern Mediterranean." Mediterranean Politics (2023): 1-12.

Response 6: Thank you for providing the references, which were helpful in revising the manuscript. On the one hand, based on these two references, we added a description of the article structure. For details, see page 2 of the revised manuscript (Section 1 Introduction), paragraph 3; lines from 73 to 79.

Specific new additions are excerpted below (which have been highlighted in red):

Firstly, we provide some background information about energy structure transformation and research objectives in Section 1. In Section 2 we reviewed the literature around energy transition practices across countries. In Sections 3 and 4, we presented the research theoretical foundation and research design. In Section 5, we illustrated the findings, focusing on how the different elements act synergistically to drive the transformation of energy transformation. Sections 6 and 7 contained respectively discussion and conclusions.

On the other hand, we cited from the literatures provided when discussing the development of the energy structure transition. For details, see page 16 of the revised manuscript (Section 6 Discussion), paragraph 1; lines from 615 to 621.

Specific new additions are excerpted below (which have been highlighted in red):

The low-carbon transition of the energy system is a complicated project. In the long-term, countries all need to accelerate the invention, popularization and use of new energy technologies in order to seize the initiative in the context of fierce international competition. Meanwhile, there is also a necessity to maintain long-term dialogue and cooperation on sustainability issues and energy security, and reshape alliances at the national and regional levels [69], which can further contribute to stable, inclusive and green development globally.

Reviewer 2 Report

Comments and Suggestions for Authors

The path driving China's energy structure transformation from

the perspective of policy tools

My decision: Major Revision

Taking 39 national energy policy documents released in China from 2001 to 2020 as the research object, the author innovatively applies the qualitative comparative analysis method of fuzzy sets to study the evolution path of China's energy structure transition and clarify its historical development trend with the help of the theoretical framework of "policy objective-policy instrument-policy intensity". Determine the conditions that lead to the difference in the intensity of energy structure transition at different stages of development. This paper is very interesting, the author did a lot of data collection and analysis processing work. However, many issues remain to be further resolved.

1. The third, fourth paragraphs of the introduction present an anomalous problem of literature citation. please modify this part of the content and check the whole text carefully to avoid the repetition of similar situations.

2. The literature citation format is not uniform, so it is recommended to supplement all the dates when directly citing and pay more attention to the timeliness of the literature. It is recommended to cite recent or recent 5 years of literature in the article to enhance the reliability of the article.

3. The serial number of the title and subtitle of the research methods and data section is wrong. Please check the full text carefully to avoid similar problems, which will confuse readers. In addition, the author devoted a large part of the second part of the article to introducing the defining nature of the policy, which is suggested to be concise, otherwise it may weaken the prominence of the main content.

4. The author mentioned in the introduction of research methods that QCA method is often used to analyze the regularity and characteristics of qualitative or quantitative sample data. Meanwhile, the author innovatively adopted fuzzy QCA (Ds-QCA) method to analyze the data characteristics in this paper. This approach is interesting, but can the author provide specific formulas for the above two methods or detailed steps on how to implement the operation? This will improve the readability of the article and help subsequent readers understand it.

5. How to understand and implement the direct calibration method mentioned by the author? Please further clarify the definition and operation details.

6. In the discussion part, the author analyzes and forecasts the focus of the follow-up research, which is worth advocating. However, the content of this part is similar to that of the conclusion part, so it is suggested that the author should organically combine the result analysis and discussion in a large length, and the key points should be mentioned in the final conclusion part to enhance the readability of the article. The article should clearly highlight the characteristics that want to express, too much text content will make people unable to focus on the main content, it is recommended to put excess explanation content into supplementary materials.

Comments on the Quality of English Language

Needs a small improvement.

Author Response

Comments 1: The third, fourth paragraphs of the introduction present an anomalous problem of literature citation. please modify this part of the content and check the whole text carefully to avoid the repetition of similar situations.

Response1: Thank you for pointing this out. We have corrected the reference formatting errors in the revised manuscript. For details, see page 3 of the revised manuscript (Section 2 A literature review: pathways to energy transition practices), paragraph 1, line 110; and page 3 of the revised manuscript (Section 2 A literature review: pathways to energy transition practices), paragraph 2, line 123.

Specific additions are excerpted below (which have been highlighted in red):

Other examples include Japan's energy system model, AIM/Enduse, which is designed to minimize total energy costs within a given set of constraints [8], and the Price-induced Market Equilibrium System (PRIMES) model, developed by the European Union (EU), which is used to provide a quantitative assessment of EU energy and environmental policies [9].

Existing scientific evidence also suggests that Export product diversification (EDIV) contributes to lower energy and carbon intensity and higher energy efficiency, making it a viable strategy to mitigate carbon externalities in the process of economic transition, especially for developed countries [15].

 

Comments 2: The literature citation format is not uniform, so it is recommended to supplement all the dates when directly citing and pay more attention to the timeliness of the literature. It is recommended to cite recent or recent 5 years of literature in the article to enhance the reliability of the article.

Response 2: Thank you for pointing these out. Accordingly, we have revised the literature citation format. During the revision of the article, we added references for the years 2023 and 2024. Currently there are 51 articles from the recent 5 years (from 2020 to 2024) in the references used in the article, accounting for 62.3% of the total.

 

Comments 3: The serial number of the title and subtitle of the research methods and data section is wrong. Please check the full text carefully to avoid similar problems, which will confuse readers. In addition, the author devoted a large part of the second part of the article to introducing the defining nature of the policy, which is suggested to be concise, otherwise it may weaken the prominence of the main content.

Response 3: First of all, thank you for pointing out these problems about subtitle. We have corrected these errors in the revised manuscript. Secondly, we have revised the contents of the second part of the article. In the revised manuscript we replaced the original title “2 Theoretical framework” with “3 Theoretical background” and deleted the three original sub-titles. We also simplified and merged the contents under the previous three subheadings, adding statements of the relationship between policy objectives, policy intensity, and policy tools. For details, see pages 4 and 5 of the revised manuscript (Section 3. Theoretical background), paragraphs 1,2 ,3, 4 and 5; lines from 165 to 220.

Specific new additions are excerpted below (which have been highlighted in red):

Policies are instruments of government, which rely on public power, aim to solve public problems, respond to social needs, allow to achieve government goals, and have a certain degree of authority and coercion [29]. The development of the energy sector needs policy guidance and support, and the level of issuance of national policy documents, tools, and measures has direct impacts on the development of the energy industry. For the energy sector, policy tools serve three main functions: guiding macro direction, leading technological development, and optimizing resource allocation [30]. It is worth noting that policy tools do not have a decisive role in the policy system and its operation. As initiatives to reach policy goals, they are adjusted to the objective environment, the attention of political subjects, and the difficulty of policy implementation [31]. It is therefore essential to position the application of policy tools within the overall policy system, policy network, decision-making system, and implementation process [32]. 

The positive impacts of policy objectives [33], policy tools [34], and policy intensity [35] on the energy transition have been identified in a few studies in the literature. Although considerable attention has been paid to the antecedents of the energy structure transition, researches to date have mainly focused on the impact effects of different types of policy tools on the energy structure transition, and the impact of different policy dimensions on energy transition has received little consideration. By referring to the existing literature and using a policy tool perspective [4], this study analyzed the necessary conditions and the combination of factors affecting the transformation of the energy structure within the theoretical framework of policy objectives, policy intensity, and policy tools.

In fact, policy objectives represent the direction for action, and policy intensity represents the motivation for action, and policy tools represent the pathway for action, and all three interact with each other. Policy objectives are the desired outcomes, and their concentration and clarity are one of the prerequisites for policy synergy [36]. Energy policy objectives are necessary to promote the low-carbon transformation of the energy structure. It has been shown that strategies to improve energy efficiency and increase the share of renewable energy in almost all European Union countries have had a statistically significant impact on CO₂ emission reductions [37]. China's energy policy objectives are numerous in nature, and carry policy tasks such as energy supply security, economic growth, resource conservation, and environmental protection. The problems and major contradictions faced by society at different historical stages will change; therefore, different policy objectives may have strong or weak effects on the transformation of the energy structure in the process of energy policy formulation. In general, the clearer and more focused the green and low-carbon objectives of energy policy are, the more conducive they are to the achievement of energy structural transformation goals.

Under the decentralized system, principal-agent problems often emerged between the central and local governments. Under the long-lasting political goal of “centering on economic development,” many Chinese officials tend to prioritize GDP achievements [38]. Therefore, in the energy structure transition, the central government has proposed various energy objectives, yet the inefficient implementation of these policies remains a significant impediment. Policy intensity reflects the degree of importance the government attaches to it [39], and can be used to assess the impact of a policy. The authoritative, high-pressure and sustained characteristic of the policy intensity makes it a powerful signal to promote the transformation of the energy structure [34].

A reasonable policy structure requires the organic combination of policy objectives and policy tools [39]. If the policy objectives are the antecedents of the choice of policy tools, then the policy tools are the basic pathways for the realization of policy objectives [40]. The degree of synergy between policy tools and policy objectives has a direct impact on the effectiveness of policy implementation [41]. According to the classification of policy tools proposed by Howlet [42], the policy tools that affect energy restructuring were classified into four categories: administrative control tools, economic incentive tools, information tools, and voluntary participation tools. Different types of policy tools have different functions, as well as their own strengths and weaknesses. The policy tools used for energy restructuring need to be selected according to the specific energy goals and targets.

 

Comments 4: The author mentioned in the introduction of research methods that QCA method is often used to analyze the regularity and characteristics of qualitative or quantitative sample data. Meanwhile, the author innovatively adopted fuzzy QCA (Ds-QCA) method to analyze the data characteristics in this paper. This approach is interesting, but can the author provide specific formulas for the above two methods or detailed steps on how to implement the operation? This will improve the readability of the article and help subsequent readers understand it.

Response 4: Thank you for your suggestions. For the purpose of simplifying the article, we have omitted the description of the QCA and fs-QCA. Here, we provide a detailed description of the use of these methods (due to the excessive contents and low relevance to the main body of the article, we did not add these statements in the revised version):

The basic principle of the QCA research method is Boolean algorithm. More precisely, QCA is an ensemble of methods. Two types commonly used for QCA include clear set qualitative comparative analysis (cs-QCA) and fuzzy set qualitative comparative analysis (fs-QCA). The applicable method is selected depending on the context. Therefore, it can be said that the fs-QCA chosen in our study is a special form of QCA. QCA is not concerned with how a single variable affects the outcome; it focuses on how multiple conditioning variables can be combined to affect the outcome. QCA is not concerned with how a single variable affects the outcome; it focuses on how multiple conditioning variables can be combined to affect the outcome. As such, QCA addresses the questions of what combination of variables may affect the outcome and which combination has a greater impact on the outcome.

How do we distinguish between cs-QCA and fs-QCA? For cs-QCA, each case is categorized into an affiliation, “1” (affiliated with the set) or “0” (not affiliated with the set). To take an example: the answer to the question of “whether a student is a boy or not”is either “yes” or “no”. It is a simple black and white affair. For fs-QCA, partial affiliation scores between “0” and “1” are allowed. For example, “Is a family wealthy?” There are other options than “yes” and “no” to this question. It's not either this or that. A family with an affiliation score of 1 on the set of wealth means that the family is wealthy, and if the affiliation score is 0.8, then it means that there is an 80% chance that the family is wealthy.

For fs-QCA, the specific research steps include:

(1) Select representative cases as research samples. Determine the conditional variable (corresponding to the independent variable X in traditional regression analysis), and the outcome variable (corresponding to the dependent variable Y in traditional regression analysis), and then collect the data.

(2) Calibration. Calibration is the process of assigning cases to set affiliation. The data were calibrated according to Ragin's criteria of 95% (full affiliation), 50% (midpoint), and 5% (no affiliation at all) , and each variable was transformed into a fuzzy set affiliation between“0-1”.

(3) Necessity analysis of a single condition. If a conditional variable always exists when a result occurs, then that condition variable is a necessary condition for the result. The result is calculated through the“analyze-necessary condition” function of the software—fs-QCA 3.0. Necessary conditions are measured by consistency. If the consistency of a conditional variable is above 0.9, then it is a necessary condition. Necessary conditions should be eliminated from the analysis of sufficiency condition analysis later.

(4) Sufficient condition analysis (also known as configuration analysis). This step is to identify which combination of variables can lead to the outcome. In terms of operational dimension, with the empirical analysis using the software fs-QCA 3.0, the software generates three types of results: complex solutions, intermediate solutions, and simple solutions. In practice, only the simple and complex solutions are used to explain the relationships between the outcome variables and the antecedent variables. In addition, there are generally core conditions and edge conditions in the conditional variables. Core conditions refer to the conditional variables that appear in both the simple and intermediate solutions. Marginal conditions refer to conditional variables that appear in intermediate solutions. The marginal conditions are less important for the outcome variables compared to the core conditions. Finally, it is necessary to analyze the mechanism and significance of the configuration, as well as to identify cases that match the configurations.

 

Comments 5: How to understand and implement the direct calibration method mentioned by the author? Please further clarify the definition and operation details.

Response 5: Thank you for pointing this out. The following is our explanation about the direct calibration method:

Calibration, is the process of assigning values to variables in accordance with the criteria established. By calibrating the variables, it is possible to present the cases at different levels of each conditional variable. Calibration is imperative because uncalibrated variables reflect only the relative positions between cases. Calibration is essentially the standardization of data.

The direct calibration of data firstly requires the setting of three critical points, commonly known as anchor points. In the process of choosing the calibration anchor points, it is necessary to fully consider the theoretical foundation based on, the characteristics of the data distribution. The data was calibrated according to Ragin's criteria of 95% (full affiliation), 50% (midpoint), and 5% (no affiliation at all), and the variables were transformed into fuzzy set affiliations between“0-1”. In fs-QCA software, the calibration is performed using the program formula “calibrate(x,n1,n2,n3)”, where x is the variable to be calibrated, and n1, n2, and n3 are the anchors, which represent full affiliation, midpoint, and no affiliation respectively, and correspond to the anchor values of 0.95, 0.5, and 0.05. After calibration, each variable falls between [0] and [1] in the form of a set affiliation score. The fuzzy affiliation score [1] represents “complete affiliation with a set”, and scores close to [1] represent strong affiliation, but not complete affiliation; if the score is less than 0.5 but greater than 0, it means that the sample is affiliated with the set; if the affiliation score is [0], it means that the sample is not affiliated with the set at all.

 

Comments 6: In the discussion part, the author analyzes and forecasts the focus of the follow-up research, which is worth advocating. However, the content of this part is similar to that of the conclusion part, so it is suggested that the author should organically combine the result analysis and discussion in a large length, and the key points should be mentioned in the final conclusion part to enhance the readability of the article. The article should clearly highlight the characteristics that want to express, too much text content will make people unable to focus on the main content, it is recommended to put excess explanation content into supplementary materials.

Response 6: We agree with this point. Accordingly, we have revised the contents of discussion and conclusions. Firstly, in the discussion section, we added a comparative analysis with the United States and the European Union. Based on the comparison of the energy policies of other countries and the results of the research, we also explored the weaknesses in the utilization of China's energy policy tools, and the commonality of international energy policies. For details, see pages 15 and 16 of the revised manuscript (Section 6. Discussion), paragraphs 2 ,3 and 4; lines from 562 to 621.

Specific new additions are excerpted below (which have been highlighted in red):

Since the oil-energy crisis, there has been a general focus on energy-related policy adjustments around the world. There are both differences and commonalities in the energy policies of various countries. For the EU, innovation is an important part of their energy policies. The new version of the Strategic Energy Technology Plan (SET-Plan), published by the European Commission, clearly placed innovation at the center of the transition to a low-carbon energy system. It was found recently that financial tools, such as green bonds, could be a beneficial aid to the development of green energy [57]. EU set up €17.5 billion Just Transition Fund to support the transition of fossil fuel-dependent regions [58]. The EU's target system on energy transition is detailed to the end-use sectors and quantitative transition schemes have been developed through energy system modeling combined with data monitoring and reports. In order to address the slowness and complexity of the approval process for projects, the European Commission specifically revised the Renewable Energy Directive [59]. For the United States (US), which is abundant in fossil resources, it advocates the synergistic development of fossil energy and new energy sources for the purpose of stability in the economic order. Moreover, the US implemented specific policies at both the holistic level and specialized areas. Similar to the EU, the US has focused on the utilization of economic tools in promoting its energy clean-up strategies. The US, for example, has encouraged the reflow of manufacturing through high industrial subsidies [60]. The US has been developing clean energy infrastructure through diverse initiatives such as government purchases, tax support and technology diffusion in Bipartisan Infrastructure Deal [61].

After the Copenhagen Conference in 2009, China has been actively participating in the process of green development in the world. China has now established a diversified target system that covers energy restructuring, and total carbon emission peaking [62], becoming the second largest country in the application of renewable energy. Yet there are still many weaknesses in the practical application of energy policy in China. Firstly, China has issued a large number of energy policies in the macro-planning category, and neglected laws and ordinances, which may weaken the control and binding power of energy policies. In the past decade, China formulated a number of highly coercive policies centered on subdivided energy sectors and industries. However, compared with the systematic promotion mechanism of the US and the EU, China's energy policies are fragmented and poorly interconnected [63]. Secondly, there has been a distinct preference for the use of China's energy policy tools. From the point of application, when it comes to environmental protection, carbon emissions, etc., the government prefers to use mandatory policy tools, which are often linked to the performance evaluation of officials [64]. However, according to the results of fs-QCA, mandatory policy tools are generally ineffective in promoting energy transition. With reference to the characteristics of energy policies in EU and the US, China has not made sufficient use of economic incentive-based policy tools. The role of economic incentive-based policy tools in energy transition pathways is not as evident as argued in previous studies [65]. Given China's vast geographical extension and complex national conditions, the effectiveness of various policy tools for energy structure transformation is expected to have temporal and spatial variation. Accordingly, China's energy structure transformation should take the advantages and disadvantages of various types of policy tools into account and explore the optimal allocation of policy tools.

Energy transition policies vary widely from country to country, but some consensus has developed among countries over time. Diversification and cleanliness of energy sources have become the objectives of national energy policies [66].It is worth noting, however, that as coal still dominates China's energy consumption market, and a mature clean energy development and supply system has not yet been established, the excessive pursuit of energy cleanliness may exacerbate energy poverty [67]. In addition, technology is an extremely powerful way for countries to achieve their energy policy goals. In the existing literature, technological innovations and applications have been recognized as a central element in the resolution of the conflict between modern global economic growth and environmental protection [68]. The low-carbon transition of the energy system is a complicated project. In the long-term, countries all need to accelerate the invention, popularization and use of new energy technologies in order to seize the initiative in the context of fierce international competition. Meanwhile, there is also a necessity to maintain long-term dialogue and cooperation on sustainability issues and energy security, and reshape alliances at the national and regional levels [69], which can further contribute to stable, inclusive and green development globally.

Secondly, in the conclusions section, we reiterated the purpose of the article, the logic of the writing, and provided a clear description of the results of the analysis. For details, see pages 16 and 17 of the revised manuscript (Section 7. Conclusion); lines from 623 to 645.

Specific new additions are excerpted below (which have been highlighted in red):

It is important to explore the path of energy structure transition to achieve sustainable economic growth. The main goal of this study was to seek the path of energy structure transition—how policy goals, policy tools, and policy intensity as the key elements of energy policies promote the realization of energy transition. Based on a policy-tool perspective, in this study, a fs-QCA method was proposed and policy texts from 2001 to 2020 were taken as research objects. The results showed how the collaborative drive between different condition variables affects China's energy structural transformation from a complex cause and effect relationship.

This study found that energy restructuring has multiple, concurrent causal relationships. These paths can be summarized into three types, according to differences in the core variables: the "multiple objectives + information"-driven model; the "single objective + information"-driven model; and "the single objective"-driven model. In our study, it can be seen that the policy objective of energy cleanliness is present in almost every pathway. It showed that energy structure transition relied on the degree of clarity of energy cleanliness goals. For the Chinese government, the strategic objectives of the energy structure transition were disaggregated, and the assessment results were used as an essential indicator for performance evaluation. The clearer the energy strategy goal, the more binding, and the greater the reduction of the operational space in the decomposition of energy planning goals, as well as the enhancement of the driving force of the downward implementation of the goal. The results of this study also showed that information policy tools played a key role in ensuring the energy transition. Information tools appeared as core variables in six of the seven conditional configuration paths, indicating the key position of information technology in energy restructuring.

Reviewer 3 Report

Comments and Suggestions for Authors

I have reviewed the I have reviewed the manuscript titled "The path driving China's energy structure transformation from 2 the perspective of policy tools" and it is of interest, however you need to connect and harmonize the different sections of the manuscript to benefit the reader, in addition they need to attend to the above raised points.

Abstract

1- It needs to be more informative showing the most important of the findings of the study,

The Introduction

1- References in lines 69 and 83 need to be corrected,

Research Method and Data

1- Line 280, it should be number 3 not 4 and also all the subheadings need to be corrected,

2- Line 371 (3.3.2 Results Variables), please number correctly,

3- Line 396, please correct (3.4),

4- Sections 4.3 and 4.3.1, please correct numbers and font order.

Conclusions

1- The conclusions section needs to be rewritten, it should be much more clearer emphasizing the outcome of your research and how to benefit from it .

References

1- More recent references are required, you have only 2 in 2023 and none in 2024.

 

Comments on the Quality of English Language

Minor English editing is required.

Author Response

Comments 1: (Abstract)It needs to be more informative showing the most important of the findings of the study.

Response 1: Thank you for providing comments on the abstract section. We agree with this point. Accordingly, we have added more information about the findings in the abstract section. For details, see page 1 of the revised manuscript (Section Abstract); lines from 9 to 26.

Specific new additions are excerpted below (which have been highlighted in red):

Abstract: Combing Chinese energy-related policy texts and exploring the development path of energy restructuring are significant steps towards a better understanding of the history of energy restructuring in the process of building a moderately prosperous society in all aspects. To explore the various paths driving the transformation of China's energy structure, the energy policies promulgated at the national level from 2001 to 2020 in China were systematically compiled. Based on the policy tool perspective, a theoretical framework for influencing China's energy structure transition was proposed from three dimensions of objectives, tools, and intensity. A total of 39 national energy policy texts were analyzed using a fuzzy set qualitative comparative analysis method. The results show that: (1) The consistency levels of individual preconditions were all below 0.9, which does not constitute a necessary condition for the transformation of China's energy structure. (2) The sufficiency analysis identified three paths of China's energy structural transformation, which can be described as models driven by "multiple objectives + information", "single objective + information", and "single objective". (3) Energy restructuring is a goal-oriented process; the clarity and certainty of the efficient and green objectives of energy policies have a facilitating effect on energy restructuring, and the support of information technology provides an important guarantee for energy restructuring. (4) Compared with European and American countries, it is found that China's energy policy tools were characterized by emphasis on macro-planning, insufficient connectivity, and marked tendencies in practice.

 

Comments 2: References in lines 69 and 83 need to be corrected.

Response 2: Thank you for pointing these out. We have corrected the reference formatting errors in the revised manuscript. For details, see page 3 of the revised manuscript (Section 2 A literature review: pathways to energy transition practices), paragraph 1, line 110; and page 3 of the revised manuscript (Section 2 A literature review: pathways to energy transition practices), paragraph 2, line 123.

Specific additions are excerpted below (which have been highlighted in red):

Other examples include Japan's energy system model, AIM/Enduse, which is designed to minimize total energy costs within a given set of constraints [8], and the Price-induced Market Equilibrium System (PRIMES) model, developed by the European Union (EU), which is used to provide a quantitative assessment of EU energy and environmental policies [9].

Existing scientific evidence also suggests that Export product diversification (EDIV) contributes to lower energy and carbon intensity and higher energy efficiency, making it a viable strategy to mitigate carbon externalities in the process of economic transition, especially for developed countries [15].

 

Comments 3: Line 280, it should be number 3 not 4 and also all the subheadings need to be corrected.

Response 3: Thank you for pointing these out. We have noticed the errors in the manuscript. In indeed, since we added a chapter before the section of Research method and data, the serial number in the revised manuscript remains the number 4. For details, see page 5 of the revised manuscript, line 223.

 

Comments 4:  Line 371 (3.3.2 Results Variables), please number correctly.

Response 4: Thank you for pointing this problem out. We have revised the error in the manuscript. We have replaced the subtitle “3.3.2. Result variables” with “4.3.2. Result variables”. For details, see page 9 of the revised manuscript, line 314.

 

Comments 5: Line 396, please correct (3.4).

Response 5: Thank you for pointing this problem out. We have revised the error in the manuscript. We have replaced the subtitle “3.4. Data calibration” with “4.4. Data calibration”. For details, see page 9 of the revised manuscript, line 338.

 

Comments 6: Sections 4.3 and 4.3.1, please correct numbers and font order.

Response 6: Thank you for pointing these problems out. We have revised the error in the manuscript. We have replaced the font “Song” with “Palatino Linotype”. For details, see page 9 of the revised manuscript, line 314. In indeed, since we added a chapter before the section of Research method and data, the serial number in the revised manuscript remains the number 4.3 and 4.3.1. For details, see page 7 of the revised manuscript, line 262 and line 263.

 

Comments 7:  The conclusions section needs to be rewritten, it should be much more clearer emphasizing the outcome of your research and how to benefit from it.

Response 7: Thank you for providing comments on the conclusions section. In the conclusions section, we reiterated the purpose of the article, the logic of the writing, and provided a clear description of the results of the analysis. For details, see pages 16 and 17 of the revised manuscript (Section 7. Conclusion); lines from 623 to 645.

Specific new additions are excerpted below (which have been highlighted in red):

It is important to explore the path of energy structure transition to achieve sustainable economic growth. The main goal of this study was to seek the path of energy structure transition—how policy goals, policy tools, and policy intensity as the key elements of energy policies promote the realization of energy transition. Based on a policy-tool perspective, in this study, a fs-QCA method was proposed and policy texts from 2001 to 2020 were taken as research objects. The results showed how the collaborative drive between different condition variables affects China's energy structural transformation from a complex cause and effect relationship.

This study found that energy restructuring has multiple, concurrent causal relationships. These paths can be summarized into three types, according to differences in the core variables: the "multiple objectives + information"-driven model; the "single objective + information"-driven model; and "the single objective"-driven model. In our study, it can be seen that the policy objective of energy cleanliness is present in almost every pathway. It showed that energy structure transition relied on the degree of clarity of energy cleanliness goals. For the Chinese government, the strategic objectives of the energy structure transition were disaggregated, and the assessment results were used as an essential indicator for performance evaluation. The clearer the energy strategy goal, the more binding, and the greater the reduction of the operational space in the decomposition of energy planning goals, as well as the enhancement of the driving force of the downward implementation of the goal. The results of this study also showed that information policy tools played a key role in ensuring the energy transition. Information tools appeared as core variables in six of the seven conditional configuration paths, indicating the key position of information technology in energy restructuring.

 

Comments 8:  More recent references are required, you have only 2 in 2023 and none in 2024.

Response 8: Thank you for pointing these out. Accordingly, during the revision of the article, we added references for the years 2023 and 2024. Currently there are 51 articles from the recent 5 years (from 2020 to 2024) in the references used in the article, accounting for 62.3% of the total.

Round 2

Reviewer 1 Report

Comments and Suggestions for Authors

It’s much better
the only final suggestion is to read and include the work of Serena Sandri as previously suggested for your section number 6

Sandri, Serena "The European green deal: Challenges and opportunities for the Southern Mediterranean." Mediterranean Politics (2023): 1-12.

Author Response

Comments 1: It’s much better. The only final suggestion is to read and include the work of Serena Sandri as previously suggested for your section number 6.

Sandri, Serena "The European green deal: Challenges and opportunities for the Southern Mediterranean." Mediterranean Politics (2023): 1-12.

Response1: Thank you for your suggestion. Accordingly, we have cited from the literature provided. For details, see page 16 of the revised manuscript (Section 6 Discussion), paragraph 1; lines from 608 to 610.

Specific new additions are excerpted below (which have been highlighted in red):

Diversification and cleanliness of energy sources have become the objectives of national energy policies [‎66]. For example, the EU is accelerating its search for more energy suppliers after the war in Ukraine and is actively promoting green hydrogen as an alternative fuel [67].

 

Reviewer 2 Report

Comments and Suggestions for Authors

The path driving China's energy structure transformation from

the perspective of policy tools - R1

Taking 39 national energy policy documents released in China from 2001 to 2020 as the research object, the author innovatively applies the qualitative comparative analysis method of fuzzy sets to study the evolution path of China's energy structure transition and clarify its historical development trend with the help of the theoretical framework of "policy objective-policy instrument-policy intensity". Determine the conditions that lead to the difference in the intensity of energy structure transition at different stages of development. This paper is very interesting.

 

The author has responded to each of my comments in a detailed and conscientious manner, and I am so satisfied that I have agreed to accept the manuscript for publication in its current edition.

Author Response

Thank you for your prior valuable comments that improved the readability and scientific quality of the manuscript.

Reviewer 3 Report

Comments and Suggestions for Authors

I have no more comments.

Author Response

Thank you for your prior valuable comments that improved the readability and scientific quality of the manuscript.