经济开放度与中国国际技术创新——基于省际PCT国际专利申请数据的经验研究
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摘要
本文使用2003—2015年30个省(自治区、直辖市)的面板数据,实证分析了经济开放度对我国PCT(《专利合作条约》)国际专利申请(以下简称PCT申请)的作用机制和影响效果。研究发现:经济开放度对PCT申请具有正向的促进作用,对外直接投资和国际贸易是主要的促进因素,外商直接投资的作用不明显;经济开放度对PCT申请的正向促进作用具有明显的区域差异,表现为由东部到中部再到西部依次递减的趋势;国内专利申请量越多、企业规模越大时,经济开放度对PCT申请的推动作用越明显。研究的政策启示有:要全面深化改革开放,注重"走出去"和"引进来"的质量和结构;加快海外专利布局;根据区域和企业发展差异实行分类指导的创新战略。
This paper analyzes the impact of economic openness on international tech-nological innovation in China by employing provincial panel data over the period 2003-2015. The results show that economic openness plays a significant positive role in promo-ting PCT applications. Specifically, outflow of FDI and international trade are the maincontributing factors, while inflow of FDI has no significant impact. The positive impact ofeconomic openness on PCT applications has an obvious regional differences, showing agradual decline from the east to the middle and then to the west. And provinces with moredomestic patent applications and bigger enterprise-scale tend to experience a greaterimpact from economic openness. The policy implications of the study are that China shoulddeepen the reform and opening-up in an all-round way, pay attention to the quality andstructure of "going out" and "bringing in", accelerate the layout of overseas patents, andimplement an innovative strategy guided by categories according to the differences in re-gional and enterprise development.
This paper analyzes the impact of economic openness on international tech-nological innovation in China by employing provincial panel data over the period 2003-2015. The results show that economic openness plays a significant positive role in promo-ting PCT applications. Specifically, outflow of FDI and international trade are the maincontributing factors, while inflow of FDI has no significant impact. The positive impact ofeconomic openness on PCT applications has an obvious regional differences, showing agradual decline from the east to the middle and then to the west. And provinces with moredomestic patent applications and bigger enterprise-scale tend to experience a greaterimpact from economic openness. The policy implications of the study are that China shoulddeepen the reform and opening-up in an all-round way, pay attention to the quality andstructure of "going out" and "bringing in", accelerate the layout of overseas patents, andimplement an innovative strategy guided by categories according to the differences in re-gional and enterprise development.
引文
[1]陈继勇,盛杨怿.外商直接投资的知识溢出与中国区域经济增长[J].经济研究,2008,43(12):39-49.
[2]陈强.高级计量经济学及Stata应用(第二版)[M].高等教育出版社,北京,2014:214-215.
[3]陈羽,邝国良.FDI、技术差距与本土企业的研发投入——理论及中国的经验研究[J].国际贸易问题,2009(07):88-96.
[4]范承泽,胡一帆,郑红亮.FDI对国内企业技术创新影响的理论与实证研究[J].经济研究,2008(01):89-102.
[5]樊纲,王小鲁,马光荣.中国市场化进程对经济增长的贡献[J].经济研究,2011,46(09):4-16.
[6]何枫,陈荣.经济开放度对中国经济效率的影响:基于跨省数据的实证分析[J].数量经济技术经济研究,2004(03):18-24.
[7]胡智,刘志雄.中国经济开放度的测算与国际比较[J].世界经济研究,2005(07):10-17+25.
[8]蒋伏心,王竹君,白俊红.环境规制对技术创新影响的双重效应——基于江苏制造业动态面板数据的实证研究[J].中国工业经济,2013(07):44-55.
[9]李兵,岳云嵩,陈婷.出口与企业自主技术创新:来自企业专利数据的经验研究[J].世界经济,2016,39(12):72-94.
[10]龙小宁,王俊.中国专利激增的动因及其质量效应[J].世界经济,2015,38(06):115-142.
[11]温军,冯根福,刘志勇.异质债务、企业规模与R&D投入[J].金融研究,2011(01):167-181.
[12]温军,冯根福.异质机构、企业性质与自主创新[J].经济研究,2012,47(03):53-64.
[13]温军,冯根福.风险投资与企业创新:“增值”与“攫取”的权衡视角[J].经济研究,2018,53(02):185-199.
[14]吴延兵.R&D与生产率——基于中国制造业的实证研究[J].经济研究,2006(11):60-71.
[15]冼国明,严兵.FDI对中国创新能力的溢出效应[J].世界经济,2005(10):18-25+80.
[16]衣长军,李赛,张吉鹏.制度环境、吸收能力与新兴经济体OFDI逆向技术溢出效应——基于中国省际面板数据的门槛检验[J].财经研究,2015,41(11):4-19.
[17]张杰,刘志彪,郑江淮.中国制造业企业创新活动的关键影响因素研究——基于江苏省制造业企业问卷的分析[J].管理世界,2007(06):64-74.
[18]张杰.进口对中国制造业企业专利活动的抑制效应研究[J].中国工业经济,2015(07):68-83.
[19]赵伟,古广东,何元庆.外向FDI与中国技术进步:机理分析与尝试性实证[J].管理世界,2006(07):53-60.
[20]周俊,秦俏寒.经济开放度对中国技术效率的影响——基于省际面板数据的实证研究[J].财贸研究,2017,28(01):26-36.
[21]AITKEN B.J., HARRISON A.E..Do Domestic Firms Benefit from Direct Foreign Investment[J].AmercianEconomic Review,1999,88(3):605-618.
[22] ATANASSOV J., NANDA V.K., SERU A.Finance and Innovation:The Case of Publicly TradedFirms.Working Paper,2005.
[23]CHEN V.Z., LI J., SHAPIRO D.M.International Reverse Spillover Effects on Parent Firms:Evidences fromEmerging-Market MNEs in Developed Markets[J].European Management Journal,2012,30(3):204-218.
[24]COHEN W.M., NELSON R.R..Protecting Their Intellectual Assets:Appropriability Conditions and Why U.S. Manufacturing Firms Patent(or Not).NBER Working Paper,2000,7552.
[25]FEENSTRA R.C., INKLAAR R., TIMMER M.The Next Generation of the Penn World Table[J].AmericanEconomic Review,2015,105(10), 1025-1031.
[26]GOLDBERG P., KHANDELWAL A., PAVCNIK N., et al.Trade Liberalization and New Imported Inputs[J].Amercian Economic Review,2009,99(2):494-500.
[27] GROSSMAN G.M., HLEPMAN E.Innovation and Growth in the Global Economy[M]. MIT Press,Cambridge,1993.
[28]HALL B.H., ZIEDONIS R.H.The Patent Paradox Revisited:An Empirical Study of Patenting in the U.S. Semiconductor Industry,1979-1995[J].The RAND Journal of Economics, 2001,32(1):101-128.
[29]HUANG C., JACOB J..Determinants of Quadic Patenting:Market Access, Imitative Threat, Competition andStrength of Intellectual Property Rights[J].Technological Forecasting&Social Change,2013,85:4-16.
[30]KROLL H.Exploring the Validity of Patent Applications as an Indicator of Chinese Competitiveness and MarketStructure[J].World Patent Information,2011,33(1):23-33.
[31]LIU Q., LU R., LU Y., et al.Is Free Trade Good or Bad for Innovation.Unpublished manuscript.
[32]LOECKER J.D.Deteching Learning by Exporting[J].Amercian Economic Journal Microeconomics,2013, 5(3):1-21.
[33]KANG B., BEKKERS R.Just-in-time Patents and the Development of Standards[J].Research Policy, 2015,44:1948-1961.
[34]ROODMAN D.M.How to Do xtabond2:An Introduction to “Difference” and “System” GMM in Stata", 2006, 9(1), pp.86-136.
[35]SCHMONCH U.Indicators and the Relations between Science and Technology[J].Scientometrics,1997, 38(1):103-116.
[36]WUNSCH-VINCENT S., KASHCHEEVA M., ZHOU H.International Patenting by Chinese Residents:Con-structing a Database of Chinese Foreign-oriented Patent Families[J].China Economic Review,2015, 36:198-219.
[37]YANG C.H., KUO N.F..Trade-related Influences, Foreign Intellectual Property Rights and Outbound Interna-tional Patenting[J].Research Policy,2008,37(3):446-459.
[38]YANG, D., CLARK, P.Globalization and Intellectual Property in China[J]. Technovation, 2005, 25(5):545-555.
(1)数据来源:Patent Cooperation Treaty Yearly Review 2017。
(2)数据来源:Global Innovation Index 2016。
(1)大专及以上教育、高中、初中、小学和文盲分别以16年、12年、9年、6年和0年计。
(1)中国商务部只报告了2003年后的各省非金融类对外直接投资流量数据,西藏因PCT申请量、FDI及OFDI数额都较小而予以剔除。
(2)东部包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东和海南11个省(直辖市);中部包括山西、吉林、黑龙江、安徽、江西、河南、湖北和湖南8个省;西部包括内蒙古、广西、重庆、四川、贵州、云南、陕西、甘肃、青海、宁夏和新疆11个省(直辖市、自治区)。
(1)张杰(2015)指出,企业层面的专利可能服从泊松分布或是负二项分布,所对应的计数模型分别为泊松回归模型和负二项回归模型。在二者的选择问题上,陈强(2014)认为,当数据存在过度分散时,可选择“泊松回归模型+稳健性标准误”或是负二项回归模型,它们都提供了对参数及标准误的一致估计。本文借鉴Atanassov等(2005)、温军和冯根福(2012、2018)等学者的做法,采用“泊松回归模型+稳健性标准误”的方法对数据的过度分散问题进行处理。
[2]陈强.高级计量经济学及Stata应用(第二版)[M].高等教育出版社,北京,2014:214-215.
[3]陈羽,邝国良.FDI、技术差距与本土企业的研发投入——理论及中国的经验研究[J].国际贸易问题,2009(07):88-96.
[4]范承泽,胡一帆,郑红亮.FDI对国内企业技术创新影响的理论与实证研究[J].经济研究,2008(01):89-102.
[5]樊纲,王小鲁,马光荣.中国市场化进程对经济增长的贡献[J].经济研究,2011,46(09):4-16.
[6]何枫,陈荣.经济开放度对中国经济效率的影响:基于跨省数据的实证分析[J].数量经济技术经济研究,2004(03):18-24.
[7]胡智,刘志雄.中国经济开放度的测算与国际比较[J].世界经济研究,2005(07):10-17+25.
[8]蒋伏心,王竹君,白俊红.环境规制对技术创新影响的双重效应——基于江苏制造业动态面板数据的实证研究[J].中国工业经济,2013(07):44-55.
[9]李兵,岳云嵩,陈婷.出口与企业自主技术创新:来自企业专利数据的经验研究[J].世界经济,2016,39(12):72-94.
[10]龙小宁,王俊.中国专利激增的动因及其质量效应[J].世界经济,2015,38(06):115-142.
[11]温军,冯根福,刘志勇.异质债务、企业规模与R&D投入[J].金融研究,2011(01):167-181.
[12]温军,冯根福.异质机构、企业性质与自主创新[J].经济研究,2012,47(03):53-64.
[13]温军,冯根福.风险投资与企业创新:“增值”与“攫取”的权衡视角[J].经济研究,2018,53(02):185-199.
[14]吴延兵.R&D与生产率——基于中国制造业的实证研究[J].经济研究,2006(11):60-71.
[15]冼国明,严兵.FDI对中国创新能力的溢出效应[J].世界经济,2005(10):18-25+80.
[16]衣长军,李赛,张吉鹏.制度环境、吸收能力与新兴经济体OFDI逆向技术溢出效应——基于中国省际面板数据的门槛检验[J].财经研究,2015,41(11):4-19.
[17]张杰,刘志彪,郑江淮.中国制造业企业创新活动的关键影响因素研究——基于江苏省制造业企业问卷的分析[J].管理世界,2007(06):64-74.
[18]张杰.进口对中国制造业企业专利活动的抑制效应研究[J].中国工业经济,2015(07):68-83.
[19]赵伟,古广东,何元庆.外向FDI与中国技术进步:机理分析与尝试性实证[J].管理世界,2006(07):53-60.
[20]周俊,秦俏寒.经济开放度对中国技术效率的影响——基于省际面板数据的实证研究[J].财贸研究,2017,28(01):26-36.
[21]AITKEN B.J., HARRISON A.E..Do Domestic Firms Benefit from Direct Foreign Investment[J].AmercianEconomic Review,1999,88(3):605-618.
[22] ATANASSOV J., NANDA V.K., SERU A.Finance and Innovation:The Case of Publicly TradedFirms.Working Paper,2005.
[23]CHEN V.Z., LI J., SHAPIRO D.M.International Reverse Spillover Effects on Parent Firms:Evidences fromEmerging-Market MNEs in Developed Markets[J].European Management Journal,2012,30(3):204-218.
[24]COHEN W.M., NELSON R.R..Protecting Their Intellectual Assets:Appropriability Conditions and Why U.S. Manufacturing Firms Patent(or Not).NBER Working Paper,2000,7552.
[25]FEENSTRA R.C., INKLAAR R., TIMMER M.The Next Generation of the Penn World Table[J].AmericanEconomic Review,2015,105(10), 1025-1031.
[26]GOLDBERG P., KHANDELWAL A., PAVCNIK N., et al.Trade Liberalization and New Imported Inputs[J].Amercian Economic Review,2009,99(2):494-500.
[27] GROSSMAN G.M., HLEPMAN E.Innovation and Growth in the Global Economy[M]. MIT Press,Cambridge,1993.
[28]HALL B.H., ZIEDONIS R.H.The Patent Paradox Revisited:An Empirical Study of Patenting in the U.S. Semiconductor Industry,1979-1995[J].The RAND Journal of Economics, 2001,32(1):101-128.
[29]HUANG C., JACOB J..Determinants of Quadic Patenting:Market Access, Imitative Threat, Competition andStrength of Intellectual Property Rights[J].Technological Forecasting&Social Change,2013,85:4-16.
[30]KROLL H.Exploring the Validity of Patent Applications as an Indicator of Chinese Competitiveness and MarketStructure[J].World Patent Information,2011,33(1):23-33.
[31]LIU Q., LU R., LU Y., et al.Is Free Trade Good or Bad for Innovation.Unpublished manuscript.
[32]LOECKER J.D.Deteching Learning by Exporting[J].Amercian Economic Journal Microeconomics,2013, 5(3):1-21.
[33]KANG B., BEKKERS R.Just-in-time Patents and the Development of Standards[J].Research Policy, 2015,44:1948-1961.
[34]ROODMAN D.M.How to Do xtabond2:An Introduction to “Difference” and “System” GMM in Stata", 2006, 9(1), pp.86-136.
[35]SCHMONCH U.Indicators and the Relations between Science and Technology[J].Scientometrics,1997, 38(1):103-116.
[36]WUNSCH-VINCENT S., KASHCHEEVA M., ZHOU H.International Patenting by Chinese Residents:Con-structing a Database of Chinese Foreign-oriented Patent Families[J].China Economic Review,2015, 36:198-219.
[37]YANG C.H., KUO N.F..Trade-related Influences, Foreign Intellectual Property Rights and Outbound Interna-tional Patenting[J].Research Policy,2008,37(3):446-459.
[38]YANG, D., CLARK, P.Globalization and Intellectual Property in China[J]. Technovation, 2005, 25(5):545-555.
(1)数据来源:Patent Cooperation Treaty Yearly Review 2017。
(2)数据来源:Global Innovation Index 2016。
(1)大专及以上教育、高中、初中、小学和文盲分别以16年、12年、9年、6年和0年计。
(1)中国商务部只报告了2003年后的各省非金融类对外直接投资流量数据,西藏因PCT申请量、FDI及OFDI数额都较小而予以剔除。
(2)东部包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东和海南11个省(直辖市);中部包括山西、吉林、黑龙江、安徽、江西、河南、湖北和湖南8个省;西部包括内蒙古、广西、重庆、四川、贵州、云南、陕西、甘肃、青海、宁夏和新疆11个省(直辖市、自治区)。
(1)张杰(2015)指出,企业层面的专利可能服从泊松分布或是负二项分布,所对应的计数模型分别为泊松回归模型和负二项回归模型。在二者的选择问题上,陈强(2014)认为,当数据存在过度分散时,可选择“泊松回归模型+稳健性标准误”或是负二项回归模型,它们都提供了对参数及标准误的一致估计。本文借鉴Atanassov等(2005)、温军和冯根福(2012、2018)等学者的做法,采用“泊松回归模型+稳健性标准误”的方法对数据的过度分散问题进行处理。