对华跨境技术转移影响因素研究
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摘要
基于分国别的技术引进合同数据,探讨对华跨境技术转移的空间分布及其影响因素。研究发现,美国、日本、德国、芬兰、英国和法国等技术先进国家始终是中国技术引进的主要来源国。亚洲的印度、马来西亚、泰国等在对华技术转移中的重要性也逐渐增强。对华跨境技术转移主要受技术势差、地理距离与技术通道等因素的影响。技术来源国与中国的技术势差越大、距离越近,技术溢出的强度越大;海外华人网络和跨国公司在华投资作为技术通道促进了海外技术向中国的转移。
In this article, we analyze the geographical distribution of the countries which transfer technology to China via technology introduction contracts and the factors influencing the amount of technology introduction contracts from 2003 to 2016, based on a large database compiled from World Bank, USPTO and China Statistical Bureau. We find out that, 1) Historically, the total amount of transnational technology introduction contracts to China showed a U-shape development trajectory: it increased dramatically from 2003 to 2013, and then decreases gradually due to the implementation of national endogenous innovation policy from 2013. 2)Geographically, the Gini index fluctuated between 0.85 and 0.90, indicating a high spatial concentration of transnational technology introduction contracts. Among all the source countries, the United States, Japan, Germany, Finland, the UK and France have been the main sources in the whole period; while India, Malaysia,Thailand and other Asian countries are becoming increasingly important in recent 5 years. 3) Three main aspects, namely technical capability gap, geographical distance and technology pipeline, influence the amount of transnational technology transfer to China. Countries geographically closer and of the greater the technical capability are more important sources which transfer technology to China. The transnational technology pipeline in terms of overseas Chinese community and multinational companies also facilitate the technology transfer to China. However, the imports of goods show a negative relationship with transnational technology introduction contact, because the countries which import low-tech goods to China usually have comparatively low technical competitiveness. It is reasonable that China avoids importing technology from those countries.
In this article, we analyze the geographical distribution of the countries which transfer technology to China via technology introduction contracts and the factors influencing the amount of technology introduction contracts from 2003 to 2016, based on a large database compiled from World Bank, USPTO and China Statistical Bureau. We find out that, 1) Historically, the total amount of transnational technology introduction contracts to China showed a U-shape development trajectory: it increased dramatically from 2003 to 2013, and then decreases gradually due to the implementation of national endogenous innovation policy from 2013. 2)Geographically, the Gini index fluctuated between 0.85 and 0.90, indicating a high spatial concentration of transnational technology introduction contracts. Among all the source countries, the United States, Japan, Germany, Finland, the UK and France have been the main sources in the whole period; while India, Malaysia,Thailand and other Asian countries are becoming increasingly important in recent 5 years. 3) Three main aspects, namely technical capability gap, geographical distance and technology pipeline, influence the amount of transnational technology transfer to China. Countries geographically closer and of the greater the technical capability are more important sources which transfer technology to China. The transnational technology pipeline in terms of overseas Chinese community and multinational companies also facilitate the technology transfer to China. However, the imports of goods show a negative relationship with transnational technology introduction contact, because the countries which import low-tech goods to China usually have comparatively low technical competitiveness. It is reasonable that China avoids importing technology from those countries.
引文
[1]Ernst Dieter.Standards,innovation and latecomer economic development:A conceptual framework[NO/L].East-West Center Working Paper,No.134,2013-9-25.http://www.eastwestcenter.org/syst-em/tdf/private/econwp134.pdf?file=1&type=node&id=34261.
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[6]汪涛,Hennemann Stefan,Liefner Ingo.知识网络的空间极化与转移研究:以中国生物技术知识为例[J].地理研究,2011,30(10):1861-1872.[Wang Tao,Hennemann Stefan,Liefner Ingo.Spatial polarization and diffusion of knowledge network:Acase study of biotechnology in China.Geographical Research,2011,30(10):1861-1872.]
[7]李丹丹,汪涛,周辉.基于不同时空尺度的知识溢出网络结构特征研究[J].地理科学,2013,33(10):1180-1187.[Li Dandan,Wang Tao,Zhou Hui.The structural characteristics of knowledge spillover networks-based on different spatial and temporal scales.Scientia Geographica Sinica,2013,33(10):1180-1187.]
[8]王秋玉,曾刚,吕国庆.中国装备制造业产学研合作创新网络初探[J].地理学报,2016,71(2):251-264.[Wang Qiuyu,Zeng Gang,Lyu Guoqing.Structural evolution of innovation networks of China's equipment manufacturing industry.Acta Geographica Sinica,2016,71(2):251-264.]
[9]吕拉昌,谢媛媛,黄茹.中国三大都市圈城市创新能级体系比较[J].人文地理,2013,28(3):91-95.[Lyu Lachang,Xie Yuanyuan,Huang Ru.The comparison of innovation ability hierarchy of three megalopolises in China.Human Geography,2013,28(3):91-95.]
[10]王兴平,冯淼,顾惠.城际创新联系的尺度差异特征分析:以长三角核心区为例[J].东南大学学报(哲学社会科学版),2015,17(6):108-116.[Wang Xingping,Feng Miao,Gu Hui.Astudy of discriminative characteristics of intercity innovation linkage at different scales:A case study of Yangtze River Delta.Journal of Southeast University(Philosophy and Social Science),2015,17(6):108-116.]
[11]程叶青,王哲野,马靖.中国区域创新的时空动态分析[J].地理学报,2014,69(12):1779-1789.[Cheng Yeqing,Wang Zheye,Ma Jing.Analyzing the space-time dynamics of innovation in China.Acta Geographica Sinica,2014,69(12):1779-1789.]
[12]谭俊涛,张平宇,李静.中国区域创新绩效时空演变特征及其影响因素研究[J].地理科学,2016,36(1):39-46.[Tan Juntao,Zhang Pingyu,Li Jing.Spatio-temporal characteristics of regional innovation performance and its influencing factors in China.Scientia Geographica Sinica,2016,36(1):39-46.]
[13]曾刚.技术转移与区域经济发展[J].地域研究与开发,2002,21(3):38-41.[Zeng Gang.Technology diffusion and regional economic development.Areal Research and Development,2002,21(3):38-41.]
[14]曾刚,林兰,樊鸿伟.论技术转移的影响因子[J].世界地理研究,2006,15(1):1-8.[Zeng Gang,Lin Lan,Fan Hongwei.Study on the factor of technology diffusion.World Regional Studies,2006,15(1):1-8.]
[15]林兰.技术转移理论的研究与进展[J].经济地理,2010,30(8):1233-1241.[Lin Lan.The status and advance of study on technology diffusion.Economic Geography,2010,30(8):1233-1241.]
[16]李同升,王武科.农业科技园技术转移的机制与模式研究[J].世界地理研究,2008,17(1):53-59.[Li Tongsheng,Wang Wuke.Dynamism and pattern of technological diffusion of agriculture science and technology garden.World Regional Geography,2008,17(1):53-59.]
[17]孙鹏,曾刚.西方国家大学技术转移研究的进展和启示[J].人文地理,2011,26(2):20-25.[Sun Peng,Zeng Gang.The development and tendency of the research on university technology transfer in western countries.Human Geography,2011,26(2):20-25.]
[18]杜德斌,孙一飞,盛垒.跨国公司在华R&D机构的空间集聚研究[J].世界地理研究,2010,19(3):1-13.[Du Debin,Sun Yifei,Sheng Lei.The spatial distribution and location trends of the R&D labs by multinational corporations in China.World Regional Studies,2010,19(3):1-13.]
[19]王承云,杜德斌.在华美、日跨国公司R&D投资区位的比较[J].人文地理,2007,94(2):1-5.[Wang Chengyun,Du Debin.The comparison of the R&D investment location advantage between American and Japanese MNCs in China.Human Geography,2007,94(2):1-5.]
[20]段德忠,杜德斌,谌颖,等.中国城市创新技术转移格局与影响因素[J].地理学报,2018,73(4):738-754.[Duan Dezhong,Du Debin,Chen Ying et al.Technology transfer in China's city system:Process,pattern and influencing factors.Acta Geographica Sinica,2018,73(4):738-754.]
[21]Saxenian AnnaLee.The New Argonauts:Regional Advantage in Global Economy[M].Cambridge,US:Harvard University Press,2007.
[22]Saggi Kamal.Trade,foreign direct investment,and international technology transfer:A survey[J].The World Bank Research Observer,2002,17(2):191-235.
[23]崔新健,郭子枫,常燕.跨国技术转移和扩散与国家创新能力的协整及因果关系检验[J].中国科技论坛,2014(4):33-38.[Cui Xinjian,Guo Zifeng,Chang Yan.The co-integration and granger-causality relationship test between transnational technology transfer and diffusion and the national innovation capability.Forum on Science and Technology China,2014(4):33-38.]
[24]Kotab Masaakie,Dunla Denisep,Parente Ronaldo et al.Determinants of cross-national knowledge transfer and its effect on firm innovation[J].Journal of International Business Studies,2007,38:259-282.
[25]林毅夫,张鹏飞.适宜技术、技术选择和发展中国家的经济增长[J].经济学(季刊),2006,5(3):985-1006.[Lin Justin,Zhang Pengfei.Appropriate technology,technological selection,and economic growth in developing countries.China Economic(Quarterly),2006,5(3):985-1006.]
[26]Larsson Moritz.Critical Factors for Communication and Knowledge Transfer[D].Uppsala:Uppsala University,2009.
[27]Duan Yanqing,Nie Wanyan,Coakes Elayne.Identifying key factors affecting transnational knowledge transfer[J].Information&Management,2010,47:356-363.
[28]Hsu Jinn-Yuh,Saxenian Anna Lee.The limits of Guanxi capitalism:transnational collaboration between Taiwan and the USA[J].Environment and Planning A,2000,32(11):1991-2005.
[29]Karreman Bas,Burger J Martijn,van Oort Frank G.Location choices of Chinese multinationals in Europe:The role of overseas communities[J].Economic Geography,2017,93(2):131-161.
[30]Santacreu-Vasuty Esefania,Teshima Kensuke.Foreign employees as channel for technology transfer:Evidence from MNC's subsidiaries in Mexico[J].Journal of Development Economics,2016,122:92-112.
[31]Borts George H.The equalization of returns and regional economic growth[J].American Economic Review,1960,(4):723-735.
[32]国家统计局,科学技术部.中国科技统计年鉴[M].北京:中国统计出版社,2004-2016.[National Bureau of Statistics,Ministry of Science and Technology.China Statistical Yearbook on Science and Technology.Beijing:China Statistics Press,2004-2016.]
[33]方凯,陈新华.外商直接投资对中国技术进步的影响:基于技术势差视角的分析[J].科技管理研究,2013,16:62-65.[Fang Kai,Chen Xinhua.Study on the impact of foreign direct investment on China’s technological progress from the perspective of technical potential difference.Science and Technology Management Research,2013,16:62-65.]
[34]国家统计局.中国统计年鉴[M].北京:中国统计出版社,2004-2016.[National Bureau of Statistics.China Statistical Yearbook.Beijing:China Statistics Press,2004-2016.]
[35]商务部,国家统计局,国家外汇管理局.中国对外直接投资统计年报[M].北京:中国统计出版社,2004-2016.[Ministry of Commerce,National Bureau of Statistics,State Administration of Foreign Exchange.Statistical Bulletin of China’s Outward Foreign Direct Investment.Beijing:China Statistics Press,2004-2016.]
[36]Poston Dudley,Wong Juyin.The Chinese diaspora:The current distribution of the overseas Chinese population.Chinese Journal of Sociology,2016,2(3):348-373.
[37]World Bank.World Bank Open Data[ON/L].https://data.worldbank.org/
[38]周沂,贺灿飞,黄志基,等.地理与城市土地利用效率:基于2004-2008中国城市面板数据实证分析[J].城市发展研究,2013,20(7):19-25.[Zhou Yi,He Canfei,Huang Zhiji et al.Geography and urban land use efficiency:empirical study based on panel data of 277 Chinese cities during 2004-2008.Urban Development Research,2013,20(7):19-25.]
[39]Gereffi Gary.Global value chain analysis:data requirements,gaps and improvements with new datasets[R].International Conference on the Measurement of International Trade and Economic Globalization Aguascalientes.Mexico,2014.
[40]Frederick Stacey.Combing the global value chain and global I-O approaches[R].International Conference on the Measurement of International Trade and Economic Globalization Aguascalientes.Mexico,2014.
(1)注:日本2015年的数据缺失,未标注在图中。在后续回归分析中,通过插值处理进行了补充。
[2]陈武,常燕.跨国技术转移和转移对国家创新能力的作用机理及相关关系:来自中国的经验证据[J].科技管理研究,2015(1):6-11.[Chen Wu,Chang Yan.The functional mechanism and correlated relationship between transnational technology transfer and diffusion and the national innovation capability.Science and Technology Management Research,2015(1):6-11.]
[3]邓羽,司月芳.西方创新地理研究评述[J].地理研究,2016,35(11):2041-2052.[Deng Yu,Si Yuefang.The progress and prospect of innovation geography research in the West.Geographical Research,2016,35(11):2041-2052.]
[4]王缉慈,王可.区域创新环境和企业根植性:兼论中国高新技术企业开发区的发展[J].地理研究,1999,18(4):357-362.[Wang Jici,Wang Ke.Regional innovative milieu and local embeddedness.Geographical Research,1999,18(4):357-362.]
[5]文嫮,曾刚.嵌入全球价值链的地方产业集群发展[J].中国工业经济,2004(6):36-42.[Wen Hu,Zeng Gang.The embededness of global value chain and local cluster.China Industrial Economy,2004(6):36-42.]
[6]汪涛,Hennemann Stefan,Liefner Ingo.知识网络的空间极化与转移研究:以中国生物技术知识为例[J].地理研究,2011,30(10):1861-1872.[Wang Tao,Hennemann Stefan,Liefner Ingo.Spatial polarization and diffusion of knowledge network:Acase study of biotechnology in China.Geographical Research,2011,30(10):1861-1872.]
[7]李丹丹,汪涛,周辉.基于不同时空尺度的知识溢出网络结构特征研究[J].地理科学,2013,33(10):1180-1187.[Li Dandan,Wang Tao,Zhou Hui.The structural characteristics of knowledge spillover networks-based on different spatial and temporal scales.Scientia Geographica Sinica,2013,33(10):1180-1187.]
[8]王秋玉,曾刚,吕国庆.中国装备制造业产学研合作创新网络初探[J].地理学报,2016,71(2):251-264.[Wang Qiuyu,Zeng Gang,Lyu Guoqing.Structural evolution of innovation networks of China's equipment manufacturing industry.Acta Geographica Sinica,2016,71(2):251-264.]
[9]吕拉昌,谢媛媛,黄茹.中国三大都市圈城市创新能级体系比较[J].人文地理,2013,28(3):91-95.[Lyu Lachang,Xie Yuanyuan,Huang Ru.The comparison of innovation ability hierarchy of three megalopolises in China.Human Geography,2013,28(3):91-95.]
[10]王兴平,冯淼,顾惠.城际创新联系的尺度差异特征分析:以长三角核心区为例[J].东南大学学报(哲学社会科学版),2015,17(6):108-116.[Wang Xingping,Feng Miao,Gu Hui.Astudy of discriminative characteristics of intercity innovation linkage at different scales:A case study of Yangtze River Delta.Journal of Southeast University(Philosophy and Social Science),2015,17(6):108-116.]
[11]程叶青,王哲野,马靖.中国区域创新的时空动态分析[J].地理学报,2014,69(12):1779-1789.[Cheng Yeqing,Wang Zheye,Ma Jing.Analyzing the space-time dynamics of innovation in China.Acta Geographica Sinica,2014,69(12):1779-1789.]
[12]谭俊涛,张平宇,李静.中国区域创新绩效时空演变特征及其影响因素研究[J].地理科学,2016,36(1):39-46.[Tan Juntao,Zhang Pingyu,Li Jing.Spatio-temporal characteristics of regional innovation performance and its influencing factors in China.Scientia Geographica Sinica,2016,36(1):39-46.]
[13]曾刚.技术转移与区域经济发展[J].地域研究与开发,2002,21(3):38-41.[Zeng Gang.Technology diffusion and regional economic development.Areal Research and Development,2002,21(3):38-41.]
[14]曾刚,林兰,樊鸿伟.论技术转移的影响因子[J].世界地理研究,2006,15(1):1-8.[Zeng Gang,Lin Lan,Fan Hongwei.Study on the factor of technology diffusion.World Regional Studies,2006,15(1):1-8.]
[15]林兰.技术转移理论的研究与进展[J].经济地理,2010,30(8):1233-1241.[Lin Lan.The status and advance of study on technology diffusion.Economic Geography,2010,30(8):1233-1241.]
[16]李同升,王武科.农业科技园技术转移的机制与模式研究[J].世界地理研究,2008,17(1):53-59.[Li Tongsheng,Wang Wuke.Dynamism and pattern of technological diffusion of agriculture science and technology garden.World Regional Geography,2008,17(1):53-59.]
[17]孙鹏,曾刚.西方国家大学技术转移研究的进展和启示[J].人文地理,2011,26(2):20-25.[Sun Peng,Zeng Gang.The development and tendency of the research on university technology transfer in western countries.Human Geography,2011,26(2):20-25.]
[18]杜德斌,孙一飞,盛垒.跨国公司在华R&D机构的空间集聚研究[J].世界地理研究,2010,19(3):1-13.[Du Debin,Sun Yifei,Sheng Lei.The spatial distribution and location trends of the R&D labs by multinational corporations in China.World Regional Studies,2010,19(3):1-13.]
[19]王承云,杜德斌.在华美、日跨国公司R&D投资区位的比较[J].人文地理,2007,94(2):1-5.[Wang Chengyun,Du Debin.The comparison of the R&D investment location advantage between American and Japanese MNCs in China.Human Geography,2007,94(2):1-5.]
[20]段德忠,杜德斌,谌颖,等.中国城市创新技术转移格局与影响因素[J].地理学报,2018,73(4):738-754.[Duan Dezhong,Du Debin,Chen Ying et al.Technology transfer in China's city system:Process,pattern and influencing factors.Acta Geographica Sinica,2018,73(4):738-754.]
[21]Saxenian AnnaLee.The New Argonauts:Regional Advantage in Global Economy[M].Cambridge,US:Harvard University Press,2007.
[22]Saggi Kamal.Trade,foreign direct investment,and international technology transfer:A survey[J].The World Bank Research Observer,2002,17(2):191-235.
[23]崔新健,郭子枫,常燕.跨国技术转移和扩散与国家创新能力的协整及因果关系检验[J].中国科技论坛,2014(4):33-38.[Cui Xinjian,Guo Zifeng,Chang Yan.The co-integration and granger-causality relationship test between transnational technology transfer and diffusion and the national innovation capability.Forum on Science and Technology China,2014(4):33-38.]
[24]Kotab Masaakie,Dunla Denisep,Parente Ronaldo et al.Determinants of cross-national knowledge transfer and its effect on firm innovation[J].Journal of International Business Studies,2007,38:259-282.
[25]林毅夫,张鹏飞.适宜技术、技术选择和发展中国家的经济增长[J].经济学(季刊),2006,5(3):985-1006.[Lin Justin,Zhang Pengfei.Appropriate technology,technological selection,and economic growth in developing countries.China Economic(Quarterly),2006,5(3):985-1006.]
[26]Larsson Moritz.Critical Factors for Communication and Knowledge Transfer[D].Uppsala:Uppsala University,2009.
[27]Duan Yanqing,Nie Wanyan,Coakes Elayne.Identifying key factors affecting transnational knowledge transfer[J].Information&Management,2010,47:356-363.
[28]Hsu Jinn-Yuh,Saxenian Anna Lee.The limits of Guanxi capitalism:transnational collaboration between Taiwan and the USA[J].Environment and Planning A,2000,32(11):1991-2005.
[29]Karreman Bas,Burger J Martijn,van Oort Frank G.Location choices of Chinese multinationals in Europe:The role of overseas communities[J].Economic Geography,2017,93(2):131-161.
[30]Santacreu-Vasuty Esefania,Teshima Kensuke.Foreign employees as channel for technology transfer:Evidence from MNC's subsidiaries in Mexico[J].Journal of Development Economics,2016,122:92-112.
[31]Borts George H.The equalization of returns and regional economic growth[J].American Economic Review,1960,(4):723-735.
[32]国家统计局,科学技术部.中国科技统计年鉴[M].北京:中国统计出版社,2004-2016.[National Bureau of Statistics,Ministry of Science and Technology.China Statistical Yearbook on Science and Technology.Beijing:China Statistics Press,2004-2016.]
[33]方凯,陈新华.外商直接投资对中国技术进步的影响:基于技术势差视角的分析[J].科技管理研究,2013,16:62-65.[Fang Kai,Chen Xinhua.Study on the impact of foreign direct investment on China’s technological progress from the perspective of technical potential difference.Science and Technology Management Research,2013,16:62-65.]
[34]国家统计局.中国统计年鉴[M].北京:中国统计出版社,2004-2016.[National Bureau of Statistics.China Statistical Yearbook.Beijing:China Statistics Press,2004-2016.]
[35]商务部,国家统计局,国家外汇管理局.中国对外直接投资统计年报[M].北京:中国统计出版社,2004-2016.[Ministry of Commerce,National Bureau of Statistics,State Administration of Foreign Exchange.Statistical Bulletin of China’s Outward Foreign Direct Investment.Beijing:China Statistics Press,2004-2016.]
[36]Poston Dudley,Wong Juyin.The Chinese diaspora:The current distribution of the overseas Chinese population.Chinese Journal of Sociology,2016,2(3):348-373.
[37]World Bank.World Bank Open Data[ON/L].https://data.worldbank.org/
[38]周沂,贺灿飞,黄志基,等.地理与城市土地利用效率:基于2004-2008中国城市面板数据实证分析[J].城市发展研究,2013,20(7):19-25.[Zhou Yi,He Canfei,Huang Zhiji et al.Geography and urban land use efficiency:empirical study based on panel data of 277 Chinese cities during 2004-2008.Urban Development Research,2013,20(7):19-25.]
[39]Gereffi Gary.Global value chain analysis:data requirements,gaps and improvements with new datasets[R].International Conference on the Measurement of International Trade and Economic Globalization Aguascalientes.Mexico,2014.
[40]Frederick Stacey.Combing the global value chain and global I-O approaches[R].International Conference on the Measurement of International Trade and Economic Globalization Aguascalientes.Mexico,2014.
(1)注:日本2015年的数据缺失,未标注在图中。在后续回归分析中,通过插值处理进行了补充。