不同类型跨国技术溢出对中国专利产出的影响研究
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摘要
研究目标:分析进口贸易、FDI、跨国专利申请和人员流动多种渠道技术溢出对中国专利产出的影响。研究方法:运用专利生产函数对比分析4种跨国技术溢出对中国专利产出的影响效果。选取人均研发存量、人力资本和经济发展水平为门槛变量,分别检验不同跨国溢出对专利产出的吸收能力门槛效应。研究发现:跨国专利申请是中国专利产出增长的最主要来源;进口贸易和FDI显著促进了中国创新产出增长;人员流动溢出对我国专利产出具有滞后的正向效应。随着各省份吸收能力的提高,进口贸易、跨国专利申请对创新产出的影响效应逐渐增大;而FDI和人员流动在跨越相应门槛后才对创新活动产生正向效应。研究创新:在同一个研究框架中系统分析不同类型技术溢出的影响效果和门槛效应。研究价值:为我国整合国内外创新资源促进专利产出提供科学依据。
Research Objectives: Investigating the effects of International technological knowledge through international trade, foreign direct investment(FDI), transnational patent application and student flow on patent output in China. Research Methods: Based on patent production function, the paper comparatively analyzes the impact of these four types of spillover on innovation outputs in China. Moreover, by taking R&D capital stock per capita, human capital and GDP per capita as threshold variables, we explore whether the effect of each type of technological spillover on innovative outputs depends on absorptive capacity. Research Findings: The paper finds out that, technological spillovers from transnational patent application are the principal sources of innovative output growth; spillovers from international trade and FDI significantly contribute to innovative activities in China; spillover effect from student flow is actually lagged. Furthermore, the results show that spillover effect from international trade and transnational patent application increases as the absorptive capacity of each province improves, while spillover effect from FDI and student flow happens only when the absorptive capacity of the province is strong enough. Research Innovations: Analyzing different types of technological spillover effects and threshold effects in an integrated framework. Research Value: It provides scientific evidence for China's attempt to increase patent output by integrating both domestic and foreign innovative resources.
Research Objectives: Investigating the effects of International technological knowledge through international trade, foreign direct investment(FDI), transnational patent application and student flow on patent output in China. Research Methods: Based on patent production function, the paper comparatively analyzes the impact of these four types of spillover on innovation outputs in China. Moreover, by taking R&D capital stock per capita, human capital and GDP per capita as threshold variables, we explore whether the effect of each type of technological spillover on innovative outputs depends on absorptive capacity. Research Findings: The paper finds out that, technological spillovers from transnational patent application are the principal sources of innovative output growth; spillovers from international trade and FDI significantly contribute to innovative activities in China; spillover effect from student flow is actually lagged. Furthermore, the results show that spillover effect from international trade and transnational patent application increases as the absorptive capacity of each province improves, while spillover effect from FDI and student flow happens only when the absorptive capacity of the province is strong enough. Research Innovations: Analyzing different types of technological spillover effects and threshold effects in an integrated framework. Research Value: It provides scientific evidence for China's attempt to increase patent output by integrating both domestic and foreign innovative resources.
引文
[1]Aghion P., Howitt P., 1992, A Model of Growth through Creative Destruction [J], Econometrica, 60 (2), 323～351.
[2]Barro R. J., Lee J. W., 2013, A New Data Set of Educational Attainment in the World, 1950～2010 [J], Journal of Development Economics, 104, 184～198.
[3]Belitz H., M?lders F., 2016, International Knowledge Spillovers through High-Tech Imports and R&D of Foreign-Owned Firms [J], Journal of International Trade and Economic Development, 25 (4), 590～613.
[4]B?ler E. A., Moxnes A., Ulltveit-Moe K. H., 2015, R&D, International Sourcing, and the Joint Impact on Firm Performance [J], American Economic Review, 105 (12), 3704～3739.
[5]Bresnahan T. F., Trajtenberg M., 1995, General Purpose Technologies “Engines of Growth”? [J], Journal of Econometrics, 65 (1), 83～108.
[6]Cheung K., Lin P., 2004, Spillover Effects of FDI on Innovation in China: Evidence from the Provincial Data [J], China Economic Review, 15 (1), 25～44.
[7]Chen Z., Zhang J., Zheng W., 2017, Import and Innovation: Evidence from Chinese Firms [J], European Economic Review, 94, 205～220.
[8]Coe D. T., Helpman E., 1995, International R&D Spillovers [J], European Economic Review, 39 (5), 859～887.
[9]Dedrick J., Gurbaxani V., Kraemer K. L., 2003, Information Technology and Economic Performance: A Critical Review of the Empirical Evidence [J], ACM Computing Surveys, 35 (1), 1～28.
[10]Eaton J., Kortum S., 1996, Trade in Ideas: Patenting and Productivity in the OECD [J], Journal of International Economics, 40 (3～4), 251～278.
[11]Fu X., 2008, Foreign Direct Investment, Absorptive Capacity and Regional Innovation Capabilities: Evidence from China [J], Oxford Development Studies, 36 (1), 89～110.
[12]Gholami R., Guo X., Lee S. Y. T., 2009, Information and Communications Technology (ICT) International Spillovers [J], IEEE Transactions on Engineering Management, 56 (2), 329～340.
[13]Griliches Z., 1990, Patent Statistics as Economic Indicators: A Survey [J], Journal of Economic Literature, 28 (4), 1661～1707.
[14]Hansen B. E., 1999, Threshold Effects in Non-Dynamic Panels: Estimation Testing and Inference [J], Journal of Econometrics, 93 (2), 345～368.
[15]Hu A. G., Jefferson G. H., 2009, A Great Wall of Patents: What is behind China's Recent Patent Explosion? [J], Journal of Development Economics, 90 (1), 57～68.
[16]Hu A. G., 2010, Propensity to Patent, Competition and China's Foreign Patenting Surge [J], Research Policy, 39 (7), 985～993.
[17]Jiang R.,Cai H.,Li Y., Li H, 2010, China's Sustained Economic Growth: Do Direct R&D Spillovers Matter? [J], China & World Economy, 18 (5), 37～53.
[18]Jiang R., Tortorice D. L., Jefferson G. H., 2016, Restructuring China's Research Institutes: Impacts on China's Research Orientation and Productivity [J], Economics of Transition, 24 (1), 163～208.
[19]Keller W., 2004, International Technology Diffusion [J], Journal of Economic Literature, 42 (3), 752～782.
[20]Krammer S. M. S., 2014, Assessing the Relative Importance of Multiple Channels for Embodied and Disembodied Technological Spillovers [J], Technological Forecasting & Social Change, 81 (1), 272～286.
[21]Le T., 2008, Brain Drain or Brain Circulation: Evidence from OECD's International Migration and R&D Spillovers [J], Scottish Journal of Political Economy, 55 (5), 618～636.
[22]Lee G., 2005, Direct versus Indirect International R&D Spillovers [J], Information Economics & Policy, 17 (3), 334～348.
[23]Liu Q., Qiu L. D., 2016, Intermediate Input Imports and Innovations: Evidence from Chinese Firms' Patent Filings [J], Journal of International Economics, 103, 166～183.
[24]Pakes A., Griliches Z., 1980, Patents and R&D at the Firm Level: A First Report [J], Economics Letters, 5 (4), 377～381.
[25]Park J., 2004, International and Intersectoral R&D Spillovers in the OECD and East Asian Economies [J], Economic Inquiry, 42 (4), 739～757.
[26]Romer P. M., 1986, Increasing Returns and Long-Run Growth [J], Journal of Political Economy, 94 (5), 1002～1037.
[27]Romer P. M., 1990, Endogenous Technological Change [J], Journal of Political Economy, 98 (5), S71～S102.
[28]Wooldridge J. M., 2016, Introductory Econometrics: A Modern Approach, 6th [M], Cengage Learning.
[29]Zhang L., 2017, The Knowledge Spillover Effects of FDI on the Productivity and Efficiency of Research Activities in China [J], China Economic Review, 42, 1～14.
[30]何兴强、欧燕、史卫、刘阳:《FDI技术溢出与中国吸收能力门槛研究》[J],《世界经济》2014年第10期。
[31]蒋仁爱、冯根福:《贸易、FDI、无形技术外溢与中国技术进步》[J],《管理世界》2012年第9期。
[32]蒋仁爱、蔡虹、孙丰文:《贸易及无形技术外溢对中国全要素生产率的传导机理研究》[J],《研究与发展管理》2016年第1期。
[33]赖永剑:《贸易开放对区域创新能力的动态非线性影响——基于面板平滑转换回归模型》[J],《软科学》2015年第5期。
[34]李平、许家云:《国际智力回流的技术扩散效应研究——基于中国地区差异及门槛回归的实证分析》[J],《经济学(季刊)》2011年第3期。
[35]李平、许家云、张庆昌:《智力跨国外流有利于中国技术创新吗?》[J],《财经研究》2013年a第2期。
[36]李平、宫旭红、齐丹丹:《中国最优知识产权保护区间研究——基于自主研发及国际技术引进的视角》[J],《南开经济研究》2013年b第3期。
[37]唐晓云、赵桂芹:《外国在华专利激增:市场占有还是绸缪竞争?》[J],《世界经济研究》2017年第3期。
[38]杨河清、陈怡安:《海归回流:知识溢出及门槛效应——基于中国的实证检验》[J],《人口研究》2013年第5期。
(1)本文选取的26个发达国家包括:澳大利亚、奥地利、比利时、加拿大、塞浦路斯、捷克、丹麦、芬兰、法国、德国、匈牙利、冰岛、爱尔兰、意大利、日本、韩国、荷兰、新西兰、挪威、葡萄牙、斯洛文尼亚、西班牙、瑞典、瑞士、英国、美国。
(2)本文采用Cheung和Lin(2004)的做法,将所有省份划分为东、中、西三个区域。其中,东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、广西、海南,中部地区包含山西、内蒙古、吉林、黑龙江、安徽、江西、河南、湖北、湖南,西部地区主要有重庆、四川、贵州、云南、陕西、甘肃、青海、宁夏、新疆、西藏。
[2]Barro R. J., Lee J. W., 2013, A New Data Set of Educational Attainment in the World, 1950～2010 [J], Journal of Development Economics, 104, 184～198.
[3]Belitz H., M?lders F., 2016, International Knowledge Spillovers through High-Tech Imports and R&D of Foreign-Owned Firms [J], Journal of International Trade and Economic Development, 25 (4), 590～613.
[4]B?ler E. A., Moxnes A., Ulltveit-Moe K. H., 2015, R&D, International Sourcing, and the Joint Impact on Firm Performance [J], American Economic Review, 105 (12), 3704～3739.
[5]Bresnahan T. F., Trajtenberg M., 1995, General Purpose Technologies “Engines of Growth”? [J], Journal of Econometrics, 65 (1), 83～108.
[6]Cheung K., Lin P., 2004, Spillover Effects of FDI on Innovation in China: Evidence from the Provincial Data [J], China Economic Review, 15 (1), 25～44.
[7]Chen Z., Zhang J., Zheng W., 2017, Import and Innovation: Evidence from Chinese Firms [J], European Economic Review, 94, 205～220.
[8]Coe D. T., Helpman E., 1995, International R&D Spillovers [J], European Economic Review, 39 (5), 859～887.
[9]Dedrick J., Gurbaxani V., Kraemer K. L., 2003, Information Technology and Economic Performance: A Critical Review of the Empirical Evidence [J], ACM Computing Surveys, 35 (1), 1～28.
[10]Eaton J., Kortum S., 1996, Trade in Ideas: Patenting and Productivity in the OECD [J], Journal of International Economics, 40 (3～4), 251～278.
[11]Fu X., 2008, Foreign Direct Investment, Absorptive Capacity and Regional Innovation Capabilities: Evidence from China [J], Oxford Development Studies, 36 (1), 89～110.
[12]Gholami R., Guo X., Lee S. Y. T., 2009, Information and Communications Technology (ICT) International Spillovers [J], IEEE Transactions on Engineering Management, 56 (2), 329～340.
[13]Griliches Z., 1990, Patent Statistics as Economic Indicators: A Survey [J], Journal of Economic Literature, 28 (4), 1661～1707.
[14]Hansen B. E., 1999, Threshold Effects in Non-Dynamic Panels: Estimation Testing and Inference [J], Journal of Econometrics, 93 (2), 345～368.
[15]Hu A. G., Jefferson G. H., 2009, A Great Wall of Patents: What is behind China's Recent Patent Explosion? [J], Journal of Development Economics, 90 (1), 57～68.
[16]Hu A. G., 2010, Propensity to Patent, Competition and China's Foreign Patenting Surge [J], Research Policy, 39 (7), 985～993.
[17]Jiang R.,Cai H.,Li Y., Li H, 2010, China's Sustained Economic Growth: Do Direct R&D Spillovers Matter? [J], China & World Economy, 18 (5), 37～53.
[18]Jiang R., Tortorice D. L., Jefferson G. H., 2016, Restructuring China's Research Institutes: Impacts on China's Research Orientation and Productivity [J], Economics of Transition, 24 (1), 163～208.
[19]Keller W., 2004, International Technology Diffusion [J], Journal of Economic Literature, 42 (3), 752～782.
[20]Krammer S. M. S., 2014, Assessing the Relative Importance of Multiple Channels for Embodied and Disembodied Technological Spillovers [J], Technological Forecasting & Social Change, 81 (1), 272～286.
[21]Le T., 2008, Brain Drain or Brain Circulation: Evidence from OECD's International Migration and R&D Spillovers [J], Scottish Journal of Political Economy, 55 (5), 618～636.
[22]Lee G., 2005, Direct versus Indirect International R&D Spillovers [J], Information Economics & Policy, 17 (3), 334～348.
[23]Liu Q., Qiu L. D., 2016, Intermediate Input Imports and Innovations: Evidence from Chinese Firms' Patent Filings [J], Journal of International Economics, 103, 166～183.
[24]Pakes A., Griliches Z., 1980, Patents and R&D at the Firm Level: A First Report [J], Economics Letters, 5 (4), 377～381.
[25]Park J., 2004, International and Intersectoral R&D Spillovers in the OECD and East Asian Economies [J], Economic Inquiry, 42 (4), 739～757.
[26]Romer P. M., 1986, Increasing Returns and Long-Run Growth [J], Journal of Political Economy, 94 (5), 1002～1037.
[27]Romer P. M., 1990, Endogenous Technological Change [J], Journal of Political Economy, 98 (5), S71～S102.
[28]Wooldridge J. M., 2016, Introductory Econometrics: A Modern Approach, 6th [M], Cengage Learning.
[29]Zhang L., 2017, The Knowledge Spillover Effects of FDI on the Productivity and Efficiency of Research Activities in China [J], China Economic Review, 42, 1～14.
[30]何兴强、欧燕、史卫、刘阳:《FDI技术溢出与中国吸收能力门槛研究》[J],《世界经济》2014年第10期。
[31]蒋仁爱、冯根福:《贸易、FDI、无形技术外溢与中国技术进步》[J],《管理世界》2012年第9期。
[32]蒋仁爱、蔡虹、孙丰文:《贸易及无形技术外溢对中国全要素生产率的传导机理研究》[J],《研究与发展管理》2016年第1期。
[33]赖永剑:《贸易开放对区域创新能力的动态非线性影响——基于面板平滑转换回归模型》[J],《软科学》2015年第5期。
[34]李平、许家云:《国际智力回流的技术扩散效应研究——基于中国地区差异及门槛回归的实证分析》[J],《经济学(季刊)》2011年第3期。
[35]李平、许家云、张庆昌:《智力跨国外流有利于中国技术创新吗?》[J],《财经研究》2013年a第2期。
[36]李平、宫旭红、齐丹丹:《中国最优知识产权保护区间研究——基于自主研发及国际技术引进的视角》[J],《南开经济研究》2013年b第3期。
[37]唐晓云、赵桂芹:《外国在华专利激增:市场占有还是绸缪竞争?》[J],《世界经济研究》2017年第3期。
[38]杨河清、陈怡安:《海归回流:知识溢出及门槛效应——基于中国的实证检验》[J],《人口研究》2013年第5期。
(1)本文选取的26个发达国家包括:澳大利亚、奥地利、比利时、加拿大、塞浦路斯、捷克、丹麦、芬兰、法国、德国、匈牙利、冰岛、爱尔兰、意大利、日本、韩国、荷兰、新西兰、挪威、葡萄牙、斯洛文尼亚、西班牙、瑞典、瑞士、英国、美国。
(2)本文采用Cheung和Lin(2004)的做法,将所有省份划分为东、中、西三个区域。其中,东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、广西、海南,中部地区包含山西、内蒙古、吉林、黑龙江、安徽、江西、河南、湖北、湖南,西部地区主要有重庆、四川、贵州、云南、陕西、甘肃、青海、宁夏、新疆、西藏。