知识产权保护对OFDI逆向技术溢出的影响
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摘要
新兴经济体的对外直接投资日益成为国际技术溢出的一条重要路径,母国的知识产权保护力度对OFDI逆向技术溢出的重要性不容忽视。文章利用2003～2015年中国省际面板数据检验了知识产权保护对OFDI逆向技术溢出的影响,研究结果表明:知识产权保护对OFDI逆向技术溢出影响呈"倒U型"关系,总体上产生了积极影响,其中东部地区最为显著;进一步地,门槛检验表明,随着经济发展水平、开放程度和吸收能力跨过相应的门槛值,知识产权保护对OFDI的逆向技术溢出促进作用会先上升后下降。
Outward foreign direct investment in emerging economies has increasingly become an important path for international technology spillovers. The importance of home country's intellectual property protection over the OFDI reverse technology spillover cannot be ignored. This paper examines the impact of intellectual property protection on OFDI reverse technology spillovers using Chinese provincial panel data from 2003 to 2015. The results show that: intellectual property protection has an inverted " U" relationship with OFDI reverse technology spillovers,and the overall effect is significant,but the impact in the eastern region is the most significant;further,the threshold test shows that as the level of economic development,degree of openness,and absorptive capacity cross the corresponding thresholds,the effect of IPR protection on OFDI's reverse technology spillover will first increase and then decline. Therefore,Chinese policy formulation should fully take into account the differences between regions.
Outward foreign direct investment in emerging economies has increasingly become an important path for international technology spillovers. The importance of home country's intellectual property protection over the OFDI reverse technology spillover cannot be ignored. This paper examines the impact of intellectual property protection on OFDI reverse technology spillovers using Chinese provincial panel data from 2003 to 2015. The results show that: intellectual property protection has an inverted " U" relationship with OFDI reverse technology spillovers,and the overall effect is significant,but the impact in the eastern region is the most significant;further,the threshold test shows that as the level of economic development,degree of openness,and absorptive capacity cross the corresponding thresholds,the effect of IPR protection on OFDI's reverse technology spillover will first increase and then decline. Therefore,Chinese policy formulation should fully take into account the differences between regions.
引文
[1] Bitzer J,Kerekes M.. Does foreign direct investment transfer technology across borders new evidence[J]. Economics Letters,2008,99(3):355-358.
[2] Coe,D. T.,Helpman,E.. International R&D Spillovers[J]. European Economic Review,1995,39(5):859-887.
[3] Driffield N.,Love J. H.. Foreign direct investment:technology sourcing and reverse spillovers[J],The Manchester School[J],2010,71(6):659-672.
[4] Dunning J. H.. Location of Economic Activity and the MNE:A Search for an Eclectic Approach[J]. The International Allocation of Economic Activity,1977,(1023):203-205.
[5] Griliches Z.,Lichtenberg F.. Inter-industry technology flows and productivity growth:A reexaminatio[J]Review of Economics and Statistics. 1984,66(2):324-329.
[6] Ginarte J. C.,Park W. G.. Determinants of patent rights:A cross-national study[J]. Research Policy,1997,26(3):283-301.
[7] Griliches,Pakes A.. Patents and R&D at the firm level:A first book[J]. NBER Working Paper,No. 0561,1980.
[8] Hansen B E.. Threshold effects in Non-Dynamic Panels Estimation,Testing and Inference[J]. Journal of Economics,1999,93(2):345-368.
[9] Helpman E.. Innovation,imitation,and intellectual property rights[J],Econometrica,1993,61(6):1247-1280.
[10] Kogut B.,Chang S.. Technological capabilities and Japanese foreign direct investment in the United States[J]. The Review of Economicsand Statistics,1991,73(3):401-413.
[11] Maskus K. E,Yang G. F.. Intellectual Property Rights,Foreign Direct Investment and Competition Issues in Developing Countries[J]. International Journal of Technology Management,2000,19(1-2):22-34.
[12] Maskus K. E.. The role of intellectual property rights in encouraging foreign direct investment and technology transfer[J]. Duke Journal of Comparative and International Law,1998,10(1):387-410.
[13] Mansfield E.. Intellectual Protection Driect Investment,and Technology Transfer[J]. World Bank,1995,78(2):181-186.
[14] Neven D.,Siotis G.. Technology sourcing and FDI in the EC:An empiricalevaluation[J]. International Journal of Industrial Organization,1996,14(5); 543-560.
[15] Peng M. W.,Wang D. Y. L.,Jiang,Y.. An Institution-based View of International Business Strategy:a facous on Economics[J]. Journal of International Business Studies,2008,39(5):920-936.
[16] Pottelsberghe B. V.,Lichtenberg F.. International R&D spillovers comment[J]. Ulb Institutional Repository,1998,42(8):1483-1491
[17] Pottelsberghe B. V.,Lichtenberg F.. The channels of international R&D spillovers:alternative measures of technology transfer among industrialized countries[J]. Finan9as E Governan9a Corporativa,1996:106-125
[18] Pottelsberghe B. V.,Lichtenberg F.. Does foreign direct investment transfer technology across boders?[J]. Review of Economics and Statistics,2001,83(3):490-497.
[19] Serapio M. G.,Dalton D. H.. Globalization of industrial R&D:An examination of foreign direct investments in R&D in the United States[J]. Research Policy,1999,28(28):303-316.
[20] Van Pottelsberghe de la,Potterie B.,Lichtenberg F.. Does Foreign Direct Investment Transfer Technology Across Borders[J]. The Review of Economics&Statistics,2001,83(3):490-497.
[21] Yang G.,Maskus K. E.. Intellectual property rights,licensing,and innovation in an end ogenous product-cyclemodel[J]. Journal of International Economics,2001,53(1):169-187.
[22]陈强,刘海峰,李建昌,余文璨.中国技术寻求型对外直接投资现状、问题和政策建议[J].中国软科学,2013(11):18-25.
[23]高艳伟,申俊喜.我国制度环境对OFDI逆向技术溢出的影响[J].科技与经济,2016(2):56-60.
[24]韩玉雄,李怀祖.关于中国知识产权保护水平的定量分析[J].科学学研究,2005(3):377-382.
[25]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(3):123-138.
[26]李梅,柳士昌.对外直接投资逆向技术溢出的地区差异和门槛效应——基于中国省际面板数据的门槛回归分析[J].管理世界,2012(01):21-32+66.
[27]刘明霞,王学军.中国对外直接投资的逆向技术溢出效应研究[J].世界经济研究,2009(09):57-62+88-89.
[28]沙文兵.对外直接投资、逆向技术溢出与国内创新能力——基于中国省际面板数据的实证研究[J].世界经济研究,2012(3):69-74+89.
[29]苏为华,孔伟杰.基于知识产权保护的国际贸易和FDI技术溢出效应研究[J].统计研究,2010(2):58-65.
[30]王恕立,向姣姣.对外直接投资逆向技术溢出与全要素生产率:基于不同投资动机的经验分析[J].国际贸易问题,2014(9):109-119.
[31]余长林,王瑞芳.知识产权保护、技术差距与发展中国家的技术进步[J].当代经济科学,2008(4):13-22+124.
[32]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(7):53-60.
(1)《深入实施国家知识产权战略行动计划(2014~2020年)》在体现一个国家自主创新能力的国际通用指标“万人发明专利拥有量”方面,要求从2013年的4件提高到2020年的14件,达到欧美发达国家水平。
(2)同时,本文采用另一较为常用的研发资本折旧率15%(Griliches和Lichtenberg,1984)重新进行了回归检验,可以看出所得结论并无显著差异。限于篇幅结果不予给出,读者若有需要,请与笔者联系。
(3)这8个国家分别是美国、澳大利亚、荷兰、英国、加拿大、卢森堡、德国和法国。
(4)为了节约篇幅,外商直接投资和进口的研发测算未再进行详细说明,本文仅将其与对外直接投资的计算公式合并到一起做了简单的解释。
(1)output为国内生产总值,output2为第二产业的产出值。
(1)根据国发《2000》33号文件,将中国31个省份(市、自治区)分为东部、中部和西部三个地区。东部地区是指北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东和海南;中部地区是指山西、吉林、黑龙江、安徽、江西、河南、湖北和湖南;西部地区是指重庆、四川、贵州、云南、西藏、陕西、甘肃、青海、宁夏、新疆、广西和内蒙古。
(1)变量的说明见表1。
[2] Coe,D. T.,Helpman,E.. International R&D Spillovers[J]. European Economic Review,1995,39(5):859-887.
[3] Driffield N.,Love J. H.. Foreign direct investment:technology sourcing and reverse spillovers[J],The Manchester School[J],2010,71(6):659-672.
[4] Dunning J. H.. Location of Economic Activity and the MNE:A Search for an Eclectic Approach[J]. The International Allocation of Economic Activity,1977,(1023):203-205.
[5] Griliches Z.,Lichtenberg F.. Inter-industry technology flows and productivity growth:A reexaminatio[J]Review of Economics and Statistics. 1984,66(2):324-329.
[6] Ginarte J. C.,Park W. G.. Determinants of patent rights:A cross-national study[J]. Research Policy,1997,26(3):283-301.
[7] Griliches,Pakes A.. Patents and R&D at the firm level:A first book[J]. NBER Working Paper,No. 0561,1980.
[8] Hansen B E.. Threshold effects in Non-Dynamic Panels Estimation,Testing and Inference[J]. Journal of Economics,1999,93(2):345-368.
[9] Helpman E.. Innovation,imitation,and intellectual property rights[J],Econometrica,1993,61(6):1247-1280.
[10] Kogut B.,Chang S.. Technological capabilities and Japanese foreign direct investment in the United States[J]. The Review of Economicsand Statistics,1991,73(3):401-413.
[11] Maskus K. E,Yang G. F.. Intellectual Property Rights,Foreign Direct Investment and Competition Issues in Developing Countries[J]. International Journal of Technology Management,2000,19(1-2):22-34.
[12] Maskus K. E.. The role of intellectual property rights in encouraging foreign direct investment and technology transfer[J]. Duke Journal of Comparative and International Law,1998,10(1):387-410.
[13] Mansfield E.. Intellectual Protection Driect Investment,and Technology Transfer[J]. World Bank,1995,78(2):181-186.
[14] Neven D.,Siotis G.. Technology sourcing and FDI in the EC:An empiricalevaluation[J]. International Journal of Industrial Organization,1996,14(5); 543-560.
[15] Peng M. W.,Wang D. Y. L.,Jiang,Y.. An Institution-based View of International Business Strategy:a facous on Economics[J]. Journal of International Business Studies,2008,39(5):920-936.
[16] Pottelsberghe B. V.,Lichtenberg F.. International R&D spillovers comment[J]. Ulb Institutional Repository,1998,42(8):1483-1491
[17] Pottelsberghe B. V.,Lichtenberg F.. The channels of international R&D spillovers:alternative measures of technology transfer among industrialized countries[J]. Finan9as E Governan9a Corporativa,1996:106-125
[18] Pottelsberghe B. V.,Lichtenberg F.. Does foreign direct investment transfer technology across boders?[J]. Review of Economics and Statistics,2001,83(3):490-497.
[19] Serapio M. G.,Dalton D. H.. Globalization of industrial R&D:An examination of foreign direct investments in R&D in the United States[J]. Research Policy,1999,28(28):303-316.
[20] Van Pottelsberghe de la,Potterie B.,Lichtenberg F.. Does Foreign Direct Investment Transfer Technology Across Borders[J]. The Review of Economics&Statistics,2001,83(3):490-497.
[21] Yang G.,Maskus K. E.. Intellectual property rights,licensing,and innovation in an end ogenous product-cyclemodel[J]. Journal of International Economics,2001,53(1):169-187.
[22]陈强,刘海峰,李建昌,余文璨.中国技术寻求型对外直接投资现状、问题和政策建议[J].中国软科学,2013(11):18-25.
[23]高艳伟,申俊喜.我国制度环境对OFDI逆向技术溢出的影响[J].科技与经济,2016(2):56-60.
[24]韩玉雄,李怀祖.关于中国知识产权保护水平的定量分析[J].科学学研究,2005(3):377-382.
[25]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(3):123-138.
[26]李梅,柳士昌.对外直接投资逆向技术溢出的地区差异和门槛效应——基于中国省际面板数据的门槛回归分析[J].管理世界,2012(01):21-32+66.
[27]刘明霞,王学军.中国对外直接投资的逆向技术溢出效应研究[J].世界经济研究,2009(09):57-62+88-89.
[28]沙文兵.对外直接投资、逆向技术溢出与国内创新能力——基于中国省际面板数据的实证研究[J].世界经济研究,2012(3):69-74+89.
[29]苏为华,孔伟杰.基于知识产权保护的国际贸易和FDI技术溢出效应研究[J].统计研究,2010(2):58-65.
[30]王恕立,向姣姣.对外直接投资逆向技术溢出与全要素生产率:基于不同投资动机的经验分析[J].国际贸易问题,2014(9):109-119.
[31]余长林,王瑞芳.知识产权保护、技术差距与发展中国家的技术进步[J].当代经济科学,2008(4):13-22+124.
[32]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(7):53-60.
(1)《深入实施国家知识产权战略行动计划(2014~2020年)》在体现一个国家自主创新能力的国际通用指标“万人发明专利拥有量”方面,要求从2013年的4件提高到2020年的14件,达到欧美发达国家水平。
(2)同时,本文采用另一较为常用的研发资本折旧率15%(Griliches和Lichtenberg,1984)重新进行了回归检验,可以看出所得结论并无显著差异。限于篇幅结果不予给出,读者若有需要,请与笔者联系。
(3)这8个国家分别是美国、澳大利亚、荷兰、英国、加拿大、卢森堡、德国和法国。
(4)为了节约篇幅,外商直接投资和进口的研发测算未再进行详细说明,本文仅将其与对外直接投资的计算公式合并到一起做了简单的解释。
(1)output为国内生产总值,output2为第二产业的产出值。
(1)根据国发《2000》33号文件,将中国31个省份(市、自治区)分为东部、中部和西部三个地区。东部地区是指北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东和海南;中部地区是指山西、吉林、黑龙江、安徽、江西、河南、湖北和湖南;西部地区是指重庆、四川、贵州、云南、西藏、陕西、甘肃、青海、宁夏、新疆、广西和内蒙古。
(1)变量的说明见表1。