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跨国公司在华专利申请对我国的技术外溢效应研究
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摘要
在经济全球化的今天,一国的技术进步不仅受到国内技术创新的影响,也受国际因素的影响。这种影响在技术创新能力薄弱的发展中国家和地区表现得尤为明显。随着发展中国家和地区知识产权保护制度的不断完善,发达国家在其专利申请的数量和质量都得到明显的提升。这为发展中国家和地区技术创新能力的提高及创新机制的形成提供了潜在的有利条件,发展中国家可以充分利用国外专利申请产生的技术溢出效应,缩小与发达国家的技术差距。国外专利申请作为国际技术扩散的重要路径之一,是否加快了大量先进专利技术信息的转移和扩散,从而对发展中国家和地区产生显著的技术溢出效应,如何利用其促进技术进步备受国内外学者的关注。
     本文利用中国27个省市1985年到2006年面板数据,研究了外国公司在华专利申请对我国全要素生产率的影响。实证结果表明,跨国公司在华专利申请对我国技术进步并没有产生直接溢出效应,但可以间接激励我国本土企业加强自主研发,从而促进我国技术进步;从总体效应看,跨国公司在华专利申请负的直接效应抵消了正的间接效应,总体上并没有对我国的全要素生产率产生推动作用。从地区层面看,东部地区由于其经济和地域优势一方面获得较大的外国研发资本存量间接溢出效应,但也由于知识产权的保护受到外国企业较大的直接技术挤压;另外,跨国公司在华专利申请溢出的国外研发资本存量对东、中、西等各地区技术进步的综合影响溢出效应都为负。研究结果同时表明,跨国公司在华专利申请的间接技术溢出效应对社会整体科技水平的提高有积极意义,但目前我国研发投入仍然是我国技术进步的主要“源泉”。
With the globalization of economy,a country's technological progress is not only affected by the domestic technological innovation but also by the international factors. This effect is particularly evident in developing countries and regions whose technological innovation capacity is weak. With the system of the protection of intellectual property rights becoming more and more complete in developing countries and regions, the patent applications of developed countries in them have been significantly improved at the quantity and quality. This provides developing countries and regions with potential favorable conditions for the improvement of technological innovation capacity and the formation of innovative mechanisms, developing countries can take full advantage of the technology spillover effects of foreign patent applications to narrow the technology gap with developed countries. As important path of international technology diffusion, whether foreign patent application has had significant technology spillover effects on the developing countries and how to make use of it to boost technological advance have been paid attention by scholars both at home and abroad.
     Using panel data of 27 provinces from 1985 to 2006, this paper studies the impact of foreign patent applications in China on domestic total factor productivity. Empirical results show that: patent applications in China by multinational companies do not have a direct role on China's technological progress, but indirectly promote technological progress by technology diffusion to other domestic firms. Overall, the Positive direct effect of the patent application in China by multinational corporations is offset by the negative direct effect, and foreign patent applications did not boost the total factor productivity of our country on the whole. On the district level, the eastern region got larger indirect spillover effects of capital stock of foreign R&D because of its economic and geographical advantages, but suffered greater direct technical squeeze by foreign companies because of the intellectual property protection. In addition, the combined technological progress effect of the R&D capital stock spilled by foreign patent applications on the eastern, central and western regions are all negative. The results demonstrate that the indirect technology spill effect of the patent applications of multinational corporations in China has positive significance on the improvement of our technological level; however, our domestic R&D investment is still the main “source”of China's technological progress at present.
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