知识产权保护与中国企业进口产品质量
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摘要
理论上进口地区知识产权保护加强会促进新产品的进口,但对进口产品质量的影响方向不确定,新产品的质量可能会高于或低于知识产权保护之前的进口产品质量。基于中国企业微观数据的分析结果表明:中国进口地区加强知识产权保护会扩展外国企业出口产品的种类范围,进口地区会进口新的产品品种,但新品种的质量水平低于持续进口产品,从而拉低了进口产品质量的平均水平;进口地区知识产权保护加强,仅对中等技术产品的进口产品质量影响显著,对高、低技术产品的进口产品质量影响都不显著。此外,进口地区加强知识产权保护,显著促进了中等技术产品中的中等质量品种进口规模。
This paper theoretically analyses the impact of intellectual property rights(IPRs) protection on the quality of imported products, empirically analysing this using Chinese enterprise micro-data. The results of the study show that:(i) increased IPRs protection in importing regions encourages foreign enterprises to start exporting a wider range of product varieties and incentivizes Chinese enterprises to import these new varieties, however, the quality of these is lower than that of the commonly imported varieties, thereby reducing the average level of imported product quality;(ii) the effects of increased IPRs protection on the quality of imported medium-tech products are significant, while they are unobservable on high-and low-tech products; and(iii) an additional study notes that with increased IPRs protection, mid-quality varieties' import of medium-tech products rises significantly.
This paper theoretically analyses the impact of intellectual property rights(IPRs) protection on the quality of imported products, empirically analysing this using Chinese enterprise micro-data. The results of the study show that:(i) increased IPRs protection in importing regions encourages foreign enterprises to start exporting a wider range of product varieties and incentivizes Chinese enterprises to import these new varieties, however, the quality of these is lower than that of the commonly imported varieties, thereby reducing the average level of imported product quality;(ii) the effects of increased IPRs protection on the quality of imported medium-tech products are significant, while they are unobservable on high-and low-tech products; and(iii) an additional study notes that with increased IPRs protection, mid-quality varieties' import of medium-tech products rises significantly.
引文
樊纲、王小鲁(2007):《中国市场化指数:各地区市场化相对进程报告》,北京:经济科学出版社。
李平、崔喜君、刘建(2007):《中国自主创新中研发资本投入产出绩效分析》,《中国社会科学》第2期。
施炳展、曾祥菲(2015):《中国企业进口产品质量测算与事实》,《世界经济》第3期。
魏浩(2016):《知识产权保护强度与中国的高新技术产品进口》,《数量经济技术经济研究》第12期。
魏浩、巫俊(2018a):《知识产权保护与中国工业企业进口》,《经济学动态》第3期。
魏浩、巫俊(2018b):《知识产权保护、进口贸易与创新型领军企业创新》,《金融研究》第9期。
魏浩、赵春明、李晓庆(2016):《中国进口商品结构变化的估算:2000-2014年》,《世界经济》第4期。
杨遵道、叶凤美(1993):《清政权半殖民地化研究》,北京:高等教育出版社。
余长林(2016):《知识产权保护与中国企业出口增长的二元边际》,《统计研究》第1期。
Ang,J.S.;Wu,C.P.and Cheng,Y.M.“Does Enforcement of Intellectual Property Rights Matter?Evidence from Financing and Investment Choices in the High Tech Industry.”Review of Economics & Statistics,2014,96(2),pp.332-348.
Awokuse,T.O.and Gu,W.G.“Does Foreign Intellectual Property Rights Protection Affect US Exports and FDI?”Bulletin of Economic Research,2015,67(3),pp.256-264.
Broda,C.and Weinstein,D.E.“Globalization and the Gains from Variety.”Quarterly Journal of Economics,2006,121(2),pp.541-585.
Bas,M.and Strauss-Kahn,V.“Input-Trade Liberalization,Export Prices and Quality Upgrading.”Journal of International Economics,2015,95(2),pp.250-262.
Brandt,L;Johannes,B.and Zhang,Y.F.“Creative Accounting or Creative Destruction?Firm-Level Productivity Growth in Chinese Manufacturing.”Journal of Development Economics,2012,97(2),pp.339-351.
Campi,M.and Dueňas,M.“Intellectual Property Rights and International Trade of Agricultural Products.”World Development,2016,80,pp.1-18.
Curzi,D.;Raimondi,V.and Olper,A.“Quality Upgrading,Competition and Trade Policy:Evidence from the Agri-Food Sector.”European Review of Agricultural Economics,2015,42(2),pp.239-267.
Delgado,M.;Kyle,M.and McGahan,A.M.“Intellectual Property Protection and the Geography of Trade.”The Journal of Industrial Economics,2013,61(3),pp.733-762.
Dinopoulos,E.and Segerstrom,P.“Intellectual Property Rights,Multinational Firms and Economic Growth.”Journal of Development Economics,2010,92(1),pp.13-27.
Fajgelbaum,P.D.;Grossman,G.M.and Helpman,E.“Income Distribution,Product Quality,and International Trade.”Journal of Political Economy,2011,119 (4),pp.721-65.
Fan,H.C.;Li,Y.A.and Yeaple,S.R.“Trade Liberalization,Quality,and Export Prices.”Review of Economics and Statistics,2015a,97(5),pp.1033-1051.
Fan,H.C.;Lai,L.C.and Li,Y.A.“Credit Constraints,Quality,and Export Prices:Theory and Evidence from China.”Journal of Comparative Economics,2015b,43 (2),pp.390-416.
Foster,N.“Intellectual Property Rights and the Margins of International Trade.”Journal of International Trade & Economic Development,2014,23(1),pp.1-30.
Glass,A.J.and Wu,X.D.“Intellectual Property Rights and Quality Improvement.” Journal of Development Economics.2007,82(82),pp.393-415.
Ginarte,J.C.and Park,W.G.“Determinants of Patent Rights:A Cross-National Study.”Research Policy,1997,26(3),pp.283-301.
Hallak,J.C.“Product Quality and the Direction of Trade.”Journal of International Economics,2006,68(1),pp.238-265.
Ivus,O.“Does Stronger Patent Protection Increase Export Variety?Evidence from US Product-Level Data.”Journal of International business studies,2015,46(6),pp.724-731.
Ivus,O.“Trade-Related Intellectual Property Rights:Industry Variation and Technology Diffusion.”Canadian Journal of Economics,2011,44(1),pp.201-226.
Ivus,O.“Do Stronger Patent Rights Raise High-Tech Exports to the Developing World?”Journal of International Economics,2010,81(1),pp.38-47.
Khandelwal,A.;Schott,P.K.and Wei,S.J.“Trade Liberalization and Embedded Institutional Reform:Evidence from Chinese Exporters.” The American Economic Review,2013,103(6),pp.2169-2195.
Kabir,M.and Salim,R.“Is Trade in Electrical and Electronic Products Sensitive to IPR Protection?Evidence from China’s Exports.”Applied Economics,2016,48(21),pp.1991-2005.
Krugman,P.“A Model of Innovation,Technology Transfer and the World Distribution of Income.”Journal of Political Economy,1979,87,pp.253-266.
Maskus,K.E.and Penubarti,M.“How Trade-Related are Intellectual Property Rights?”Journal of International Economics,1995,39(3-4),pp.227-248.
Naghavi,A.;Spies,J.and Toubal,F.“Intellectual Property Rights,Product Complexity and the Organization of Multinational Firms.”Canadian Journal of Economics,2015,48(3),pp.881-902.
Park,W.G.“International Patent Protection:1960-2005.”Research Policy,2008,37(4),pp.761-766.
Rafiquzzaman,M.“The Impact of Patent Right on International Trade:Evidence from Canada.”Canadian Journal of Economics,2002,35(2),pp.307-330.
Rauch,J.E.“Networks versus Markets in International Trade.”Journal of International Economics,1999,48(1),pp.7-35.
Salim,R.;Mawali,N.A.and Islam,A.“Do the Intellectual Property Rights of Importers Matter for Promoting Australian Exports?” Australian Economic Review,2014,47(3),pp.279-289.
Smith,P.J.“Are Weak Patent Rights a Barrier to U.S.Exports?”Journal of International Economics,1999,48(1),pp.151-177.
Talor,M.S.“TRIPs,Trade and Technology Transfer.”TheCanadian Journal of Economics,1993,26(3),pp.625-637.
Yang,L.;Tsai,Y.and Mukherjee,A.“Intellectual Property Rights and the Quality of Transferred Technology in Developing Countries.”Review of Development Economics,2016,20(1),pp.239-249.
(1)从国家层面深入到省份层面进行研究具有一定可行性,原因在于:第一,中国市场大、省份间的市场规模和消费者需求结构差别较大。第二,国内市场仍存在分割现象。建立和完善全国统一的市场体系是中国市场经济体制改革的核心内容之一。第三,各省知识产权保护执法情况存在明显差异。在此背景下,外国出口企业在选择目标销售市场时,除了关注国家层面知识产权保护立法情况外,更关注出口目的省份知识产权保护执行情况。此外,从经验研究角度来看,采用省份知识产权保护度,可以增加样本量,使研究结果更可信。
(2)高技术产品(高质量组、中质量组、低质量组)、中技术产品(高质量组、中质量组、低质量组)、低技术产品(高质量组、中质量组、低质量组)。
(3)这是国际知识产权组织(World Intellectual Property Organization,WIPO)出版的一份中国知识产权保护报告(2013年版),http://www.wipo.int/wipolex/zh/details.jsp?id=13387。
(4)数据来源于www.freetheworld.com。
(5)本文选择3年为样本考察期是参考世界银行的微观企业调查问卷的做法。该问卷关于研发(新产品)相关问题一般以3年为界。此外,短期内产品质量水平也相对稳定。
(6)Ginarte和Park(1997)与Park(2008)仅公布了1995、2000及2005年的知识产权保护度,因此,本文2003年的数据采用的是2000年的G-P指数;2004年的数据为2000和2005年算数平均值。
(7)本文研究对象是一般贸易方式(不考虑加工贸易)下技术类产品(不考虑非技术类产品)的进口,一般贸易进口的技术类产品个数占全部技术类产品总个数的52.5%。
(8)具体包括以下三种情况:企业从新的进口来源地进口了上一期进口HS6产品,或者企业进口了新的HS6位码产品,或者是新企业从上一期的进口来源地进口了上一期进口的HS6产品。
(9)对中等技术产品采用t检验考察新进口品与持续进口品的质量关系,结果显示:持续进口品种的平均进口质量为0.493,标准误为0.002,标准差为0.147,95%的置信区间为[0.491,0.493];新进口品种的平均进口质量为0.478,标准误为0.001,标准差为0.154,95%的置信区间为[0.477,0.479],t检验依旧拒绝了两组产品质量不存在显著差异的原假设,中等技术产品的两组产品质量存在统计上的显著差异。同时,2003-2005年的中技术产品的平均进口质量分别为0.484、0.480及0.479;而2004和2005年的新进口品的平均进口质量分别为0.482和0.477,可见新进口品种的平均质量还低于上期进口产品的平均质量,这势必会对中等技术产品当期的平均进口质量产生稀释作用。
(10)我们还采用《中国市场化指数报告》(樊纲,2007)中的各省(市)的知识产权保护度作为当地专利保护的代理变量进行了检验,结果依旧稳健。
李平、崔喜君、刘建(2007):《中国自主创新中研发资本投入产出绩效分析》,《中国社会科学》第2期。
施炳展、曾祥菲(2015):《中国企业进口产品质量测算与事实》,《世界经济》第3期。
魏浩(2016):《知识产权保护强度与中国的高新技术产品进口》,《数量经济技术经济研究》第12期。
魏浩、巫俊(2018a):《知识产权保护与中国工业企业进口》,《经济学动态》第3期。
魏浩、巫俊(2018b):《知识产权保护、进口贸易与创新型领军企业创新》,《金融研究》第9期。
魏浩、赵春明、李晓庆(2016):《中国进口商品结构变化的估算:2000-2014年》,《世界经济》第4期。
杨遵道、叶凤美(1993):《清政权半殖民地化研究》,北京:高等教育出版社。
余长林(2016):《知识产权保护与中国企业出口增长的二元边际》,《统计研究》第1期。
Ang,J.S.;Wu,C.P.and Cheng,Y.M.“Does Enforcement of Intellectual Property Rights Matter?Evidence from Financing and Investment Choices in the High Tech Industry.”Review of Economics & Statistics,2014,96(2),pp.332-348.
Awokuse,T.O.and Gu,W.G.“Does Foreign Intellectual Property Rights Protection Affect US Exports and FDI?”Bulletin of Economic Research,2015,67(3),pp.256-264.
Broda,C.and Weinstein,D.E.“Globalization and the Gains from Variety.”Quarterly Journal of Economics,2006,121(2),pp.541-585.
Bas,M.and Strauss-Kahn,V.“Input-Trade Liberalization,Export Prices and Quality Upgrading.”Journal of International Economics,2015,95(2),pp.250-262.
Brandt,L;Johannes,B.and Zhang,Y.F.“Creative Accounting or Creative Destruction?Firm-Level Productivity Growth in Chinese Manufacturing.”Journal of Development Economics,2012,97(2),pp.339-351.
Campi,M.and Dueňas,M.“Intellectual Property Rights and International Trade of Agricultural Products.”World Development,2016,80,pp.1-18.
Curzi,D.;Raimondi,V.and Olper,A.“Quality Upgrading,Competition and Trade Policy:Evidence from the Agri-Food Sector.”European Review of Agricultural Economics,2015,42(2),pp.239-267.
Delgado,M.;Kyle,M.and McGahan,A.M.“Intellectual Property Protection and the Geography of Trade.”The Journal of Industrial Economics,2013,61(3),pp.733-762.
Dinopoulos,E.and Segerstrom,P.“Intellectual Property Rights,Multinational Firms and Economic Growth.”Journal of Development Economics,2010,92(1),pp.13-27.
Fajgelbaum,P.D.;Grossman,G.M.and Helpman,E.“Income Distribution,Product Quality,and International Trade.”Journal of Political Economy,2011,119 (4),pp.721-65.
Fan,H.C.;Li,Y.A.and Yeaple,S.R.“Trade Liberalization,Quality,and Export Prices.”Review of Economics and Statistics,2015a,97(5),pp.1033-1051.
Fan,H.C.;Lai,L.C.and Li,Y.A.“Credit Constraints,Quality,and Export Prices:Theory and Evidence from China.”Journal of Comparative Economics,2015b,43 (2),pp.390-416.
Foster,N.“Intellectual Property Rights and the Margins of International Trade.”Journal of International Trade & Economic Development,2014,23(1),pp.1-30.
Glass,A.J.and Wu,X.D.“Intellectual Property Rights and Quality Improvement.” Journal of Development Economics.2007,82(82),pp.393-415.
Ginarte,J.C.and Park,W.G.“Determinants of Patent Rights:A Cross-National Study.”Research Policy,1997,26(3),pp.283-301.
Hallak,J.C.“Product Quality and the Direction of Trade.”Journal of International Economics,2006,68(1),pp.238-265.
Ivus,O.“Does Stronger Patent Protection Increase Export Variety?Evidence from US Product-Level Data.”Journal of International business studies,2015,46(6),pp.724-731.
Ivus,O.“Trade-Related Intellectual Property Rights:Industry Variation and Technology Diffusion.”Canadian Journal of Economics,2011,44(1),pp.201-226.
Ivus,O.“Do Stronger Patent Rights Raise High-Tech Exports to the Developing World?”Journal of International Economics,2010,81(1),pp.38-47.
Khandelwal,A.;Schott,P.K.and Wei,S.J.“Trade Liberalization and Embedded Institutional Reform:Evidence from Chinese Exporters.” The American Economic Review,2013,103(6),pp.2169-2195.
Kabir,M.and Salim,R.“Is Trade in Electrical and Electronic Products Sensitive to IPR Protection?Evidence from China’s Exports.”Applied Economics,2016,48(21),pp.1991-2005.
Krugman,P.“A Model of Innovation,Technology Transfer and the World Distribution of Income.”Journal of Political Economy,1979,87,pp.253-266.
Maskus,K.E.and Penubarti,M.“How Trade-Related are Intellectual Property Rights?”Journal of International Economics,1995,39(3-4),pp.227-248.
Naghavi,A.;Spies,J.and Toubal,F.“Intellectual Property Rights,Product Complexity and the Organization of Multinational Firms.”Canadian Journal of Economics,2015,48(3),pp.881-902.
Park,W.G.“International Patent Protection:1960-2005.”Research Policy,2008,37(4),pp.761-766.
Rafiquzzaman,M.“The Impact of Patent Right on International Trade:Evidence from Canada.”Canadian Journal of Economics,2002,35(2),pp.307-330.
Rauch,J.E.“Networks versus Markets in International Trade.”Journal of International Economics,1999,48(1),pp.7-35.
Salim,R.;Mawali,N.A.and Islam,A.“Do the Intellectual Property Rights of Importers Matter for Promoting Australian Exports?” Australian Economic Review,2014,47(3),pp.279-289.
Smith,P.J.“Are Weak Patent Rights a Barrier to U.S.Exports?”Journal of International Economics,1999,48(1),pp.151-177.
Talor,M.S.“TRIPs,Trade and Technology Transfer.”TheCanadian Journal of Economics,1993,26(3),pp.625-637.
Yang,L.;Tsai,Y.and Mukherjee,A.“Intellectual Property Rights and the Quality of Transferred Technology in Developing Countries.”Review of Development Economics,2016,20(1),pp.239-249.
(1)从国家层面深入到省份层面进行研究具有一定可行性,原因在于:第一,中国市场大、省份间的市场规模和消费者需求结构差别较大。第二,国内市场仍存在分割现象。建立和完善全国统一的市场体系是中国市场经济体制改革的核心内容之一。第三,各省知识产权保护执法情况存在明显差异。在此背景下,外国出口企业在选择目标销售市场时,除了关注国家层面知识产权保护立法情况外,更关注出口目的省份知识产权保护执行情况。此外,从经验研究角度来看,采用省份知识产权保护度,可以增加样本量,使研究结果更可信。
(2)高技术产品(高质量组、中质量组、低质量组)、中技术产品(高质量组、中质量组、低质量组)、低技术产品(高质量组、中质量组、低质量组)。
(3)这是国际知识产权组织(World Intellectual Property Organization,WIPO)出版的一份中国知识产权保护报告(2013年版),http://www.wipo.int/wipolex/zh/details.jsp?id=13387。
(4)数据来源于www.freetheworld.com。
(5)本文选择3年为样本考察期是参考世界银行的微观企业调查问卷的做法。该问卷关于研发(新产品)相关问题一般以3年为界。此外,短期内产品质量水平也相对稳定。
(6)Ginarte和Park(1997)与Park(2008)仅公布了1995、2000及2005年的知识产权保护度,因此,本文2003年的数据采用的是2000年的G-P指数;2004年的数据为2000和2005年算数平均值。
(7)本文研究对象是一般贸易方式(不考虑加工贸易)下技术类产品(不考虑非技术类产品)的进口,一般贸易进口的技术类产品个数占全部技术类产品总个数的52.5%。
(8)具体包括以下三种情况:企业从新的进口来源地进口了上一期进口HS6产品,或者企业进口了新的HS6位码产品,或者是新企业从上一期的进口来源地进口了上一期进口的HS6产品。
(9)对中等技术产品采用t检验考察新进口品与持续进口品的质量关系,结果显示:持续进口品种的平均进口质量为0.493,标准误为0.002,标准差为0.147,95%的置信区间为[0.491,0.493];新进口品种的平均进口质量为0.478,标准误为0.001,标准差为0.154,95%的置信区间为[0.477,0.479],t检验依旧拒绝了两组产品质量不存在显著差异的原假设,中等技术产品的两组产品质量存在统计上的显著差异。同时,2003-2005年的中技术产品的平均进口质量分别为0.484、0.480及0.479;而2004和2005年的新进口品的平均进口质量分别为0.482和0.477,可见新进口品种的平均质量还低于上期进口产品的平均质量,这势必会对中等技术产品当期的平均进口质量产生稀释作用。
(10)我们还采用《中国市场化指数报告》(樊纲,2007)中的各省(市)的知识产权保护度作为当地专利保护的代理变量进行了检验,结果依旧稳健。