鼓励技术引进政策的创新溢出效应

The innovation spillover effect of encouraging technology import policy

利用2006年颁布的《中国鼓励引进技术目录》,从产业内(企业)和产业间的视角全面考察了鼓励技术引进政策的创新溢出效应。经多种稳健性分析和考虑内生性问题后发现,这一政策显著促进了技术引进经费的增加,且具有创新溢出效应。从产业内(企业)溢出效应看,鼓励技术引进政策通过激发企业创新内部动力和增强企业创新外部支撑,促进了本产业内(企业)的创新,主要是激励了非发明专利申请。从产业间溢出效应看,鼓励技术引进政策能够在产业间起到创新涟漪效应,增加研发投入和降低融资约束是企业承接溢出效应的关键。经异质性分析发现:鼓励技术引进政策对混合所有制企业的创新促进效应更强;相比民营企业,鼓励技术引进政策更多地促进了国有企业的发明专利申请。进一步分析发现:鼓励技术引进政策造成国内中间品以及国内最终品的市场占有率下降;上游配套产业加大研发力度、提高竞争力,有助于降低鼓励技术引进政策对国内产品的挤出效应。研究为全面审视鼓励技术引进政策的产业关联创新溢出效应、“靶向”引进先进适用技术、优化创新政策的传导路径、应对技术管制的长臂管辖等提供了实践参考。

This article uses China's 2006“Catalogs of Technologies Encouraged to Import”to comprehensively examine the innovation spillover effects of encouraging technology import policy from the intra-industry(firm)and inter-industry perspectives.After various robustness analyses and consideration of endogeneity issues,the study concludes that this policy has significantly increased the funding for technology introduction and has an innovative spillover effect.From the perspective of intra-industry(firm)spillover effects,encouraging technology import policy promotes innovation within the industry(firm)by stimulating internal motivations and enhancing external support;it primarily encourages non-invention patent applications.In terms of inter-industry spillover effects,policy to encourage technology import can have a ripple effect of innovation across industries.Further,increasing R&D investment and reducing financing constraints are the keys of firms to sustaining spillover effects.Heterogeneity analyses find encouraging technology import policy has a stronger effect on the innovation promotion of mixed-ownership enterprises.Compared with private enterprises,encouraging technology import policy has promoted the invention patent applications of state-owned enterprises more.Further research finds that encouraging technology import policy leads to a reduction in the use of domestic intermediate products and the consumption of domestic final products.Upstream supporting industries increase their R&D and improve competitiveness,which will mitigate the crowding-out effect of the policy on domestic products.This research provides a practical reference for comprehensively examining the innovation spillover effects of industrial linkage of the policy,“targeting”the introduction of advanced applicable technologies,optimizing the conduction path of innovation policy,and responding to the long-arm jurisdiction of technology regulation.