中国对外反倾销与企业创新——来自企业专利数据的经验研究

Chinese Anti-dumping Protection and Firm Innovation:An Empirical Study with Firm Patent Data

近年来,为了维护国内市场经济秩序,保护国内竞争性企业的经营和发展,我国逐步成为对外反倾销的主要发起国之一。那么,对外反倾销在实现"产业救济"的同时是否实现了产业救助,即对外反倾销能否从根本上提高国内企业的创新能力?文章首先在理论层面上分析了对外反倾销影响国内企业创新的微观机制,然后利用微观企业的专利数据,在实证层面研究了反倾销保护对国内企业创新的影响及其作用机制,考察了不同生产率水平、不同所有制类型下反倾销保护对国内企业创新的异质性影响。研究结果表明,对外反倾销显著地提高了国内企业的创新水平,使国内企业的专利数量平均上升了10.1%。进一步的机制分析表明,反倾销保护主要通过规模经济效应促进了国内企业创新。异质性分析表明,对外反倾销更多地提高了高生产率企业和私营企业的创新水平。上述研究结论意味着,中国政府可以在WTO框架内合规地采用反倾销措施抵制外国企业的倾销行为,为国内企业提供公平的市场环境,提升国内企业的竞争力。

With the proposal of the"re-substantiation"strategy of European and American economy and the rise of the tide of anti-globalization,trade protectionism has risen again in the world,and the"war"of dumping and anti-dumping has become one of the crucial issues in current international trade.Moreover,frequently being subject to anti-dumping investigations,China has been the major country involved in anti-dumping for 20 consecutive years.Meanwhile,since the reform and opening up,a great many foreign products have rapidly flooded into the Chinese market with low price,causing damage to our domestic import-competing firms.In order to maintain the economic order of the market and protect the operation and development of those import-competing firms,the Chinese government initiated anti-dumping frequently,becoming one of the major sponsor countries of anti-dumping.The remedy effect of Chinese anti-dumping has aroused wide attention of scholars and policy-makers.A growing number of researches have studied the industry remedy effect of Chinese anti-dumping from the perspectives of productivity,survival rate and markup of firms,and obtained many research achievements.But from a more comprehensive perspective,there is an important aspect having been neglected,that is,can anti-dumping protection fundamentally improve the innovation ability of domestic firms?The independent innovation of firms is the core driving force for China’s innovation-driven development strategy as well as the basis of China’s great power strategy.This paper analyzes the micro mechanism through which anti-dumping protection affects domestic firms’innovation at the theoretical level.Based on China’s industrial firm data,China’s foreign anti-dumping data as well as China’s intellectual property office patent data from 1998 to 2008,this paper empirically tests the impact of China’s anti-dumping on the innovation of domestic firms and its mechanism.It measures the technological innovation level of firms by the total number of patents,the number of invention patents,the patent scope and the citations of patents.In order to reduce the endogeneity problem,this paper uses the differencein-difference method and conducts the parallel trend test and a series of robust tests on basis of all the Chinese anti-dumping cases during the sample period.It comes to the following conclusions:Firstly,the initiation of anti-dumping has improved the innovation level of domestic protected firms and increased the patent number of domestic firms by 10.1%.Even after considering the parallel trend hypothesis and a series of robust tests,the estimation results still seem to be robust.Secondly,the scale economy effect is an important channel for anti-dumping to influence domestic firms’innovation.Thirdly,the effect of anti-dumping on the innovation of domestic firms is various with their productivity and ownership.The initiation of anti-dumping has a bigger effect on high-productivity firms and private firms.Our conclusions imply that the government should boycott dumping of foreign companies by anti-dumping measures within the WTO framework,providing a fair market environment for domestic firms and improving the competitiveness of domestic firms.