下游技术标准受控对装备制造业自主创新的捆绑约束——基于中国通信设备制造业分析

Binding Constraint of Downstream Controlled Technical Standards on Self-innovation of Machinery Industries: Analysis Based on China′s Telecommunication Equipment Manufacturing Industry

中国下游行业融入国际分工的进程要早于装备制造业,随着国际产业竞争呈现出标准许可化的发展趋势,引入技术及其标准成为中国下游行业参与国际分工的重要条件。而随着上下游产业间技术关联加强,国际技术标准的垄断逐渐具有产业链捆绑效应,造成中国上游本土设备企业发展空间和自主创新受限。本文构建数学模型,分析了控制下游技术标准专利的跨国公司,通过在上游不同附加值环节有选择性地拒绝或放开授权,制约本土设备企业发展和创新的机制。实证分析进一步验证,下游技术标准受控于跨国公司所造成的中国通信设备制造业不同环节的非平衡发展,竞争效应和资源挤出效应制约了本土通信设备企业的自主创新。为此,需要通过产业链上下游合作来突破技术标准的捆绑约束。

International industrial transfer upgraded step by step along the ＂consumer goods - consumer elec- tronics-equipment manufacturing＂. It is also the course of China＇s industries participating in the international divi- sion of labor. So in China downstream industries participated in international division of labor earlier than machiner- y industries. With international competition showing the trend of standard license, China＇s downstream industries had to introduce technology and standards from multinational enterprises. Then with downstream-upstream technolo- gy association enhanced, the technology of upstream industries must be compatible with the downstream, therefore upstream industries such as machinery industries had to follow downstream to introduce technology and standards from multinational enterprises. It means that multinational enterprises with international technical standards in an industry can control other related industries through technology association. From the perspective of technology association of industrial chain, we can understand why China＇s machinery industries have been in the plight of coexistence of high growth and low capacity for independent innovation in a long time. This paper builds a model to study how multinational enterprises controlling downstream technical standards re- fuse to license patents in upstream high value-added sectors, and relax license in upstream low value-added sec- tors, which induce more local firms of machinery industries to enter low value-added sectors. Fierce competition will lower profit and stifle innovation in low value-added sectors. And resource crowding-out effect will make local firms in high value-added sectors lack resource support for innovation. Empirical analysis based on China＇s telecommunication equipment manufacturing industry shows that because of big gap of technology China＇s information and communication industry had to introduce technical standards of 1G and 2G from Europe and America. In order to be compatible with the technology of downstream, local telecommuni- cation equipment manufacturing firms needed get access to technology patents from multinational enterprises. At the same time multinational enterprises sharing these license patents also took this opportunity to enter China＇s telecom- munication equipment manufacturing industry. Multinational enterprises built high technical barriers in high value- added sectors and lowered technical barriers in low value-added sectors of mature technology. The rapid develop- ment of China＇s information and communication industry led to the rapid development of China＇s telecommunication equipment manufacturing industry. However, the control of downstream technical standards by multinational enter- prises led to unbalanced development of different value-added sectors in China＇s telecommunication equipment man- ufacturing industry, which brought to competition effect and resource crowding-out effect, then restricted the self- innovation of local equipment manufacturing firms. In order to get rid of industry chain constraint of international technical standards, Chinese government has en- deavored to support the development of independent mobile technical standard TD-SCDMA. To a certain extent the development and commercial use of TD-SCDMA reduced the industry chain constraint and encouraged local firms to innovate. However, owing to path dependence of technological development, most basic patents of TD-SCDMA are common to WCDMA and CDMA2000. It means the technical standards of multinational enterprises will still have long-term effect on local firms. So should take some measures from the perspective of industrial chain linkage devel- opment to breakthrough binding constraint, and it is also important to perfect competition policy to restrain multina- tional enterprises＇ anti-competitive behaviors.