异质技术创新对中国加工贸易升级的差异影响——理论机制与实证检验  

The Different Effects of Heterogeneous Innovations on Upgrading of Chinese Processing Trade——Theoretical Mechanisms and Empirical Studies

作　　者：曹玉平 CAO Yuping(Institute of Industrial Economy and Rural Development,Henan University,Kaifeng Henan 475004,China)

机构地区：[1]河南大学产业经济与农村发展研究所,河南开封475004

出　　处：《北京理工大学学报（社会科学版）》2021年第5期101-114,共14页Journal of Beijing Institute of Technology：Social Sciences Edition

基　　金：中国博士后科学基金面上资助(2018M632272);河南省重点研发与推广专项软科学研究项目(192400410015)。

摘　　要：加工贸易升级是中国经济高质量发展的重要内容,技术创新又是驱动加工贸易升级的根本途径。在理论上,延承要素禀赋理论的分析逻辑,利用代数与几何方法模型化研究了技术动态演进影响产品内国际工序分工地位的内在机制。在实证上,根据中国PCT国际专利和国内专利不同类型在技术突破性和知识原创力方面的差别,量化识别了技术创新的低端、中端和高端三个不同层次,并基于中国30个省份2002-2016年的面板数据,利用静态面板固定效应模型实证研究了三层次异质创新对中国加工贸易升级的差异影响。基准回归和稳健性检验结果一致表明:(1)低端创新不能促进中国加工贸易升级;(2)中端创新和高端创新均可驱动中国加工贸易升级;(3)高端创新对中国加工贸易升级的促进作用远大于中端创新的。在实践上,从推进高端前沿创新以驱动国家创新结构和要素禀赋结构升级的角度,提出了使中国由全球价值链分工上的外围区段进入中心地位的对策。The upgrading of processing trade is the key feature of Chinese high-quality economic development,but technological innovation is the necessary condition for global value chain upgrading.Theoretically,based on the analytic logic of factor endowment theory,this paper models the influence of technological innovation on intra-product international task trade via algebra and geometry method.Empirically,according to the differences between different categories of domestic patents and international PCT patents in terms of technological breakthrough and knowledge originality,three different levels of technological innovation,namely low-level,middle-level and high-level,are quantitatively distinguished,and their heterogeneous influences on Chinese processing trade upgrading are quantitatively identified.Using panel data of 30 provinces in China from 2002 to 2016,the benchmark regression and robustness tests of fixed effects model have consistently shown that the higher the level of technological innovation,the greater its promotion effect on Chinese processing trade upgrading.Specifically,low-level innovation can’t promote Chinese processing trade upgrading;Mid-level and high-level innovation can both promote Chinese processing trade upgrading,and high-level innovation’s promoting effect is about ten times bigger than Mid-level’s.Finally,this paper gives a clear view on improving China's labor division status in global value chain by driving high-level innovation.

关 键 词：技术创新 加工贸易升级 PCT国际专利 要素禀赋理论 面板固定效应模型 

分 类 号：F061.3[经济管理—政治经济学] F740