跨国公司研发策略部署与开放式创新--来自中国的新发现  

Multinational Corporations'Oversea R&D Strategies and Open Innovation:New Evidence from China

作　　者：郑飞虎[1] 曹思未 Zheng Feihu;Cao Siwei(School of Economics and Business Administration,Beijing Normal University,Beijing 100875,China)

机构地区：[1]北京师范大学经济与工商管理学院,100875

出　　处：《南开经济研究》2021年第4期20-41,共22页Nankai Economic Studies

基　　金：国家社科基金重点项目“新时代与新结构视角下引进外资与知识产权保护研究”(20AJL007);中央高校基本科研业务费专项资金课题资助

摘　　要：有关跨国公司在海外部署研发等高端资源的经典理论认为,在东道国知识产权保护水平较低的情况下,跨国企业会在东道国部署“低技术价值”研发活动并通过内部控制保护进行“封闭式创新”。本文利用来华跨国公司研发合约交易的数据,基于中国大陆新兴的创新外包活动分析后发现:在2001—2011年间,区别于经典研发资源配置模型,跨国公司在华的研发部署策略从“封闭式创新”向“开放式创新”转变。本文从理论上对这一转型的成因进行了解释,并以2008年专利法修订为准自然实验,通过前后对比和双重差分法对假说进行了实证检验。结果表明,更高的知识产权保护水平不仅提高了跨国公司面向本土市场研发活动的技术价值和市场价值,也同时促使跨国企业更倾向于依托中国知识产权保护(而不是内部控制)对研发成果进行保护。更高的知识产权保护水平带来的知识溢出正外部性对国内企业深入学习跨国公司的先进技术提供了制度创新红利。The classic theory of multinational corporations'oversea R&D strategies suggests that multinational corporations will only deploy"low-end"research activities in host countries where intellectual property protection is weak.Using data on R&D contracts signed between multinational corporations and Chinese companies between 2001 to 2011,we find that,unlike the classic model,multinational corporations'R&D strategies have gradually switched from"closed innovation"to"open innovation"in China.We then theorize that such transformation is caused by the systematic change in China's overall innovation capacity and intellectual property protection during the period of study.Using the third amend-ment to the Chinese Patent Law in 2008 as a quasi-natural experiment,we empirically test this hypothesis using both before-after and Difference-in-Differences models.The results show that higher intellectual property protection not only improves the technical value and market value of multinational companies'R&D activities in China,but also incentivize multinational companies to rely more on Chinese patent protection(rather than trade secrets)to protect their oversea innovations.The positive externality of knowledge spillovers generated by patents provides greater opportunities for domestic companies to further study the advanced technologies of multinational corporations.

关 键 词：研发合约交易 二元结构 开放式创新 知识产权保护 

分 类 号：F276.7[经济管理—企业管理] F273.1[经济管理—国民经济]