区域贸易协定中的创新规则对研发要素跨境流动的影响研究  

The Effect of Innovation Rules in Regional Trade Agreements on Cross-border Flows of R&D Factors

作　　者：孙玉红[1] 李金哲 李清缘 SUN Yuhong;LI Jinzhe;LI Qingyuan

机构地区：[1]东北财经大学国际经济贸易学院 [2]哥伦比亚大学城市规划学院

出　　处：《世界经济研究》2024年第9期18-32,M0002,共16页World Economy Studies

摘　　要：研发要素的跨境流动关系到一国资源的利用效率和新质生产力的积累。发达国家在区域贸易协定(RTA)中不断纳入各类创新规则来约束伙伴国的国内措施和合作方式,以影响研发要素的流动。文章以74个国家在1995~2019年的190个区域贸易协定为样本,探索RTA中的创新规则体系和发展趋势,进而评估其对研发要素跨境流动的影响。实证结果表明,RTA中创新规则的缔结和深化均对研发要素在成员间流动存在显著且稳健的促进作用;异质性分析发现,除信息传播条款外,知识产权、竞争政策、技术转让与合作等条款均对研发要素跨境流动有显著的促进作用。较之于南北型成员方,创新规则对南南型和北北型成员方之间研发要素跨境流动的影响更为突出。调节效应检验发现,技术吸收能力可以增强RTA中的创新规则对研发要素跨境流动的促进作用。门槛效应检验发现,RTA中的创新规则对研发要素跨境流动之影响存在以技术差距为门槛的单一门槛效应。文章研究可为中国在RTA谈判中的创新规则体系构建和创新驱动战略实施提供一定的学术支持。The cross-border flow of research and development( R&D) factors is related to the efficiency with which a country utilizes its rteources and the accumulation of new productive forces.Developed countries have included various innovation rules within regional trade agreements( RTAs),affecting the flow of R&D factors by restricting both domestic policies and cooperation methods of partner countries.This needs to be studied systematically.This paper selects 190 RTAs from 74 countries from 1995 to 2019 as a sample to study the system and development trend of innovation rules within RTAs,assesses their impact on the cross-border flow of R&D factors.The empirical results show that the deepening of innovation rules in RTAs has a significant and robust effect on the cross-border flow of R&D factors.Heterogeneity analysis shows that,with the exception of provisions for information dissemination,intellectual property rights,competition policy,technology transfer and cooperation provisions all significantly influence the cross-border flow of R&D factors.Additionally,when compared with North-South RTAs,innovation rules within RTAs have a more pronounced impact on the cross-border flow of R&D factors among South-South and North-North members.Testing for moderating effects reveals that technology absorption capacity can enhance the role of innovation rules within RTAs in promoting the cross-border R&D factor flows;the threshold effect test indicates that the impact of innovation rules in RTAs on the cross-border flow of R&D elements exhibits a threshold effect with the technological gap as the threshold.The above conclusions support China's efforts to build an innovative rule system in RTA negotiations and to accelerate the implementation of an innovation-driven strategy.

关 键 词：区域贸易协定 创新规则 研发要素跨境流动 技术吸收能力 

分 类 号：F744[经济管理—国际贸易] F113.2[经济管理—产业经济]