贸易壁垒、技术差距与差异化创新  

Trade Barriers,Technological Gaps,and Differentiated Innovation

作　　者：张陈宇 程阳 杨光[3] ZHANG Chenyu;CHENG Yang;YANG Guang(Zhejiang University of Technology,Hangzhou,China;Jinan University,Guangzhou,China;Nankai University,Tianjin,China)

机构地区：[1]浙江工业大学经济学院、现代化产业体系研究院,310023 [2]暨南大学经济学院,510632 [3]南开大学经济学院,300191

出　　处：《经济学动态》2024年第10期75-91,共17页Economic Perspectives

基　　金：国家重点研发计划专题项目“可持续发展指示数据表征框架构建”(2022YFC3802903-01);国家自然科学基金青年项目“服务分工推动制造业国际竞争力动态升级研究:基于地区服务业开放的视角”(72203206)。

摘　　要：在贸易主体同质性框架下,难以深入探讨发达国家利用贸易壁垒制约中国创新的具体模式。本文基于贸易主体技术差异的框架,揭示了技术差距在贸易壁垒对企业创新差异化影响中的重要作用。本文通过理论模型阐释了贸易壁垒引发的贸易转向效应加剧了市场竞争,促使技术领先企业加大创新投入,通过技术优势逃离竞争;技术落后企业则难以通过创新建立技术优势,倾向于转移资源减少创新投入。实证分析表明,贸易壁垒增加了技术领先企业的创新规模,但集中于创新质量更低的非发明专利;贸易壁垒减少了技术落后企业的创新规模,阻碍其技术追赶。此外,本文通过机制分析,验证了市场竞争是贸易壁垒影响企业创新的重要渠道。本文的结论为理解贸易壁垒对企业创新的复杂影响提供了新视角,并对中国企业在应对发达国家技术制约为意图的贸易制裁时,具有一定启示。The expansion of global value chains(GVCs)has fundamentally altered the way firms engage in innovation.Instead of developing proprietary technologies,many firms now rely on importing key technologies and components,which reduces the need for extensive R&D.While this may enhance short-term efficiency,it increases firms'vulnerability to external shocks,especially those resulting from protectionist trade policies.Anti-dumping measures,as a common non-tariff barrier,disrupt the flow of critical inputs by raising the cost of imports or outright restricting access to foreign technologies.For countries heavily embedded in GVCs,these policies can have far-reaching consequences,particularly for firms that are heavily reliant on imported technologies for innovation.As GVCs deepen,the direct purchase of core components from abroad,instead of conducting independent R&D,has become increasingly common across countries.This shift implies that a country's innovation activities are more susceptible to the trade policies of other countries.Non-tariff barriers,such as anti-dumping measures,which are frequently employed in modern trade policy,have increasingly significant impacts on foreign innovation activities.Unfortunately,existing research on the relationship between trade barriers and innovation has largely overlooked the technological heterogeneity among trade participants.Addressing this gap in literature is crucial for developing a better understanding of how trade policies shape global innovation dynamics.Policymakers should consider the technological characteristics of firms when designing trade policies to ensure that protectionist measures do not unintentionally hinder innovation,particularly in countries and industries that are still catching up to the global technology frontier.This paper investigates the relationship between trade barriers and enterprise innovation within the framework of technological disparities among trade entities.This paper finds that trade barriers increase patent applications by technologically

关 键 词：贸易壁垒 企业创新 技术距离 

分 类 号：F273.1[经济管理—企业管理] F752[经济管理—国民经济]