发展中国家知识产权保护与创新研究进展

发展中国家知识产权保护强度的增加对其创新能力的影响效应,引起了广泛的研究兴趣与争议。本文从发展中国家知识产权保护与创新关系研究、发展中国家知识产权保护对创新作用机制研究、知识产权创新激励效应的产业差异研究、发展中国家知识产权保护测度研究等方面对近期国内外相关文献进行了评述,并提出未来可能的研究选题方向。     

Indicators of the relative importance of IPRs in developing countries

This paper reviews briefly the economic case for uniform and strong intellectual property rights (IPRs) in developing countries and to throw some empirical light on the potential impact of strengthening IPRs and applying them uniformly to all countries (as envisaged by the Trade-Related Aspects of Intellectual Property Rights (TRIPS) agreement). It argues that countries at different levels of industrial and technological development face very different economic costs and benefits from stronger IPRs. It illustrates technological differences with the help of country classifications using various measures of domestic innovation and technology imports, both of which are expected to respond to stricter IPRs. The data can be used to examine the technological implications of stricter IPRs. The paper does not, however, deal with such IPR issues as the cost of medicines, agricultural inputs, bio-diversity or genetic materials. Nor does it try to measure the strength of IPR regimes in different countries or quantify the general impact of IPRs on development.     

技术进步与中国OFDI:促进与溢出的双重考察

探讨技术进步与对外直接投资(OFDI)的关系对理解中国OFDI持续扩张的内在动因及其外溢效应具有重要的现实意义。基于2003-2012年176个中国对外直接投资国(地区)的跨国数据,本文采用面板数据VAR模型从促进和溢出两个角度实证分析了技术进步与中国OFDI的双向互动效应。结果表明,技术进步与OFDI存在显著的正反馈效应,技术进步不仅对OFDI的快速扩张具有促进作用,同时,逐年扩张的OFDI通过逆向技术溢出也可以推动国内技术进步。进一步对东道国的分类研究发现,对于以发展中国家或欠发达国家为主的非OECD国家,技术进步对OFDI的正向影响相对较弱,而OFDI对技术进步的影响则相对较强;对于以发达国家为主的OECD国家,技术进步对OFDI的正向影响相对较强,而OFDI对技术进步的影响相对较弱。基于以上研究结论,本文认为,现阶段应积极实施"走出去"战略,推动技术进步与中国OFDI扩张的良性互动,同时在积极实施"走出去"战略时要充分考虑到不同经济发展水平国家(地区)的差异性。     

Patent collaboration and international knowledge flow

In this paper, we provide an empirical analysis of evolving knowledge networks of successful patent collaboration at national level in 1980s, 1990s, and 2000s. All countries are classified into main knowledge creators (Organisation for Economic Co-operation and Development (OECD) group) and main knowledge users (non-OECD group) in order to distinguish specific characteristics of knowledge interactions within groups and between groups. The analyses are carried out from four aspects, i.e., the overall distribution of knowledge interactions among countries, the countries’ ability to inhabit and facilitate the knowledge flows among others with the help of flow betweenness measures, the countries’ bridgeness between two groups with the recently developed Q-measures, and the most important bilateral knowledge interactions. Results show that although most of the international knowledge interactions still take place within the OECD group, the non-OECD countries have improved their performance significantly. They participate much more in international patenting and collaborations and play much more important roles in facilitating knowledge interactions among others. Among them, China and Taiwan are two most dazzling new stars according to their performance in international knowledge interactions. Considering together with their rapidly improved world competitiveness, the findings indicate that the wide and deep participation in international knowledge interactions may have great contribution to the economic competitiveness.     

科技成果与知识产权入股递延纳税政策改革研究

本文梳理了我国科技成果和知识产权作价入股的所得税法规和政策,分析了我国递延纳税政策存在的主要问题,提出了深入实施递延纳税政策的改革建议。要明确规定企业股权和个人奖励股权在股权收回、清算或转让是才需要缴纳企业所得税和个人所得税,个人获得奖励股权不列入工资薪金范围;应允许企事业单位先将科技成果作价入股的股权按单位与完成人之间的约定比例进行划分,并按照最终所获得的实际股权分别缴纳单位所得税和个人所得税;进一步明确企业科技成果知识产权入股股权的原值和税费的内容,将科技成果知识产权许可获得股权的活动纳入所得税税收优惠政策范围,使技术转让与许可、单位与个人技术作价入股所得税政策相对平衡。     

The New Economy: what the concept owes to the OECD

In the last two decades, concepts have appeared that have influenced and even defined entire science and technology policies in Western countries: high technology, national system of innovation, information economy, knowledge-based economy, and the new economy. In all these policy developments, the OECD, acting as a think tank for its member countries, has been an important promoter of the concepts, turning them into buzzwords. This article looks at the concept of the new economy as the culmination of decades of work on technology and productivity, and explores the crucial role of the OECD in its dissemination and, above all, the role statistics have played in shaping science and innovation policies.     

后发国家知识产权保护与技术赶超

本文基于拓展的南北技术扩散模型分析了同时进行自主创新与国外模仿的后发国的技术赶超问题。认为在技术进步初期，后发国较松的知识产权保护有利于技术进步；但长期内，加强后发国知识产权保护有利于技术进步，后发国能否实现技术赶超取决于自主研发投入和研发效率。日、韩和印度的发展经验也验证了该理论。其政策含义十分明显：后发国要实现技术赶超需要提高自主研发投入和研发效率。     

A clarification of confirmatory composite analysis (CCA)

Confirmatory composite analysis (CCA) is a structural equation modeling (SEM) technique that specifies and assesses composite models. In a composite model, the construct emerges as a linear combination of observed variables. CCA was invented by Jörg Henseler and Theo K. Dijkstra in 2014, was subsequently fully elaborated by Schuberth et al. (2018), and was then introduced into business research by Henseler and Schuberth (2020b). Inspired by Hair et al. (2020), a recent article in the International Journal of Information Management (Motamarri et al., 2020) used the same term ‘confirmatory composite analysis’ as a technique for confirming measurement quality in partial least squares structural equation modeling (PLS-SEM) specifically. However, the original CCA (Henseler et al., 2014; Schuberth et al., 2018) and the Hair et al. (2020) technique are very different methods, used for entirely different purposes and objectives. So as to not confuse researchers, we advocate that the later-published Hair et al. (2020) method of confirming measurement quality in PLS-SEM be termed ‘method of confirming measurement quality’ (MCMQ) or ‘partial least squares confirmatory composite analysis’ (PLS-CCA). We write this research note to clarify the differences between CCA and PLS-CCA.     

Measuring the temporal dynamics of policy mixes – An empirical analysis of renewable energy policy mixes’ balance and design features in nine countries

Complex societal or environmental problems require fast and substantial socio-technical transitions. For instance, in the case of climate change, these transitions need to take place in the energy, transport and several industry sectors. To induce and accelerate such transitions, numerous policy interventions are required, which interact with each other in policy mixes. While several conceptual studies on policy mixes have been published recently, there is very little empirical research apart from single case or small-n studies. It has been prominently argued that the debate about policy mixes has reached an impasse partly due to this lack of empirical work. This paper addresses this gap by providing a first analysis of the temporal dynamics of complex policy mixes. To do so, we develop a conceptualization and measurement of policy mix balance across instrument types as well as policy mix design features (in the form of intensity as a general and technology specificity as a technology-focused design feature). This allows us to answer the question how temporal dynamics of policy mixes differ between countries regarding their balance and design features. Our measurement approach is developed bottom-up, i.e., policies are assessed individually and then aggregated systematically at the policy mix level. This enables overcoming the ‘dependent variable problem in the study of policy change’, i.e., the problem of measuring policy output. More specifically, we develop a comparative dataset of 522 renewable energy policies in nine OECD countries. Our analysis shows that countries’ policy mix dynamics vary strongly regarding some variables (e.g., technology specificity) but less regarding others (e.g., balance). As a validity check, we also test the effects of these mix dynamics on policy outcome in the form of renewable energy technology diffusion. We reflect our findings in light of the theoretical debates around policy mixes and policy design and discuss how our results provoke an agenda for the new generation of research on policy mixes. We specifically discuss avenues for future research with a particular focus on the ‘politics of policy mixes’.     

Users as innovators in developing countries: The global sources of innovation and diffusion in mobile banking services

This paper examines the extent to which users in developing countries innovate, the factors that enable these innovations and whether they are meaningful on a global stage. To study this issue, we conducted an empirical investigation into the origin and types of innovations in financial services offered via mobile phones, a global, multi-billion-dollar industry in which developing economies play an important role. We used the complete list of mobile financial services, as reported by the GSM Association, and collected detailed histories of the development of the services and their innovation process. Our analysis, the first of its kind, shows that 85% of the innovations in this field originated in developing countries. We also conclude that, at least 50% of all mobile financial services were pioneered by users, approximately 45% by producers, and the remaining were jointly developed by users and producers. The main factors contributing to these innovations to occur in developing countries are the high levels of need, the existence of flexible platforms, in combination with increased access to information and communication technology. Additionally, services developed by users diffused at more than double the rate of producer-innovations. Finally, we observe that three-quarters of the innovations that originated in non-OECD countries have already diffused to OECD countries, and that the (user) innovations are therefore globally meaningful. This study suggests that the traditional North-to-South diffusion framework fails to explain these new sources of innovation and may require re-examination.     

我国企业研发"走出去"的创新效果:基于东道国知识产权保护的分析

针对后发追赶经济体企业的国际化研发究竟能否推动母国企业技术创新的问题,基于国际R&D溢出理论,运用2008-2018年间45个国家的相关统计数据,从东道国知识产权保护角度,分析讨论了我国企业国际化研发投资逆向技术溢出效应的存在性问题；同时检验了东道国知识产权保护程度对我国企业国际化研发逆向技术溢出效应的影响,并应用门槛模型对这种影响的门槛效应进行了检验。结果表明,我国企业国际化研发投资有利于提高母国的技术水平,存在着显著的逆向技术溢出效应,但同时东道国知识产权保护水平对于这种溢出效应产生了非线性的影响,且这种影响有着明显的单门槛形态。这为我国企业在国际化研发决策中优化资源配置,规避东道国政策限制提供了一定的参考与启示。     

Determinants of international activity: evidence from the chemical processing industry

This paper empirically investigates two important determinants of international activity through wholly owned operations, joint-ventures and technology licensing, namely country risk and intellectual property rights (IPRs) protection. Using a comprehensive database on investments in chemical plants during the period 1981–1996, we show that higher levels of country risk are associated with less activity into recipient economies. The analysis also suggests that international activity with smaller resource commitment tends to be preferred in countries with higher levels of risk, and that multinational investment is more responsive to changes in risk conditions than indigenous investment. After controlling for several country characteristics, we do not find IPRs protection playing a significant role in fostering international activity or conditioning its mode.     

THE TRANSFER OF INDUSTRIAL TECHNOLOGY TO WESTERN PACIFIC DEVELOPING COUNTRIES

This paper reviews recent evidence on technology transfer to the rapidly growing Western Pacific region, where most developing countries have adopted relatively liberal policies towards the importation of technology and equity capital. In recent years Japan has emerged as a major supplier of technology to the region. Moreover, there have been important changes in the international technology market, which has become larger and more competitive. Nevertheless, many aspects of technology imports have been criticised, including the conditions attached to its sale, and its appropriateness for low income countries. The arguments for limited regulation of technology flows are assessed and the economic and administrative difficulties pointed out. From the host country viewpoint, the policies influencing diffusion of technology within the country seem to be at least as important as the policies directly bearing on technology transfer from overseas.     

财政性知识产权国有资产管理与权利下放研究

本文运用创新和创新生态体系理论研究了财政资金科技成果的知识产权私权属性、知识产权资产特性、权利合理配置下放、知识产权准确评估等热点问题。国有资产管理不是阻碍科技成果转化和知识产权运用的主要问题,高校科研机构内部技术转移和知识产权运营机构能够有效解决科技成果转化过程中的供需不对接问题和信息与风险不对称问题,以及专利权利碎片化问题,应建立技术转移、知识产权管理和投资功能三类部门和人才团队,建立“相互支持、相互约束”的机制,建立种子投资基金。对于单位在一定时间内没有转化实施,不涉及公益性,或者知识产权较少的科技成果,可以将科技成果所有权或长期使用权下放给职务科技成果完成人。     

知识产权保护的双重效应与区域经济增长

本文利用我国2000—2009年30个省市区的面板数据,运用静态和动态面板数据模型,研究了知识产权保护对我国区域经济增长的影响。提出我国应根据区域经济发展不平衡的实际,采取宽严适度的知识产权保护政策措施。     

全球减排:方案剖析与关键问题

文章对比研究了人均排放权均等原则、Stern(2008)方案、Srensen(2008)方案、王铮等(2009)方案,研究发现:在人均排放权均等原则下,以1990年为历史排放起点是较为可行的方案,与之匹配需要建立全球碳排放交易市场;Stern(2008)方案虽能很好地控制全球气候变化,但是该方案以损失发展中国家较多利益为代价是不公平的;Srensen(2008)方案较Stern(2008)方案降低了对各国的经济冲击,但2100年各国均接近零排放,方案实施困难较大。目前国际减排方案制定的关键问题在于:发达国家必须比发展中国家承担更多的减排责任,同时必须比发展中国家先行减排。王铮等(2009)的方案在保障全球气候变化得到有效控制的同时,减小对发展中国家经济的影响,是一个相对较为公正的方案。     

国家创新效率的结构特征及其收敛性研究——基于OECD国家和中国的经验分析

将SBM模型与三阶段DEA模型相结合,利用修正的三阶段DEA模型,实证评估了2001-2008年30个OECD国家和中国的创新效率,剔除了外部环境因素和随机冲击对效率测量的影响。研究结果发现:各国环境外生变量和随机冲击对创新SBM效率有显著影响。从结构特征的聚类分析结果来看,中国属于"均衡—中度创新—高潜能型"国家,美国属于"全面均衡—高度创新型"国家。从收敛性分析结果来看,调整后各国的创新SBM效率的差距有不断缩小的趋势。     

Comparing firms’ triadic patent applications across countries: Is there a gap in terms of R&D effort or a gap in terms of performances?

This paper addresses the question of national differences as regard the number of triadic patents applied for by inventors from several OECD countries. The key idea is to determine whether such differences should be attributed to differences in R&D expenditures or rather to some other reasons, mainly institutional or behavioural ones. With this aim in view, both a macro-economic analysis, based on aggregate data for triadic patent counts and R&D expenditures and a micro-economic analysis based on firms’ data from three selected sectors are performed. In both cases, the methodological focus is made on the introduction, the definition and the estimation of a national index of relative efficiency in standard count data models. The main empirical findings are that there is a strong heterogeneity in terms of performance among European countries and a strong intra-country heterogeneity among sectors. This suggests that, in the field of innovation policies, there is a need for “tailored” solutions reflecting the specificities of each innovation system. Moreover, we show that European countries over-perform the United States in some high-tech sectors where the leadership of American firms is traditionally alleged, whereas European firms fail to keep up in more traditional sectors.     

基于AHP-GRA的国际科技合作知识产权保护评价研究

知识产权保护评价是国际科技合作知识产权保护的关键环节和决策依据。在深入分析国际科技合作知识产权保护影响因素的基础上,构建了国际科技合作知识产权保护评价指标体系,运用AHP和GRA方法构建了基于AHP-GRA的综合评价模型,并利用该模型对东北三省国际科技合作知识产权保护评价进行实证分析。     

关于中国现代科技发展历史的反思

本文回顾了最近100多年来现代科学技术事业在中国发展的曲折历程,探讨了科技人才政策、科研项目管理问题和科技体制等问题对中国当代科技发展的作用。通过反思这一历史过程,我们得到了一些常识性却为人们所忽视的结论,希望对当前的科技工作有所裨益。