我国国际贸易中知识产权保护存在问题及对策外文翻译.docx

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1、中国的知识产权保护以及外国的直接投资提图斯.奥沃库斯摘要：有实证研究表明发展中国家采取知识产权保护的措施对吸引外国直接投资有直接的影响，特别是经济大国在吸引外国直接投资中略显匮乏。本文探讨了知识产权对中国最近激增的外商直接投资所起的作用和贡献。我们认为，知识产权的替性代措施在经济发展水平不同的地区对外商直接投资的影响可能会有所不同。 我们使用38个国家的贸易数据进行研究，结果表明，在中国加强知识产权保护对外国直接投资有着积极和重要的作用。调查结果还显示，来自香港和台湾地区的外国直接投资的行为高于其他高收入国家。关键词：知识产权；专利法;外国直接投资;中国;发展中国家正文：1、介绍在过去二十年里

2、，中国的外商直接投资（FDI）量有着迅猛的增长。虽然亚洲大部分外国直接投资流入到了发展中国家，其中中国占亚洲全球外国直接投资额几乎一半（见下图）。中国的外国直接投资从1979年几乎没有增长至1998年的45.5亿美元，而在随后的不到十年，在2006年，其外国直接投资流入增加至695亿美元，其数量已经超过整个非洲大陆（355亿美元），但却远远落后于一个落后的拉丁美洲的总量（约合838亿美元）（见贸发会议，2007年）。自1993年以来，中国已成为吸收外商直接投资最多的发展中国家和最受跨国公司欢迎的首选目的地，仅次于美国。中国这么巨大和快速的的外商直接投资增量自然使人们提出一个问题：这么强大投资的

3、背后动力是什么呢？ 中国是一个发展中国家，特别适合作为知识产权改革对外国直接投资流入的影响分析和的案例研究。令人惊讶的是，中国在1985年以前没有知识产权保护。然而，在1985年第一部专利法和在1992年和2000年大幅修订成立以来，中国经历了其专利制度的渐进改革。于1992年，由于来自美国的压力，中国的专利法大幅修订，以适应许多工业国家的要求。中国加强专利法律也是为了加速其加入世界贸易组织的步调，中国知识产权法律要求(如专利,版权和商标)也是为了更好的符合WTO的协议与贸易有关的知识产权(TRIPS)和其他主要的国际知识产权公约(Maskus,2004)。自1992年以来，外国专利保持在19

4、%的年平均增长率（见图2）。大多数的中国专利（发明专利申请），由外国公司提出，如日本，美国，欧盟成员国，以及韩国等。 图2 本文目的是为了探讨中国知识产权法律对其吸收外资的影响 (19922005)。这篇文献的贡献在于有几个方面。首先，这是第一个专注于大型和有影响力的经济发展，在过去二十年经历了其知识产权制度的显着变化的实证分析。因此，这种分析提供了一个可以替代以往通常从一个主要工业化国家（如美国）家长的角度强调不同群体的主办国的外国直接投资流入的研究。其次，我们还探讨知识产权保护对外商直接投资的效果可能会有所不同的伙伴国家的经济发展水平（史密斯，2001年）的可能性。第三、从一个单一的一年的

5、横截面数据为基础的研究，这项研究使用的38个国家，涵盖了更多的扩展时期（1992-2005）的数据，并允许考虑动态性质的外商直接投资与知识产权制度的政策变化。第四，本文适用于其他知识产权作为知识产权制度的代理措施：作为每年衡量中国知识产权的保护强度。知识产权指数，即使用前人研究的基础上，用打分的方法，经常被任意的选择上的重要性权重各种标准。虽然在某些情况下很有效果，但是以知识产权指数为基础的研究措施，可能无法充分反映以书本为法律的专利法的修改和标准之间的相互间的动态影响作用，另外，随着时间的推移，对其他经济变量的影响（例如，外国直接投资）也不能很好地体现出来。另外，我们使用实际数据，随着时间的

6、推移原始国家的专利申请数量。每年越来越多的外国专利申请可能是一个很好的指标，越来越多的外国公司在知识产权保护的法律和执法提供在中国的信心。相对指数为基础的方法，这种跨越时间和措施，这一措施保护知识产权的强度变化占更多星移斗转、可能不易测量误差。本研究的主要发现表明，中国知识产权保护的加强，导致在其外国直接投资流入的增加。本文的实证结果进一步支持这一假设，加强专利法具有一定的市场扩张效果。此外，我们的研究结果还表明，外商直接投资来自香港和台湾表现不同于源自其他高收入国家。因此，本研究提供了关于当前有关政策改革在知识产权制度及技术转让同对中国贸易有何影响的相关实证。知识产权保护和全球直接投资之间的

7、联系并不明确，一直是大量的辩论和争议的来源。更强的知识产权保护是否刺激或阻碍外国直接投资流向发展中国家的分歧依然存在。根据一个国家的知识产权制度，通过几个选项之间进行选择：出口，外国直接投资，合资企业和许可，来为国外市场服务。虽然一些理论研究表明，更强的知识产权保护能够促进创新，但是其对外国直接投资的影响既可以是积极也可以是消极的（Chin等，1988和赫尔普曼，1993）。更强的知识产权保护可以减少因当地企业的模仿造成的威胁，从而确保外国公司直接投资的增加产生积极的影响和结果。 相比之下，如果加强知识产权保护，那么它在外国公司的垄断力量的增加可能会对外国直接投资产生负面影响。 当面对来自于本

8、地生产的仿制品的竞争，跨国公司可能会尝试以最大限度地减少子公司的产量和销售利润的方式进行竞争（马库斯和本巴提1995，史密斯，1999和史密斯，2001）。此外，更强的知识产权保护也阻碍跨国公司选择增加外国直接投资，而不是许可。相反，技术含量低的生产者，在沉重的知识型产业投资公司可能产生更敏感的知识产权保护问题（曼斯菲尔德，1995年，马库森，2001年和夹克瑞克，2004）。因此，保护知识产权和外国直接投资之间的关系仍然是一个经验性的尚未得到足够重视的问题。 近年来，有许多关于外国直接投资流入的影响因素的实证研究，如中欧和东欧国家和中国的经济转型。以欧洲经济转型为重点的研究发现有助于吸引外国

9、直接投资（卡斯特森和特拜耳传统因素（例如，市场潜力，生产要素成本和距离）和过渡的具体因素（例如，私有化和欧盟成员国的水平和方法） ，2004年，贝文和埃斯特林，2004年）。 相比之下，关注中国的实证研究将更加倾向于对基本经济因素，如市场规模，劳动力和投资成本的重视。 在重点研究了1978年至1992年进入中国的外国直接投资的驱动程序后，王和斯温（1995年）发现，GDP、工资和贸易限制措施都对外商直接投资具有积极的作用，而利率和汇率对外国直接投资却有着负面影响。同样，海德和里斯（1996）通过研究对外国直接投资的54个中国城市中的位置决定的因素发现，外国直接投资主要是吸引中国有雄厚的工业基础

10、和优良的基础设施的城市。 在另一项研究中，孙等人分析了整个中国的从1986年到1998年30个省的外国直接投资决定因素发现，外国直接投资的主要驱动力随着时间的推移改变。 萧（2004）在研究了中国为什么能够吸引这么多的外国直接投资后发现，中国的外国直接投资约50来源于香港和台湾。 张（2005）问：为什么前往中国的外国直接投资的很大一部分来自于香港和台湾？研究发现，从主要发达国家（欧盟 ，美国和日本）的外国直接投资和香港、台湾不同。 此外，一些探讨了除中国外的外国直接投资的其他方面的研究和一些学者探讨的生产性投入对外商直接投资的影响，推动中国近期的经济增长（陈等人，1995年，吴，2000和姚

11、明和伟，2007）。 虽然许多作者分析了各种经济因素外国直接投资的影响，但很少有研究知识产权的作用，因为在这项研究中所提倡的。李和曼斯菲尔德（1996年）的创作是有关一个发展中国家的知识产权保护体系和美国的外国直接投资数量之间联系的第一个实证调查之一。他们的经验证据表明，加强知识产权保护，对外国直接投资流入有积极的作用。在最近的研究中，夹克瑞克（2004年），评价了知识产权在对东欧和前苏联的经济转型中外国直接投资吸引的积极作用。该研究得出结论是，薄弱的知识产权保护对技术密集型行业的外商直接投资负面影响。同样，奴凯姆和斯帕茨（2004）对知识产权的调查发现，外商直接投资联动使以东道国分类部门为数

12、据的的外国直接投资有促进作用。 在中国，对知识产权在经济上的担任何种角色的分析比比皆是，但数据为根据的实证研究却寥寥无几。 近日，杜等人研究了区域经济、体制因素（即产权保护和合同执行）及美国跨国公司在区位选择上之间的关系，他建议美国跨国投资在有更好的知识产权保护的地区，以便减少政府对企业的干预，从而更好地执行合同。 然而，他们使用由每个省作为一个知识产权保护区域，从而代理政府批准的专利数量的决定可能会有问题。虽然有可能在一些地区中经济发展水平和体制基础设施会有变化，但没有这样的变化就存在跨省的知识产权保护问题，因为中国有统一的国家知识产权法律。统计推论强调，区域差异的影响会产生利用外商直接投资

13、的知识产权保护知识产权代理变量时不改变跨区域的疑问。结束语本文探讨了知识产权保护在中国对外直接投资内流近期剧增中的贡献。 虽然一些研究探讨了发展中国家的外国直接投资的决定因素，其中知识产权的作用已相对忽略，但中国是一个有趣的案例研究，研究给出了其主要发展中国家的经济作用，呈现出跨国公司具有强大的威胁和模仿能力。在其试图加入世贸组织的过去十年中中国经历了其知识产权制度的显着变化。实证证据表明，在在中国加强知识产权保护在吸引外国直接投资中具有积极和重要的作用。其结果也表明除了 知识产权因素，市场规模，区域一体化，运输和贸易成本也是中国吸引外国直接投资的重要因素。 此外，这一结果是强大的替代型号规格

14、和数据样本的分割。总的来说，我们的结果表明，加强发展中国家在知识产权保护，特别是对于大型经济体国家而言，可能会对吸引外国直接投资起到积极的作用，从而促进技术的转让。 附注：本文摘自经济学学报2010年6月第2期Intellectual property rights protection and the surge in FDI in ChinaTitus O. AwokuseAbstract：There is scarcity of empirical studies focusing on the role of intellectual property rights (IPR) in

15、attracting FDI into developing nations, especially large economies with relatively strong threat of imitation. This paper examines the contribution of IPR to the recent surge in Chinas inward FDI. We consider two alternative measures of IPR and explore the possibility that the effect of IPR protecti

16、on on FDI may vary by the level of economic development. Using a panel data for 38 countries, the empirical results indicate that the strengthening of IPR protection in China has a positive and significant effect on FDI. The results also show that FDI from Hong Kong and Taiwan behaves differently fr

17、om the FDI originating from other high-income countries.Keywords：Intellectual property rights; Patent laws; FDI; China; Developing countriesChina has experienced a phenomenal surge in its inflow of foreign direct investment (FDI) in the past two decades. While Asia receives the bulk of FDI flows to

18、the developing world, China accounts for almost half of Asias share of global FDI (see Table 1). Chinas FDI grew from virtually nothing in 1979 to $45.5 billion in 1998; and less than a decade later in 2006, its FDI inflow increased to $69.5 billion. FDI flow into China accounts for more FDI than th

19、at of the entire African continent ($35.5 billion) and is just a bit behind all of Latin America ($83.8 billion) combined (see UNCTAD, 2007). Since 1993, it has become the largest recipient of FDI among developing countries and the most popular destination of choice for multinational firms, second o

20、nly to the United States. This substantial volume and growth of FDI to China naturally raises the question: what is the driving force behind this growth?Among developing countries, China is particularly suitable as a case study for analyzing the impact of IPR reforms on FDI flows. Surprisingly, Chin

21、a had no IPR protection before 1985. However, since the establishment of its first patent law in 1985 and its substantial revision in 1992 and 2000, China has undergone a gradual reform of its patent systems. In 1992, mainly due to pressure from the United States, Chinas patent law was substantially

22、 amended to make it more aligned with those of many industrial nations (Allison and Lin, 1999). The strengthening of Chinas patent laws was also accelerated by its membership in the WTO that required that Chinese IPR laws (i.e. patents, copyrights and trademarks) be better aligned with the WTOs Agre

23、ement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) and other major international IPR conventions (Maskus, 2004). Since 1992, foreign patents have increased steadily with an annual growth rate of 19% (see follow picture) of Chinese patents (invention patent applications) were file

24、d by foreign firms with the most important patentees coming from Japan, the US, EU member countries, and South Korea.The objective of this paper is to investigate the impact of Chinas IPR laws on its ability to attract FDI from 19922005. This paper contributes to the literature in several ways. Firs

25、t, this is the first empirical analysis focusing on a large and influential developing economy that has experienced significant changes in its IPR systems in the past two decades. Thus, this analysis provides an alternative to most previous studies that usually emphasize FDI flows from the perspecti

26、ve of a major industrialized parent-nation (e.g., United States) to a diverse group of host nations. Second, we also explore the possibility that the effect of IPR protection on FDI may vary by the level of economic development in partner countries (Smith, 2001). Third, in contrast to studies based

27、on cross-sectional data from a single year, this study uses a panel data for 38 countries which covers a more extended time period (19922005) and allows for the consideration of the dynamic nature of the relationship between FDI and policy changes in IPR regimes. Fourth, this paper applies two alter

28、native measures of IPR as a proxy for IPR regimes: Annual foreign patent applications as a measure of the strength of IPR protection in China The IPR index, used by most previous studies, is based on a scoring method that is often arbitrary in their choice of weights on the importance of various cri

29、teria. Although useful in some cases, the index-based measures of IPR, based on laws on the books, may not adequately capture the dynamic nature of the interaction between changes in patent laws and standards over time as well as their potential impact on other economic variables (e.g., FDI). Altern

30、atively, we use actual data on the number of patent applications from parent countries over time. The growing number of foreign patents filed each year could be a good indicator of growing confidence of foreign firms in the IPR protection laws and enforcement offered in China. Relative to the index-

31、based approach, this measure of IPR protection strength accounts for more variation across time and may be less susceptible to measurement errors.The main finding from this study suggests that the strengthening of IPR protection in China led to an increase in its FDI inflows. This papers empirical r

32、esults further support the hypothesis that the strengthening of patent laws has a market expansion effect. Furthermore, our results also show that FDI from Hong Kong and Taiwan behaves differently from the FDI originating from other high-income countries. Thus, this study provides much needed empiri

33、cal evidence on the current debate regarding policy reforms in IPR regimes and its effects on technology transfer and trade with China. The nature of the linkages between IPR protection and global direct investment is ambiguous and has been a source of much debate and controversy. Disagreements pers

34、ist on whether stronger IPR protection stimulates or discourages FDI flows to developing countries (for a review see Shatz et al. (2000). Depending on a nations IPR regime, multinational firms can serve a foreign market by choosing among several options: exports, FDI, joint ventures and licensing. W

35、hile some theoretical studies have shown that stronger IPR protection stimulates innovation, the effect on FDI could be either positive or negative ( Chin et al., 1988 and Helpman, 1993). Stronger IPR protection could have a positive effect and result in an increase in FDI by reducing the threat of

36、imitation by local firms and thereby ensuring high returns to the investment in research and development of foreign firms.In contrast, the strengthening of IPR protection may have a negative effect on FDI if it results in an increase in the monopoly power of foreign firms. When faced with less compe

37、tition from locally produced imitation products, multinational firms may attempt to maximize profits by reducing affiliate output and sales ( Maskus and Penubarti, 1995, Smith, 1999 and Smith, 2001). Furthermore, stronger IPR protection could also discourage FDI if multinational firms choose to lice

38、nse instead of increasing FDI. In contrast to low-tech producers, firms investing in heavy knowledge-based industries may be more sensitive to IPR protection concerns ( Mansfield, 1995, Markusen, 2001 and Javorcik, 2004). Thus, the relationship between IPR protection and FDI remains an empirical que

39、stion that has yet to receive adequate attention.In recent years, many empirical studies have examined the factors influencing FDI flows to transition economies such as Central and Eastern European Countries and China. The studies focusing on European transition economies usually found that traditio

40、nal determinants (e.g., market potentials, factor costs, and distance) and transition-specific factors (e.g., levels and methods of privatization and EU membership) help to attract FDI ( Carstensen and Toubal, 2004 and Bevan and Estrin, 2004). Comparatively, empirical studies focusing on China tend

41、to place more emphasis on fundamental economic factors such as market size, labor and investment costs. In a study focusing on the drivers of FDI into China over 19781992, Wang and Swain (1995) found that GDP, wages, and trade restrictions have a positive effect while interest rates and exchange rat

42、es appear to have a negative effect on FDI. Similarly, Heid and Ries (1996) investigated the determinants of FDI location decision in 54 Chinese cities and found that FDI is mostly attracted to Chinese cities that have strong industrial base and excellent infrastructure.In another study, Sun et al.

43、(2002) analyzed the determinants of FDI across Chinas thirty provinces from 1986 to 1998 and found that the key drivers of FDI have changed over time. Hsiao and Hsiao (2004) also examined why China has attracted so much FDI and found that about 50% of Chinas FDI originated in Hong Kong and Taiwan. Z

44、hang (2005) asked why a very large portion of China-bound FDI comes from Hong Kong and Taiwan. They found that the characteristics of FDI from the major developed nations (EU, US, and Japan) are different from those of Hong Kong and Taiwan. Also, several studies have investigated other aspects of FD

45、I in China. Some authors explored how FDI is a productive input spurring Chinas recent economic growth ( Chen et al., 1995, Wu, 2000 and Yao and Wei, 2007).Although many authors have analyzed the effect of various economic determinants of FDI, very few have examined the role of IPR as advocated in t

46、his study. Lee and Mansfield (1996) authored one of the first empirical investigations of the possible linkage between a developing countrys IPR protection system and the volume and composition of US FDI in that country. Their empirical evidence indicates that the strengthening of IPR protection has

47、 a positive effect on FDI inflows. In a more recent study, Javorcik (2004) examined the effect of IPR on the composition of FDI for a group of transition economies in Eastern Europe and the former Soviet Union. The study concludes that weak IPR protection has a negative effect on FDI in technology-i

48、ntensive sectors. Similarly, Nunnenkamp and Spatz (2004) investigated the IPR-FDI linkage using sectorally disaggregated FDI data for a large sample of host countries and found that stronger IPR protection played a positive role in attracting FDI.In Chinas case, while qualitative analyzes on the rol

49、e of IPR on its economy abound, data-driven empirical studies have been relatively scarce. Recently, Du et al. (2008) investigated the relationship between regional economic institutional factors (i.e., property rights protection and contract enforcement) and the locational choice of US multinational firms in China.1 Their results, based on a panel data set (19932001), suggest that US multinationals pre