科研管理

科研管理 ›› 2025, Vol. 46 ›› Issue (12): 199-208.DOI: 10.19571/j.cnki.1000-2995.2025.12.020

• 论文 • 上一篇    下一篇

知识产权贸易壁垒对中国企业创新的影响研究

刘小玲1，田涵之2,3，孙晓华2   

  1. 1.大连海事大学航运经济与管理学院，辽宁 大连116024；
    2.大连理工大学经济管理学院，辽宁 大连116024;
    3.浙江大学物理学院，浙江 杭州310027
  • 收稿日期:2024-03-03 修回日期:2025-01-17 接受日期:2025-01-19 出版日期:2025-12-20 发布日期:2025-12-15
  • 通讯作者: 刘小玲
  • 基金资助:
    辽宁省社会科学规划基金重点项目：“产创融合导向下辽宁省未来产业共生模式与治理机制研究”（L25AJY006，2025.11—2027.11）。

Research on the impacts of intellectual property trade barriers on the innovation of Chinese enterprises

Liu Xiaoling1, Tian Hanzhi2,3, Sun Xiaohua2   

  1. 1. School of Maritime Economics and Management, Dalian Maritime University, Dalian 116024, Liaoning, China; 
    2. School of Economics and Management, Dalian University of Technology, Dalian 116024, Liaoning, China; 
    3. School of Physics, Zhejiang University, Hangzhou 310027, Zhejiang, China
  • Received:2024-03-03 Revised:2025-01-17 Accepted:2025-01-19 Online:2025-12-20 Published:2025-12-15

摘要：    知识产权壁垒作为如今国际贸易中最主要的非关税壁垒，是阻碍抑或倒逼中国出口企业自主创新？现有研究尚未给出明确答案。本文以美国对中国出口企业发起的知识产权侵权调查（简称337调查）为例，基于2007—2019年中国制造业上市公司数据，实证检验了知识产权贸易壁垒对中国出口企业创新活动的影响及其潜在作用机制。研究结果显示：知识产权贸易壁垒对中国出口企业创新具有显著促进作用，通过激励企业增加研发投入、减少外部技术引进、强化政府研发支持等途径，显著提升了企业的专利数量和专利质量；企业规模的增长有助于放大知识产权贸易壁垒对企业创新能力的提升效应，但非国有企业的创新提升效应不如国有企业，同时高市场化地区企业的创新提升作用也要弱于低市场化地区；企业出口依赖度、资产专用性和人力资本水平均正向调节知识产权贸易壁垒对企业创新的激励效果。本文的研究结论不仅有助于深化对中国出口企业创新动态的理解，而且为我国应对西方国家的科技打压、重塑国际竞争新优势提供了政策启示。

关键词: 知识产权贸易壁垒, 企业创新, 337调查

Abstract:    Intellectual property (IP) barriers have become one of the most significant non-tariff barriers in international trade today. Do they serve as obstacles to or catalysts for independent innovation by Chinese export firms? Existing research has yet to provide a clear answer to this question. Taking the United States′ intellectual property infringement investigations against Chinese export firms (commonly known as Section 337 investigations) as an example, this paper empirically examined the impact of IP trade barriers on the innovation activities of Chinese export firms as well as the potential mechanisms at play, using the data from Chinese manufacturing listed companies between 2007 and 2019. The results showed that IP trade barriers significantly promote the innovation of Chinese export firms by encouraging firms to increase R&D investment, reducing reliance on external technology imports, and strengthening government R&D support, thereby significantly improving both the quantity and quality of their patents. Firm growth amplifies the positive effects of IP trade barriers on innovation capabilities, but the innovation-enhancing effects are weaker for non-state-owned enterprises than state-owned enterprises, and firms in highly marketized regions exhibit weaker innovation improvements than those in less marketized regions. Moreover, firms′ export dependency, asset specificity, and human capital levels positively moderate the incentivizing effects of IP trade barriers on innovation. The findings of this study will not only deepen the understanding of the dynamics of innovation among Chinese export firms, but also provide policy implications for China to address technological suppression from Western countries and to reshape its new competitive advantages in the global market.

Key words: intellectual property trade barrier, enterprise innovation, Section 337 Investigation