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Home Research Thought Leadership In the Media

Knowledge Exchange in International Trade

4 Jul 2018
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國際貿易中的知識交流

近日中美貿易戰雲密布,美國國會4月份的研究報告書就中美貿易問題作出一系列嚴重指控,其中知識產權方面,指美國知識產權被竊,強迫美國企業把生產技術轉移,以及2016年間假冒商品88%來自中國和香港,總值12億美元;美國隨即對中國禁運核心技術的電子產品,限制中國企業併購美國科技企業,對一些在國際市場運作的中國高科技企業展開調查等,明顯衝着「中國製造2025」而來。

事實上,此項計劃不僅關乎生產高端科技產品和商品市場之爭,因為一件商品的價值,在實用性以外,更重要是其中包含的技術及知識。若「中國製造2025」成功,意味中國不但在生產技術和產品研發方面領先,即使在創新科技及知識生產等戰略領域,也日益拉近與美國的差距,足以與美國在科技知識層面一爭長短。

保護知識有利經濟增長

無論發達國或發展中國家,其長遠經濟增長及競爭力,有賴於她的科技創新及發展。發展中國家資源有限,須投放於生產力較高的行業,才能實現高經濟增長,而經濟收益能否持續,則取決於生產技術和知識的開發。

掌握科技發展及應用,對經濟發展至關重要。要發展為先進經濟體,關鍵在知識生產,而牽涉考慮因素有兩方面:一是創新思維及概念;二是如何把這些新概念及思維應用於經濟活動。

知識本質上有別於大多數商品。首先,知識講求基礎,有累積性。知識也屬非競爭性,亦即有人使用已誕生的知識,其他人毋須付出額外成本,也可使用同樣知識。就一般消費品而言,消費者必須先購買才可使用;非排他性商品則不受此限,知識即屬一例。在經濟學上,兼具有非競爭性和非排他性的商品,一般稱為公共商品。

如果知識屬純公共商品,個人或企業便沒有動機或誘因開發新知識。故此新知識的產生須靠競爭性及排他性的保護,例如專利、版權、商標和商業秘密等法律。商標作用在防範模仿,以保障產品質量,令商標擁有者獲得更佳的經濟效益。版權用以保護各類創作,例如藝術作品、書籍、音樂或電影。專利權旨在鼓勵新產品和生產過程的發明,讓發明者至少在一段時間內從中獨享權益。商業秘密則為求防止相關知識外洩,以避免技術被盜竊轉移。產品及生產知識的競爭性和排他性固然須加保護,但在合情、合理、合法的條件下,專利、版權和商標的擁有者卻可出售或轉讓相關產品及生產知識。

即使受到知識產權保障,大多數知識的排他性也難免有漏洞,例如廉價偽冒品禁之不絕,書籍和音樂常被非法複製使用等。企業為求競爭,也往往不惜抄襲複製對手的新技術。

知識技術的來源去路

知識和技術可以通過不同的合法或非法渠道獲得,例如在市場上購買,在研發流程中產生,通過企業收購或併購,以至網路行動或非一般交易渠道;總之所費不菲。

知識生產既昂貴而風險又高,於是尋求開發高端複雜產品,而又欠缺相關技術知識的發展中經濟體,往往借助逆向工程。無力自行生產技術的新興經濟體,則在貿易中進口機械和工具,以直接用於商品的生產,或靠逆向工程過程拆解包含其中的新技術。眾所周知,七八十年代日本和南韓能在較短時間內執全球生產技術牛耳,也拜逆向工程所賜。如今既在技術知識的先進行列,兩國反而重視保護其生產知識及技術,以防範發展中經濟體盜用。

特定產品的生產技術可透過授權方式轉讓,例如製藥公司把某藥物配方轉售予生產仿製藥的藥廠。在生產鏈中通過市場交易也可轉讓包含受保護技術的製成品,以供製造最終產品,例如聯想生產的電腦中央處理器,就包含英特爾的技術和知識。

國際或企業界流動的勞動力也是技術知識轉移的重要媒介,熟練員工要是轉職,自會把從原來企業中所學到的技術知識、經驗帶給新僱主。

作為全球最大的經濟體,美國一大優勢在於通過高等教育,吸納各地優秀人才,為其經濟發展作出貢獻。作為國際勞動力及技術轉移的媒介,國際留學生學會高端技術及知識後的流向,往往成為國際間人才消長的關鍵。

發展中國家政府往往派學生去發達國家的大學留學,以獲取新技術及知識,學成後回國發展。畢業後留在當地企業發展者也不少,待其生產技術知識和技能更趨成熟,日後貢獻祖國,加速國家追上甚至超越最先進的技術水平。

國際貿易與科技流動

至於一國的科技發展有何作用,則可從兩個角度探討。首先,中間產品貿易有助獲得可供促進經濟增長的技術元素。Falvey等人(2002)就發現,發達經濟體和發展中國家之間的貿易可促進技術及知識流動,對發展中國家的經濟增長大有作用。而Coe和Helpman(2008)的研究則顯示,經合組織國家的生產率增長,取決於自身及其最緊密貿易夥伴所開發的知識。

一國在貿易中的比對優勢也會驅使她改變其生產的專業領域,把資源投放在較具優勢的產業。有關優勢實建基於該國原有的技術知識條件,而發展具優勢的行業同時有助促進相關生產技術發展,使該國在貿易中更趨成熟及領先。此觀點意味着生產技術和生產效率的提升,全賴一國通過貿易,不斷學習和不斷完善生產過程所致。Cohen和Leinthal(1990)則認為,一國能否善用外國技術,取決於她對新技術的吸收能力,以及對新技術及知識的識別力,從而化為己用,並改善生產效率。

發達與發展中國家的技術外溢

一國的技術知識吸收能力,自然以教育水平及生產者質素為先決條件。不同貿易產品各有不同水平的技術知識含量,Hildalgo等人(2007)就認為吸收能力還取決於不同類型商品中技術之間的距離。因此,一國基於本身的科技基礎建設,自會專注發展配合自身優勢的產品和行業,而相關開發潛力及生產技術能否加以升級或多樣化,則受不同產品的技術相關性所限。

聯合國貿易和發展會議(2014)探討過發達國家與發展中國家之間的技術差距問題,發現跨國企業是國際技術轉讓的主要渠道,超過八成的專利技術轉讓都在其子公司與母公司之間進行。數據實證研究亦顯示技術外溢到東道國企業的證據不足,反而跨國子公司生產力比東道國同業公司為高。

生產率較高的跨國企業子公司跟東道國企業的競爭更會白熱化,導致該國企業倒閉,甚至衍生貿易壁壘,使東道國政府對跟國家安全相關的行業(如農業)尤表關注。亦有不少實證研究顯示,與其說國際貿易有助提升競爭力,不如說較具競爭實力的企業才會傾向發展外貿。
 

謝國生 香港大學經濟及工商管理學院金融學首席講師
(本文同時於二零一八年七月四日載於《信報》「龍虎山下」專欄)

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參考資料
1. Morrison, W. M., “China-U.S. Trade Issues”, Congressional Research Service, United States of America, April 16, 2018 
2. Falvey R. et al “North-South Trade, Knowledge Spillovers and Growth,” Journal of Economic Integration 17(4) 2002
3. Coe, D.T., et all, “International R&D Spillovers and Institutions,” NBER Working Paper, June 2008
4. Cohen and Leinthal, “Absorptive Capacity: A New Perspective on Learning and Innovation”, March 1990, Administrative Science Quarterly 35:128-152
5. Hildago et al, “The Product Space Conditions the Development of Nations”, August 2007, Science:482-7
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