世界经济 ›› 2019, Vol. 42 ›› Issue (11): 124-147.

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外国在华专利申请的技术外溢效应研究

曲如晓, 刘霞   

  1. 1. 北京师范大学经济与工商管理学院;
    2. 北京第二外国语学院经济学院 北京市朝阳区定福庄南里1号 100875
  • 出版日期:2019-11-10 发布日期:2019-11-20
  • 通讯作者: 刘霞(通讯作者),电子邮箱:liuxia@bisu.edu.cn E-mail:liuxia@bisu.edu.cn
  • 作者简介:曲如晓,电子邮箱:quruxiao@126.com
  • 基金资助:
    国家社会科学基金重点项目《外国在华专利与中国出口贸易高质量发展的关系研究》(19AJL015)的阶段性成果。

Technology Spillover Effects of Foreign Patent Applications on Chinese Firms

Qu Ruxiao, Liu Xia   

  • Online:2019-11-10 Published:2019-11-20

摘要: 本文基于创新阶梯模型,构建了外国在华专利申请的技术外溢模型,并使用中国工业企业、中国海关和国家知识产权局数据,从理论和经验层面验证外国在华专利申请对中国企业的技术外溢效应。研究发现:短期内外国在华专利申请对企业生产率存在显著正向影响,但随中国市场集中度和外国在华专利申请集中度的增加,技术外溢程度逐渐减弱。考虑技术外溢效应的非线性影响趋势,外国在华专利申请对企业生产率存在倒U型影响,且企业吸收能力对外国在华专利申请的技术外溢有显著正向调节作用。因此,中国企业在提高自主创新能力的同时,要高效获取、吸收和利用外国专利技术信息,不断促进生产技术进步和生产效率提高。

关键词: 外国在华专利申请, 技术外溢, 吸收能力

Abstract: Based on the quality ladder model of innovation, this paper constructs a technology spillover model for foreign patent applications in China, combining data from Chinese industrial firms, Chinese customs and the State Intellectual Property Office to verify the dissemination of technology spillovers from foreign patents in China from a theoretical and empirical point of view. The study finds that foreign patent applications in China have a significant positive impact on the productivity of firms in short-term, and that with an increase in the concentration of the Chinese market and the concentration of foreign patent applications, the degree of technology spillovers has gradually weakened. Considering the nonlinear influence, foreign patent applications in China present a U-shaped impact on productivity, and firms' absorption capacity has a significant positive adjustment effect on technology spillovers from foreign patent applications. Therefore, while improving their independent innovation capabilities, Chinese firms need to efficiently acquire, absorb and utilise information regarding foreign patent technology, continuously promoting technological progress and productive efficiency.

Key words: foreign patent application, technology spillover, absorption

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