外国专利的产业关联效应:技术扩散还是竞争封锁  

Industrial Association Effect of Foreign Patents:Technology Diffusion or Competition Blockade

作　　者：刘霞 曲如晓[2] 张天硕 LIU Xia;QU Ru-xiao;ZHANG Tian-shuo(School of Economics,Beijing International Studies University,Beijng,100024,China;School of Economics and Business Administration,Beijing Normal University,Beijng,100875,China)

机构地区：[1]北京第二外国语学院经济学院,北京100024 [2]北京师范大学经济与工商管理学院,北京100875

出　　处：《经济管理》2023年第11期89-111,共23页Business and Management Journal ( BMJ )

基　　金：国家社会科学基金青年项目“大国博弈背景下中国海外专利布局对全球价值链网络地位的影响研究”(22CJL022);北京市教育科学“十四五”规划课题“首都高校科技成果转化效率提升的路径研究”(AGDB22201);北京第二外国语学院科研启航计划项目“中国文化吸引力与企业国际化”(KYQH20A030)。

摘　　要：外国专利作为技术信息跨国流动的重要渠道,对东道国的技术进步和创新发展至关重要。本文从跨行业视角研究外国专利的产业关联效应,并探讨了技术扩散和竞争封锁这两种效应的动态转化机制。研究发现,外国专利通过后向关联对上游企业呈现出一定的技术扩散效应,而通过前向关联对下游企业的影响则以竞争封锁为主。机制检验表明,外国专利通过前后向关联渠道对上下游企业的技术扩散效应与竞争封锁效应存在显著的动态转化趋势,且企业技术吸收能力的提升和外国专利申请集中度的增加均会促进这两种效应的动态转化。拓展性分析表明,外国专利对上下游企业的跨行业效应会随着专利申请类型、专利质量水平以及专利密集程度等因素的不同而呈现出差异化趋势。本研究为跨国专利申请与东道国企业的关系研究提供经验证据,也为中国制造业上下游产业链现代化和高级化发展提供重要的政策建议。With the increasing number of foreign patents in various sectors of China's manufacturing industry,the impact of foreign patents on the host country in innovation development and technological competition will inevitably penetrate into its upstream and downstream industries along the industrial chain.Therefore,analysing the differential impact of foreign patents on Chinese upstream and downstream enterprises from the perspective of cross-industry backward and forward linkages is of great theoretical and practical significance.Based on the perspective of cross-industry industrial linkage,this paper simultaneously incorporates the technology diffusion and competition blockade of foreign patents through forward and backward linkage channels into the theoretical analysis framework,and examines and analyses the differentiated impact effects and theoretical mechanisms of foreign patents across industries by selecting the micro-enterprise data from 2007 to 2013.(1)foreign patents in China show significant technology diffusion effects on upstream enterprises through backward linkage,while the effects on downstream enterprises through forward linkage are dominated by competition blockade effects.And the stronger the technology absorption capacity of enterprises,the more obvious the technology diffusion effect of foreign patents on upstream and downstream enterprises through backward and forward linkage channels,especially for invention patents.(2)The influence of foreign patents in China on upstream and downstream enterprises through the forward and backward channels has a significant single threshold effect,and the cross-industry technology diffusion effect and the competitive blockade effect generated through various channels have a more significant dynamic transformation trend.At the same time,the enhancement of enterprise technology absorption ability and the increase of foreign patent concentration in each related channel will promote the dynamic transformation of these two effects.(3)The impact of foreign utility mo

关 键 词：外国专利 技术扩散 竞争封锁 前向关联 后向关联 

分 类 号：F062.9[经济管理—政治经济学]