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不少研究表明,外国在华专利申请激增很大程度上归因于专利法修订、知识产权保护力度加强以及外国投资和贸易活跃的共同作用。文章分别选取中国知识产权局、美国专利和商标局的专利数据(1995~2008年),借助19个国家和地区的行业层面数据检验市场占有假说和竞争威胁假说。研究发现,不同国家在中国市场上的竞争和专利申请上的跟随支持了竞争威胁假说,即在华专利申请取决于其竞争国家的市场和专利决策,是针对竞争对手的未雨绸缪。然而,从技术相似性角度的分析显示,外国在华专利申请的增加并不一定意味着中国接触、获取外源新技术的机会增加,相反,技术溢出程度有限。
Many studies show that the surge in foreign patent applications in China is largely due to the revision of the patent law, the strengthening of intellectual property protection and the common role of foreign investment and trade. The paper chooses the patent data of China Intellectual Property Office, the United States Patent and Trademark Office respectively (1995-2008) and tests the hypothesis of market share hypothesis and competition threat with the help of industry-level data of 19 countries and regions. The study found that different countries’ competition in the Chinese market and follow-up of patent applications supported the competition threat hypothesis that patent applications in China depend on the market and patent decisions of their competing countries and are intended to take precautions against competitors. However, the analysis from the perspective of technological similarity shows that the increase of patent applications by foreign countries in China does not necessarily mean that China has more opportunities to gain access to new foreign technologies. On the contrary, the extent of technology spillovers is limited.