“弱保护”下的外国在华专利申请驱动因素研究:理论与实证

A Study on the Driving Factors of Foreign Patent Applications in China under ’Weak Appropriability’:Theory and Evidence

针对外国在华专利申请持续激增这一现象,基于知识生产函数和专利申请成本,构建了代表性企业在知识产权保护不完善国家进行跨国专利申请的理论模型,分析跨国专利申请的驱动因素。并运用1990—2015年的面板数据,采用随机效应模型对主要国家在华申请进行实证检验。结果表明:作为专利申请目的国,我国的市场规模、专利保护强度、专利申请成本均与外国在华专利申请存在密切关系,现阶段我国市场有效规模的持续增加能够解释约34%的外国在华专利数量增长,是首要驱动因素;我国专利保护强度的提升和第2次专利法的修订也正向促进了外国申请人在华专利申请,但第3次专利修订则表现为负向影响关系;专利申请费用与外国在华专利申请数量显著负相关,申请费每增加1%,外国在华申请数量会减少0.53%。

In view of the surge of foreign patent applications in China,this paper constructs a theoretical model for representative enterprises to apply for patents in countries with imperfect intellectual property protection system and analyzes the main driving factors of transnational patent applications from the perspective of knowledge production function and application cost.Using the panel data from 1990 to 2015,this paper verifies the impact of the patent application of the main applicant countries in China with the random effect model.The result shows that:as the destination country of patent application,China's market size,patent protection intensity and patent application cost are closely related to foreign patent applications in China.At present,the continuous increase of China's market effective size mainly improves foreign enterprises'patent applications in China and this factor can explain the surge of 34% of foreign patents in China.Although the improvement of patent protection intensity and the second amendments to the patent law also significantly promote the patent application of foreign applicants in China,the third revision is negatively correlated with it.And there is a negative correlation between the patent application fee and the number of foreign patent applications in China,for every 1% increase in the application fee,the number of foreign applications in China will decrease by 0.53%.