科研管理

科研管理 ›› 2021, Vol. 42 ›› Issue (5): 133-142.

• 论文 • 上一篇    下一篇

中国与瑞典专利技术合作研究

张亚峰1，李成龙2，肖利3   

  1. 1.中国科学院大学 公共政策与管理学院，北京100049；
    2.北京科技创新研究中心,北京100744；
    3.中国科学院科技战略咨询研究院，北京100190

  • 收稿日期:2019-12-02 修回日期:2020-08-26 出版日期:2021-05-20 发布日期:2021-05-19
  • 通讯作者: 肖利
  • 基金资助:
    科技部国际合作司委托任务：“中国与瑞典科技创新合作机制研究”（2019.01—2019.10）;国家社会科学基金重大项目：“国家重大科技产业项目知识产权安全风险监测预警与防控体系”（19ZDA102，2020.01—2023.12）。

A research on the patent-based technology collaboration between China and Sweden

Zhang Yafeng1, Li Chenglong2, Xiao Li3   

  1. 1. School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China; 
    2. Beijing Science and Technology Innovation Research Center, Beijing 100744, China; 
    3. Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China
  • Received:2019-12-02 Revised:2020-08-26 Online:2021-05-20 Published:2021-05-19

摘要： 国际科技合作是促进国内技术创新的重要路径，而国际专利合作申请是国 际科技合作的重要体现。本文选择瑞典的优势产业技术领域，基于 1988年至2017 年瑞典、中国申请及合作申请的 PCT 专利和 EPO 专利，对专利申请及合作趋势 进行分析。剖析了我国企业与瑞典在专利技术创新方面的差距及在专利合作中存 在的问题，以期为我国企业更好地开展对瑞典科技与经济合作提供参考。尤其是 在中美经贸关系紧张背景下，探讨与关键性小国的合作对我国深化对外科技合作 战略、推动企业技术创新具有重要意义。

关键词: 技术合作, 专利, 中国, 瑞典

Abstract: International technology collaboration is an important way in improving domestic technological innovation. A lot of countries, multinational corporations, research institutes and universities are taking measures to enhance their international technology collaboration level, which is helpful in promoting open innovation, improving research efficiency and reducing research risks. By defining the dominant industries in Sweden and the IPC classifications of the patents in those industries, this article uses the data of the collaborated PCT and EPO patents between China and Sweden during 1988 - 2017 to analyze the collaboration situation of technology between the two nations.
First, we divide international patent collaboration into 9 specific types based on the collaboration of patent applicants and patent inventors. Because patent applicants are usually the patent holders after the patent being granted, and patent holders have the right to enforce their patents, while inventors only have the right to get some rewards and the right to have their names signed in the patent document, we hold the opinion that collaboration between patent applicants is more meaningful. Starting from this point, we further define the 9 types of international patent collaboration into broad (between applicant and/or inventor) international patent collaboration and narrow (between applicants) international patent collaboration, where the narrow collaboration is the more meaningful one as defined.
Second, we analyzed the situation of the patent collaboration between China and Sweden in the four dominant industries of Sweden. The four industries include Information and Communication Industry, Pharmaceutical Manufacturing Industry, Medical Device Industry, and Automobile Manufacturing Industry. And we analyze the patent collaboration between China and Sweden in the four industries using dimensions of PCT and EPO patent.
Third, we clarified the characteristics of the patent collaboration between China and Sweden from three aspects of technology fields, entity features and regional difference. In this section, we compare the patent collaboration between China and Sweden and the patent collaboration between America and Sweden to enrich our findings. It is found that, in aspect of technology fields, the more developed the technology of a nation is, the more likely the technology is found to have collaborations in patents; besides, the nature of the technologies themselves and other factors also influence the collaboration, and the technology development level is not the only factor. In aspect of entity features, the background of the applicants and inventors has impact on the collaboration, especially the investment background of the organizations applying patents and the relationship background of the organization leaders and inventors. In aspect of regional difference, patent collaboration is found to have regional propensity, this is mainly because patent is protected by national/regional law and the decision of collaboration behavior is made based on market consideration of certain nations or regions. 
The research is aimed at providing reference for further technology collaboration of China and other countries. It is of great significance to discuss the collaboration with small nations in deepening China′s international technology collaboration strategy and promoting enterprises′ technological innovation under the background of the tense Sino-America relationship. Based on the findings, we put forward some policy implications for the future technology collaboration.
〖WTHZ〗Key words

Key words:  technology collaboration, patent, China, Sweden