| 杨亚平,余梦玲,刘歆.技术交易网络嵌入与企业关键核心技术突破——基于中国专利转让数据的研究[J].数量经济技术经济研究,2026,(6):185-210 | | 技术交易网络嵌入与企业关键核心技术突破——基于中国专利转让数据的研究 | | Technology Transaction Network Embedding and Firm Key Core Technology Breakthroughs： Based on Chinese Patent Transfer Data | | | | DOI： | | 中文关键词: 技术交易 关键核心技术 专利转让 要素市场 | | 英文关键词: Technology Transaction Key Core Technology Patent Transfer Factor Market | | 基金项目: | | | 中文摘要: | | 在建设全国统一技术要素市场的背景下，专利转让等技术交易是否有助于企业突破关键核心技术，成为重要现实议题。本文构建企业层面的技术交易网络，考察企业在技术交易市场中的网络嵌入程度对关键核心技术突破的影响。研究发现，技术交易网络嵌入促进了企业关键核心技术突破。机制检验表明，技术交易网络嵌入主要通过知识整合开发效应、动态能力构建效应、信息获取与风险识别效应，推动企业实现关键核心技术突破。异质性分析发现,网络结构方面，知识输入中心性比输出中心性更有效，企业合作伙伴比研发机构合作伙伴更具成效；交易场景方面，高技术势能地区向低技术势能地区、小规模企业向大规模企业，以及技术特征存在适度差异行业之间的促进效应更显著；交易主体特征上，行业技术迭代快和稳定客户关系的企业中，网络中心性的创新赋能效应更突出。本文为完善技术交易市场制度设计、提升企业原始创新和核心技术攻关能力提供了经验证据。 | | 英文摘要: | | Against the backdrop of intensifying global technological competition and the ongoing reconfiguration of the international division of labor, key core technologies have become a strategic focal point for countries seeking to secure dominance in industrial chains, upgrade their positions in global value chains, and strengthen their influence within innovation systems. Although China has made notable progress in implementing its indigenous innovation strategy in recent years, there is still room for further breakthroughs in key core technologies. Meanwhile, as China accelerates the development of a unified national market for technology factors and promotes the commercialization of scientific and technological achievements, an important question arises: can firms enhance their capacity for breakthroughs in key core technologies by embedding themselves in technology transaction networks through market-based activities such as patent transfers?
Using Chinese patent transfer data from 2003 to 2022, this study constructs a firm-level technology transaction network and empirically examines how network embeddedness affects firms’ breakthroughs in key core technologies. The results show that deeper embeddedness in technology transaction networks significantly facilitated such breakthroughs. This effect operated primarily through three channels: knowledge integration and recombination, the development of dynamic capabilities, and improved access to information alongside enhanced risk identification. Further heterogeneity analyses reveal the existence of several nuanced patterns. First, in terms of knowledge flow, technology inflows exerted a stronger effect than outflows. Second, regarding partner type, transactions with other firms were more effective than those involving research institutions. Third, from the perspective of transaction contexts, the positive effect was more pronounced in technology flows from high- to low-technology regions, those from smaller to larger firms, and those across industries with moderate technological differences, such as between technology-intensive and labor-intensive sectors. Finally, with respect to firm characteristics, this effect was stronger in those industries characterized by rapid technological change and in those firms with relatively stable customer relationships.
This paper makes three main contributions to existing research. First, it extends current literature on technology transaction networks by shifting the focus from firm performance and productivity to breakthroughs in key core technologies, a more strategic and long-term innovation outcome. In this way, it provides new firm-level evidence on the deeper innovation implications of network embeddedness in emerging economies. Second, it contributes to current literature on the determinants of key core technology breakthroughs, by adopting a micro-level perspective centered on technology transfer relationships. Specifically, it shows how firms embed themselves in technology transaction networks through patent transfers and acquisitions, and how this process fosters capability upgrading via knowledge integration, dynamic capability building, and improved information processing. Third, this study highlights that breakthroughs in key core technologies are not solely driven by government support or internal R&D efforts. Market-based mechanisms, particularly technology transaction networks, also play a crucial role to reduce innovation uncertainty, facilitating knowledge recombination, and accelerating technological upgrading. These insights offer important policy implications to improve the technology factor market and promote more efficient technology transactions.
Based on these findings, several policy implications are proposed. At the strategic level, firms should treat participation in technology transaction networks as a key component of their innovation strategy, with an emphasis on external knowledge integration rather than on mere technology acquisition. At the capability level, firms should strengthen advanced dynamic capabilities, including partner management, resource allocation, and technology standardization, to enhance the effectiveness of network participation. At the governance level, firms should adopt a more refined approach to network design and management, tailoring structures and collaboration patterns to different contexts. Finally, at the context level, firms should maintain strategic flexibility and adjust their network embedding strategies in line with industry characteristics and stages of development, in order to fully leverage the benefits of technology transaction networks. | | 查看全文 相关附件： 下载数据代码附录 |
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