跨国专利作为国际技术外溢的重要渠道之一，对东道国的技术进步和经济增长有非常重要的作用。改革开放40年来，随着中国知识产权制度不断完善和发达国家专利国际化战略的实施，外国在华专利申请数量与日俱增，这为推动全球创新资源进入中国，充分吸收、利用外国专利所产生的技术外溢，提升中国企业技术水平，促进企业出口增长创造有利条件。当前，中国正处于由贸易大国向贸易强国转变的关键阶段，中国外贸发展面临的外部环境严峻复杂，外贸发展的创新动力尚未形成。因此，把外国在华专利作为一种重要技术资源，切实提升中国企业统筹利用国际创新资源的能力，对于培育中国外贸竞争新优势，推动中国出口贸易高质量发展具有重要的现实意义。 因此，对中国而言，外国在华专利申请量的不断增加，在对中国企业产生技术封锁的同时，也不可避免地产生一定的技术外溢。那么这种技术外溢效应具体有多大？是否会因外溢渠道的不同而不同呢？与此同时，根据新新贸易理论，企业生产率是影响企业是否出口以及出口规模的重要因素，那么外国在华专利是否会通过技术外溢影响中国企业生产率进而影响企业的出口决策呢？具体影响路径是什么？关于这些问题现有文献语焉不详，基于此本文将从理论和实证的角度分析外国在华专利对中国企业所产生的各渠道技术外溢效应以及对企业出口决策的影响，为提高中国技术水平，促进企业出口贸易的高质量发展提供新思路，具有非常重要的理论与现实意义。 本文在已有研究成果的基础上，以外国在华专利为例，通过将2010-2013年国家知识产权局数据、中国工业企业数据、中国海关数据以及国际投入产出表数据进行匹配，分别从理论和实证的角度同时分析其对中国企业产生的平行技术外溢效应和跨行业垂直外溢效应，并进一步将外国专利与企业出口同时纳入新新贸易理论的分析框架，基于Melitz（2003）异质企业理论和Chevassus-Lozza 等（2013）的中间品投入与企业出口收益理论，研究外国在华专利通过各渠道技术外溢对企业出口决策和出口边际等方面的影响，并充分考虑在不同要素密集度、行业竞争程度、不同生产率水平以及不同类型外国专利等异质性条件下，外国在华专利对中国企业出口决策所产生的不同影响。最后根据各部分研究结论为提高中国各行业技术水平，促进中国出口高质量发展提出相应的对策建议。本文的主要结论如下： （1）将外国专利作为国际技术外溢的重要路径，以外国在华专利为例，基于Eaton和Kortum（1996）的创新阶梯模型，尝试构建了外国专利产生平行技术外溢效应的理论框架。并通过选取2010-2013年国家知识产权局数据、中国工业企业数据和中国海关数据，从实证的角度检验了对这种平行的技术外溢效应进行了检验。结果发现：从整体上看，外国在华专利对中国同行业内企业生产率存在显著的正向影响，且技术吸收能力对外国在华专利的平行技术外溢效应有显著的正向调节作用，行业内企业的技术吸收能力越高，外国在华专利对其产生的平行技术外溢效应越明显。如果考虑非线性效应，则外国专利对企业生产率存在倒U型的影响趋势。同时，随着行业集中度、专利申请类型以及企业所有制形式的不同，外国在华专利对行业内企业生产率的影响程度也不同。 （2）考虑上下游行业间的关联度，分别从前向关联和后向关联的角度分析了外国专利产生垂直外溢的理论机制。再将国际投入产出表数据与工业企业数据、中国海关数据和国家知识产权局数据匹配，进而从实证的角度验证了外国在华专利对中国企业所产生的跨行业垂直技术外溢效应，以及专利申请类型和行业要素密集度等因素对垂直技术外溢效应大小的影响。结果发现：外国在华专利申请对企业产生的垂直技术外溢效应主要体现在后向关联渠道上，且技术吸收能力对后向关联的外溢效应也存在显著的正向调节作用，而对前向关联渠道的正向调节作用存在一定的门槛值。同时，随着专利申请类型和要素密集度的不同，前后向关联渠道的技术外溢效应大小也不同。 （3）将外国专利的各渠道技术外溢与企业出口决策同时纳入新新贸易理论的分析框架，基于Melitz（2003）的企业异质性理论和Chevassus-Lozza 等（2013）的中间品投入与企业出口收益理论，分别构建了外国专利平行技术外溢和跨行业垂直技术外溢对企业出口决策影响的理论模型。同时选取微观企业数据从实证的角度验证了外国在华专利通过各渠道技术外溢对企业出口概率、出口强度以及出口边际等方面的所产生的影响。在此基础上又通过构建中介效应模型对外国在华专利对企业出口决策的影响机制进行了检验。研究发现：外国在华专利通过平行技术外溢和垂直技术外溢对中国企业出口概率和出口强度均存在显著的正向影响，但是对出口强度的影响更大。其中对企业出口概率和出口强度的影响主要体现在私营企业、外商独资企业以及中外合资企业，而对国有企业影响较小。其次，从生产率高低的角度分析，外国在华专利通过平行和垂直技术外溢对高生产率企业出口强度均体现出较大的促进作用，而对出口概率的影响则主要体现在低生产率水平的企业上。再者，外国在华专利通过各渠道技术外溢对企业总出口、出口集约边际和扩展边际均存在显著的促进作用，其中通过平行技术外溢对出口集约边际的影响程度较大，而通过跨行业垂直技术外溢对出口扩展边际的影响相对较大。

As one of the important channels for international technology spillovers, multinational patents play an important role in the technological progress and economic growth. In the past 40 years of reform and opening up, with the continuous improvement of China's intellectual property system and the implementation of the patent internationalization strategy of developed countries, the number of foreign patent in China is increasing quickly. It is important to promote the global innovation resources to enter China and fully absorb the technology generated by foreign patent to enhance the technological level and to promote the export of enterprises. At present, China is in a critical stage of development transition. The external environment is severe and complex, and the innovative driving force has not yet taken shape. Therefore, using foreign patents as an important technical resource and improving the ability of Chinese enterprises to make full use of international innovation resources is of great significance for cultivating new advantages of trade competition and promoting the high-quality development of export. Therefore, for China, the increasing number of foreign patent will have a significant technological spillover for enterprises. Will it promote the advancement of enterprise technology and the improvement of production efficiency? And will this technology spillover effect vary depending on the spillover channels? At the same time, according to the new-new trade theory, enterprise productivity is an important factor affecting the export of enterprises. Then, will foreign patents in China affect the productivity of enterprises and affect their export decisions through technology spillovers? What is the specific impact path? Based on these questions, this paper will analyze the spillover effects of foreign patent in China and the impact on enterprises' export decisions, in order to improve China's technological level and promote the quality of export. So these new ideas provides important theoretical and practical significance. Based on the existing research, this paper uses foreign patent applications in China as an example to match Intellectual property office data, China industrial enterprise data, China customs data and international input-output table data for 2010-2013. From the theoretical and empirical perspectives, it analyzes the parallel technology spillover effects and cross-industry vertical spillover effects of Chinese enterprises, and further integrates the technology spillover effect of foreign patent and export of Chinese enterprises into the analytical framework of the new-new trade theory. Based on heterogeneous enterprise theory (Melitz,2003) and intermediate investment and corporate export theory (Chevassus-Lozza et al.,2013) ,this paper studies the impact of foreign patent on the export of Chinese enterprises. Consider the different impacts of foreign patent in China on the export under different heterogeneity factors such as different factor intensity, industry competition level, productivity levels and types of foreign patents.Then according to the conclusions of each part, the corresponding countermeasures and suggestions are proposed to improve the technical level of enterprises and to promote the quality of export. The main conclusions are as follows: Firstly, taking the foreign patent application in China as an example, based on Eaton and Kortum's innovative ladder model, we attempted to construct a theoretical framework for foreign patent parallelism spillover effects in China. Then from an empirical perspective to test this theory. It finds that: foreign patent in China, there is a significant positive impact on the productivity of Chinese enterprises. But if nonlinearity is considered, the impact of foreign patent on productivity is U-shaped trend. And the absorption capacity of enterprise technology has a significant positive adjustment effect on the technology spillover. The higher the absorption capacity of enterprises, the more obvious the technology spillover of foreign patent. Furthermore, with the different concentration of industry, the type of patent application and the form of enterprise ownership, foreign patents have different degrees of impact on the productivity of enterprises within the industry. Secondly, this paper fully considers the degree of association between industries, and divides the inter-industry linkage into forward-associated channels and backward-associated channels. It analyzes the theoretical mechanism of foreign patent vertical spillovers and passes the data of international input-output tables and industrial enterprises. Then empirically studied the vertical technology spillover effects of foreign patent in China. It found that: the vertical technology spillover effect of foreign patent in China is mainly reflected in the backward related channels. Moreover, the positive adjustment effect of the absorption capacity of enterprises on the vertical spillover effect of cross-industry is also related to backward channels, while the positive adjustment effect on the forward-related channels has a certain threshold. Furthermore, with different types of patent applications and the intensity of factors, the technology spillover effects of forward-related channels have different influence trends. Thirdly, linking the technology spillover effects of foreign patents to enterprises' export decision, based on the heterogeneity enterprise theory of Melitz and the intermediate investment and export income theory of Chevassus-Lozza to construct a theoretical model. Then from an empirical perspective to test this theory, it found that: foreign patent technology spillovers exist for both export probability and export intensity, but greater impact on export intensity. The impact on the export probability and export intensity of enterprises is mainly reflected in private enterprises, wholly foreign-owned enterprises and Sino-foreign joint ventures. And it has little impact on state-owned enterprises. Also, from the perspective of productivity, the technology spillover effects of foreign patent applications in China have a greater role in promoting the export intensity of high-productivity enterprises, while the impact on export probability is mainly reflected on low-productivity enterprises. Besides, the technology spillovers of foreign patent have a significant role in promoting the total export, export intensive margin and extensive margin. Parallel technology spillovers have a greater impact on the intensive margin, while the vertical technology spillovers has a relatively large impact on the extensive margin.