From catch-up to frontier: The utility model as a learning device to escape the middle-income trap

Su Jung Jee, Kerstin Hötte
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Abstract

Escaping the middle-income trap requires a country to develop indigenous technological capabilities for high value-added innovation. This study examines the role of second-tier patent systems, known as utility models (UMs), in promoting such capability acquisition in less developed countries. UMs are designed to incentivize incremental and adaptive innovation through lower novelty standards than patents, but their long-term impact on the capability acquisition process remains underexplored. Using South Korea as a case study and drawing on the characteristics of technological regimes in catching-up economies, we present three key findings: First, the country's post-catch-up frontier technologies (U.S. patents) are more impactful (highly cited) when they build on Korean domestic UMs. This suggests that UM-based imitative and adaptive learning laid the foundation for the country's globally competitive capabilities. Second, the impact of UM-based learning diminishes as the country's economy develops. Third, frontier technologies rooted in UMs contribute more to the country's own specialization than to follow-on innovations by foreign actors, compared to technologies without UM linkages. We discuss how technological regimes and industrial policies in catching-up economies interact with the UM system to bridge the catching-up (imitation- and adaptation-based) and post-catching-up (specialization- and creativity-based) phases.
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从追赶到前沿:实用模型作为摆脱中等收入陷阱的学习工具
要摆脱中等收入陷阱,一个国家就必须发展本土技术能力,实现高附加值创新。本研究探讨了被称为实用新型(UMs)的二级专利制度在促进欠发达国家获得这种能力方面的作用。实用新型旨在通过低于专利的新颖性标准来激励渐进式和适应性创新,但其对能力获取过程的长期影响仍未得到充分探索。以韩国为案例,并借鉴追赶型经济体技术体制的特点,我们提出了三项重要发现:首先,当韩国的追赶型前沿技术(美国专利)建立在韩国国内的统一管理基础上时,其影响力更大(引用率更高)。这表明,基于 UM 的模仿和适应性学习为韩国的全球竞争能力奠定了基础。其次,随着国家经济的发展,基于 UM 的学习的影响会逐渐减弱。第三,与没有UM联系的技术相比,植根于UM的前沿技术对国家自身专业化的贡献要大于外国参与者的后续创新。我们讨论了追赶型经济体的技术制度和产业政策如何与统一市场体系相互作用,从而在追赶(基于模仿和适应)和后追赶(基于专业化和创造性)阶段之间架起桥梁。
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