【作者】 杜鹃；

【导师】 彭其渊；

【作者基本信息】 西南交通大学 ， 资源优化管理， 2009， 博士

【摘要】 专利法作为激励发明创新的一个次优方案得到了主流经济学家的认同。然学界及实务界对专利保护水平的适度问题却一直争论不休。从上世纪60年代开始,一批专利经济学学者就专利保护水平与经济增长和科技水平的关系作了大量的理论和实证研究。目前学界一般的认识是专利保护水平应与经济发展水平相适应。较高经济发展水平和科技发展水平的国家应适用较高的专利保护水平;经济科技低水平的国家就应适用低专利保护水平。在此观点下,国内学者对目前专利保护国际一体化趋势下我国专利保护水平日渐偏高产生了忧虑。然而,上述结论只是一个定性的结果,经济发展水平和科技水平有很多的量度,这个结论无法解释我国在专利保护水平不断增强的情况下,专利成果在数量和质量上仍在逐年增加的现实。专利制度的核心是利益的权衡,这种平衡的机制异常复杂,我们需要考察更直接的影响变量,以能在政策制度的制定中加以应用。本文运用新古典经济学理论,从宏观视角着眼,首先研究了专利产权与资源配置的关系,在得到对专利技术的适度保护最有利于资源配置的结论后,进一步考察了专利保护水平与专利生产要素产出弹性之间的动态关系。为进一步研究我国专利法保护水平的适度问题,用国内的经验数据对我国研发资本和研发人员的产出弹性进行了动态研究,得出我国研发资本的产出弹性大于研发人员的产出弹性,以此为依据,推论出我国专利保护水平应该逐步加强的结论。为考察我国专利法实际保护水平的适度问题,论文在最后两部分考察了我国专利法的实际运行绩效。首先依据制度评价标准,建立了一套评价指标体系,并对我国一段时期内的专利法制度运行绩效进行了综合评价。最后对我国实际专利保护水平与理论上适度的专利保护水平进行比较,得出基本一致的结论。论文的创新点在于首次用交易成本概念解释了专利制度的平衡机制,论证了在正交易成本情况下,与拥有完全的专利产权相比,有限制的专利产权更能节约交易成本,优化资源配置。首次引入最优控制理论,把专利保护水平作为相机决策变量,通过建立专利保护水平的动态优化模型,得到了专利保护水平的最优时间路径。首次采用变参数模型分析了专利的投入要素与专利产出之间的动态关系,并对我国理想状态的专利保护水平作了初略估计。更多还原

【Abstract】 As to the case of development history of Patent law, it has been paid wide attention to many scholars form its birth, including politician, economists and law scholars. And it has caused discussion for two centuries. They has not shared the same understanding on performance of Patent law nowadays.The suboptimal project has been accepted by mainstream western economists, accented. But the protection level of patent has been the hot spot of discussion and study. Form 60s of upper century, many patent economical scholars has done a lot research of theory and practice on the relationship of protection lever and development of economy and technology.Now the common understanding is that protection level of Paten law should be suited to that of economical and technological development. Considerably developed countries are in the state of high-level development of economy and technology, they should perform the Patent law of high protection level, and vice versa. The conclusion has caused many scholars home to worry about which our protection level of patent has been gradually raised with the increasing globalization of Patent law. But above conclusion is only qualitative. And it doesn’t analysis the case that quantity and quality of patent has gradually improved year by year, with the enhancement of our protection level of patent. Economical and technological development has many impact factors. The key of Patent law is equilibrium of interests, and its mechanism is very complicated, we should study more direct factors, this will helpful for us to apply in practice.The paper studies relationship of protection level of Patent law and productive elasticity of development capital and personnel during patent production by using new classic economics theories. Meantime the paper looks input-output of patent as the most basic measurable standard of performance of Patent law. Based on which we present a set of evaluation criteria. This paper makes comprehensive on performance of the Patent law in China. Lastly, it explain the relationship between protection level of Patent law and its performance recently.更多还原