【作者】 孔伟杰；

【导师】 苏为华；

【作者基本信息】 浙江工商大学 ， 统计学， 2010， 博士

【摘要】 新经济增长理论认为技术进步是保持一国经济长期可持续增长的最终源泉,自主创新和国际技术扩散是发展中国家技术进步的两条主要途径。由于大多数发展中国家与发达国家在技术上存在巨大的差距,而任何技术不同程度都具有外部性和外溢性,在开放的条件下,通过技术引进、模仿等技术扩散途径成为发展中国家技术进步和取得技术追赶效应的重要路径。而知识产权保护是影响技术扩散的重要因素和促进技术进步的重要制度安排,不仅影响到一个国家国内的自主创新,而且直接影响跨国公司选择国际贸易、FDI和技术许可等多种方式,因而最终影响一国的经济增长。另外,作为WTO规则体系中三个重要文件的组成部分,TRIPS协议将知识产权这种无形资产纳入到有形的商品经济和服务贸易中,要求所有成员国必须更加有效地进行知识产权保护,履行TRIPS协议约定的最低的知识产权保护水平,因而,TRIPS协议的实施意味着世界知识产权保护进入了一个高水平高效率的国际化阶段。由于发达国家的知识产权保护水平一般较高,这就使得在知识产权保护方面相对落后的发展中国家必须在相关的政策法律法规方面做出重大改革,TRIPS协定所约定的加强成员国知识产权保护的负担主要落在发展中国家的肩上。因此,在知识产权保护下研究国际技术溢出特别是国际贸易和FDI这两条最主要的技术溢出途径对发展中国家生产率的影响具有非常重要的意义。为了研究知识产权保护下国际技术溢出与经济增长之间的关系,本文在借鉴相关的理论研究成果和实证分析成果的基础上,采用理论演绎和实证研究相结合的方法进行研究。本文的理论分析以内生经济增长理论为依据,运用新古典经济学、新经济增长理论、新国际贸易理论等相关理论作为的理论基础,分析和探讨知识产权保护对国际技术溢出与经济增长的影响。实证研究分别从宏观层面的知识产权制度下国际技术溢出对生产率的影响以及从微观层面企业知识产权保护对决定国际技术溢出水平的创新投入的影响两个不同角度进行研究。宏观层面的研究基于Coe and Helpman知识驱动的增长模型,引入知识产权保护强度变量,构建在知识产权保护下国际技术溢出效应的计量模型,运用全国总量经济数据以及省际面板数据研究我国目前知识产权保护强度下国际技术溢出效应对我国全要素生产率的影响机制。微观层面的研究采用问卷调查的方法,利用浙江省制造业1454家企业大样本的调查问卷数据,通过构建微观层面的企业知识产权保护指标,利用计量分析的方法研究企业知识产权保护对决定国际技术溢出重要因素的企业创新投入的影响。另外,运用统计分析的方法通过对企业R&D投入的特征、企业R&D投入的行业分布以及企业R&D投入的产出绩效的研究来考察决定中国经济内生增长的企业自主创新能力。本文在研究中分别采用了统计分析法、回归分析方法、岭回归分析方法、非参数分析方法、时间序列分析方法以及面板数据模型等多种研究方法,并根据研究视角和研究目的的不同采用不同的方法。以下是本文得到的主要结论：(1)在开放经济条件下,我国当前知识产权保护强度正处于对外贸和外资的技术溢出有正向效应的阶段,FDI对我国的知识产权保护制度的敏感度更高。国内R&D投入对技术进步具有显著的促进作用,并且在知识产权保护下国际技术扩散已经成为我国经济增长的重要外部推力。(2)现阶段我国知识产权立法强度已经接近甚至超过发达国家的水平,但是知识产权的执法水平明显偏弱,因此知识产权整体的保护强度仍然偏低。实证结果表明整体知识产权保护水平的偏低削弱了我国对国外FDI技术溢出的吸收水平,影响了外资的技术溢出对我国技术进步的贡献。(3)当前我国各省区知识产权保护强度对国际贸易渠道的知识溢出均有显著的促进作用；国内R&D研发投入和人力资本是我国经济增长的主要推动力,人力资本是东部经济快速发展的最主要因素,R&D研发投入对中西部地区经济发展尤为重要；(4)知识产权保护对各省区通过外资渠道的技术溢出表现出明显的区域差异性,西部地区当前的知识产权保护强度有利于FDI渠道的技术溢出,而东部和中部并不确定,东部地区甚至可能由于知识产权保护水平不够而表现出负向效应。(5)企业作为国民经济的基本单位,企业的技术吸收能力直接决定了国际技术溢出的水平,而企业的技术吸收能力取决于企业的创新投入。从微观企业层面研究的结果表明,企业知识产权保护对决定国际技术溢出的企业创新投入具有显著的促进作用。企业规模与企业的创新投入之间呈现明显的倒U性函数关系,并且存在规模“拐点”。发达国家技术标准化要求对我国企业技术创新投入具有正面的促进作用。(6)企业自主创新不仅是获取自主知识产权的主要途径,而且是区域和产业取得技术进步的重要途径,是发展中国家经济增长的重要源泉。问卷调查的统计结果表明,目前中国企业自主创新能力较为薄弱,对技术引进的消化吸收和二次创新能力较低,一些主导产业的共性技术和关键技术的开发应用水平明显落后于国际先进水平,而一些基础性核心专利技术更是掌握在国外的跨国公司手中。另外从行业特征看,在微电子、计算机、通信设备以及数字家电等高新技术领域与国外差距更大。更多还原

【Abstract】 New economic growth theory makes technical progress the ultimate source to maintain long-term sustainable growth of a country’s economy, and independent innovation and international technology diffusion are main means of technological progress in developing countries. Since huge gap in technology exists among most developing and developed countries and any technology has a different degree of externalities and spillovers, in open conditions, technology transfer and imitation have become the important path for technological progress and access to technology catch-up effect for developing countries. The intellectual property protection is the most important institutional arrangements not only to stimulate domestic technological innovation but also to affect the choice of international trade, FDI and technology licensing for transnational corporations, which ultimately affect a country’s economic growth.In addition, as a part of WTO rule system, TRIPS Agreement brings the intangible assets intellectual property into tangible economic goods and services trade, requires all member states must be more effective in intellectual property protection, implements the minimum level of IPR protection in TRIPS Agreement s, therefore, the implementation of TRIPS Agreement implies the world has entered a high level of IPR protection and efficient international stage. Since the level of IP protection in developed countries is generally higher, the protection of intellectual property is relatively backward in the relevant policies in developing countries and major reforms of laws and regulations should be expected and the main burden of strengthening intellectual property protection that TRIPS Agreement members agreed falls on the shoulders of developing countries. Therefore, under the protection of intellectual property rights of international technology spillovers and in particular the technology spillover effects in international trade and FDI on produc(?)ivity in developing countries are of great importance and significance.In order to study the relationship between economic growth and international technology spillovers under the protection of intellectual property rights, this thesis carries on the combined theoretical deduction and empirical research based on relevant theoretical and empirical analysis of research results. The thesis carries on the theoretical analysis based on endogenous economic growth theory with new classical economics, new economic growth theory, new theories of international trade theory to analyze and discuss the intellectual property protection on international technology spillovers and economic growth. Empirical study is divided into the macro-level study of the impact of international technology spillovers under intellectual property protection on productivity and the micro-level study of the impact of intellectual property protection in enterprises on the innovation inputs that determines the international innovation and technological spillover. Based on Coe and Helpman knowledge-driven growth model, macro-level research firstly introduces the variable intensity of intellectual property protection to constitute an econometric international technology spillover effect model under the protection of intellectual property, and secondly to use the national total economic data and inter-provincial panel data to explore China’s the international technology spillover effect under current intellectual property rights protection on China’s total factor productivity. Based on large sample survey data of 1454 manufacturing enterprises in Zhejiang Province, micro-level study firstly constructs a micro-level indicator of corporate intellectual property protection, secondly to analyze the impact of intellectual property protection in enterprise on innovation inputs that determines the international technology spillover with quantitative analysis, thirdly to investigate the independent innovation capability of enterprises that determines the endogenous growth with the features, industry distribution and output performance of R & D investment in enterprises. Based on the different research perspectives and purposes, different approaches are applied for research. The main approaches in the thesis are statistical analysis, regression analysis, ridge regression analysis, nonparametric analysis, time series analysis, panel data model and so on.The following are the main conclusions obtained in this thesis:1. Under open economic conditions, China’s current strength of intellectual property protection exerts a positive effect on the technology spillovers of foreign trade and foreign investment, FDI is even more sensitive to China’s IPR protection system. Domestic R&D inputs have significant role in promoting technological advances, and the International Technology Diffusion under the intellectual property protection rights has become an important external thrust in China’s economic growth.2. The strength of intellectual property legislation in China at current stage has been close to or even surpassed the level of developed countries, while the enforcement of intellectual property rights in China is significantly weaker, and the overall protection strength of the intellectual property rights is still low. The empirical results show that the low level of overall IPR protection in China weakens the absorption level of the technology spillovers of foreign FDI and the contribution of technology spillover effects of foreign investment on China’s technological progress.3. The current strength of IPR protection of China’s provinces and autonomous regions showed a significant promoting role on international trade channels of knowledge spillover; and the domestic R&D investment and human capital are the major drivers of China’s economic growth, human capital is the most important factor in rapid development of eastern China, and R&D investment is particularly important on economic development in central and western regions.4. Great regional differences are observed in regions with the role of intellectual property protection on technology spillovers through foreign channels, of which the current strength of intellectual property protection is conducive to FDI technology spillover channels in Western region, while the relationships are not sure in Eastern and Central regions, and even negative effect are obtained because of low level of IPR protection. 5. The findings from the micro-enterprise level indicate that corporate intellectual property protection has significantly promoted the enterprise’s innovation investment that determines the international technological spillovers. An inverted U relationship is observed between enterprise’s scale and its innovation investment, and even exerts a scale "inflection point." Standardization requires in developed countries has positively promoting the technological innovation investment of Chinese enterprises.6. Statistical analysis of survey data indicate that the current capability of independent innovation of Chinese enterprises relatively weak, the digestion and absorption of introduced technology and its secondary innovation capacity are relatively low, the development and application level of some common and key technologies in leading industries significantly lags behind the international advanced level, and some basic core patented technologies are controlled by foreign transnational corporations. In addition, taken the perspective of industry feature, the thesis finds that greater gap exists in domestic high-tech areas and foreign corporations such as microelectronics, computers, communications equipment and digital home appliances industry.更多还原