【作者】 余长林；

【导师】 王瑞芳；

【作者基本信息】 厦门大学 ， 西方经济学， 2009， 博士

【副题名】基于技术供给的视角

【摘要】 内生增长理论认为，知识的积累是经济增长的重要源泉。知识的公共物品性质使得知识产权成为知识经济时代一种不可或缺的重要资源，知识产权保护对于一国的技术创新、国际技术转移与经济增长具有重要意义。发展中国家的知识产权保护能否促进其技术进步与经济增长一直都是国际经济理论学界和国际政策谈判领域争论的焦点。作为WTO三大支柱之一的《与贸易有关的知识产权》(TRIPS)协定的实施对发展中国家经济增长的影响，理论界一直存在较大的争议。TRIPS协定下发展中国家的知识产权保护政策，已成为能否克服技术困境、促进经济长期增长的关键因素。中国是一个区域经济发展不平衡的后发大国，研究TRIPS协定下知识产权保护与区域经济增长之间的关系，对于制定合理可行的知识产权保护策略，更好地促进中国区域经济协调增长，无疑也具有重大实践意义。以往研究主要以知识产权保护制度比较完善的发达国家为研究对象，从发展中国家角度考察知识产权保护对经济增长影响的研究甚少。本文基于发展中国家技术供给的视角，在内生增长理论和南北贸易的分析框架下考察了知识产权保护对发展中国家技术供给与经济增长的效应，并对知识产权保护影响发展中国家经济增长的作用机制展开了深入研究。知识产权保护通过影响技术供给而作用于发展中国家的经济增长，通过理论研究和实证分析，本文得到的基本结论是：第一，知识产权保护对发展中国家进口贸易和FDI的影响呈现显著的行业特征，其效应受到经济发展水平、模仿能力、市场规模等东道国经济特征的制约；知识产权保护对中国进口贸易和FDI的影响也存在显著的行业特征，其效应依赖于不同行业的模仿能力，而这一点以往的研究并没有考虑到。第二，与以往研究不同，本文研究发现知识产权保护与发展中国家经济增长之间呈现非线性关系的特征，知识产权保护对经济增长的影响呈现显著的门限效应特征，其效应依赖于经济发展水平。经济发展水平位于门限水平以上，知识产权保护对经济增长的影响显著为正；经济发展水平位于门限水平以下，知识产权保护对经济增长的影响不显著。第三，知识产权保护对中国区域经济增长的影响呈现非线性关系的特征，知识产权保护对区域经济增长的影响存在显著的门限效应特征，其效应依赖于地区经济发展水平。当经济发展水平位于门限水平以上，知识产权保护对经济增长的影响显著为正；经济发展水平位于门限水平以下，知识产权保护对经济增长的影响不显著。而这些研究结论与国内其他学者的研究显著不同。本文的结论对于发展中国家具有很强的政策性启示。发展中国家对于知识产权保护制度的安排要围绕本国经济发展水平制定相应的战略性知识产权保护政策，在经济发展水平的不同阶段，采取不同的知识产权保护战略，知识产权保护水平经历由弱到强的变化趋势。中国知识产权保护强度要因地制宜，因经济发展水平而异，因行业而异，知识产权保护政策应具备明显的区域性、阶段性和行业性。技术水平较低的地区或产业，应实行宽松的知识产权保护政策，而技术水平相对较高的地区或产业，应实行严格的知识产权保护政策。更多还原

【Abstract】 Endogenous growth theory claims that knowledge accumulation is the crucial source for economic growth. Public goods characteristics of knowledge have made intellectual property rights an even more important resource during the times of knowledge-based economy, and efficient intellectual property rights protection (IPP) is of great importance to technological innovation, international technology transfer and economic growth.The effect of IPP on technological progress and economic growth in less developed countries (LDCs) is a topic for dispute in fields for international economics and international policy negotiation. The effect of implement of agreement on trade-related intellectual property rights (TRIPS) as one of three mainstays of WTO on economic growth in LDCs has been debated intensively in the theoretical and practical fields. Intellectual property rights policy in LDCs under TRIPS has been a critical factor for overcoming the dilemma in technology-choices and promoting long-run economic growth. China is a developing country with unbalanced regional economies, the relationship between IPP and economic growth in different regions is undoubtedly of great practical importance to formulate appropriate and flexible strategies for IPP and to promote harmonious regional growth in China.While most previous studies focused on developed countries (DCs) with more perfect institutional arrangement of IPP, very few studies investigated the effect of IPP on economic growth in LDCs. Viewed from technology supply in LDCs, this dissertation investigates the effect of IPP on technology supply and economic growth in LDCs under the analytical frameworks of endogenous growth theory and north-south trade, and explores the channels through which IPP exerts impacts on economic growth in LDCs. It is shown that technology supply, as determined by international trade, FDI and technology licensing, plays a major role in promoting economic growth in LDCs. Three interesting findings are noted as follows:First, the effect of IPP on import trade and FDI in LDCs has displayed significant industry-specific characteristics. It is also heavily dependent on country-specific characteristics of host country such as economic development stages, imitative ability and market size etc. The effect of IPP on import trade and FDI in China has also demonstrated significant industry-specific characteristics and is also related to imitative ability of different industries. Similar empirical evidences have not appeared in the previous studies.Second, unlike previous studies, this dissertation has proved theoretically and empirically a nonlinear relationship between IPP and economic growth in LDCs; The effect of IPP on economic growth in LDCs depends on economic development stages and has displayed a significant threshold effect. While IPP will exert a positive impact economic growth above the threshold, no statistically significant relation is found between IPP and economic growth below the threshold.Third, the relationship between IPP and economic growth in China is also found nonlinear; Both regional-specific characteristics and the threshold effect exist in the cross-section investigation using cross-province data. The results differ remarkably from the previous studies.These findings have important implications for policy suggestions. Institutional arrangement of and policy design for intellectual property rights protection in developing countries should evolve with domestic economic development stages. The IPP control should intensify with economic growth and development process. It seems meaningful to suggest that in China a more flexible policy toward IPP be followed in less technology-intensive regions and industries.更多还原