开放经济条件下的我国知识产权保护与经济增长研究
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摘要
改革开放以来,我国外资外贸迅速发展,经济增长稳步前进。但进出口贸易产品结构不平衡、出口品技术含量偏低,以及粗放型引资方式带来的外资企业整体技术含量不高、环境污染等问题也日益引起关注。这与我国贸易及引资大国的地位不相匹配,与创新型经济增长方式也存在一定差距。为此,我国2011年政府工作报告将“优化外贸结构与提高效益,提高利用外资总体水平和综合效益”视为“进一步提高对外开放水平”的重点途径,并进而“推进经济结构调整,提高经济增长质量和效益”。对于以模仿和创新作为两种主要技术进步模式的我国而言,知识产权保护制度对创新成果的垄断性保护是否改变了借助外资外贸转移过来的可模仿技术集的数量与质量?是否驱动了我国经济协调可持续增长并实现“调结构、转方式”的经济增长目标?
基于上述现实问题,本论文在开放经济的宏观背景下,以科学发展观为指导思想,以推进经济结构战略性调整为目标,将结构与技术作为基本切入点,从知识资本的重要性出发,按照提出问题---分析问题(理论与实证分析)---解决问题的思路,运用区域、产业、企业等不同层面的4个数据集,以虚拟变量、GP指数、hip指数、专利授权量、区域知识产权保护水平等多个变量作为知识产权保护水平的度量指标,在考察FDI、国际贸易等对外开放因素对我国知识产权保护制度变革的冲击效应的基础上,从理论与实证两个角度详细论述知识产权保护影响外资结构与质量、外贸产品结构与技术含量的机理与表现,并最终考察知识产权保护通过创新与模仿的综合作用而影响经济增长的效应大小。
本论文重点解决以下几个问题：
(1)基于制度变迁是制度供给与制度需求综合作用的理论,通过构建开放体系下的知识产权保护影响因素模型,检验了FDI、国际贸易等贸易开放因素对我国知识产权保护制度演变的推进效应。在分析我国知识产权保护制度变迁的内部动力因素及国际环境因素的基础上,微观数据的实证结果发现,内部因素是我国强化知识产权保护的主要驱动力,但开放过程中的外资外贸等国际环境因素确实对我国知识产权保护产生了一定的冲击效应。
(2)结合本论文研究视角,在梳理并推进现有相关理论的基础上,从理论上详细论述知识产权保护制度作用于经济增长的渠道与机理。首先对于模仿型技术进步渠道FDI与国际贸易而言：提出从总体效应与替代效应角度来分析知识产权保护对FDI流入的影响,并构建了三方参与的两阶段模型考察东道国知识产权保护是否改变了跨国企业技术转移质量；知识产权保护对进口贸易的影响则取决于市场需求扩张效应与市场垄断效应,并通过拓展Hausman的技术进步模型论述知识产权保护是否改变了出口品的技术水平。然后将模仿与创新同时纳入经济增长模型,通过求解经济系统均衡解分析发展中国家知识产权保护与经济增长之间的关系。分析结果表明,知识产权保护制度的变化确实改变了FDI与国际贸易的结构与技术,考虑模仿与创新共同作用的知识产权保护经济增长效应则存在受模仿能力与创新能力影响的临界值。
(3)基于上述理论研究,运用各层面数据,从结构与技术两个角度实证检验了我国知识产权保护对FDI、国际贸易与经济增长的影响。首先在构建跨国企业对外投资行为影响因素模型和企业技术水平决定因素模型的基础上,运用微观数据从外资行业结构、区域结构以及技术水平角度诠释了我国知识产权保护的外商直接投资效应；其次,从进口贸易产品结构、高技术产品进口、行业出口技术水平三个角度就我国知识产权保护对进出口贸易的影响进行了分析；最后,将创新与模仿同时引入经济增长模型中,估算了我国知识产权保护的经济增长效应。区别与以往研究,本论文将结构与技术作为主要研究视角,以期从知识产权保护制度层面寻找优化利用外资、促进外贸升级、驱动创新型经济增长的方法与途径。
通过对以上问题的研究,本论文发现我国知识产权保护与外商直接投资具有稳定且显著的正向相关性,但在西部地区变得不明显,却加强了在高技术行业的影响程度。虽然推进外资企业技术进步的主要因素是研发投入、行业技术水平和我国经济发展水平,但我国知识产权保护制度借助于“对模仿抑制造成的市场需求拉动”促进了外资企业技术效率的提高。我国知识产权保护政策对高新技术产品进口贸易的促进作用强于工业制成品,一定程度推进了进口商品结构优化,而且还促进了出口品技术水平的提升,且在研发强度大、技术水平高、外资渗透率高的行业较明显。我国知识产权保护制度的经济增长效应是存在的,其临界点尚未出现,但受制于各区域的经济发展阶段及人力资本质量。最终,在全面认识发达国家对华知识产权保护战略的基础上,提出通过制定合理、合适、系统、全局的知识产权保护制度来优化经济结构与获取知识产权优势,并从政策制定、人才培养、行业行政处理等多个层面提出了相关的政策建议。
China has experienced the rapid development of FDI and international trade, and steady progress in economic growth since reform and opening.But many problems such as the imbalance of product structure, low-tech of export, environmental pollution and poor profitability due to extensive ways of attracting foreign investment, are getting concerns.The situation does not match the status of Chinese trade and foreign,and there are some gaps with the innovation type of economic growth.To this end,"optimize international trade structure and increase efficiency, improve the level and efficiency of overall foreign investment" is treated as the key way to "further improve the level of opening up",and thus "to promote economic restructuring and improve the economic growth quality and efficiency"in China's "Report On The Work of Government of2011".Now imitation and innovation are two main modes of technological progress in China,so whether has intellectual property protection system protecting innovation changed the quantity and quality of technology which are transferred from outside by international trade and FDI?driven our economic achieving balanced and sustainable growth?or achieved the goal of "adjust the structure,change the mode of development".
Taking this into consideration,we regard Scientific Outlook on Development as the guiding ideology,and promote strategic adjustment of economic structure as the goal, and consider structure and technology as the basic starting point under the macro condition of open economy.We choose4data set including the level of region,industry and enterprise,and use GP index, hip index, patents granted, regional level of protection as metrics of IPR.Based on the importance of intellectual capital,according to the method---raise, analyze(theoretical and empirical)and solve question,this paper first analyze the shock of FDI, international trade and other opening factors on evolution of China's IPR protection system.Then we discuss the mechanism and performance that IPR impact the structure and quality of FDI and international trade from the theoretical and empirical point of view.and examine the effect of IPR on economic growth by innovation and imitation.
This paper focus on the following issues:
(1) We design IPR protection factor model of open economy,and test the shock of FDI, international trade etc on evolution of China's IPR protection system based on the theory that institutional evolution is the combined effects of supply and demand. Empirical results suggest that internal factor is major driving force behind the strengthening of China's IPR,but opening factors such as FDI and international trade also play certain roles.
(2) We discuss in detail the mechanism and channel of IPR on economic growth based on the existing theory. We start this part from FDI and international trade which are channels for imitation technological progress.After analyzing the impact of IPR on FDI inflows from the overall and substitution effect,and discussing whether IPR change multinational enterprise's technology transfer quality by three parters two-stage model,we research the impact of IPR on import from market expansion and market power effect,and discuss whether IPR change the level of export technology by expanding Hausman model.Then the relationship between IPR and economic growth in developing countries are pointed out by the system equilibrium economic growth model with considering imitation and innovation at the same time.The results suggest that IPR does change the structure and technology of FDI and international trade, but there is a critical value about the impact of IPR on economic growth.
(3) The empirical research on the impact of IPR on FDI,international trade and economic growth from a structural and technical viewpoint are carried out based on above theoretical research.First of all, the effects of IPR on industrial structure, regional structure and technological level of FDI are examined.Secondly, the import product structure, high-tech products import and industry technology of export are three major subjects regarding IPR and international trade research projects.Finally,we estimate the economic growth effect of IPR considering both imitation and innovation. Differently with previous studies, this paper treat structure and technology as a major research perspective, in order to find ways and means from institutional level that optimize FDI, promote trade structure and drive innovative.economic growth.
Through above studies, this paper find that China's IPR and FDI have a stable and significant positive correlation, and become no obvious in the western region but greater in the high-tech industry. IPR actually promote technical efficiency of foreign enterprise by means of'market demand expansion due to suppression of imitation",though R&D investment,industry technology and economic development are major factors.China's IPR policy not only promote structural optimization of imported goods to a certain extent because of the stronger import effect on high-tech products than industrial manufactured goods,but also upgrade export technology level especially in industries of R&D intensity, high level of technology, more foreign investment.IPR exist economic growth effects and the critical point has not yet appeared,but regional economic development and quality of human capital affect the effects. Finally, after comprehensively recognizing the IPR strategy of developed country in China,this paper suggest making reasonable, appropriate, systematic and whole IPR institution to optimize economic structure and get intellectual right advantage. Some relevant policy recommendations on policy making, talents training, administrative sanctions are put forward.
基于上述现实问题,本论文在开放经济的宏观背景下,以科学发展观为指导思想,以推进经济结构战略性调整为目标,将结构与技术作为基本切入点,从知识资本的重要性出发,按照提出问题---分析问题(理论与实证分析)---解决问题的思路,运用区域、产业、企业等不同层面的4个数据集,以虚拟变量、GP指数、hip指数、专利授权量、区域知识产权保护水平等多个变量作为知识产权保护水平的度量指标,在考察FDI、国际贸易等对外开放因素对我国知识产权保护制度变革的冲击效应的基础上,从理论与实证两个角度详细论述知识产权保护影响外资结构与质量、外贸产品结构与技术含量的机理与表现,并最终考察知识产权保护通过创新与模仿的综合作用而影响经济增长的效应大小。
本论文重点解决以下几个问题：
(1)基于制度变迁是制度供给与制度需求综合作用的理论,通过构建开放体系下的知识产权保护影响因素模型,检验了FDI、国际贸易等贸易开放因素对我国知识产权保护制度演变的推进效应。在分析我国知识产权保护制度变迁的内部动力因素及国际环境因素的基础上,微观数据的实证结果发现,内部因素是我国强化知识产权保护的主要驱动力,但开放过程中的外资外贸等国际环境因素确实对我国知识产权保护产生了一定的冲击效应。
(2)结合本论文研究视角,在梳理并推进现有相关理论的基础上,从理论上详细论述知识产权保护制度作用于经济增长的渠道与机理。首先对于模仿型技术进步渠道FDI与国际贸易而言：提出从总体效应与替代效应角度来分析知识产权保护对FDI流入的影响,并构建了三方参与的两阶段模型考察东道国知识产权保护是否改变了跨国企业技术转移质量；知识产权保护对进口贸易的影响则取决于市场需求扩张效应与市场垄断效应,并通过拓展Hausman的技术进步模型论述知识产权保护是否改变了出口品的技术水平。然后将模仿与创新同时纳入经济增长模型,通过求解经济系统均衡解分析发展中国家知识产权保护与经济增长之间的关系。分析结果表明,知识产权保护制度的变化确实改变了FDI与国际贸易的结构与技术,考虑模仿与创新共同作用的知识产权保护经济增长效应则存在受模仿能力与创新能力影响的临界值。
(3)基于上述理论研究,运用各层面数据,从结构与技术两个角度实证检验了我国知识产权保护对FDI、国际贸易与经济增长的影响。首先在构建跨国企业对外投资行为影响因素模型和企业技术水平决定因素模型的基础上,运用微观数据从外资行业结构、区域结构以及技术水平角度诠释了我国知识产权保护的外商直接投资效应；其次,从进口贸易产品结构、高技术产品进口、行业出口技术水平三个角度就我国知识产权保护对进出口贸易的影响进行了分析；最后,将创新与模仿同时引入经济增长模型中,估算了我国知识产权保护的经济增长效应。区别与以往研究,本论文将结构与技术作为主要研究视角,以期从知识产权保护制度层面寻找优化利用外资、促进外贸升级、驱动创新型经济增长的方法与途径。
通过对以上问题的研究,本论文发现我国知识产权保护与外商直接投资具有稳定且显著的正向相关性,但在西部地区变得不明显,却加强了在高技术行业的影响程度。虽然推进外资企业技术进步的主要因素是研发投入、行业技术水平和我国经济发展水平,但我国知识产权保护制度借助于“对模仿抑制造成的市场需求拉动”促进了外资企业技术效率的提高。我国知识产权保护政策对高新技术产品进口贸易的促进作用强于工业制成品,一定程度推进了进口商品结构优化,而且还促进了出口品技术水平的提升,且在研发强度大、技术水平高、外资渗透率高的行业较明显。我国知识产权保护制度的经济增长效应是存在的,其临界点尚未出现,但受制于各区域的经济发展阶段及人力资本质量。最终,在全面认识发达国家对华知识产权保护战略的基础上,提出通过制定合理、合适、系统、全局的知识产权保护制度来优化经济结构与获取知识产权优势,并从政策制定、人才培养、行业行政处理等多个层面提出了相关的政策建议。
China has experienced the rapid development of FDI and international trade, and steady progress in economic growth since reform and opening.But many problems such as the imbalance of product structure, low-tech of export, environmental pollution and poor profitability due to extensive ways of attracting foreign investment, are getting concerns.The situation does not match the status of Chinese trade and foreign,and there are some gaps with the innovation type of economic growth.To this end,"optimize international trade structure and increase efficiency, improve the level and efficiency of overall foreign investment" is treated as the key way to "further improve the level of opening up",and thus "to promote economic restructuring and improve the economic growth quality and efficiency"in China's "Report On The Work of Government of2011".Now imitation and innovation are two main modes of technological progress in China,so whether has intellectual property protection system protecting innovation changed the quantity and quality of technology which are transferred from outside by international trade and FDI?driven our economic achieving balanced and sustainable growth?or achieved the goal of "adjust the structure,change the mode of development".
Taking this into consideration,we regard Scientific Outlook on Development as the guiding ideology,and promote strategic adjustment of economic structure as the goal, and consider structure and technology as the basic starting point under the macro condition of open economy.We choose4data set including the level of region,industry and enterprise,and use GP index, hip index, patents granted, regional level of protection as metrics of IPR.Based on the importance of intellectual capital,according to the method---raise, analyze(theoretical and empirical)and solve question,this paper first analyze the shock of FDI, international trade and other opening factors on evolution of China's IPR protection system.Then we discuss the mechanism and performance that IPR impact the structure and quality of FDI and international trade from the theoretical and empirical point of view.and examine the effect of IPR on economic growth by innovation and imitation.
This paper focus on the following issues:
(1) We design IPR protection factor model of open economy,and test the shock of FDI, international trade etc on evolution of China's IPR protection system based on the theory that institutional evolution is the combined effects of supply and demand. Empirical results suggest that internal factor is major driving force behind the strengthening of China's IPR,but opening factors such as FDI and international trade also play certain roles.
(2) We discuss in detail the mechanism and channel of IPR on economic growth based on the existing theory. We start this part from FDI and international trade which are channels for imitation technological progress.After analyzing the impact of IPR on FDI inflows from the overall and substitution effect,and discussing whether IPR change multinational enterprise's technology transfer quality by three parters two-stage model,we research the impact of IPR on import from market expansion and market power effect,and discuss whether IPR change the level of export technology by expanding Hausman model.Then the relationship between IPR and economic growth in developing countries are pointed out by the system equilibrium economic growth model with considering imitation and innovation at the same time.The results suggest that IPR does change the structure and technology of FDI and international trade, but there is a critical value about the impact of IPR on economic growth.
(3) The empirical research on the impact of IPR on FDI,international trade and economic growth from a structural and technical viewpoint are carried out based on above theoretical research.First of all, the effects of IPR on industrial structure, regional structure and technological level of FDI are examined.Secondly, the import product structure, high-tech products import and industry technology of export are three major subjects regarding IPR and international trade research projects.Finally,we estimate the economic growth effect of IPR considering both imitation and innovation. Differently with previous studies, this paper treat structure and technology as a major research perspective, in order to find ways and means from institutional level that optimize FDI, promote trade structure and drive innovative.economic growth.
Through above studies, this paper find that China's IPR and FDI have a stable and significant positive correlation, and become no obvious in the western region but greater in the high-tech industry. IPR actually promote technical efficiency of foreign enterprise by means of'market demand expansion due to suppression of imitation",though R&D investment,industry technology and economic development are major factors.China's IPR policy not only promote structural optimization of imported goods to a certain extent because of the stronger import effect on high-tech products than industrial manufactured goods,but also upgrade export technology level especially in industries of R&D intensity, high level of technology, more foreign investment.IPR exist economic growth effects and the critical point has not yet appeared,but regional economic development and quality of human capital affect the effects. Finally, after comprehensively recognizing the IPR strategy of developed country in China,this paper suggest making reasonable, appropriate, systematic and whole IPR institution to optimize economic structure and get intellectual right advantage. Some relevant policy recommendations on policy making, talents training, administrative sanctions are put forward.
引文
数据来源于《中国高技术产业统计年鉴2010》及《世界经济发展指标2010》。
《2010年世界知识产权指标》报告。
①张军(2004)中只列出了1995年的资本存量数据,1994年依据文中方法由作者推算而得。
②初始资本存量及折旧率数据参见张军(2004)。
③参见李平(2007)。
④数据来源于联合国科教文组织2010年11月10日的研究报告。
⑤基期与折旧率的确定与国内研发存量的测算相同。
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《2010年世界知识产权指标》报告。
①张军(2004)中只列出了1995年的资本存量数据,1994年依据文中方法由作者推算而得。
②初始资本存量及折旧率数据参见张军(2004)。
③参见李平(2007)。
④数据来源于联合国科教文组织2010年11月10日的研究报告。
⑤基期与折旧率的确定与国内研发存量的测算相同。
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