技术进步、知识产权保护与经济增长
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摘要
本文的研究对象是技术进步、知识产权保护和经济增长。三者是现今经济学领域非常重要又相互联系的议题，因此该研究具有重要的理论和现实意义。不论是新古典经济增长理论还是内生经济增长理论，都把技术进步作为经济增长的源泉，认为技术进步是促进经济增长的最重要的因素。知识产权是法律赋予技术或知识所有者对其智力成果享有的专有权利，是技术进步的制度保障，对自主创新和科技发展起到推动作用。适宜的知识产权制度能够促进经济增长，不论发达国家还是发展中国家都纷纷利用知识产权这一工具，实施有利于本国经济增长的知识产权战略，鼓励本国的技术创新，提高核心竞争力，最大限度地获取经济利益。
本文首先在有关技术进步、知识产权保护以及经济增长的国内外文献的基础上，对世界范围的技术进步、经济增长及知识产权保护的概况进行了描述和分析。技术进步表现为世界范围的全面进步，体现在研发投入增加、生产率提高、科技成果和科研人员增多等方面；经济增长是一个长期的历史趋势，表现出不同发展阶段国家的不平衡增长；目前，许多国家已经把知识产权战略作为一项基本国策，掌握先进的核心技术、发展高技术产业是发达国家促进经济增长的重要手段，也是发展中国家面临的重要问题。
本文的理论模型将知识产权长度与宽度纳入内生经济增长的框架下，以优化福利为目的，对有效的知识产权制度、最优知识产权制度、次优知识产权制度及不同行业适宜的知识产权制度进行了探讨。模型建立在质量升级的垂直创新基础上，认为“创造性破坏”效应使新产品淘汰旧产品，克服了以往文献假设产品永续存在的缺陷，并在知识产权保护期限法定的情况下规划次优知识产权制度，是最优专利理论的进一步推进。模型同时突破了以往文献对所有技术一视同仁、只采取唯一的最优保护长度和宽度的缺陷，用技术生命期衡量技术的质量和价值，最优知识产权制度与次优知识产权制度都受到技术生命期的制约，因而技术生命期不同的行业存在差异化的最适知识产权制度。研究发现，只有在一定的范围内，知识产权长度和宽度才能发挥作用；存在唯一的有限最优的知识产权长度与宽度组合；对于每一个法定的知识产权长度，都对应唯一的次优知识产权宽度，次优知识产权宽度与知识产权长度负相关；对于技术生命期小于知识产权长度的行业,应实施较窄的知识产权宽度；对于技术生命期大于知识产权长度的行业，适宜的知识产权宽度与技术生命期成正比。在知识产权制度下，创新实现时经济出现跳跃式增长。有效的知识产权长度可以避免经济陷入“无增长陷阱”，知识产权长度设置不当是导致经济危机的一个因素。在我国的高技术产业的发展过程中，应对战略性新兴行业给予最宽的知识产权保护，以激励该行业的科技创新与技术应用。
实证研究分别对理论模型中得出的技术进步与经济增长的关系、知识产权保护对经济增长的影响提供数据支持，研究发现不同收入组别的国家存在不同的技术进步路径，其知识产权保护力度与经济增长的关系也存在较大差异。技术进步与世界经济环境密不可分,是经济增长的源泉。四组国家的技术进步在1990年之前呈现出相同的波动趋势，自1990年之后组别间的差异才开始显现。收入水平较高的国家是技术进步和经济增长的主导力量，在初期呈现领导优势；而收入水平较低的国家具有后发优势，近年来呈现迅速追赶的态势。在知识产权保护力度、经济增长及其互动关系的经验分析中发现，收入水平越高的组别对应越高的知识产权保护力度；各组国家的GDP总量是不断提高的，中等收入国家尤为突出；人均水平意义上的经济增长却以高收入国家为主导，中等收入国家和低收入国家的人口问题制约了人均GDP的增长；各组国家的经济增长率波动幅度较大，近年来低收入国家呈现出较高的经济增长率。高收入国家是技术领导者，应提高其知识产权保护力度，保障本国技术持有者利益及国家利益；低收入国家是技术追随者，应降低其知识产权保护力度，以最大限度的鼓励模仿吸收，促进技术进步与经济增长。然而，中等收入国家的知识产权保护力度与经济增长的关系比较复杂，还需进一步提出具有针对性的促进经济增长的知识产权政策。
最后，我国作为发展中国家，知识存量、研发投入和自主创新的水平还很有限，科技发展处于以引进技术和模仿开发为主的阶段，知识产权法律法规的执行情况还不尽如人意。因此，还要不断加大科技投入，加强执法，尊重人才，鼓励创新，提高企业的研发能力，努力把我国建设成知识产权强国。在当前稳增长、调结构的经济形势下，还要针对不同产业采取差异化的政策，保证经济增长的质量，引导战略性新兴产业的协调发展，限制产业的盲目、畸形扩张。
This paper focuses on technical progress, IPR（Intellectual Property Rights）protection and economic growth, which are three very important and interrelatedfields of economics. Therefore, this research has important theoretical and practicalsignificances. Not only neo-classical economic growth theory, but also endogenouseconomic growth theory, regarded technical progress as the source of economicgrowth and believed technical progress is the most important factor to promoteeconomic growth. Intellectual property rights are exclusive rights, which areprovided to the owners of knowledge or technology by law. IPR protection ensurestechnical progress, which plays a role in promoting innovation and technologicaldevelopment. Appropriate intellectual property system can promote economicgrowth, whether developed or developing countries use intellectual property tools,implement IPR strategies which are conducive to domestic economic growth,encourage domestic technical innovation, and improve core competitiveness, inorder to achieve the goal of maximizing economic benefits.
On the basis of the literatures in technical progress, IPR protection andeconomic growth, the first part of this paper describes the worldwide technicalprogress and economic growth, and makes an overview of IPR protection. Theperformance of technical progress is world-wide, in terms of increases in R&Dinvestment, productivity, scientific achievements and scientific researchers;Economic growth is a long-term historical trend, which displays unbalanced growthin different categories of countries divided by developing stages; Currently, manycountries regard IPR strategy as a basic national policy. Mastering advanced coretechnologies and developing high-tech industries are important means to promoteeconomic growth for developed countries, which are also important issues faced bydeveloping countries.
The theoretical model of this paper brings IPR life and IPR breath into theframework of endogenous economic growth theory. In order to optimize the welfare, this paper discusses effective intellectual property system, optimal intellectualproperty system, sub-optimal intellectual property system and the appropriateintellectual property system for different industries. The model bases on verticalinnovation, and believes new products would replace old products because ofcreative destruction effect, thus overcomes the defects of the previous literatures thatassume sustainable existence of one product. Then the study plans sub-optimalintellectual property system when IPR life is determined by law, thus promotes thetheory of optimal patent system. The model also improves the defects of previousliteratures that provide only one optimal IPR life and IPR breath for all technologies.It uses technology life cycle to measure the quality and value of technologies. Bothoptimal intellectual property system and sub-optimal intellectual property system areconstrained by technology life cycle, and thus there are different appropriateintellectual property protections for industries with different technology life cycles.The study finds that, IPR life and breath can play a role only within a certain range;there is only one optimal IPR life and IPR breath combination; There is only onesub-optimal IPR breath corresponding to statutory IPR life, and sub-optimal IPRbreath negatively correlates to IPR life; When technology life cycle is less than IPRlife, narrow IPR breath should be implemented; When technology life cycle isgreater than IPR life, appropriate IPR breath is positive to technology life cycle.Under IPR system, the economy leaps when new innovation occurs. Effective IPRlength could avoid “growth trap”, and improper set of IPR length is one of thefactors that lead to economic crisis. In the process of developing China's high-techindustries, the greatest IPR breath should be implemented to emerging strategicindustries, in order to stimulate technological innovation and application in theseindustries.
Empirical studies provide data support to the relationship between technicalprogress and economic growth, and the influence of IPR protection to economicgrowth according to theoretical model, which find that countries with differentincome levels have different technical progress routes, and the relationships betweenIPR protection and economic growth differ greatly. Technical progress and the worldeconomic environment are inseparable, which is the source of economic growth. All groups of countries showed the same trend of fluctuations before1990, since thenthe differences have emerged. High-income countries are the leading force oftechnical progress, showing leadership in the early years; while low-incomecountries have the advantage in recent years, showing the trend of rapidly catchingup. Empirical analyses of IPR protection strength, economic growth and theinteraction between them find that, the higher the income level, the higher the IPRprotection strength; The total GDP of all countries is increasing, particularly inmiddle-income countries; The leading power of economic growth on a per capitalevel is high-income countries, while population problems of middle-income andlow-income countries have restricted the growth of GDP per capita; Economicgrowth rate of each group fluctuated significantly. In recent years, low-incomecountries have showed higher economic growth rate. High-income countries areleaders of technical progress, which should enhance IPR protection strength, in orderto protect the benefits of the owners of technology; Low-income countries arefollowers of technical progress, which should reduce IPR protection level, in order toencourage imitation, and promote technical progress and economic growth. However,the relationship between IPR protection and economic growth in middle-incomecountries is more complicated, and further research is required to put forward morespecific and effective IPR policies to promote economic growth.
Finally, as a developing country, China has many disadvantages in IPR domain:the stock of knowledge, R&D investment and innovation are still very limited,technical development depends mainly on technology transfer and imitation, theimplementation of IPR laws and regulations is not satisfactory. Therefore, we mustcontinue to increase scientific investments, strengthen law enforcement, respecttalent, encourage innovation, improve R&D capability, and strive to build china apowerful country in IPR domain. In the current economic situation of steady growth,and adjusting structures, different policies should be implemented to differentindustries, in order to ensure the quality of economic growth, guide the developmentof strategic emerging industries, and limit blind expansion of industries.
本文首先在有关技术进步、知识产权保护以及经济增长的国内外文献的基础上，对世界范围的技术进步、经济增长及知识产权保护的概况进行了描述和分析。技术进步表现为世界范围的全面进步，体现在研发投入增加、生产率提高、科技成果和科研人员增多等方面；经济增长是一个长期的历史趋势，表现出不同发展阶段国家的不平衡增长；目前，许多国家已经把知识产权战略作为一项基本国策，掌握先进的核心技术、发展高技术产业是发达国家促进经济增长的重要手段，也是发展中国家面临的重要问题。
本文的理论模型将知识产权长度与宽度纳入内生经济增长的框架下，以优化福利为目的，对有效的知识产权制度、最优知识产权制度、次优知识产权制度及不同行业适宜的知识产权制度进行了探讨。模型建立在质量升级的垂直创新基础上，认为“创造性破坏”效应使新产品淘汰旧产品，克服了以往文献假设产品永续存在的缺陷，并在知识产权保护期限法定的情况下规划次优知识产权制度，是最优专利理论的进一步推进。模型同时突破了以往文献对所有技术一视同仁、只采取唯一的最优保护长度和宽度的缺陷，用技术生命期衡量技术的质量和价值，最优知识产权制度与次优知识产权制度都受到技术生命期的制约，因而技术生命期不同的行业存在差异化的最适知识产权制度。研究发现，只有在一定的范围内，知识产权长度和宽度才能发挥作用；存在唯一的有限最优的知识产权长度与宽度组合；对于每一个法定的知识产权长度，都对应唯一的次优知识产权宽度，次优知识产权宽度与知识产权长度负相关；对于技术生命期小于知识产权长度的行业,应实施较窄的知识产权宽度；对于技术生命期大于知识产权长度的行业，适宜的知识产权宽度与技术生命期成正比。在知识产权制度下，创新实现时经济出现跳跃式增长。有效的知识产权长度可以避免经济陷入“无增长陷阱”，知识产权长度设置不当是导致经济危机的一个因素。在我国的高技术产业的发展过程中，应对战略性新兴行业给予最宽的知识产权保护，以激励该行业的科技创新与技术应用。
实证研究分别对理论模型中得出的技术进步与经济增长的关系、知识产权保护对经济增长的影响提供数据支持，研究发现不同收入组别的国家存在不同的技术进步路径，其知识产权保护力度与经济增长的关系也存在较大差异。技术进步与世界经济环境密不可分,是经济增长的源泉。四组国家的技术进步在1990年之前呈现出相同的波动趋势，自1990年之后组别间的差异才开始显现。收入水平较高的国家是技术进步和经济增长的主导力量，在初期呈现领导优势；而收入水平较低的国家具有后发优势，近年来呈现迅速追赶的态势。在知识产权保护力度、经济增长及其互动关系的经验分析中发现，收入水平越高的组别对应越高的知识产权保护力度；各组国家的GDP总量是不断提高的，中等收入国家尤为突出；人均水平意义上的经济增长却以高收入国家为主导，中等收入国家和低收入国家的人口问题制约了人均GDP的增长；各组国家的经济增长率波动幅度较大，近年来低收入国家呈现出较高的经济增长率。高收入国家是技术领导者，应提高其知识产权保护力度，保障本国技术持有者利益及国家利益；低收入国家是技术追随者，应降低其知识产权保护力度，以最大限度的鼓励模仿吸收，促进技术进步与经济增长。然而，中等收入国家的知识产权保护力度与经济增长的关系比较复杂，还需进一步提出具有针对性的促进经济增长的知识产权政策。
最后，我国作为发展中国家，知识存量、研发投入和自主创新的水平还很有限，科技发展处于以引进技术和模仿开发为主的阶段，知识产权法律法规的执行情况还不尽如人意。因此，还要不断加大科技投入，加强执法，尊重人才，鼓励创新，提高企业的研发能力，努力把我国建设成知识产权强国。在当前稳增长、调结构的经济形势下，还要针对不同产业采取差异化的政策，保证经济增长的质量，引导战略性新兴产业的协调发展，限制产业的盲目、畸形扩张。
This paper focuses on technical progress, IPR（Intellectual Property Rights）protection and economic growth, which are three very important and interrelatedfields of economics. Therefore, this research has important theoretical and practicalsignificances. Not only neo-classical economic growth theory, but also endogenouseconomic growth theory, regarded technical progress as the source of economicgrowth and believed technical progress is the most important factor to promoteeconomic growth. Intellectual property rights are exclusive rights, which areprovided to the owners of knowledge or technology by law. IPR protection ensurestechnical progress, which plays a role in promoting innovation and technologicaldevelopment. Appropriate intellectual property system can promote economicgrowth, whether developed or developing countries use intellectual property tools,implement IPR strategies which are conducive to domestic economic growth,encourage domestic technical innovation, and improve core competitiveness, inorder to achieve the goal of maximizing economic benefits.
On the basis of the literatures in technical progress, IPR protection andeconomic growth, the first part of this paper describes the worldwide technicalprogress and economic growth, and makes an overview of IPR protection. Theperformance of technical progress is world-wide, in terms of increases in R&Dinvestment, productivity, scientific achievements and scientific researchers;Economic growth is a long-term historical trend, which displays unbalanced growthin different categories of countries divided by developing stages; Currently, manycountries regard IPR strategy as a basic national policy. Mastering advanced coretechnologies and developing high-tech industries are important means to promoteeconomic growth for developed countries, which are also important issues faced bydeveloping countries.
The theoretical model of this paper brings IPR life and IPR breath into theframework of endogenous economic growth theory. In order to optimize the welfare, this paper discusses effective intellectual property system, optimal intellectualproperty system, sub-optimal intellectual property system and the appropriateintellectual property system for different industries. The model bases on verticalinnovation, and believes new products would replace old products because ofcreative destruction effect, thus overcomes the defects of the previous literatures thatassume sustainable existence of one product. Then the study plans sub-optimalintellectual property system when IPR life is determined by law, thus promotes thetheory of optimal patent system. The model also improves the defects of previousliteratures that provide only one optimal IPR life and IPR breath for all technologies.It uses technology life cycle to measure the quality and value of technologies. Bothoptimal intellectual property system and sub-optimal intellectual property system areconstrained by technology life cycle, and thus there are different appropriateintellectual property protections for industries with different technology life cycles.The study finds that, IPR life and breath can play a role only within a certain range;there is only one optimal IPR life and IPR breath combination; There is only onesub-optimal IPR breath corresponding to statutory IPR life, and sub-optimal IPRbreath negatively correlates to IPR life; When technology life cycle is less than IPRlife, narrow IPR breath should be implemented; When technology life cycle isgreater than IPR life, appropriate IPR breath is positive to technology life cycle.Under IPR system, the economy leaps when new innovation occurs. Effective IPRlength could avoid “growth trap”, and improper set of IPR length is one of thefactors that lead to economic crisis. In the process of developing China's high-techindustries, the greatest IPR breath should be implemented to emerging strategicindustries, in order to stimulate technological innovation and application in theseindustries.
Empirical studies provide data support to the relationship between technicalprogress and economic growth, and the influence of IPR protection to economicgrowth according to theoretical model, which find that countries with differentincome levels have different technical progress routes, and the relationships betweenIPR protection and economic growth differ greatly. Technical progress and the worldeconomic environment are inseparable, which is the source of economic growth. All groups of countries showed the same trend of fluctuations before1990, since thenthe differences have emerged. High-income countries are the leading force oftechnical progress, showing leadership in the early years; while low-incomecountries have the advantage in recent years, showing the trend of rapidly catchingup. Empirical analyses of IPR protection strength, economic growth and theinteraction between them find that, the higher the income level, the higher the IPRprotection strength; The total GDP of all countries is increasing, particularly inmiddle-income countries; The leading power of economic growth on a per capitalevel is high-income countries, while population problems of middle-income andlow-income countries have restricted the growth of GDP per capita; Economicgrowth rate of each group fluctuated significantly. In recent years, low-incomecountries have showed higher economic growth rate. High-income countries areleaders of technical progress, which should enhance IPR protection strength, in orderto protect the benefits of the owners of technology; Low-income countries arefollowers of technical progress, which should reduce IPR protection level, in order toencourage imitation, and promote technical progress and economic growth. However,the relationship between IPR protection and economic growth in middle-incomecountries is more complicated, and further research is required to put forward morespecific and effective IPR policies to promote economic growth.
Finally, as a developing country, China has many disadvantages in IPR domain:the stock of knowledge, R&D investment and innovation are still very limited,technical development depends mainly on technology transfer and imitation, theimplementation of IPR laws and regulations is not satisfactory. Therefore, we mustcontinue to increase scientific investments, strengthen law enforcement, respecttalent, encourage innovation, improve R&D capability, and strive to build china apowerful country in IPR domain. In the current economic situation of steady growth,and adjusting structures, different policies should be implemented to differentindustries, in order to ensure the quality of economic growth, guide the developmentof strategic emerging industries, and limit blind expansion of industries.
引文
1引自《国家知识产权战略纲要》（2008）
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