后发国最优动态知识产权保护策略——一个统一的理论和经验分析  

Latecomer countries’optimal dynamic intellectual property rights protection strategies:A unified theoretical and empirical analysis

作　　者：苗二森 李俊青[2,3] 高瑜 MIAO Er-sen;LI Jun-qing;GAO Yu(Business School,Henan University of Science and Technology,Luoyang 471000,China;School of Economics,Nankai University,Tianjin 300071,China;The Laboratory for Economic Behaviors and Policy Simulation,Nankai University,Tianjin 300071,China;Collaborative Innovation Center for China Economy,Nankai University,Tianjin 300071,China)

机构地区：[1]河南科技大学商学院,洛阳471000 [2]南开大学经济学院,天津300071 [3]南开大学经济行为与政策模拟实验室,天津300071 [4]南开大学中国特色社会主义经济建设协同创新中心,天津300071

出　　处：《管理科学学报》2024年第10期17-34,共18页Journal of Management Sciences in China

基　　金：国家自然科学基金资助项目(72403070);国家社会科学基金资助重大项目(21&ZD112);河南省高等学校哲学社会科学创新团队支持计划资助项目(2019-CXTD-05)。

摘　　要：基于种类扩张模型,将知识产权保护、前沿技术差距和技术追赶统一于一个一般均衡分析框架中研究后发国知识产权保护与该国技术进步之间的动态影响机制.研究表明,自主创新和技术模仿产生的技术追赶效应会随着前沿技术差距动态变化,致使知识产权保护对技术追赶的影响关于技术差距存在“门槛效应”.该“门槛效应”合理解释了国别层面上知识产权保护促进和抑制技术进步同时并存的悖论和发达国家在不同历史时期存在知识产权保护政策的时间不一致性悖论,并且国家基础创新转化能力与国家技术引进吸收能力会显著影响该门槛值.数值模拟显示:恒定低水平的知识产权保护会使技术后发国落入“技术追赶陷阱”中.随着技术差距由远及近,先松后紧地逐步完善知识产权保护政策是最优动态技术追赶策略,有利于后发国摆脱“技术追赶陷阱”,完成技术追赶过程.运用跨国面板数据,采用门槛模型验证了存在“门槛效应”的结论,实证结果不受内生性问题和核心指标不同测度方法影响.本研究有助于中国因时制宜和因地制宜地制定最优动态知识产权保护政策,促进自主创新,推动经济高质量发展.Based on the type expansion model,this paper integrates intellectual property rights protection(IPRP),the cutting-edge technology gap,and technological catch-up into a general equilibrium analysis framework to study the dynamic impact mechanism between IPRP and technological progress in latecomer countries.Research has shown that the technological catch-up effect generated by independent innovation and technological imitation will dynamically change with the cutting-edge technology gap,resulting in a“threshold effect”on the impact of intellectual property protection on technological catch-up related to the technological gap.The“threshold effect”provides a reasonable explanation for the paradox of IPRP promoting and inhibiting technological progress at the national level,as well as the temporal inconsistency of IPRP policies in developed countries across different historical periods.Moreover,the ability of a country to transform basic innovation and absorb national technology will significantly affect this threshold value.Numerical simulations show that a consistently low level of IPRP can lead technology latecomers into a“technology catch-up trap”.As the technological gap narrows,gradually tightening IPRP policies from loose to strict is the optimal dynamic technology catch-up strategy.This approach helps developing countries to break free from the“technology catch-up trap”and complete the process of technology catch-up.The conclusion regarding threshold effect was verified using cross-border panel data and a threshold model,and the empirical results were not affected by endogeneity issues and different measurement methods of core indicators.This study is helpful for China to formulate optimal dynamic IPRP policies according to the times and local conditions,promote independent innovation,and drive high-quality economic development.

关 键 词：知识产权保护 前沿技术差距 国家基础创新转化能力 国家技术引进吸收能力 

分 类 号：F06[经济管理—政治经济学] F019.6