专利保护、创新与经济增长:基于上下游技术溢出模型的分析  

Patent Protection, Innovation and Economic Growth: An Analysis Based on the Upstream and Downstream Technology Spillovers Model

作　　者：潘士远[1,2] 陈秀茂 PAN Shiyuan;CHEN Xiumao(Center for Research of Private Economy,Zhejiang University;School of Business,Hangzhou City University;School of Economics,Zhejiang University)

机构地区：[1]浙江大学民营经济研究中心,310227 [2]浙大城市学院商学院,310027 [3]浙江大学经济学院,310027

出　　处：《经济研究》2024年第11期55-71,共17页Economic Research Journal

基　　金：国家社科基金重点项目(22AZD047);国家重点研发计划(2023YFB3308401);国家自然科学基金青年项目(72203243)资助。

摘　　要：本文构建了一个考虑上下游技术溢出的内生经济增长模型,研究专利保护对创新和经济增长的影响。专利保护既会影响上下游的技术溢出,也会改变熟练劳动力在上下游的配置,进而影响创新和经济增长。专利保护与创新、经济增长的关系呈倒U型,最大化经济增速的专利保护组合要确保上下游利润合理分配,使技术溢出更强的部门获得更多利润。上游专利保护会产生严重的垄断扭曲,政府可以通过补贴的方式扩大上游生产,缓解上游中间产品的短缺问题,使分散均衡达到帕累托最优。校准与数值分析结果显示,发达国家对下游的专利保护强度远超上游,而中国的上下游专利保护差距较小。当上下游技术溢出强度比较接近时,中国专利制度能有效促进创新和经济增长。Promoting innovation within the industrial and supply chains has emerged as a pivotal objective of China's patent protection policy. In practice, there exists a significant imbalance in patent protection across the supply chain,where some companies excessively leverage patent rights while others receive inadequate protection. For instance, some foreign companies have previously exploited standard-essential patents, and therefore have harmed Chinese companies.And some of China's small and medium-sized companies are particularly vulnerable to patent infringement due to insufficient protection. This imbalanced patent system results in an inequitable distribution of profits across different segments of the supply chain, thereby stifling overall industry innovation. Consequently, this paper poses the overarching research questions: How can the patent system be optimized to effectively stimulate innovation and economic growth?This paper incorporates upstream and downstream technology spillovers into an endogenous economic growth model to examine the impacts of patent protection on innovation and economic growth. The theoretical analysis reveals an inverted U-shaped relationship between patent protection and innovation. Specifically, enhancing downstream patent protection increases the relative profitability of downstream sectors, thereby attracting skilled labor and fostering innovation there. However, this reallocation of skilled labor away from upstream sectors undermines upstream innovation and reduces technology spillovers to downstream sectors, ultimately impeding downstream innovation. Similarly, strengthening upstream patent protection boosts innovation by reallocating skilled labor toward upstream sectors but simultaneously diminishes technology spillovers from downstream to upstream sectors. Consequently, the divergent effects of technology spillovers and skilled labor allocation lead to an inverted U-shaped influence of patent protection on both innovation and economic growth. To maximize the rate of economic

关 键 词：专利保护 技术溢出 经济增长 

分 类 号：F42[经济管理—产业经济]