【作者】 管汉晖；

【导师】 赵伟；

【作者基本信息】 浙江大学 ， 经济学， 2005， 博士

【摘要】 在20世纪80年代末期,有一本叫做《增长的极限》的书籍在中国很为流行,它代表了当时盛行于中国和全世界的一种观点和论调,即由于世界人口和经济的持续不断增长,森林、矿藏、土地等发展经济所必须的资源将很快耗尽,从而增长是不可持续的。这种论调与马尔萨斯认为人口增长大大快于经济增长,从而人类最终将陷于“马尔萨斯陷阱”的悲观预言是一致的。然而用现代经济学的眼光来看,这些理论都是错误的,因为现代经济的增长并不依赖于要素的投入,而是依赖于一定要素投入下的更多产出,而这种更多的产出又来自于人力资本或者是科学技术水平的提高,总之来源于知识。既然知识是经济增长的最终源泉,那么一个好的有利于知识生产和吸收的制度,即知识产权保护制度,就是决定一国和世界经济增长的重要制度安排。本论文研究与贸易相关的知识产权保护制度和经济增长的关系。 对于贸易和经济增长的关系进行理论溯源,本文认为贸易对于增长的促进作用主要是由于贸易中的干中学和贸易中技术知识的跨国传播。既然学习和知识溢出是贸易促进经济增长的重要机制,知识产权保护与这两种机制都有着联系,因此,与贸易有关的知识产权保护是一国经济增长不可忽视的因素。 对与贸易相关的知识产权保护与经济增长的文献评述可以发现,知识产权保护在发展中国家和发达国家对于经济增长的促进作用是不一样的。对发展中国家而言,因为其增长主要来自于对国外技术知识的吸收,如果加强保护可以争取到发达国家更多的技术转让,那么保护就是值得的。对于世界经济增长而言,在一个产品生命周期的框架下,如果不发达国家加强知识产权保护可以间接降低发达国家企业生产新知识的成本,那么保护对于世界经济增长是有利的,否则就会出现相反的情形。如果将世界作为一个整体来看,不发达国家的知识产权保护水平对世界经济增长率的影响和发达国家向不发达国家技术转让的方式有着很大的关系。 本文的理论研究发现,如果两个进行贸易的国家都是发达国家,彼此都有很高的知识生产水平和知识扩散能力,则两个国家都采用强的知识产权保护对各自的经济增长无疑是有利的。因为强的知识产权保护可以促进本国的创新,在贸易开放的情形下,又可以避免不同的国家复制在别国已经存在的知识产品。由于知识所具有更多还原

【Abstract】 In the late 1980~th,a book named 《the limit to growth》 is very popular in China, which claims that as the continuous growth of population and economy in the world, essential resource such as forest, mine and land would be exhausted, therefore, sustainable growth is impossible. This note corresponds with the pessimistic predict in "Marlsars’ trap", however, all of these theories are false in opinion of modern economists, since modern economic growth is not dependent on factor input but on the more output within a given factor input, which stems from human capital or improvement in scientific technology, in sum, from knowledge. Since knowledge is the ultimate resource of economic growth, the institution of intellectual property right protection is decisive to both national and worldwide economic growth. This dissertation focuses on the relationship between economic growth and intellectual property right especially trade-related intellectual property right protection.By reviewing the present literature about trade and growth, we can conclude that the primary reasons why trade accelerates economic lie in several respects: the advancement of productivity owing to integration effects or economic of scale, the evolution of dynamic comparative advantage thanks to learning by doing, and the successive accumulation of human capital it brings about as well as multinational spread of technological knowledge. The last one is most significant in all of factor above mentioned. Thus it can be seen that the multinational circulation of thought is the real reason why trade promotes growth and in actuality, the viewpoint that a country benefits from static comparative advantage trade brings only involves level effects but without growth effects.Originating in Britain in 17th century, intellectual property right protection exerts a quite positive effect at that time as an institutional arrangement to encourage invention and innovation. In theory, intellectual property right protection confronts a dilemma that non-protection or too loose protection would lead to inadequacy of innovation in private economy while too tight protection would empower the monopoly of patent-holder. The optimum protection level is to compromise between these two extremes. The obviously difficulty is that the optimum protections level is different in countries in different phasesof economic development. Consequently, the agreement concerning trade-related intellectual property protection would arise benefit conflict between developed countries and developing ones if it requires the same protection standard.The theoretical study in this dissertation illustrates that if trade occurs between developed countries, tight protection would accelerate growth rate of world economy undoubtedly, as it would stimulate more innovation in enterprise, deepening of division of labor, and attract more human capital into new knowledge production in each country, avoiding imitation and duplication. If trade occurs between developed countries and developing countries, though tight protection will bring welfare loss to developing countries, it is worthwhile if it could induce more transfer of technology knowledge from developed countries. On the basis of its economic situation, developing countries could stimulate more FDI and more direct transfer of technology knowledge from developed countries by continuously reinforcing its intellectual property protection. At last, if too much imitation in developing countries leads to inadequacy of motive for innovation in enterprise in developed countries, theoretically, it would have a positive effect on world economic growth to levy tariff on the imitative product from developing countries.By positive analysis, this dissertation reaches a basic conclusion that more open to world the economy is, more powerfully the intellectual property protection will promote economy growth. The reason behind the basic conclusion may be that more open to world the economy is, more complete the competition will become, more forcefully the intellectual property protection will stimulate innovation, less loss in efficiency due to monopoly bringing about.From the first establishment in 1980th, institution of intellectual property protection has made a great progress in China, and it was accelerating to meet the demand of TRIPs agreement before entering WTO. Now, the system of intellectual property protection in China has satisfied the TRIPs in many respects while it falls short mainly on the execution of law. In addition, there are great flaws in patent institution in china compared to that in developed countries and the primary problem is less application of patent-holders. Many patents held by foreigners will awfully restrict the economic development, and also reveal the weak patent consciousness of enterprises and individuals. Besides, by present statistics in China, the research on the before-mentioned theory draws a conclusion that developing countries could induce more FDI from更多还原