本文選題：知識產權　切入點：公共服務　出處：《中國財政科學研究院》2016年博士論文　論文類型：學位論文

【摘要】：創(chuàng)新驅動發(fā)展是世界經(jīng)濟發(fā)展的必然趨勢。中國正進入建設創(chuàng)新型國家的關鍵時期。資源、環(huán)境、產能過剩等瓶頸凸顯,創(chuàng)新驅動發(fā)展既是形勢所迫,又是構建創(chuàng)新型國家的必由之路。知識是創(chuàng)新驅動中最核心的因素,知識產權日益成為國家發(fā)展的戰(zhàn)略性資源和國際競爭力的核心要素,知識產權發(fā)展是創(chuàng)新驅動的關鍵途徑和手段。自2008年《國家知識產權戰(zhàn)略》頒布后,知識產權得到了一定程度發(fā)展：知識產權法律法規(guī)日臻完善、知識產權創(chuàng)造和運用能力大幅度提升、知識產權保護水平不斷提高、知識產權建設的社會環(huán)境明顯改善、全社會知識產權意識明顯增強。但與之相伴的是：知識產權創(chuàng)造“大而不強,多而不優(yōu)”、成果轉化率和產業(yè)化率較低、區(qū)域知識產權發(fā)展不平衡、知識產權國際化程度低等情況長期存在。知識產權發(fā)展需要依靠全社會的力量來推動,政府是實現(xiàn)知識產權發(fā)展的重要力量。在市場失靈環(huán)節(jié),需要政府進行干預,其中,公共服務是重要手段。在知識產權創(chuàng)造、運用、保護、管理和服務等環(huán)節(jié),需要政府為知識產權發(fā)展提供良好的制度和公共物品等供給。政府通過提供公共服務,履行支出責任,對推動知識產權發(fā)展,加快創(chuàng)新驅動有著重要的意義。1994年的分稅制改革對劃分政府間財政關系有著十分重要的影響,但它更多關注了分稅、分財,對政府和市場、各級政府間的職能分工并不明確,尤其對地方政府間的職能和支出責任缺乏明確劃分。要使政府合理承擔支出責任,使之符合知識產權公共服務的需要,需要在明確政府和市場邊界基礎上,科學界定各級政府的事權和支出責任。知識產權公共服務中的政府支出責任研究主要涉及三方面：一是正確處理政府和市場間關系,明確界定政府事權；二是政府支出責任在各級政府劃分,包括中央和地方的劃分、省以下政府之間的劃分；三是支出責任履行對知識產權公共服務所帶來的效應考察,這是支出責任的應有之義。依據(jù)以上背景和思路,本文試圖回答的問題為：第一,我國知識產權公共服務的內涵及外延是什么?第二,政府支出責任在知識產權公共服務中的現(xiàn)狀和問題是什么?第三,政府支出責任履行對知識產權公共服務的影響如何?第四,在創(chuàng)新驅動視角下,如何優(yōu)化政府支出責任以促進知識產權公共服務水平提高?回答上述問題的關鍵,在于運用事權理論分析知識產權創(chuàng)造、運用、保護、管理和服務五個知識產權發(fā)展環(huán)節(jié)支出責任情況及效應。本文的主要研究如下：1.知識產權公共服務的本質屬性及范圍界定。從知識產權理論內涵開始,深入剖析了知識產權的公共政策性,闡述了知識產權公共物品屬性；運用系統(tǒng)化分析方法,通過對知識產權創(chuàng)造、運用、保護、管理和服務等五個系統(tǒng)要素分析,對知識產權公共服務邊界做了界定。2.政府支出責任履行現(xiàn)狀與問題分析。運用事權理論分析框架,以公共服務事權與支出責任匹配為視角,分析了在知識產權公共服務領域,政府支出責任履行存在越位、缺位和錯位的不同情形以及形成原因。3.知識產權公共服務的影響因素分析�；谡С鲐熑谓嵌�,構建面板數(shù)據(jù)模型,通過知識產權政府支出數(shù)據(jù),及經(jīng)濟發(fā)展水平等有代表性的控制變量,測量政府支出等支出責任要素對知識產權公共服務影響的效應。實證結果表明,政府知識產權保護、管理和服務支出對知識產權公共服務具有顯著正相關關系。市場創(chuàng)新環(huán)境和中央地方支出責任劃分對知識產權公共服務影響不顯著,其原因在于政府本身體制機制缺陷。4.政府支出責任界定的國際經(jīng)驗借鑒。分別考察了美國、日本、韓國和印度為代表的發(fā)達國家和發(fā)展中國家在知識產權公共服務中的政府支出責任范圍,分析了他們支出責任履行及劃分背后的邏輯,得出對我國知識產權公共服務中政府支出責任履行及劃分的經(jīng)驗啟示。5.完善知識產權公共服務中政府支出責任的思路與措施。提出了優(yōu)化支出責任整體思路、目標和原則,并按照功能和項目方法分別對我國知識產權公共服務政府間支出責任做了界定；探索對現(xiàn)有體制機制框架的變革,以使政府支出責任與知識產權公共服務事權相適應。
[Abstract]:Innovation driven development is the inevitable trend of world economic development. China is entering a critical period of building an innovative country. Resources and environment, overcapacity and other bottlenecks highlighted, innovation driven development is a situation that is also building the only way which must be passed an innovation oriented country. Knowledge is the core factor in driving innovation, intellectual property is becoming the core elements of a strategic resource for national development and international competitiveness, the development of intellectual property is a key approach to innovation driven and means. Since 2008 national intellectual property strategy > > promulgated, intellectual property has been a certain degree of development: intellectual property laws and regulations perfection, intellectual property creation and application capabilities greatly enhance the level of intellectual property rights continuously improve the construction of intellectual property rights protection, the social environment improved significantly enhanced public awareness of intellectual property rights. But are associated with intellectual property: The right to create a "big but not strong, more than excellent, transformation rate and low rates of industrialization of IPR, regional development is not balanced, the low degree of internationalization of intellectual property rights situation exists for a long time. The development of intellectual property need to rely on the strength of the whole society to promote the government, is an important force to achieve the development of intellectual property in the market. Link failure, need government intervention, which is an important means of public service. In the creation of intellectual property, use, protection, management and services, the need for government to provide a good development of intellectual property system and public goods supply. The government through the provision of public services, to fulfill the expenditure responsibilities, to promote the development of intellectual property, speed up innovation plays an important role in.1994 reform of the tax system has a very important effect on the division of intergovernmental fiscal relations, but it pays more attention to the tax, wealth, the government and the market, The division of functions between all levels of government is not clear, especially the lack of a clear division between local government functions and expenditure responsibility. The government should undertake reasonable expenditure responsibilities, to meet the needs of the intellectual property rights of public service, the government and the market need in the clear boundary on the basis of the scientific definition of all levels of government powers and expenditure responsibilities of government spending. The responsibility of intellectual property rights in public service mainly involves three aspects: one is to correctly handle the relationship between government and market, clearly defined government duties; two is the government expenditure responsibilities at all levels of government division, including the division of the central and local government, below the provincial division between the three is the expenditure responsibility; effect brought about by the intellectual property rights of public service the investigation, this is the meaning of expenditure responsibilities. According to the above background and ideas, this paper tried to answer the questions as follows: first, China's intellectual property rights of the public What is the connotation and extension of service? Second, what is the current situation and problems of government expenditure liability in intellectual property right in public services? Third, government expenditure responsibility to fulfill the effect of public service of intellectual property rights? Fourth, in innovation driven perspective, how to optimize the government expenditure responsibility to promote intellectual property services to improve the level of public key? To answer the above questions, the theoretical analysis is the use of powers of intellectual property creation, use, protection, expenditure responsibility management and service of five intellectual property development process and effect. The main results are as follows: 1. the intellectual property rights of public service the nature and scope of intellectual property. Starting from the theoretical connotation, in-depth analysis of public policy intellectual property rights, expounds the intellectual property attribute of public goods; the use of systematic analysis method, through the creation of intellectual property protection, management and use. Analysis and service five system elements, defines the.2. government expenditure responsibility analysis of the status quo and problems of intellectual property rights of public service. Using the powers boundary theory framework, based on public service responsibility and expenditure, from the perspective of analysis on intellectual property rights in public services, government expenditure responsibility is offside, analysis of different the situation of vacancy and dislocation and the formation reasons affecting the intellectual property of.3. public service factors. The angle of government expenditure responsibility based on constructing a panel data model, through the intellectual property of government expenditure data, and the economic development level of a control variable representative, effect measurement of government spending expenditure responsibility elements of intellectual property rights of public service effects. The empirical results show that the protection of intellectual property, intellectual property management and services spending on public services has a significant positive correlation between the market hit. The new environment and central local expenditure responsibilities of public service of intellectual property rights is not significantly affected, the reason is that the international experience of expenditure responsibility limits the government itself institutional defects in.4. were investigated. The government from the United States, Japan, South Korea and India government expenditure responsibilities as a representative of the developed countries and developing countries in intellectual property rights in public service. The analysis of their expenditure responsibility and the division of the logic behind, draw on the ideas and measures of the government of China's intellectual property rights in the public service expenditure responsibility and the division of the experience and Enlightenment of.5. improve the intellectual property in the government public service expenditure responsibilities. Proposed to optimize the expenditure responsibility overall design ideas, objectives and principles, and in accordance with the function and method of the project respectively. On the expenditure responsibility of intellectual property in our country public service government defines the framework of the existing system; to explore the mechanism of change, In order to adapt the responsibility of government expenditure to the right of public service of intellectual property.

【學位授予單位】：中國財政科學研究院
【學位級別】：博士
【學位授予年份】：2016
【分類號】：F204;F812.45

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