迪恩·贝克,阿尔琼·佳亚德福,约瑟夫·斯蒂格利茨,周建军,施蒙

• 1:美国经济进步中心
• 2:印度阿齐姆·普莱姆基大学
• 3:国务院国资委研究中心
• 4:中共中央党校(国家行政学院)

摘要(Abstract)：

创建于20世纪并左右当今发达产业国家增长的经济制度和法律,在治理全球经济活动时愈加乏力。自采用"与贸易相关的知识产权协议"以来,世界贸易组织的知识产权条款愈加不能契合发展中国家的需求,并且过分服务于发达国家的公司利益。在发达国家,知识产权设计变得越来越不合理,导致了对创新的压制、对创新方向的扭曲、创新所带来的福利的减少。专利丛林、专利流氓和专利常青化等相关问题已有大量记载。知识公地在减少,甚至公共资助和推动的创新成果也被私有化了,因此降低了平等和效率。知识产权需要在全球范围内做出重大调整。发展中国家的总体政策应倾向于较少的知识产权限制,而不应是现在这样较多的知识产权限制。

关键词(KeyWords)： 知识产权;创新;经济发展;发达国家;发展中国家

Abstract:

Keywords:

基金项目(Foundation):

作者(Author): 迪恩·贝克,阿尔琼·佳亚德福,约瑟夫·斯蒂格利茨,周建军,施蒙

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• (1)在就“与贸易有关的知识产权协议”谈判时,即使在白宫内部也有很大分歧。美国总统科技政策办公室、美国总统经济顾问委员会和美国贸易代表办公室的分歧很大。当然,这并不令人惊讶,美国贸易代表办公室胜出了。娱乐业和制药业的观点和利益占据了主导地位。参见Stiglitz(2006)。
• (2)美国《拜杜法案》鼓励大学为政府资助的研究申请专利,这使其他人很难获得信息来开展研究。
• (1)源自我们之前参与的研究,参见Baker(2008)、Jayadev和Stiglitz(2010,2011)、Dosi和Stiglitz(2014)、Stiglitz(2004,2006,2008,2013)。
• (2)也可参见Stiglitz(2016)。
• (1)技术上,我们说知识是萨缪尔森式公共产品,即在极限情况下边际使用成本为零的产品。因此,通过按边际成本定价---静态效率的标准要求---生产知识的成本是不可能收回的。参见Stiglitz(1987)、Stiglitz和Greenwald(2014)。事实上,知识应是一种全球公共产品(Stiglitz,1999)。
• (1)具体请参见Stiglitz和Greenwald(2014)。他们的研究表明,专利的好处(短期垄断)小于熊彼特假定的,并且成本更大。
• (2)Fudenberg等(1983)略早于其他研究者论述过该问题。
• (1)弱专利可以被看作鼓励短期研究项目,但阻碍更具成果的长期研究探索。
• (2)对专利挑战者存在多种补偿方式,如获得一定期限的专利使用费。在美国,1984年通过的《药品价格竞争与专利期补偿法》规定,第一家公司挑战并成功推翻专利,可以获得180天的市场独占权。
• (3)这也称作非竞争性消费(non-rivalrous consumption)。
• (4)在美国,研发的税收减免,可运用于渐进式研究。这样设计的目的是提供激励,同时减少政府的实际资金投入。
• (1)世界卫生组织曾提出在全球范围建立一项类似的制度。
• (2)专利持有者可以设定垄断价格,但不能滥用垄断地位。反垄断法规定了专利持有者所能做的事情。
• (3)上述规定在1995年已被纳入“与贸易有关的知识产权协议”。同时,贸易协议有效加强了知识产权保护,如通过相关条款(数据专享权)限制将数据用于非专利药品的认证。这样做的目的是增强垄断,表面上是出于补偿创新者在创新阶段收集数据的成本。
• (1)因此,有三种不同的情况:第一,基础研究有多重应用,因此与专利制度相关的限制成本更大;第二,这类研究相关的风险更大,且缺乏良好的风险市场,市场产生的这类研究会很少;第三,与此相关的,在许多情况下,规模足够大的基础研究项目很难找到资金支持。(还有第四,更微妙的,“失败”:部分地由于信息不对称和议价能力不对称,“转售”或“许可”的市场是高度不完善的。例如,在一个具有完美信息的世界里,垄断者可以并将允许其他人使用自己有效拥有垄断权力的信息。)然而,最终结果是,主要创新很大的比例实际上是由政府资助的。
• (2)大多数大公司基于官僚程序做出关于分配研究预算的决定,其中的许多问题与政府机构面临的问题是一样的。两者之间的对比常常显得过于突出。
• (1)政府可以决定,设计提高收入的“最优”方式,进而收费(许可费用)。特别是在政府支付(很大一部分)医疗费用的国家,对药品收取高价将只是将资金从政府的一个口袋转移到另一个口袋。
• (2)原则上,应该有足够的、与专利申请相关的信息披露,这样的研究才能被复制。
• (1)与产品相关的多项专利导致了专利侵权诉讼的可能性,这已变得越来越普遍。
• (2)这有时被称为创新的“偷生意”(business stealing)动机。
• (3)然而,如果私人承包商可以使用收集到的一些知识从事相关的商业项目,则披露的信息可能并不完全和完整。
• (1)对该制度的一个主要批评是,并非所有的研究都是真正的研究,其中大部分是营销研究。事实上,例如,制药公司在将研究活动与营销结合方面做得很出色,使得区分两者变得很难。进一步的批评是,税收抵免不是永久免税的一部分,从事长期研究项目的公司不能依赖它。
• (1)有必要采取一种机制,防止创造性研究者利用税收抵免建立声誉,再切换到版权保护机制。这可以通过以下方式实现,任何人在获得税收抵免后,在一定时间内不准申请专利保护权(例如,3~5年)。该规则的一个优点是,它很大程度上是自我实施的。如果有人试图在未满要求时限就申请版权,他们会发现,因为有公开记录表明他们获得过税收抵免,所以他们的版权申请不会被受理。
• (2)这将是最终成果奖励,但它不包括里程碑奖励;里程碑奖励是对通向最终成果道路上的里程碑的奖励。
• (3)根据现行法规,专利申请应当提供充分详细和完整的有关信息,以保证发现是可以复制的。实际上,情况并非如此。
• (4)企业都是风险厌恶的,任何药品的回报都是高度可变的,这将使政府能够以足够低的价格获得药品,使运行药品收购机制的公共补贴明显低于终止垄断定价相关的社会盈余。由于政府是最大的药品采购方,因此大量的开支将由采购盈余抵销。
• (1)一个重要的问题是,由于垄断者在购买过程中接受了垄断租金,所以在其他地方就必须征收(扭曲的)税收以资助其奖金。然而,如果国家或实体购买少数专利并以竞争价格出售,垄断租金将被压低。因此,政府要支付的价格将较低,造成的其他扭曲也会更小。
• (2)这将产生与分散专利机制类似的情况。在该机制中,公司将尽可能广泛地推广其药品;因为随着更多的人使用其药品,奖金的规模将增加。这可能会延续目前机制的一些弊端。例如,医药企业为了推广药品而付钱给医生。或者,奖金可以基于潜在的QALY---假定药品的竞争性传播会产生相应的好处。奖金应基于预期的价值,以最大限度地减少研究者的额外风险。
• (3)关于政府实际购买什么权利,存在一些问题。多数药品有多项专利。此外,在大多数情况下,它们将根据用于获得批准上市药品的临床试验结果,获得一定期限的独家营销权利。如果购买是在药品批准后进行的,那么政府可能购买与药品销售相关的所有权利,而不是某个特定的专利。然而,这在披露事项方面引发了一个问题。购买了药品使用专利权的制药公司,可能无法直接获得背后的研究(underlying research)。这意味着,即使在政府购买之后,这项研究也不能发布,或者政府必须单独购买补充专利,因为制药商只购买了狭义的使用权。
• (1)有许多混合方案(例如有保证的政府采购),旨在确保医药公司有最低的销售收入水平。由于允许药品在采购承诺履行后恢复垄断价格,因此这些方案不如那些要求政府简单购买该专利的方案好。
• (2)制药公司还从事“伦理上模棱两可”的事情。例如,在昂贵的滑雪胜地开展药品使用培训,或向医生参与“研究项目”支付报酬,从而使医生认为自己是药品成功上市的积极参与者。
• (1)除了受版权保护的价格与边际成本之差隐含的无谓损失外,与版权实施相关的成本也相当大。
• (1)对于理论模型,请参见斯蒂格利茨(Stiglitz,2014)。有关经验证据的讨论,请参见Dosi和Stigli