intellectual property rights and economic development.docx

intellectual property rights and economic development.docx

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intellectualpropertyrightsandeconomicdevelopment

INTELLECTUALPROPERTYRIGHTSANDECONOMICDEVELOPMENT

KeithE.Maskus

ProfessorofEconomics

UniversityofColorado,Boulder

RevisedDraft:

February6,2000

Preparedfortheseries“BeyondtheTreaties:

ASymposiumonCompliancewithInternationalIntellectualPropertyLaw”,organizedbyFredrickK.CoxInternationalLawCenteratCaseWesternReserveUniversity.

ABSTRACT:

Thispaperprovidesananalyticaloverviewofhoweconomicdevelopmentmaybepromotedorhinderedbyaneffectivesystemofintellectualpropertyrights（IPRS）.IPRScanplayapositiveroleinencouragingnewbusinessdevelopment,rationalizationofinefficientindustry,andinducingtechnologyacquisitionandcreation.TheymayharmdevelopmentprospectsbyraisingthecostsofimitationandpermittingmonopolisticbehaviorbyownersofIPRS.Thepotentialgainsandlossesdependonthecompetitivestructureofmarketsandtheefficiencyofrelatedbusinessregulation,includingaspectsofcompetitionpolicyandtechnologydevelopmentpolicy.Thepaperreviewsavailableempiricalevidenceontheseissues.TheevidencesupportstheviewthatproductinnovationissensitivetoIPRSindevelopingcountries,whileFDIandtechnologytransfergoupwhenpatentrightsarestrengthened.Overall,thereisapositiveimpactongrowth,butthisimpactdependsonthecompetitivenatureoftheeconomy.Thepaperconcludesbyputtingforwardsuggestionsforintegratedpolicyreforms.

1.Introduction

Thequestionofhowintellectualpropertyrights（IPRS）affecttheprocessesofeconomicdevelopmentandgrowthiscomplexandbasedonmultiplevariables.TheeffectivenessofIPRSinthisregarddependsconsiderablyonparticularcircumstancesineachcountry.Whileeconomistsaredevotingmoreattentiontothisissue,evidencetodateisfragmentedandsomewhatcontradictory,inpartbecausemanyoftheconceptsinvolvedarenotreadilymeasured.AsIdiscussbelow,strongersystemsforprotectingintellectualpropertycouldeitherenhanceorlimiteconomicgrowth,intheory.Nevertheless,evidenceisemergingthatstrongerandmorecertainIPRScouldwellincreaseeconomicgrowthandfosterbeneficialtechnicalchange,therebyimprovingdevelopmentprospects,iftheyarestructuredinamannerthatpromoteseffectiveanddynamiccompetition.

AstheglobalprotectionregimestrengthensduetoimplementationoftheAgreementonTrade-RelatedAspectsofIntellectualPropertyRights（TRIPS）,concludedunderauspicesoftheWorldTradeOrganization,numerousquestionsariseaboutimpactsonprospectsforeconomicgrowth.Formanyreasons,itisimpossibletoclaimconfidentlythatthenewregimewillraisegrowthandimproveeconomicdevelopmentprocesses.Twosuchreasonsareparamount.First,manyothervariablesaffectgrowthinwaysthatcoulddominatetheimpactsofIPRS.Suchelementsincludemacroeconomicstability,marketopenness,policiesforimprovingtheeconomy’stechnologicalinfrastructure,andtheacquisitionofhumancapital.Second,economictheorypointsoutthatIPRScouldhavemanyeffectsongrowth,somepositiveandsomenegative.Further,thesignificanceoftheseeffectswouldbedependentoncircumstancesineachcountry.However,inabroadsettingofappropriatecomplementarypoliciesandtransparentregulation,IPRScouldplayanimportantandpositiveroleinpromotingeconomicgrowth.Indeed,thesystemofIPRSitselfmaybestructuredinparticularwaystofavordynamiccompetitionwithinasystemofrightsandobligations.

Withthisbackground,thepaperaddressestwobroadissues.InSectionTwoIdiscusstheoryandevidenceregardinghowIPRSmayimproveorretardeconomicdevelopment.TheprimaryfindingisthatdevelopmentisacomplexprocessandthatIPRScouldhavearangeofimpacts.ThepolicyapproachmostconducivetoexpandingdevelopmentistoimplementanintegratedsystemofbothIPRSandcorollarypoliciesthatstrikeabalanceofincentivesinfavorofrigorousbutfairdynamiccompetition.Thus,inSectionThreeIoverviewthesebroaderpolicyinitiatives,suggestingmethodsbywhichdevelopingcountriesmightwishtocomplementtheiremergingIPRSregimes.SectionFourprovidesconcludingremarks.

2.IntellectualPropertyRightsandEconomicDevelopment

BeforeconsideringhowIPRSinfluenceeconomicactivityandgrowth,considertheirintendedrolesintheeconomy.EconomicanalysisofIPRSisutilitarian,askingwhetherthebenefitsofanysystemoutweighitscosts,bothinstaticanddynamicterms.Theanticipatedbenefitsandcostsdependoncharacteristicsofmarkets,products,andsocialinstitutions.Thus,a“onesizefitsall”approachtoharmonizinginternationalIPRSmakeslittleeconomicsense.

2a.ThePurposesandMechanismsofIntellectualPropertyRights

Therearetwocentraleconomicobjectivesofanysystemofintellectualpropertyprotection.Thefirstistopromoteinvestmentsinknowledgecreationandbusinessinnovationbyestablishingexclusiverightstouseandsellnewlydevelopedtechnologies,goods,andservices.Absentsuchrights,economicallyvaluableinformationcouldbeappropriatedwithoutcompensationbycompetitiverivals.Firmswouldbelesswillingtoincurthecostsofinvestinginresearchandcommercializationactivities.Ineconomicterms,weakIPRScreateanegativedynamicexternality.TheyfailtoovercometheproblemsofuncertaintyinR&Dandrisksincompetitiveappropriationthatareinherentinprivatemarketsforinformation.

Thesecondgoalistopromotewidespreaddisseminationofnewknowledgebyencouraging（orrequiring）rightsholderstoplacetheirinventionsandideasonthemarket.Informationisaformofpublicgoodinthatitisinherentlynon-rivaland,moreover,developersmayfinditdifficulttoexcludeothersfromusingit.Ineconomictermsitissociallyefficienttoprovidewideaccesstonewtechnologiesandproducts,oncetheyaredeveloped,atmarginalproductioncosts.Suchcostscouldbequitelowfortheymayentailsimplycopyingablueprintormakinganothercopyofacompactdiskorvideo.

Thereisafundamentaltradeoffbetweentheseobjectives.AnoverlyprotectivesystemofIPRScouldlimitthesocialgainsfrominventionbyreducingincentivestodisseminateitsfruits.However,anexcessivelyweaksystemcouldreduceinnovationbyfailingtoprovideanadequatereturnoninvestment.Thus,apolicybalanceneedstobefoundthatisappropriatetomarketconditionsandconducivetogrowth.

DifferentformsofIPRSoperateindistinctfashionsanditismisleadingtogroupthemtogether.Therefore,itishelpfultomentionbrieflywhatthevariousmechanismsare.First,patentsprovidetherighttopreventfor20yearstheunauthorizedmaking,selling,importing,orusingofaproductortechnologythatisrecognizedinthepatentclaimandthatmustdemonstratenoveltyandindustrialutility.Relateddevicesareutilitymodels,orpettypatents,whichprovideexclusiverightsforashorterperiodforincrementalinventions,andindustrialdesigns.Inmostcountriespatentapplicationsaremadepublicafteraprescribedtimeperiod.Thus,patentsestablishaprotectedmarketadvantageinreturnforrevealingtechnicalknowledge.Severalaspectsofpatentscopeaffecttheeffectivestrengthofprotection.Asimilartypeofindustrialpropertyisplantbreeders’rights,whichhavefixedterms,noveltyrequirements,anddisclosurerules.Theyareintendedtoencouragedevelopmentanduseofnewseedvarietiesforagriculture.

Trademarksprotectrightstomarketgoodsandservicesunderidentifiednamesandsymbols.Trademarksandbrandnamesmustbesufficientlyuniquetoavoidconfusingconsumers,therebyplayingtheimportantroleofreducingconsumersearchcosts.Theserightsencouragefirmstoinvestinnamerecognitionandproductquality.Theyalsoinducelicenseestoprotectthevalueofassetsbysellinggoodsofguaranteedqualitylevels.Iftrademarkswerenotprotected,rivalfirmscouldpassofftheirlower-qualitygoodsaslegitimateversionsofthoseproducedbyrecognizedcompanies.Thissituationwoulddiminishincentivesformaintainingqualityandwouldraiseconsumersearchcosts.Economistsgenerallybelievethatthedangerofmarketdominancethroughabuseoftrademarksisslightincompetitiveeconomiesbutsuchmarkscouldbeaccompaniedbysignificantmarketpowerincountrieswithotherbarrierstoentry.

Firmsdevelopsometechnologiesthatmightnotbepatentable,mightnotbeworththecostofapplyingforapatent,ormightbemorevaluableifkeptundisclosed.Theyprefertokeepknowledgeofsuchprocessesproprietaryastradesecrets,orundisclosedinformation.Tradesecretsareprotectedbylegalrulesagainstlearningbyrivalsthroughdishonestmeans.Suchprotectionlapsesifthetechnologiesarediscoveredbyfairmeans,suchasindependentinventionorreverseengineering.Protectingtradesecretsisbeneficialtotheextentitencouragesthedevelopmentandcommercialuseofsub-patentableinventions.Rulesprotectingtradesecretsthuspromoteadaptiveinnovationandencouragelearningthroughlegalmeans.

Literaryandartisticcreationsandcomputersoftwareareprotectedbycopyrights,whichprovideexclusiverightsforsomeperiodtocopyandsellparticularexpressionsofideasaftertheyarefixedinsomemedium.RelatedIPRSincludeneighboringrightsofperformersandbroadcasters,moralrightsoforiginalartists,andcopyrightsforderivativeproducts.Likepatents,copyrightsarelimitedinscopeforvariouspurposesofpublicpolicy.Themostsignificantlimitationisthefair-usedoctrine,underwhichitislawfultomakelimitednumbersofcopiesforresearchandeducationalpu