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Jingdong book

TRIPs体制与中国的技术追赶:知识产权经济学的再探讨

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即便是在发达国家,专利保护对技术创新的促进作用也远不如人们通常所想象的那么大。以外部性经济理论和公共地悲剧理论为基础的经典专利经济学有严重的缺陷,从有形财产中归纳出来的公共地悲剧理论并不能够简单地照搬到知识产权的经济分析当中。在当代的很多高科技领域,复杂产品是常态,每一个产品的生产都很可能包含大量的知识产权。过高的知识产权保护会带来严重的反公共地悲剧的问题,造成知识财产得不到充分使用,损害企业的正常生产和研发,出现严重的专利丛林问题。因而当今美国的高科技界普遍呼吁美国政府相对弱化对知识产权的保护。美国的司法界最近也顺应了这一潮流。
无论是后起的西方发达国家,还是东亚的新兴工业化国家和地区,在其早期发展阶段均有意地放松本国的知识产权保护,以方便本国企业合法地模仿外国技术。宽松的知识产权保护体制成为当时幼稚产业保护政策的重要组成部分,并没有成为这些国家和地区自主创新能力培养的障碍。
日本与韩国的许多赶超型经济发展的成功经验,与当时相对宽松的国际知识产权保护体制紧密相关。在当今国际知识产权保护大幅度提高的时代,日本与韩国的许多成功经验已无法效仿,中国的技术追赶必须另辟蹊径。
Author Description

文礼朋,1973年生,湖南嘉禾人,现为桂林电子科技大学商学院副教授,硕士生导师。主要从事经济史、发展经济学与世界经济的研究。1995年本科毕业于湖南师范大学历史学系。1999年硕士毕业于南京大学历史学系欧美研究中心,获历史学硕士学位。2005年博士毕业于北京大学历史学系世界现代化进程研究中心,获历史学博士学位。1999年7月至2005年12月任教于湖南师范大学历史文化学院。2006年1月至2008年7月在武汉大学经济与管理学院经济发展研究中心从事发展经济学的博士后研究工作。2008年9月至今任教于桂林电子科技大学商学院。在《经济社会体制比较》、《国外社会科学》、《经济理论与经济管理》、《南京大学学报》、《武汉大学学报》、《当代财经》、《世界历史》、《史学理论研究》、《史学月刊》、《现代化研究》等杂志发表论文多篇,多篇论文被人大复印资料全文转载,或被《新华文摘》论点摘登。
Catalogue

序言
导论 更加全面地认识知识产权保护与技术创新的关系
一 对当前一边倒的国内学术倾向的担忧
二 研究文献综述
三 本书的主要内容构架
第一章 知识产权保护与技术创新关系的重新思考——以专利制度为中心
第一节 不同形式的知识产权保护与科技创新的关系
第二节 专利和版权保护制度发展历程简介
第三节 专利保护合理性的理论
第四节 专利经济学的再探讨
第五节 几个相关问题
本章小结专利保护与技术创新关系的重新思考

第二章 柔性知识产权保护与后发展国家的技术追赶
第一节 知识产权保护与后发展国家的研发投入
第二节 知识产权保护与国际技术转移
第三节 发展中国家的模仿对发达国家创新的影响
第四节 后发展国家的知识产权保护与经济发展
第五节 典型历史经验分析

第三章 TRIPS体制与当今中国的对策
第一节 TRIPS协议与国际知识产权保护的加强
第二节 TRIPS协议与发展中国家的政策选择
第三节 TRIPS协议对中国知识产权立法的影响
第四节 TRIPS协议与当今中国的后发优势战略
第五节 版权合理使用与中国人力资本的提升和软件产业的成长
第六节 完善限制知识产权滥用的立法
第七节 平行进口与反垄断

结束语
附件一 专利保护与技术创新关系的重新思考
附件二 国际知识产权保护的加强对发展中国家技术追赶的影响
附件三 从技术模仿到自主创新——后发展国家的技术成长之路
附件四 WTO规则与大国开放竞争的后发优势战略
附件五 国内市场与自主创新和自主品牌
参考文献
后记
Book Abstract

二战以后,美国的经济学界利用外部性经济理论、公地悲剧理论,普遍夸大知识产权保护对科技创新的促进作用。以阿罗和诺德豪斯为代表的经典专利经济学,代表了这种学术倾向。根据外部性的经济理论,由于知识创新的正的外部性经济效应,创新者只能获取创新收益的一小部分,必然导致创新投入的不足。知识产权保护的加强,使得创新者能够获取更大程度的创新社会收益,减少了研发创新的外部性从而必然会促进创新投入的增加,促进科技的进步。
另外一批经济学家对于这种理论深表怀疑,他们开展了大规模的企业问卷调查。结果发现,除了医药、化学品等少数几个产业以外,即便没有专利保护,绝大多数的技术创新仍然会被提供出来,专利制度对于技术创新的促进作用,远没有经典专利经济学所认为的那么重要。尽管这些实证调查研究的成果并没有阻挡美国在1980年代以后出台一系列提升知识产权保护水平的政策,但是它确实值得人们深入思考。
1970年代末,斯蒂格利茨等人发展出了专利竞赛理论,指出了经典专利经济学假设前提的错误。经典专利经济学假设只有唯一的个人或企业具有某种创新能力,根据外部性经济理论,知识创新的外部性效应必然导致创新投入的减少,由知识产权保护加强所带来的创新者所占社会收益份额的增加必然会导致创新投入的增加。
Introduction

知识产品本质上是一种信息,具有完全的非竞争性和非排他性的特征,是一种完全的公共产品。知识产权的本质是通过界定知识产品的所有权从而使得作为公共产品的知识产品可以通过市场的手段提供出来,并克服政府提供公共产品所必然会带来的弊病,这是科斯经济学的典型应用。在各种知识产权保护制度中,专利制度与技术创新关系最为密切。专利制度并非没有代价,但是在提供实用性技术方面,专利制度总体上优于政府资助,是一种次优的制度。
但是,专利保护对技术创新的促进作用,远不如人们通常所想象的那么大。以外部性经济理论和公共地悲剧理论为基础的经典专利经济学有严重的缺陷。从有形财产中归纳出来的公共地悲剧理论,并不能够简单地照搬到知识产权的经济分析当中。知识产品的完全非竞争性,使得知识产品没有拥堵和过度使用的问题,“过多的使用”并不会导致知识产品本身的耗损。因而知识产权的设立没有一般有体物财产权设立所具有的静态效益——减少财产的过度使用与耗损。知识产权的设立只有动态的收益——促进其提供。对于有体物财产来说,由于其竞争性的特征,在缺乏财产权保护的情况下,生产者一无所得,必然会面临完全没有提供的困境。

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