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Sigrid Sterckx
University of Ghent / FWO-Flanders
ABSTRACT. Three attempts are usually made to justify patents: natural rights,
distributive justice, and consequentialist arguments, all of which I contest. The
natural rights argument is traced back to John Locke, defender of the labour
theory of property, who essentially holds that persons have a right to property insofar as they have mixed their labour with it, and insofar as they have
appropriated natural things without exhausting them or taking more than their
share. Yet, the inventors mixing of labour is often the last step of a longer historical process, and patents seem to encourage waste, since they restrict the use
of an idea. The distributive justice argument holds that patents reward the initiative of inventors without this reward, free riders would be able to compete unfairly; the exclusivity granted by patents corrects this hole in the free
market. However, our current system does not necessarily reflect this principle; it is difficult to clarify the criteria on which an inventor deserves a reward;
unsuccessful inventors and basic researchers also invest much initiative, and
yet are not rewarded; it is unclear that justice should reward someone by granting them the exclusive right to determine what is done with knowledge; and
no link exists between the social usefulness of an invention and the scope of
protection granted by a patent. The consequentialist justification holds that
patents encourage innovation, and the disclosure of knowledge. Although it is
clear that patents encourage inventions, it is not clear that they encourage
progress they may even limit progress by restricting use of previous knowledge. As for the disclosure of knowledge: such knowledge is hard to keep
secret in the first place, and patent offices grant overly broad patents. In conclusion, this paper offers some suggestions concerning the true costs of the
patent system.
KEYWORDS. Patents, natural rights, distributive justice, consequentialism,
innovation, knowledge
ETHICAL PERSPECTIVES: JOURNAL OF THE EUROPEAN ETHICS NETWORK 13, no. 2 (2006): 249-265.
2006 by European Centre for Ethics, K.U.Leuven. All rights reserved.
doi: 10.2143/EP.13.2.2016633
2006
INTRODUCTION
THE
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If one accepts that mixing labour with something occasions the coming
into existence of a property right, the question remains as to the boundaries
of that property right. How can one decide what exactly has become the
property of the person who performed the labour? This question can also
be put in terms of the value of the result. A distinction should be made
between the value attributed to the object of the labour and the value attributed to the labour itself (in other words, the added value). Determining the
proportionality of each of these values in respect of the total value of the
object to which labour has been applied would seem to be very difficult.
This weakens the justificatory strength of the labour theory of property.
Another problem is that intellectual objects usually stem from ideas
of predecessors. The labour of these predecessors also forms a component in the total value of the final result a component whose value
varies case by case. This has important implications for the question who
is entitled to the value of the final result. As Edwin Hettinger explains:
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The question also arises as to whether Lockes two provisos apply in the
context of intellectual, abstract, intangible objects (as opposed to tangible objects). As for the second proviso man may only appropriate as
much property as he can use the question arises, e.g., whether waste can
occur in the case of ideas. It seems unlikely that an idea as such could be
wasted, but the possibilities offered by an idea can be. If someone
acquires an intellectual property right on an idea and does nothing with
it, the non-waste provision would seem to be violated. If something is
left unused by the appropriator, while others need it, the waste is all the
greater. One aspect of the patent system that can certainly induce waste
is that, in its present form, it does not oblige patent holders to work
(exploit) their invention. The history of the patent system shows that this
has not always been the case in industrialized countries, and in most developing countries, a working requirement for patented inventions has
existed until recently (or continues to exist).
Even if a patent is exploited, waste can occur. For the result of granting a patent is that the patentee can put restrictions on the use of the
invention. Since a characteristic feature of the objects of intellectual property rights is their so-called non-exclusive nature (the fact that they can
be used by many people simultaneously), limiting their use artificially can
indeed amount to waste. The extent of the waste would seem to depend
on the extent to which others need the invention in question.
Lockes first proviso the appropriation of things is only permitted if, afterwards, a sufficient amount of the same or similar things
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used by others (in public use) at the time of the patent application.
However, reality is often quite different.
Third, as to the statement that the situation of others can be
improved as a consequence of what the owner does with the object, and
that this can compensate for the fact that the others are no longer allowed
to use the object, it should be repeated that patent owners are under no
obligation to exploit their invention. Even when they do decide to exploit
the invention, the use of the invention by others is still forbidden.
Nozick argues that the existence of a patent does not deprive others
of anything, since the object of the patent would not exist if the inventor hadnt been there.19 However, it can be assumed that at some stage
somebody else would have come up with it. This could be a reason for
putting a time limit on patent rights by calculating the time it would take
someone to invent the same thing in an independently.20 It seems likely
that, if the protection period would be determined on this basis, in most
cases this period would be significantly shorter than under the current
patent system.
Referring to natural law as a justification for the granting of patents
is also problematic for several other reasons, which we cannot elaborate
here. For instance: certain categories are excluded from patentability, the
validity of a patent is limited in time and space,21 independent inventors
cannot use their invention if somebody else has already patented it,22
patents can be declared void, and, in some cases, patent owners can be
forced to grant a licence to third parties or to the government.
The distributive justice argument
According to a second type of justification for the patent system, based
on considerations of distributive justice, it is only fair that inventors are
rewarded because they do society a service. The establishment of a patent
system is justified because it would be unfair to allow people a free ride
at the expense of others who apply themselves to the act of inventing.
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Free riders are people who did not invest time or money in the development of an invention and it is therefore unacceptable that they would
be allowed to compete with the inventor under normal market conditions. In order to reward inventors and to protect them against free
riders, society should grant them exclusive rights to their inventions.
Although this argument may seem intuitively appealing, not a single
plausible interpretation of distributive justice would yield a patent system like the one we currently have. Some of the problems with this argument are similar to the problems involved in the natural rights argument,
e.g., the treatment of independent inventors. However, different issues
arise as well. Without going into detail, the following problems should be
mentioned.
First, there are two possible grounds for reward: the extent of the
effort and the value of the result. Which of these two criteria should determine whether or not a person deserves a reward? The value of the result is
often influenced by factors on which the person has no impact, such as
luck. Giving a greater reward to people whose products have greater social
value might be justified on consequentialist grounds, e.g., if it is needed
as an incentive, but this has nothing to do with giving a person what she
deserves.23 The extent to which someone has made an effort is obviously
more difficult to determine than the value of the result of her efforts, but
this is a pragmatic argument which cannot be decisive in a framework of
distributive justice.
Does the patent system take into account the extent to which an
inventor has tried? The patentability requirement of nonobviousness
could give the impression that this is indeed the case. However, inventors who have spent a lot of time and money on research that ultimately
produced nothing are not rewarded under the patent system. If one
accepts the principle that efforts must be rewarded, then unsuccessful
inventors who have made efforts also deserve a reward.
A second problem is that findings in fields which are excluded from
patentability e.g., discoveries of scientific principles can also require
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of the invention in question and irrespective of the effort required for the
development of the invention.26 Admittedly, it would be very difficult to
determine the proper level of reward fairly on a case-by-case basis.
Another problem relating to the proportionality of the usefulness of
an invention and the size of the reward is the frequent issuing of patents
with overly-broad claims i.e., claims which are disproportionate to the
actual contribution made by the inventor.
THE
The third candidate for the justification of the patent system entails two
arguments: (1) The incentive to invent and innovate argument: without the
prospect of an exclusive right to use the invention, and hence a possibility of recouping the money invested in the development of the invention,
too little inventing would be done. The patent system offers inventors an
indispensable incentive. (2) The incentive to disclose argument: the patent system encourages inventors to disclose their inventions instead of keeping
them secret. Thanks to the patent system, technological information is
disseminated and this promotes technological progress, which in turn fosters economic growth.
The consequentialist justification takes the most prominent place in
the debate on the patent system. Also, this is the main argument that has
been used to convince developing countries to strengthen their patent
laws. In order for this justification to be convincing, three things need to
be proven: (i) that the patent system encourages inventions and innovations, (ii) that no better alternative system exists to achieve this, and (iii)
that the encouragement of inventions and innovations can itself be justified on consequentialist grounds. Moreover, if the patent system turns
out to be the most suitable model, it must be shown that the advantages
of this system outweigh its costs. We cannot comment on all these
questions here. After looking at the incentive-to-invent-and-innovate
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limited and their price can be kept artificially high. Advocates of the
incentive argument remark, however, that for inventions to be at all practicable, they need to be developed first. According to this line of reasoning, this implies that the dissemination of inventions must be limited.
In this context Joan Robinson talks of a paradox of patents:
The justification of the patent system is that by slowing down the
diffusion of technical progress it ensures that there will be more
progress to diffuse. Since it is rooted in a contradiction, there can
be no such thing as an ideally beneficial patent system.28
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NOTES
1. See art. 28 (Rights Conferred) of the WTO-TRIPS Agreement (Agreement on Trade
Related aspects of Intellectual Property rights, 1994).
2. See John Locke, Two Treatises of Government, ed. Peter Laslett (Cambridge: Cambridge University Press, 1988), 285-302.
3. Locke, II, V, 25.
4. Ibid.
5. Ibid.
6. Locke, II, V, 26.
7. Locke, II, V, 27.
8. Locke, II, V, 28.
9. Locke, II, V, 36 and II, V, 46.
10. Locke, II, V, 27.
11. Locke, II, V, 31. See also Locke, II, V, 37 and II, V, 38.
12. See Robert Nozick, Anarchy, State, and Utopia (Oxford: Basil Blackwell, 1974), 160: Whoever makes something is entitled to it. The situation is not one of somethings getting made,
and there being an open question of who is to get it. Things come into the world already attached
to people having entitlements over them.
13. Ibid., 174-75 (emphasis added).
14. Ibid., 175.
15. Erwin C. Hettinger, Justifying Intellectual Property, Philosophy & Public Affairs 18 (1989)
1: 38.
16. Nozick, 175.
17. Ibid.
18. Pursuant to the so-called doctrine of equivalents which is applied by most patent offices.
See Robert P. Merges, Patent Law and Policy. Cases and Materials, 2nd ed. (Charlottesville: Michie
1997), 917-18. This doctrine is applied especially eagerly in the United States.
19. Nozick, 181.
20. Nozick acknowledges that a patent does deprive independent inventors. He claims that
independent inventors should have the right to use their invention (182).
21. Patents granted in a patent system built on the basis of the natural law argument could
be expected to be perpetually valid (or at least until the death of the patent holder) and to be
enforceable worldwide.
22. The exclusion of independent inventors may be justifiable on consequentialist grounds
- by referring to the incentive function of the system, which would be eroded if independent
inventors were allowed to lay claim to the invention. But a justification of the exclusion of independent inventors on the basis of natural law is problematic since under natural law independent
inventors have the same natural property right to an invention as the inventor who applied first
at the patent office.
23. Hettinger (1989), p. 42.
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24. Patrick Croskery, The Intellectual Property Literature: A Structured Approach, in:
Owning Scientific and Technical Information Value and Ethical Issues, ed. Vivian Weil and John Snapper (New Brunswick: Rutgers University Press: 1989), 270.
25. Hettinger, 41.
26. Several developing countries have traditionally provided different protection periods
depending on the industrial sector, e.g., shorter protection for inventions in the food sector. As
a result of the implementation of the WTO-TRIPS Agreement, protection periods of less than 20
years are no longer allowed.
27. In many countries, several mechanisms are used simultaneously. For a discussion of
each of these mechanisms in the case of production of knowledge: see Paul A. David, Intellectual Property Institutions and the Pandas Thumb: Patents, Copyrights, and Trade Secrets in Economic Theory and History, in: Global Dimensions of Intellectual Property Rights in Science and Technology, ed. Mitchel B. Wallerstein, Mary Ellen Mogee, and Roberta Schoen (Washington, DC: National
Academy Press, 1993), 32-36.
28. Joan Robinson, The Accumulation of Capital (Homewood, Ill.: Richard D. Irwin, 1958), 87.
29. See, e.g., Sigrid Sterckx, European patent law and biotechnological inventions, in:
Biotechnology, Patents and Morality, ed. Sigrid Sterckx, 2nd edition (Aldershot: Ashgate, 2000) 21-25.
30. Jeremy Bentham, A Manual of Political Economy (1785), in: Works of Jeremy Bentham, published under the supervision of John Bowring, 11 volumes (Edinburgh, 1843), vol. III, 71.
31. For a discussion of existing research as well as various references, see Keith E. Maskus,
Intellectual Property Rights in the Global Economy (Washington, DC: Institute for International Economics, 2000).
32. Susan Sell, Private Power, Public Law - The Globalization of Intellectual Property Rights (Cambridge: Cambridge University Press, 2003).
33. Pamela Samuelson, Innovation and Competition: Conflicts over Intellectual Property
Rights in New Technologies, in: Owning Scientific and Technical Information Value and Ethical Issues,
ed. Vivian Weil and John Snapper (New Brunswick: Rutgers University Press: 1989), 179.
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