BOOK
Knowledge Governance
Leonardo Burlamaqui | Anna Célia Castro | Rainer Kattel | Richard Nelson
(2012)
Additional Information
Book Details
Abstract
This book argues that the current international intellectual property rights regime, led by the World Trade Organization (WTO), has evolved over the past three decades toward overemphasizing private interests and seriously hampering public interests in access to knowledge and innovation diffusion. This approach concentrates on tangible and codified knowledge creation and diffusion in research and development (R&D) that can be protected via patents and other intellectual property rules and regulations. In terms of global policy initiatives, however, it is becoming increasingly clear that the WTO in particular is mostly a conflict-resolution facility rather than a global governance body able to generate cooperation and steer international coordinated policy action. At the same time, rent extraction and profits streaming from legal hyperprotection have become pervasively important for firm strategies to compete in a globalized marketplace. “Knowledge Governance: Reasserting the Public Interest” offers a novel approach – knowledge governance – in order to move beyond the current regime.
This book argues that the current international intellectual property rights regime, led by the World Trade Organization (WTO), has evolved over the past three decades toward overemphasizing private interests and seriously hampering public interests in access to knowledge and innovation diffusion. While it is obvious that firm-level dynamics are changing – toward networks and peer production in technologically leading companies in the developed countries, and toward increasing integration into global and regional production and innovation networks in developing countries – academic discussions as well as policy disputes in the WTO and other international forums take place within a rather rigid and narrow perspective. This approach concentrates on tangible and codified knowledge creation and diffusion in research and development (R&D) that can be protected via patents and other intellectual property rules and regulations. In terms of global policy initiatives, however, it is becoming increasingly clear that the WTO in particular is mostly a conflict-resolution facility rather than a global governance body able to generate cooperation and steer international coordinated policy action. At the same time, rent extraction and profits streaming from legal hyperprotection have become pervasively important for firm strategies to compete in a globalized marketplace.
Taking into account these structural changes, the new frontiers that have to be faced by industrial, technological, innovation and competition policies, as well as increasingly complex coordination problems rising among them, a major cluster of policy and institutional design challenges emerges. To address them, a new conceptual framework is necessary. This volume proposes “knowledge governance” as the adequate framework to meet this challenge. Knowledge governance is an analytical framework that embraces different forms of public governance mechanisms such as supervision, rulemaking, regulation, policy prescriptions and institutional coordination and applies them to the realms of knowledge production, diffusion and appropriation.
“‘Knowledge Governance’ brings together fresh theoretical insights and new empirical evidence on an important challenge: how to design public policies and institutions to promote knowledge creation and diffusion to promote economic development. This collection of essays will be an important source of ideas for researchers and policymakers alike.” —Bhaven N. Sampat, Columbia University
Leonardo Burlamaqui is Program Officer at the Ford Foundation (New York and Rio de Janeiro) and Associate Professor of Political Economy at the State University of Rio de Janeiro, Brazil.
Ana Célia Castro is Professor at the Institute of Economics, Federal University of Rio de Janeiro, Brazil.
Rainer Kattel is Professor of Innovation Policy and Technology Governance and head of the Department of Public Administration at the Tallinn University of Technology, Estonia.
Table of Contents
Section Title | Page | Action | Price |
---|---|---|---|
FRONT MATTER\r | i | ||
Half Title | i | ||
Title | iii | ||
Copyright | iv | ||
CONTENTS | v | ||
LIST OF ABBREVIATIONS | vii | ||
LIST OF TABLES AND FIGURES | xi | ||
FOREWORD | xiii | ||
INTRODUCTION | xv | ||
The Purpose of the Book | xv | ||
Defining Knowledge Governance | xviii | ||
Knowledge Governance and the Public Interest: Restoring the Public Domain | xxii | ||
Overview of the Book | xxv | ||
Part I KNOWLEDGE GOVERNANCE: BUILDING A FRAMEWORK | 1 | ||
Chapter 1 KNOWLEDGE GOVERNANCE: AN ANALYTICAL APPROACH AND ITS POLICY IMPLICATIONS | 3 | ||
I. Introduction | 3 | ||
II. Knowledge Production, Dynamic Inefficiencies and the Role of Knowledge Governance | 7 | ||
III. Competition, Market Failures and a Market Features Approach | 12 | ||
IV. Knowledge Governance: Bringing the Public Domain Back In | 15 | ||
V. Conclusion | 22 | ||
Acknowledgments | 23 | ||
References | 23 | ||
Chapter 2 FROM INTELLECTUAL PROPERTY TO KNOWLEDGE GOVERNANCE: A MICRO-FOUNDED EVOLUTIONARY EXPLANATION | 27 | ||
1. Introduction | 27 | ||
2. What Innovation Theory Says About Knowledge Transferability and Appropriability | 28 | ||
2.1. The properties of knowledge, technology and learning | 30 | ||
2.2. Beyond IP: The appropriability problem | 32 | ||
3. Revisiting the Appropriability and Disclosure Function of the Patent System | 34 | ||
3.1. The appropriability function | 35 | ||
3.2. The disclosure function | 36 | ||
4. Patenting Behavior: From Incentives to Strategic Assets | 38 | ||
5. Conclusions: Beyond Patent Policy, Toward Knowledge Governance | 40 | ||
References | 44 | ||
Chapter 3 CATCHING UP AND KNOWLEDGE GOVERNANCE | 49 | ||
Introduction | 49 | ||
Part I: Global Drivers of Knowledge Creation and Dissemination in Developing Countries | 52 | ||
Impact of FDI and global financial flows | 52 | ||
Emergence of global production and innovation networks | 55 | ||
Impact of global governance of trade and intellectual property rights | 62 | ||
Summary of global trends | 65 | ||
Part II: Towards a Taxonomy of Knowledge Governance Regimes | 66 | ||
The framework | 66 | ||
Taxonomy of knowledge governance regimes | 68 | ||
Conclusion | 73 | ||
References | 73 | ||
Part II INNOVATION, COMPETITION POLICIES AND INTELLECTUAL PROPERTY: INSTITUTIONAL FRAGMENTATION AND THE CASE FOR BETTER COORDINATION | 79 | ||
Chapter 4 WHERE DO INNOVATIONS COME FROM? TRANSFORMATIONS IN THE US ECONOMY, 1970–2006 | 81 | ||
Introduction | 81 | ||
Reviewing the Literature | 82 | ||
Introducing the Data | 85 | ||
Coding | 87 | ||
Private | 88 | ||
Public or mixed | 88 | ||
Analyzing the Data | 88 | ||
Discussion | 95 | ||
Conclusion | 98 | ||
Acknowledgments | 98 | ||
References | 101 | ||
Chapter 5 ANTITRUST AND INTELLECTUAL PROPERTY: CONFLICTS AND CONVERGENCES | 105 | ||
1. The Schumpeterian Perspective on Intellectual Property and Competition | 106 | ||
1.1. An outline of the Schumpeterian theory of competition | 106 | ||
1.2. Appropriability | 107 | ||
2. Intellectual Property as a Means of Appropriability | 108 | ||
3. Intellectual Property and Antitrust | 112 | ||
3.1. Misuse of IP rights and competition | 115 | ||
3.2. Misuse in the antitrust sphere | 117 | ||
3.3. The guidelines to analyze IPR licensing in the United States and in Europe and some trends in jurisprudence | 119 | ||
4. Intellectual Property and Antitrust Under Brazilian Law | 123 | ||
4.1. Voluntary and compulsory licensing in Law 9279/96 | 124 | ||
4.2. Licensing in the plant variety protection system | 126 | ||
4.3. Provisions of the antitrust law with regard to intellectual property | 128 | ||
4.4. Misuse hypotheses | 129 | ||
4.5. The cases judged by CADE: A summary | 131 | ||
– In biotechnology: | 132 | ||
– In software: | 132 | ||
– In the field of SIM cards (subscriber-identity module): | 133 | ||
Conclusions | 133 | ||
References | 135 | ||
Chapter 6 THE POLITICS OF PHARMACEUTICAL PATENT EXAMINATION IN BRAZIL\r | 139 | ||
The Politics of Pharmaceutical Patent Examination in Brazil | 139 | ||
TRIPS, Patent Examination, Pharmaceutical Innovation | 141 | ||
Pharmaceutical Patent Applications in Brazil: INPI vs. ANVISA | 145 | ||
The Politics of Incremental Pharmaceutical Innovation in Brazil: Bureaucratic Isolation and Coalitional Erosion | 151 | ||
Bureaucratic isolation | 151 | ||
Coalitional erosion | 153 | ||
Conclusion | 157 | ||
References | 159 | ||
Part III GOING FORWARD: TOWARDS A KNOWLEDGE GOVERNANCE RESEARCH AGENDA | 163 | ||
Chapter 7 VARIETIES OF LATIN AMERICAN PATENT OFFICES: COMPARATIVE STUDY OF PRACTICES AND PROCEDURES | 165 | ||
1. Introduction | 165 | ||
2. Stylized Facts and Some Measures | 169 | ||
Group 1: United States (USPTO), European Patent Office (EPO), China, Japan (JPO), Germany, Korea | 169 | ||
Group 2: Argentina, Brazil, Chile, Colombia, Mexico and Peru | 171 | ||
Patent granted as a percentage of patent application | 171 | ||
3. Brief History of the Patent Office (Institutional Approach) and Actual Structure | 174 | ||
3.1. INPI – Brazil. The legal–institutional framework of patents in Brazil: Historical milestones | 174 | ||
INPI in the recent context | 177 | ||
Organizational structure | 178 | ||
3.2. INDECOPI – Peru | 179 | ||
INDECOPI's structure | 180 | ||
3.3. MEXICO: IMPI trajectory and structure | 180 | ||
4. Interviews in Three Different Latin American Patent Offices | 181 | ||
4.1. Some methodological concerns: Tacit and explicit knowledge in patent office decision processes | 181 | ||
4.2. Institutional culture, differences according to generation and patent type and the role of training and education: Findings\r | 182 | ||
4.3. Comparative findings | 184 | ||
Brazil: Pathway into INPI and examiner background | 184 | ||
Peru: Pathway into DIN | 185 | ||
Mexico: Pathway into IMPI and examiner background | 185 | ||
Brazil: Training and courses at home and abroad | 186 | ||
Peru: INDECOPI – Training and courses at home and abroad | 188 | ||
Mexico: IMPI – Training and courses at home and abroad | 188 | ||
Brazil: Patentability criteria | 189 | ||
Peru: Patentability criteria | 191 | ||
Mexico: Patentability criteria | 192 | ||
Brazil: Continuity of institutional policy | 194 | ||
Peru: Continuity of institutional policy | 195 | ||
Mexico: Continuity of institutional policy | 195 | ||
Brazil: Main problems found | 195 | ||
Peru: Main problems found | 196 | ||
Mexico: Main problems found | 197 | ||
Concluding Remarks | 197 | ||
References | 198 | ||
Chapter 8 AN INTEROPERABILITY PRINCIPLE FOR KNOWLEDGE CREATION AND GOVERNANCE: THE ROLE OF EMERGING INSTITUTIONS | 199 | ||
Introduction | 200 | ||
1. Distributed Innovation, Open Innovation and Knowledge Governance | 202 | ||
2. Case Study: Genomics | 208 | ||
2.1. Intellectual property rights and knowledge products | 209 | ||
2.2. Human Genome Project and data governance | 211 | ||
2.3. Governance of narratives and tools | 214 | ||
2.4. Knowledge governance trends | 218 | ||
2.5. Genomics: Early conclusions | 219 | ||
3. National Innovation Policy | 219 | ||
Conclusions | 224 | ||
References | 225 | ||
Chapter 9 THE SEARCH FOR ALTERNATIVES TO PATENTS IN THE TWENTY-FIRST CENTURY | 227 | ||
Introduction | 227 | ||
Patents for Chemical Substances (Medicines): A Retrospective Analysis of the Anglo-American Patent Systems in the Nineteenth and Twentieth Centuries | 231 | ||
Alternatives to Patent Monopolies: Their Abolition | 245 | ||
Economic Empirical Data: What Difference Does It Make? | 252 | ||
Monopolies in the Age of Free Trade | 254 | ||
Note | 265 | ||
References | 266 |