Menu Expand
Knowledge Governance

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