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E-grāmata: International Technology Transfer: The Origins and Aftermath of the United Nations Negotiataions on a Draft Code of Conduct

  • Formāts: 498 pages
  • Izdošanas datums: 01-Nov-2000
  • Izdevniecība: Kluwer Law International
  • Valoda: eng
  • ISBN-13: 9789041180568
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  • Formāts: 498 pages
  • Izdošanas datums: 01-Nov-2000
  • Izdevniecība: Kluwer Law International
  • Valoda: eng
  • ISBN-13: 9789041180568

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The distribution of technology among enterprises and nations lies at the heart of international economic relations, affecting trade, investment, finance and economic policies, and is affected in turn by the political relations between nations. The need for effective transfer of technology to developing countries has acquired renewed urgency in recent years as production becomes increasingly knowledge intensive and competition is determined more and more by the ability of enterprises to learn, to acquire and use knowledge, and to innovate. Access to knowledge has become key to economic success in the marketplace.This book discusses the background, objectives, approaches and progress achieved in the decade-long negotiations on an International Code of Conduct on the Transfer of Technology which took place under the aegis of UNCTAD. It examines the impact and continued relevance of the Code negotiations to subsequent policy and legislative instruments on international technology transfer, both at domestic and international levels, and identifies and examines emerging trends and negotiating agendas that will help to shape the future of international technological cooperation. The central question posed by the initiators of the Draft Code of Conduct is still relevant today - how can we facilitate a just and mutually beneficial system of technology flow in a world of rapid change and increasing gaps in the technological capability of developed and developing countries? The need for marginalized countries to access knowledge in order to learn, adjust and integrate effectively into the world economic system must be balanced with the vital need to reward inventors and innovators to ensure the continued generation of knowledge. It is these issues that will continue to dominate any future discussion on the international transfer of technology.This book will be a valuable work of reference on the evolution of international technological cooperation in the last quarter of the 2oth century, as well as a useful guide to policymakers, scholars and international negotiators dealing with these and related issues of international economic cooperation.
List of Contributors xv Acknowledgements xvii Preface xix Introduction xxiii Chronology of Main Events Related to the Origins and Aftermath of the Code Negotiations xxvii PART I: The Code Negotiations: Background and Main Issues The Rationale for Regulatory Action 3(14) UNCTAD Secretariat Introduction 3(3) Objectives and principles of the Code 6(1) The need for international regulatory action 7(1) The encouragement of unpackaged transfer 8(2) Improvement of access at fair and reasonable prices and costs 10(3) Effective performance of transfer arrangements 13(1) Ensuring the development of the technological capabilities of recipients 13(4) A Preliminary Evaluation of the Proposed Text 17(34) Countess Pease Jeffries Introduction 17(3) Present methods of transfer of technology: the source of conflict 20(5) Present methods of transfer of technology 21(1) Importance of present methods of transfer of technology to TNCs 22(2) Negative impact of present methods of transfer of technology on LDCs 24(1) Previous attempts to regulate transfer of technology: learning from experience 25(14) LDC legislation 27(6) Developed country legislation 33(3) Shortcomings of existing legislation 36(3) Regulation of transfer of technology by the Code: an evaluation 39(7) Method of evaluation of the Code 39(1) Regulation of prices and payments for technology 40(3) Elimination of restrictive business clauses 43(2) Requirements for appropriate technology 45(1) A modified approach for the Code: facing the obstacles 46(3) Conclusion 49(2) An Overview of the Draft Code 51(26) Dennis Thompson The Background 51(5) The first drafts 52(1) The method of negotiation 53(3) The Draft in its Latest Form in April 1981 56(18) The binding effect of the Code 56(2) The preamble 58(1) Definitions and scope of application 59(1) Objectives and principles 60(1) National regulation of transfer of technology transactions 60(2) Restrictive practices 62(1) Grant-back provisions 62(1) Challenges to validity 62(1) Exclusive dealing 63(1) Restrictions on research 63(1) Restrictions on use of personnel 63(1) Price-fixing 63(1) Restrictions on adaptations 63(1) Exclusive sales or representation agreements 63(1) Tying arrangements 63(1) Export restrictions 63(1) Patent pool or cross-licensing agreements and other arrangements 64(1) Restrictions on publicity 64(1) Payments and other obligations after expiration of industrial property rights 64(1) Restrictions after expiration of arrangement 64(1) Further proposals 64(1) Exceptions 65(1) The rule of reason 65(1) Commonly owned enterprises 66(1) Guarantees 67(1) The pre-contractual phase 67(1) The contractual phase 67(1) Special treatment for developing countries 68(1) International collaboration 69(1) International institutional machinery 69(1) Applicable law and the settlement of disputes 70(2) Position of the 77 72(1) Proposal of Group D 72(1) Proposal of Group B 72(1) The negotiations on this issue 73(1) Other provisions 74(1) The Future of the Negotiations 74(3) Antitrust at the United Nations: a Table of Two Codes 77(26) Debra L. Miller Joel Davidow Introduction 77(3) Origins and purposes of the Restrictive Business Practices and Transfer of Technology Codes 80(10) Genesis of the RBP Code 80(5) Genesis of the TOT Code 85(5) Diverging attitudes toward the relationship between patent and antitrust law 90(4) Success, failure and impact 94(7) Conclusion 101(2) Responsibilities and Obligations of Parties 103(12) Carlos M. Correa Introduction 103(1) Context of negotiations 103(1) Provisions on the negotiating and contractual phases 104(6) Negotiating phase 105(1) Responsiveness to developmental objectives 105(1) Business negotiating practices 106(1) Contractual phase 107(1) Guarantees 107(2) Dispute settlement 109(1) Liability 110(1) Impact of
Chapter 5 110(2) Transfer of technology in a new scenario 112(3) Applicable Law and Dispute Settlement 115(10) Gabriel Wilner Introduction 115(1) The current situation 116(1) The proposed texts of the regional groups of states 117(2) The effect of the legal character of the Code on provisions on applicable law and the settlement of disputes 119(1) Possible approaches to provisions on applicable law and dispute settlement 120(3) The difficulties in formulating conflict of laws standards for the Code 120(1) Suggestions for provisions on applicable law and settlement of disputes 121(1) Provision calling for the application of the Code of Conduct 121(1) Provision on a Code system of arbitration 122(1) Current draft as a compromise package 122(1) Postponing a decision on conflict of laws rule 123(1) Concluding comment 123(2) A Critique of the Code Provisions 125(14) James W. Skelton, Jr Introduction 125(1) Special preferences for developing countries 126(3) Legal character and effect of the Code 129(3) Objectives and principles 132(2) Core chapter on restrictive practices 134(2) Conclusion 136(3) The Status of the Negotiations: a 1990 Evaluation 139(12) UNCTAD Secretariat Introduction 139(3) Technological development and international technology transfer 142(2) Evolution of the negotiations on an International Code of Conduct on the Transfer of Technology 144(2) Relevance of recent developments to the negotiations on a Code of Conduct on the Transfer of Technology 146(5) Negotiations on an International Code of Conduct for the Transfer of Technology 151(28) Susan Sell Introduction 151(1) Origins of the demand for cooperation 152(5) The negotiations 157(4) The character of the Code 161(5) Definition and scope of application 161(1) Restrictive business practices 162(2) Applicable law and settlement of disputes 164(2) The conference sessions 166(2) Diplomatic outcomes 168(3) Aftermath: redefining interests 171(8) PART II: Historical Perspectives and Reflections From Santiago de Chile (1972) to the Dawn of the Third Millennium 179(14) Surendra J. Patel Introduction 179(1) Role of technology in accelerating development 179(4) Towards an International Code of Conduct on the Transfer of Technology 183(3) An uncertain future for the Code 186(2) Issues ahead at the dawn of the third millennium 188(3) Growing inequality between rich and poor 189(1) Spreading crisis 190(1) A few conclusions 191(2) The Pugwash Code 193(6) Geoffrey Oldham The Developing Countries Quest for a Code 199(10) Essam Eldin Galal Introduction 199(1) From declarations to actions 199(1) The Pugwash Code (1973-1974) 200(1) The Code negotiations 201(3) The checkmate 204(3) The final stages of the negotiating process 207(2) Stalemate in the Negotiations on Restrictive Practices 209(8) Joel Davidow Introduction 209(1) Origins and purposes 209(2) Progress and then stalemate 211(3) Missed chances for success 214(1) Aftermath and lessons learned 214(3) The Evolution of the Negotiating Context 217(6) Alvaro Alencar The African Experience 223(6) Felix Oragwu The Latin American Policies 229(8) Carlos B. Aguirre Introduction 229(1) Early efforts to define technology policies in Latin America and the Caribbean 230(2) The draft International Code of Conduct on the Transfer of Technology and its negotiation 232(3) Conclusion 235(2) The Role of Third Parties as Facilitators 237(10) Jean F. Freymond Introduction 237(1) A main role for Pugwash 237(2) Negotiation and informal dialogue 239(2) `To be or not to be 241(1) To end or not to end 242(1) Other lessons 242(2) The future has arrived 244(1) The past and the future join hands 244(3) Perception Gaps and Mistrust as Obstacles to Multilateral Solutions: Some Empirical Evidence 247(12) Tagi Sagafi-nejad Howard V. Perlmutter Introduction 247(1) The dialogue (quadrilogue) was muffled 247(6) The actors 249(1) Major issues 249(4) The survey 253(1) Results: Signs of misperception, mistrust and hope 253(3) Misperceptions in United States-China technology transfer agreements 256(1) Concluding comments 256(3) PART III: Emerging Trends and Negotiating Agendas Emerging Trends: New Patterns of Technology Transfer 259(22) Carlos Correa Introduction 259(1) Innovation and R&D activities 260(3) The industrialization process and changes in technology demand 263(3) The role of different modes of formal technology transfer 266(6) Trends in foreign direct investments 266(2) Foreign direct investment and licensing 268(2) Joint-ventures 270(1) New modalities 271(1) Product life-cycle and open economies 272(1) Appropriability of technology and technological protectionism 273(3) Bargaining power of technology recipients 276(3) Conclusions 279(2) The Code and Globalization--Contemporary Relevance 281(6) Julio Faundez A Changing Policy Landscape 287(8) Jean Touscoz Introduction 287(1) Trade-related investment measures (TRIMs) 288(1) The General Agreement on Trade in Services (GATS) 289(1) Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) 290(3) Conclusions 293(2) An Overview of Legislative Changes 295(18) Assad Omer Introduction 295(2) Salient changes in policies and legislation 297(9) Major changes in developed countries 297(1) Growing emphasis on competition laws 297(1) Closer interaction between competition laws and FDI 298(1) Treatment of restrictive practices 299(2) Overall changes in developing countries 301(1) Transfer of technology regulations 301(2) Intellectual property regimes 303(1) Treatment of restrictive practices 304(1) Foreign investment regimes 305(1) A metamorphosis in international initiatives 306(5) Initiatives at the bilateral level 306(1) Scientific cooperation agreements 306(1) Investment and IPR agreements 307(1) Initiatives at the regional and multilateral level 308(1) Andean Group 308(1) North American Free Trade Agreement (NAFTA) 309(1) Uruguay Round Agreements 309(2) Conclusions 311(2) Technology Transfer in the Global Environmental Agreements: a New Twist to the North-South Debate 313(8) Abdulqawi A. Yusuf Introduction 313(1) Differences in approach between the code negotiations and the environment conventions 314(2) `Improved terms and conditions versus financing arrangements 314(1) Reversal of roles: developed countries as `demandeurs in the environment conventions 315(1) The continued search for better terms and conditions of technology transfer by developing countries 316(1) New TOT mechanisms tailored to specific environmental concerns 317(2) Conclusion 319(2) The TRIPS Agreement and Development 321(30) S.K. Verma General 321(5) TRIPS Agreement 326(8) General principles 326(1) Enforcement of intellectual property rights 327(1) Dispute settlement 328(3) Patent regime under the TRIPS Agreement 331(1) Duration, coverage and criterion of patentability 331(1) Rights conferred on the patentee 332(1) Compulsory license 332(1) Burden of proof for process patents 333(1) Developing countries and the TRIPS Agreement 334(6) Pharmaceutical products 335(2) Patenting of biotechnological inventions 337(3) Transfer of technology and TRIPS 340(5) Proposed measures for the future 345(6) At the national level 346(2) At the regional level 348(1) At the international level 349(2) Global Competition and the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) 351(12) J. H. Reichman Introduction 351(2) Competitive role of the developing countries in an integrated world market 353(5) Present tensions and the prospects for a future equilibrium 358(5) Balancing interests at the local level 358(2) Towards a transnational pro-competitive equilibrium 360(3) Competition, Intellectual Property and Transfer of Technology 363(18) Hanns Ullrich Introduction 363(2) TRIPS and technology transfer 365(10) Antitrust rules of TRIPS 365(1) The reach of Article 8(2) and Article 40 365(1) The concepts underlying Article 8(2) and Article 40 366(4) Beyond TRIPS 370(1) The context of technology transfer 370(2) Relationship with WTO Antitrust Code 372(3) Some issues of substantive law related to technology transfer 375(4) Antitrust and information markets 375(3) Other issues of current interest 378(1) Conclusion 379(2) The Unfinished Agenda 381(72) Pedro Roffe Taffere Tesfachew Introduction 381(2) The reformist agenda of the 1970s 383(7) The international agenda of developing countries 385(1) The Paris Convention 386(2) An International Code of Conduct on the Transfer of Technology 388(2) The growing importance of knowledge to competitiveness 390(2) New issues on the global agenda 392(2) Intellectual property and the multilateral trade agenda 393(1) From the Code negotiations to the TRIPS Agreement 394(6) The compulsory licensing issue 395(1) Restrictive business practices 396(1) Know-how 397(1) Performance requirements 398(1) Transfer of technology to developing countries 398(2) Conclusion 400(2) Ideas towards a new agenda 402(5) PART IV: Annexes Annex I: The Pugwash Code 407(10) Annex II: The Draft Code of Conduct 417(20) Annex III: References and Selected Bibliography 437(16) Index 453