RESTRICTEDWORLD TRADE
ORGANIZATIONWT/WGTTT/W/1/Add.1
2 April 2002
(02-1698)
Working Group on Trade and Transfer of Technology
TRADE AND TRANSFER OF TECHNOLOGY
Bibliography
Addendum
The present bibliography has been prepared by the Secretariat under its own responsibility to
provide delegations with a sample of studies on the subject of trade and transfer of technology.  It
includes articles, books and working papers published between 1995 and 2002.  Material is included
in English, French and Spanish.
The bibliography is divided in six sections.  Following the structure of
document WT/WGTTT/W/1, the first section contains general issues on the topic of technology
transfer.  This includes theoretical studies on the creation and dissemination of technology;
redistributive effects of technology transfer;  general aggregate measures of technology transfer;theory and empirical evidence on the choice of entry mode in a market (trade, foreign direct
investment or partnership agreements).
Sections two to four look at the role of tr ade, foreign direct investment and partnership
agreements (namely, licencing, franchising and joint ventures) in the transfer of technology.  Section
five covers a number of case studies including country/enterprise experiences and examples of the
role of national governments/research institutions in technology transfer.  Finally, section six includesstudies on WTO rules that relate to technology transfer.WT/WGTTT/W/1/Add.1
Page 2
GENERAL ISSUES
Acs, Z.J. and Yeung, B. eds. (1999) ''Small and Medium-Sized Enterp rises in the Global Economy'' ,
Ann Arbor: University of Michigan Press.
Andolfatto, D. and Smith, E. ( 2001) ''Distributional Dynamics Following a Technological
Revolution'', Canadian Journal of Economics 34, 3: 739-759.
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Arocena, R. y  Sutz, J. (1999) "Mirando los Sistemas Nacionales de Innovación desde el Sur", mimeo.http://www.campus-oei.org/salactsi/sutzarcena.htm
Arvanitis, R. and Vonortas, N.S. (2000) ''Technology Transfer and Learning Through Strategic
Technical Alliances--International Experiences: Introduction to the Symposium'', Journal of
Technology Transfer 25, 1: 9-12.
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Baptista, R. (2001) ''Geographical Cl usters and Innovation Diffusion'', Technological Forecasting and
Social Change  66, 1: 31-46.
Barro, R. and Lee, J.W. (1993) ''International Comparisons of  Educational Attainment'', Journal of
Monetary Economics 32, 361-394.
Barton, J.H. (1997) ''The Economic and Legal Context of  Contemporary Technology Transfer'',
Buscaglia, E.; Ratliff, W.; Cooter, R. (eds.) The Law and Economics of Development. Economics of
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Berman, E. and Machin, S. (2000) ''Skill-Based Technology Transfer Around the World'', Oxford
Review of Economic Policy  16, 3: 12-22.
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Bernard, A.B. and Jones, C.I. (1996) ''Technology and Convergence'', Economic-Journal  106, 437:
1037-1044.
Bhagavan, M.R. ed. (1997) " New Generic Technologies in Developing Countries" , New York: St.
Martin's Press; London: Macmillan Press; in association with Swedish International DevelopmentCooperation Agency (Sida).
Bizec, R.F. Et  Daudet  Y.(1980) "Un Code de Conduite pour le Transfert de Technologie",
Economica , 217, Paris.
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Blanchard, O. (1997) ''Macroeconomics, Second Edition'' , New Jersey: Prentice-Hall.
Braconier, H. and Sjoholm, F. (1999) ''National and International Spillovers From R&D: Comparing a
Neoclassical and an Endogenous Growth Approach'', Review of Economics  134, 4: 638-663.
Buckley, P.J. (1997) ''International Technology Transfer by Small and Medium-Sized Enterprises'',
Small Business Economics  9, 1: 67-78.WT/WGTTT/W/1/Add.1
Page 3
Bugliarello, G. (1996) ''Technology Transfer: A Paradigm'', Bugliarello, G., et-al. (eds.) East-West
Technology Transfer:  New Perspectives and Human Resources . NATO Advanced Science Institutes
Series 4: Science and Technology Policy vol. 3. Dordrecht; Boston and London:  Kluwer Academic in
cooperation with NATO Scientific Affairs Division.
Bugliarello, G. et-al. (eds.) (1996) East-West Technology Transfer:  New Perspectives and Human
Resources , NATO Advanced Science Institutes Series 4: Science and Technology Policy, vol. 3.
Dordrecht; Boston and London: Kluwer Academic in cooperation with NATO Scientific Affairs
Division.
Butler, A. (1997) ''Product Cycles and Domestic Wage Inequality in Innovating Countries'', Canadian
Journal of Economics 30, 4: 1007-1026.
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Calvo, A. (1995) "La Transferencia Inapropiada de Tecnología y sus Efectos sobre el Trabajo", SerieInformes de Becarios No.4, Buenos Aires.
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Chaudhuri, S. (2002) ''Foreign Capital Inflow, Technology Transfer and National Income'', The
Pakistan Development Review  40, 1.
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Cheng, L.K. (2000) ''Technology Transfer, Foreign Direct Investment and International Trade'',
Econometric Society World Congress Contributed Papers No. 1777.
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Coe, D., Helpman, E. and Hoffmaister, A. (1997) ''North-South R&D Spillovers'', Economic Journal
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Comisión de Ciencia y Tecnología (2000) "Transferencia de Tecnología", Centro Argentino de
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Infrastructures Régionales d'Innovation et de Transfert de Technologie et sur des ProjetsTransrégionaux d'Innovation", Bruxelles.
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22&DOC=5&TBL=EN_
Communautés Européennes (2001) "Proposition de Décision du Parlement Européen et du Conseil
Relative à la Production et au Développement de Statistiques Communautaires de la Science et de la
Technologie",  COM(2001) 490 final, Bruxelles.http://dbs.cordis.lu/cordis-cgi/srchidadb?ACTION=D&SESSION=69792002-3-
22&DOC=15&CALLER
Communautés Européennes (2000) "Rapport d' Évaluation de la Commission Concernant le
Règlement d'Exemption par Catégorie 240/96 en Faveur du Transfert de Technologie Accords deTransfert de Technologie Relevant de l' article 81", COM(2001) 786 final, Bruxelles.
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22&DOC=17&CALLERWT/WGTTT/W/1/Add.1
Page 4
CORDIS (2001) "Une Étude de l'UE Nous Guide Vers une Innovation Fondée sur la Connaissance",
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CORDIS (1998) "Décision Nº 182/1999/CE du Parl ement Européen et du Conseil du 22 décembre
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CNUCED (2001) "Accords Internationaux pour le Tran sfert de la Technologie : Meilleures Pratiques
en Matière d'accès et Mesures Visant à Encourager le Transfert de Technologie en Vue de Renforcer
les Capacités dans les Pays en Développement , en Particulier dans les Pays Moins Avancés", Genève.http://www.unctad.org/fr/docs/c2em9d2.fr.pdf
Cunin, H. (1997) "L'Organisation de la Fonction d'Intermédiation Technologique. Le Rôle des
Acteurs Publics et Privés", Sciences Économiques, Université Paris 9, Paris.
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David, P. (1997) ''Rethinking Technology Transfers: Incentives, Institutions and Knowledge-BasedIndustrial Development'', Feinstein, C.; Howe, C. (eds.) Chinese Technology Transfer in the 1990s:
Current Experience, Historical Problems and International Perspectives . Cheltenham, U.K. and
Lyme, N.H.: Elgar.
de-Jong, W.A. (1996) ''Technology Transfer: A View  From a Market Economy'', Bugliarello, G., et-
al. (eds.) East-West Technology Transfer:  New Perspectives and Human Resources . NATO
Advanced Science Institutes Series 4: Science a nd Technology Policy vol. 3. Dordrecht; Boston and
London: Kluwer Academic in cooperation with NATO Scientific Affairs Division.
De Gregori, T.R. (1996) ''Technology Transfer, Economic Development, and the Perpetuation of
Poverty: Resource Creation Versus Frugality'', Adams, J.; Scaperlanda, A. (eds.) The Institutional
Economics of the International Economy . Boston; Dordrecht and London: Kluwer Academic.
Desdoigts, A. (2000) Neoclassical Convergence Versus Technological Catch-Up: A Contribution for
Reaching a Consensus , Berlin: Humboldt Universität zu Berlin.
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Di-Cataldo, V. (1996) ''A Necessary Evolution of  the Patent System: A Jurist's Suggestion for
Improving the International Transfer of  T echnology'', Bugliarello, G., et-al. (eds.) East-West
Technology Transfer:  New Perspectives and Human Resources . NATO Advanced Science Institutes
Series 4: Science and Technology Policy vol. 3. Dordrecht; Boston and London: Kluwer Academic in
cooperation with NATO Scientific Affairs Division.
Easterly, W. and Levine, R. (2001) ''It's Not Factor Accumulation: Stylised Facts and Growth
Models'', World Bank Economic Review , forthcoming.
Enos, J., Lall, S. and Yun, M. (1997) ''Transfer of  Technology: an Update'', Asian Pacific Economic
Literature  11, 1: 56-66.
Ethier, W.J. and Markusen, J.R. (1996) ''Multinational Firms, Technology Diffusion and Trade'',
Journal of International Economics  41, 1-2: 1-28.WT/WGTTT/W/1/Add.1
Page 5
Evangelista, R. et-al (1998) ''Measuring Innovation in European Industry'', International Journal of
the Economics of Business 5, 3: 311-333.
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Figini, P. and Gorg, H. (2000) ''Multinational Companies and Wage Inequality in the Host Country:the Case of  Ireland'', Review of World Economics  135, 4: 594-612.
Fosfuri, A. (2000) ''Patent Protection, Imitation and the Mode of  Technology Transfer'', International
Journal of Industrial Organization  18, 7: 1129-1149.
http://www.elsevier.com/homepage/sae/econbase/indor
Freeman, C. (1996) ''The Two-Edged Nature of  Technological Change: Employment andUnemployment'', Dutton, W.H. (ed.) Information and Communication Technologies:  Visions and
Realities . With  the assistance of Malcolm Peltu. Oxford and New York: Oxford University Press.
Giné, J  y  Prats, J. (2001) "¿Nuevas tecnologías para el Desarrollo Humano?", Revista Instituciones y
Desarrollo Nº 10, 237-249 . Institut Internacional de Governabilitat de Catalunya, Barcelona.
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Globerman, S., Kokko, A. and Sjöholm, F. (1996) '' Technology Sourcing in Swedish Mnes and Smes:
Evidence From Patent Data'', Economics and Finance Working Paper Series No. 125, Stockholm:
Stockholm School of Economics.http://swopec.hhs.se/hastef/papers/hastef0125.pdf
Grant, E.B. and Gregory, M.J. (1997) ''Adapting Manufacturing Processes for International Transfer'',
International Journal of Operations & Production Management 17, 9-10: 994-1008.
Griffith, R., Redding, S. and Van Reenen, J. (2000)  ''Mapping the Two Faces of  R&D: Productivity
Growth in a Panel of  OECD Industries'', IFS Working Papers No. W00/02, London: Institute for
Fiscal Studies.
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Griffith, R., Redding, S. and Van Reenen, J. (2001)  ''R&D and Absorptive Capacity: From Theory to
Data'', IFS Working Papers No. W01/03, London: Institute for Fiscal Studies.http://www.ifs.org.uk/workingpapers/wp0103.pdf
Hall, R. and Charles I.J. (1999) ''Why Do Some Countries Produce So Much More Output Per Worker
Than Others?'', Quarterly Journal of Economics  114, 83-116.
Hansen, S.O. and Wakonen, J. (1997) ''Technology Transfer, a Public Utility?'', Liiketaloudellinen-
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Heslop, L.A., McGregor, E. and Griffith, M. (20 01) ''Development of  a Technology Readiness
Assessment Measure: the Cloverleaf Model of  Technology Transfer'', Journal of Technology
Transfer 26, 4: 369-384.
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Ho, P. (1997) ''Technological Gap and Uneven A ccumulation in a Classical Production Model'',
Metroeconomica 48, 1: 81-106.WT/WGTTT/W/1/Add.1
Page 6
Holmes, P. (1997) ''EU Trade, Industry and Competition Policy: Market Access and Transnational
Issues of  Policy-Making for Technology Transfer'', Dyker,-David-A., (ed.) The Technology of
Transition:  Science and Technology Policies for Transition Countries . Budapest: Central European
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Howells, J. (1996) ''Tacit Knowledge, Innovation and Technology Transfer'', Technology Analysis and
Strategic Management  8, 2: 91-106.
Howitt, P. (2000) ''Endogenous Growth and Cross-Country Income Differences'', American Economic
Review  90, 4: 829-846.
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Husain, Z. and Sushil (1997) ''Strategic Management of  Technology - a Glimpse of Literature'',International Journal of Technology Management  14, 5: 539-578.
Jensen, O.W. and Scheraga, C.A. (1998) ''Transferring Technology: Costs and Benefits'', Technology
in Society  20, 1: 99-112.
Keller, W. (2001) ''Geographic Localization of International Technology Diffusion'', American
Economic Review , forthcoming.
Kim, L. (1999) ''Pros and Cons of  Internat ional Technology Transfer: A Developing Country's
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Kumar, N. (1997) ''Technology Generation and Technology Transfers in the World Economy: Recent
Trends and Implications for Developing Countries'', Institute for New Technologies Discussion Paper
No. 2, Maastricht: United Nations University.
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Kyem, P. (1999) ''Examining the Discourse About the Transfer of  Gis Technology to TraditionallyNon-Western Societies'', Social Science Computer Review  17, 1: 69-73.
Lane, J.P. (2000) ''Understanding Technology Transfer'', Assistive Technology  11, 1: 5-19.
Langford, J. (1997) ''Intellectual Property Rights: Technology Transfer and Resource Implications'',
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Langlois, A. (1980) "Les Nations Unies et le Transfert de Technologie", Economica , 222, Paris.
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Leamer, E.E. (1996) ''The Effects of  Trade in Services, Technology Transfer and Delocalisation on
Local and Global Income Inequality'', Asia Pacific Economic Review  2, 1: 44-60.
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Livas, P. and Vartholomeos, I. (1996) ''Impact of   Embodied Technology Transfer on the Price-Wage-
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Lopez-Eguilaz, M.J. and Perez, S. (1997) ''The Measurement of  Technology Transfer: Situation in
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Love, J.H. and Roper, S. (1999) ''The Determinants of  Innovation: R&D, Technology Transfer and
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