O presente estudo tem por objetivo investigar o contexto de geração de patentes, obtidas em processos de cooperação entre universidade-empresa, visando identificar eventuais impactos da pesquisa tecnológica na produção científica dos inventores da Universidade de São Paulo (USP). Parte do pressuposto que a análise das inovações patenteadas, no âmbito das atividades de cooperação universidade-empresa (U-E), pode fornecer indícios sobre a emergência de um novo modelo de inovação e identificar impactos paralelos da produção tecnológica na produção científica abrindo caminhos para a identificação de novos critérios para avaliação dos impactos da relação produção científica-produção tecnológica. Caracteriza-se como pesquisa exploratória, de abordagem qualitativa, onde duas categorias principais de dados foram coletados: dados sobre a tecnologia reivindicada e dados sobre os autores/inventores, por meio de consulta aos arquivos da Agência USP de Inovação, através do banco de patentes do Instituto Nacional de Propriedade Industrial (INPI) e do banco de dados de currículos da Plataforma Lattes, mantida pelo Conselho Nacional de Pesquisas (CNPq). Foram identificados 36 pedidos de depósito de patente USP em co-titularidade com empresa, sendo a amostra constituída por 23 pedidos fora do período de sigilo, com a participação de 75 inventores e 24 empresas, além de 01 agência de fomento e 01 universidade que não a própria USP. As atividades entre U-E analisadas permitem concluir sobre a existência desse novo modelo, no qual a universidade é peça chave no processo de inovação. A participação das empresas advém de quatro principais contextos: Pesquisa Contratada, Pesquisa Tecnológica, Orientação Acadêmica, Consultoria. Conclui-se que a atividade inventiva tem impactos positivos sobre a produção científica, propiciando produções qualificadas para publicação em periódicos e impactos quantitativamente positivos no desenvolvimento das atividades acadêmicas dos docentes envolvidos, bem como na ampliação das atividades de formação de novos pesquisadores. / This study aims to investigate the generation context of patents obtained in the cooperation process between the university-industry, to identify potential impacts of technological research in the scientific production of the inventors of the University of São Paulo (USP). It assumes that the analysis of patented innovations within the activities of university-industry cooperation, may provide clues about the emergence of a new innovation model and identify parallel impacts of technological production in the scientific production opening ways for the identification of new criteria for evaluation the impacts relationship of scientific-technological production. It is characterized as exploratory, qualitative approach, where two main categories of data were collected: data on the claimed technology and data about the authors / inventors, by consulting the archives of the USP Innovation Agency, through the patent database National Institute of Industrial Property (INPI) and the database of resumes of the Lattes Platform, maintained by the National Research Council (CNPq). We identified 36 patent applications being filed in USP co-ownership with the company, and the sample consisted of 23 applications out of the secrecy period, with the participation of 22 companies and 75 inventors, and 01 development agency and 01 non-university their own USP. Activities between the university-industry analyzed to conclude on the existence of this new model, in which the university is a key part in the innovation process. The involvement of business comes from four main contexts: \"Contract Research\", \"Technology Research\", Academic Orientation, and Consultancy. It is concluded that the inventive activity has a positive impact on scientific output, providing qualified productions for publication in journals quantitatively and positive development impacts of the academic activities of the teachers involved, as well as expanding activities in the training of new researchers.

O presente estudo tem por objetivo investigar o contexto de geração de patentes, obtidas em processos de cooperação entre universidade-empresa, visando identificar eventuais impactos da pesquisa tecnológica na produção científica dos inventores da Universidade de São Paulo (USP). Parte do pressuposto que a análise das inovações patenteadas, no âmbito das atividades de cooperação universidade-empresa (U-E), pode fornecer indícios sobre a emergência de um novo modelo de inovação e identificar impactos paralelos da produção tecnológica na produção científica abrindo caminhos para a identificação de novos critérios para avaliação dos impactos da relação produção científica-produção tecnológica. Caracteriza-se como pesquisa exploratória, de abordagem qualitativa, onde duas categorias principais de dados foram coletados: dados sobre a tecnologia reivindicada e dados sobre os autores/inventores, por meio de consulta aos arquivos da Agência USP de Inovação, através do banco de patentes do Instituto Nacional de Propriedade Industrial (INPI) e do banco de dados de currículos da Plataforma Lattes, mantida pelo Conselho Nacional de Pesquisas (CNPq). Foram identificados 36 pedidos de depósito de patente USP em co-titularidade com empresa, sendo a amostra constituída por 23 pedidos fora do período de sigilo, com a participação de 75 inventores e 24 empresas, além de 01 agência de fomento e 01 universidade que não a própria USP. As atividades entre U-E analisadas permitem concluir sobre a existência desse novo modelo, no qual a universidade é peça chave no processo de inovação. A participação das empresas advém de quatro principais contextos: Pesquisa Contratada, Pesquisa Tecnológica, Orientação Acadêmica, Consultoria. Conclui-se que a atividade inventiva tem impactos positivos sobre a produção científica, propiciando produções qualificadas para publicação em periódicos e impactos quantitativamente positivos no desenvolvimento das atividades acadêmicas dos docentes envolvidos, bem como na ampliação das atividades de formação de novos pesquisadores. / This study aims to investigate the generation context of patents obtained in the cooperation process between the university-industry, to identify potential impacts of technological research in the scientific production of the inventors of the University of São Paulo (USP). It assumes that the analysis of patented innovations within the activities of university-industry cooperation, may provide clues about the emergence of a new innovation model and identify parallel impacts of technological production in the scientific production opening ways for the identification of new criteria for evaluation the impacts relationship of scientific-technological production. It is characterized as exploratory, qualitative approach, where two main categories of data were collected: data on the claimed technology and data about the authors / inventors, by consulting the archives of the USP Innovation Agency, through the patent database National Institute of Industrial Property (INPI) and the database of resumes of the Lattes Platform, maintained by the National Research Council (CNPq). We identified 36 patent applications being filed in USP co-ownership with the company, and the sample consisted of 23 applications out of the secrecy period, with the participation of 22 companies and 75 inventors, and 01 development agency and 01 non-university their own USP. Activities between the university-industry analyzed to conclude on the existence of this new model, in which the university is a key part in the innovation process. The involvement of business comes from four main contexts: \"Contract Research\", \"Technology Research\", Academic Orientation, and Consultancy. It is concluded that the inventive activity has a positive impact on scientific output, providing qualified productions for publication in journals quantitatively and positive development impacts of the academic activities of the teachers involved, as well as expanding activities in the training of new researchers.

Orientador: Léa Maria Leme Strini Velho / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Geociências / Made available in DSpace on 2018-08-18T04:51:57Z (GMT). No. of bitstreams: 1 Oliveira_RodrigoMaiade_D.pdf: 1209777 bytes, checksum: 22e3ba9fe6033b6a796502fcf6821316 (MD5) Previous issue date: 2011 / Resumo: O acesso da academia ao sistema de patentes remete ao início do século XX, quando algumas universidades dos EUA realizaram suas primeiras atividades de patenteamento. Entretanto, a observação desse processo como objeto de análise é bem mais recente e a grande maioria das pesquisas realizadas sobre o tema tem se concentrado em avaliar os aspectos institucionais das universidades e empresas, sendo raros os estudos sobre os inventores acadêmicos. A partir desse contexto, este trabalho tem o objetivo geral de ampliar a compreensão a respeito das atividades de proteção e comercialização dos resultados das pesquisas acadêmicas. Mais especificamente, a tese busca identificar se o processo de proteção e comercialização dos resultados da pesquisa conduzida pela universidade pública brasileira gera impactos sobre as tradicionais atividades acadêmicas. Nesse sentido, são discutidas as transformações internas vividas pela universidade, identificando os argumentos que ajudam a entender os eventuais impactos do processo de proteção e comercialização dos resultados da pesquisa conduzida pela universidade. A partir de dados coletados na base de patentes do Instituto Nacional da Propriedade Industrial (INPI) e junto aos Núcleos de Inovação Tecnológica (NITs) verificou-se que enquanto a atividade de patenteamento acadêmico no Brasil era praticamente inexistente antes de 1980, no período mais recente, entre 2002 e 2007, houve um crescimento expressivo, alcançando em 2007 níveis próximos de 350 depósitos de patentes acadêmicas. A tese se aprofunda nos casos das universidades públicas paulistas e amplia a perspectiva de estudo introduzindo uma análise sobre o perfil dos inventores enquanto agentes ativos do processo de patenteamento acadêmico. O trabalho se completa com uma pesquisa qualitativa que, conduzida por meio de entrevistas realizadas com 14 inventores das universidades públicas paulistas, identifica as principais motivações, expectativas e percepções desses inventores associadas às atividades de patenteamento e comercialização dos resultados da pesquisa acadêmica. Os principais resultados mostram que o maior envolvimento dos pesquisadores brasileiros com o mundo das patentes ocorre a partir da década de 90, e mais pronunciadamente a partir do ano 2000, na condição de pesquisadores formalmente contratados pelas suas instituições acadêmicas. Na avaliação dos pesquisadores entrevistados, o envolvimento com o processo de patenteamento e comercialização da pesquisa acadêmica deve ser considerado como uma experiência claramente positiva, com contribuições significativas para o nível de aprendizado dos próprios pesquisadores e de seus alunos / Abstract: Access from the academy to the patent system dates back to the beginning of the twentieth century when some universities in the USA took out their first patents. However, observing this process as a means of analysis is much more recent and most research carried out on this subject has focused on evaluating institutional aspects of universities and companies. Moreover, there is a lack of literature concerning academic inventors. Taking this into account, the main aim of this work is to broaden the understanding related to protection and commercialization activities based on results from academic research. More specifically, this thesis attempts to identify if the protection and commercialization process from the results of research conducted by Brazilian state universities has an impact on traditional academic activities. Considering this, internal transformations experienced by universities are discussed, identifying the arguments which help to understand the possible impacts of the protection and commercialization process taken from results of research conducted at universities. Based on data collected from the patent base at the National Institute of Industrial Property (INPI) and the Technology Transfer Office (TTO), it can be observed that while academic patenting in Brazil was practically non-existent before 1980, from 2002 to 2007 there was a significant increase, reaching 350 academic patents in 2007. The thesis describes case studies in-depth at state universities in the State of São Paulo and provides a broad perspective of the study introducing an analysis on the profile of the inventors as active members of the academic patent process. The work concludes with qualitative research conducted using interviews with 14 inventors from state universities in the State of São Paulo. The study identifies the main motivations, expectations and observations of these inventors associated to patenting and commercialization based on results from the academic research. The main results show that most Brazilian researchers were engaged in patenting from the 1990s, and more significantly from 2000, when researchers were formally contracted by the academic institutions. After having evaluated the interviewed researchers, it could be observed that the involvement with the patenting and commercialization process of academic research should be considered as a clearly positive experience. Furthermore, there are significant contributions in terms of the learning process from the researchers and their students themselves / Doutorado / Politica Cientifica e Tecnologica / Doutor em Política Científica e Tecnológica

The share of patents held by the universities reflects the strength of technological research of any nation. Despite legislative encouragement provided in most countries for universities to patent their research, academic patents form only a small volume of patents filed in any country. Universities do not seem to patent most of their research. This situation is exacerbated in the case of India, where only 0.7% of the patents during the period 2003 – 05 were owned by the universities. This concern led to the current study of probing the patenting behaviour of faculty. From extant literature, we found that most of the research in academic patenting was either at university level or national level and the conclusions were based on econometric analyses of secondary data. A major limitation of those studies was that, they assume individual characteristics as constant. The contribution of this study is to relax the above mentioned assumption and focus on studying the impact of individual characteristics of faculty on their patenting behavior. The thesis has three main objectives, namely a. To develop a model of academic patenting behavior with academic inventors as the focus. b. To deduce individual characteristics that distinguishes an academic patentee from an academic non patentee. c. To provide insightful suggestions to administrators at universities for intellectual property management policies and practices, along with talent management practices to enable patenting behavior. We modeled patenting behavior at the individual level as being influenced by demographic variables such as designation, prior industrial experience and behavioral variables, namely, attitudes towards patenting, situational awareness of support for patenting, personality traits like resilience and creative personality traits and motives like monetary, fame and prosocial motives. Initially, eight academic patentees were interviewed to arrive at individual characteristics requiring study. We combined the behavioral characteristics derived from the content analysis of the initial study with our insights from the gaps in the existing literature and designed a questionnaire. The questionnaire aimed at measuring seven behavioral variables along with collecting information on demographic details. The seven behavioral variables included in our study are creative personality traits, resilience, attitudes towards patenting, situational awareness of support for patenting, monetary motives, fame motives and prosocial motives. The main study was conducted using survey research design. We contacted 1200 faculty from Indian Institute of Science, Indian Institute of Technology Delhi, Indian Institute of Technology Bombay, Indian Institute of Technology Kanpur, Indian Institute of Technology Madras and Indian Institute of Technology Kharagpur initially through e-mail and later in person. We used data provided by a sample of 249 faculty members for the analyses. In the sample, 115 are academic-patentees and 134 are academic-non-patentees. We attempted to determine individual characteristics that distinguish an academic-patentee from an academic-non-patentee. The results from our study indicated that in academic patentees there was a statistically significant correlation between prosocial motive and situational awareness of support patenting. While in the case of academic non patentees, there was a significant correlation between fame motive and monetary motive. Using t-test, we were able to conclude that academic patentees differed significantly (p < 0.01) from academic non patentees in their attitude towards patenting and in their situational awareness of support for patenting. We found that both the academic patentees and academic non patentees were high in resilience and did not differ from each other significantly. When we looked into differences in motives we found that academic patentees differed significantly (p < 0.01) in their prosocial and monetary motives. Both the groups were high on fame motives and did not differ significantly from each other. Based on results of chi-square tests of the 28 creative personality traits, we could conclude that academic patentees differed significantly from academic non patentees (p < 0.01) in describing themselves as unconventional and inventive. We found that our model of patenting behavior that included demographic variables like age and prior industrial experience along with behavioral variables like attitudes towards patenting, situational awareness of support for patenting and being unconventional explained maximum variance (Nagelkerke R2 = 0.48). We were able to classify 78% of the sample correctly into academic patentees and academic non patentees. The Wald criterion demonstrated that all the predictors made significant contribution to prediction. We were able to establish the importance of predictors in determining patenting behavior. We found designation as the most important predictor among those included in our study. Other things being equal, the odds of a Professor or an Associate Professor being a patentee was 5.6 times more than those of an Assistant Professor. We found the creative personality trait “unconventional” as the second most important predictor. The odds of faculty who describe themselves as “unconventional”, being a patentee was 4.5 times more than those who do not describe themselves as unconventional. The third important predictor was prior industrial experience (odds ratio: 1.9), the fourth and the fifth being situational awareness of support for patenting (odds ratio: 1.3) and attitudes towards patenting (odds ratio: 1.2), respectively. Thus to conclude, we found that both demographic and behavioral factors influence the patenting behavior. Our revised model of academic patenting indicates that two types of advantages have positive influence on academic patenting behavior at the individual level. We named them as experience advantage and psychological advantage. Experience advantage is gained as a result of increased academic experience and increased industrial experience. The psychological advantage results when an academic inventor, as an individual is “unconventional”, has positive attitude towards patenting and is aware about support available for patenting to a large extent. Based on our research, we suggest intellectual property management practices and talent management practices that are likely to increase the patenting behavior of academic inventors. Attitude towards patenting can be improved by making patenting experience more positive and by providing more assistance for patenting through the Intellectual Property Cell / Technology Transfer Office. Increasing awareness of support for patenting can be promoted by making available information on government funding agencies and industrial partners who would support in patent filing and in commercializing patents. Such information not only prevents the pile up of unutilized academic patents but also encourages the faculty to continue to engage in patenting behavior. Academic patenting behavior can also be facilitated through promoting organizational culture that encourages their members to be “unconventional”. The limitations of the study and suggested future research are also described in the thesis.