The work presented here is part of a wider research programme oriented around three specific questions. First, how do individual agents appropriate returns from innovation and how is this affected by the availability (or not) of intellectual property rights such as copyrights and patents? Second, how does this translate into the aggregate production of knowledge, once one takes account of the interaction between producers and the cumulative nature of the process of knowledge production? Finally, How can we incorporate this into an estimate of the welfare trade-off inherent in intellectual property rights (the basic prerequisite for formulating rational IP policy)? The dissertation contains theoretical work on each of these questions together with a brief introductory preamble and a review of the existing literature on the economics of knowledge.

Researchers, policy makers and practitioners alike have in recent years acknowledged a growing tendency towards opening up the innovation process by combining internal organizational assets with external actors’ resources. However, opening up the innovation process usually also entails revealing ideas, which may result in misappropriation. The purpose of this thesis is to investigate tensions related to the openness-appropriability relationship; this is done in three studies. The first study concerns a specific contextual factor that is likely to stress the openness-appropriability tensions: the location of external partners in innovation. The second study relates to the way managing openness-appropriability tensions affects performance, and the third study involves a theoretical discussion about the nature of the tensions occurring in the openness-appropriability relationship, i.e. paradoxical, dilemmatic, or dialectical. The first two studies apply quantitative methods, using survey data, while the third is a conceptual paper. The findings from the first study indicate that the use of different groups of appropriability mechanisms varies across various types of openness and that the location of external partners in innovation refines these linkages even more. The second study’s main takeaway is that the higher appropriability intensity, i.e. the extent to which appropriability mechanisms are put into practice, explains higher performance outcomes. The third study suggests that the tensions between openness and appropriability are more likely of paradoxical nature. From a theoretical perspective, findings indicate that paradoxical tensions between openness and appropriability may have a spatial dimension, and that these tensions should also be investigated in regards to performance. Managerial implications point out that opening up to innovation partners located abroad is likely to require more costly appropriability mechanisms. / <p>QC 20170126</p>

A aprovação da Estratégia Global e do Plano de Ação sobre Saúde Pública, Inovação e Propriedade Intelectual (GSPOA), no âmbito da Organização Mundial da Saúde (OMS), está baseada na percepção da necessidade de melhoria nas condições de acesso dos países em desenvolvimento a medicamentos e outros produtos que atendam às suas necessidades específicas de saúde pública. Para tanto, a GSPOA está dividida em 8 elementos principais, 25 subitens, distribuídos por 108 pontos de ação, que visam aumentar a eficácia na promoção da inovação dentro dos países, através do desenvolvimento institucional, investimento e coordenação de áreas relevantes para a inovação em saúde. Nesse contexto, o escopo da presente investigação doutoral consiste em perscrutar os desafios para a plena implementação da referida política internacional no Brasil. Trata-se de estudo de caso - enquanto método de investigação qualitativa - que tem sua aplicação quando o pesquisador busca uma compreensão extensiva e com mais objetividade e validade conceitual, do que propriamente estatística. Perquiriu-se, destarte, políticas públicas nacionais, observando racionalmente se promoveram alguma alteração efetiva no âmbito interno, relacionadas com a pesquisa e desenvolvimento e ao acesso a medicamentos seguros, eficazes, de qualidade, e, principalmente, a preços acessíveis. Partindo de uma perspectiva crítica, e marcos teóricos consagrados, buscou-se situar a GSPOA num contexto de saúde transnacional em uma era de globalização, e os desafios para implementar mais completamente um direito à saúde, que transcenda medicamentos e exigências individuais, e que promova a reconsideração da relação sistêmica entre pesquisa farmacêutica, interesse comercial e assistência à saúde pública. Observamos que, para o período de 2008-2015, houve um processo de recrudescimento das políticas de inovação na seara da saúde, bem como êxito na promoção de iniciativas relativas à identificação de lacunas, e na formulação de estratégias que priorizam explicitamente a pesquisa e desenvolvimento em doenças negligenciadas de maior incidência no país. No entanto, verificou-se que tais ferramentas ainda são insuficientes para a efetiva superação do hiato tecnológico, e do déficit público referente às importações de insumos para o setor saúde. Um dos principais desafios relacionados com a inovação em saúde seria justamente colocar o sistema universal de saúde em posição de centralidade no âmbito das políticas do Estado. Em suma, tem-se que tais desafios têm origem orçamentário-financeira, normativa e institucional. Orçamentário-financeira porque o subfinanciamento do SUS é histórico, impactando nas demandas de pesquisa e desenvolvimento na seara sanitária. Quanto ao aspecto normativo, contata-se que opções equivocadas, especialmente quando da promulgação da Lei de Propriedade Industrial (nº 9.279/1996), comprometem a instrumentalização de políticas progressistas para que a propriedade intelectual responda melhor às reais necessidades de saúde pública. Em relação ao marco institucional, constatou-se que o diálogo entre os órgãos da Administração Pública, envolvidos na seara do acesso a medicamentos, em suas mais diversas interfaces, tem sua ação prejudicada diante da sobreposição dos interesses econômicos frente à segurança sanitária. A superação de tais entraves, para a plena implementação da GSPOA no Brasil, é deveras imprescindível, numa ação positiva no contexto do direito social à saúde e ao acesso universal a medicamentos / The approval of the Global Strategy and Plan of Action on Public Health, Innovation and Intellectual Property (GSPOA) within the framework of the World Health Organization (WHO) is based on the perception of the need to improve the access conditions of developing countries to medicines and other products that meet your specific public health needs. To this end, GSPOA is divided into 8 main elements, 25 sub-items, distributed by 108 action points, aimed at increasing efficiency in promoting innovation within countries, through institutional development, investment and coordination of areas relevant to innovation in health. In this context, the scope of this doctoral research consists of examining the challenges for the full implementation of this international policy in Brazil. It is a case study - as a method of qualitative research - that has its application when the researcher seeks an extensive understanding and with more objectivity and conceptual validity, than properly statistical. National public policies have been sought, rationally observing whether they have promoted any effective changes at the internal level related to research and development and access to safe, effective, quality and, above all, affordable medicines. From a critical perspective, and with established theoretical frameworks, the aim was to situate the GSPOA in a transnational health context in an era of globalization, and the challenges to more fully implement a right to health, which transcends medicines and individual demands, and promotes the reconsideration of the systemic relationship between pharmaceutical research, commercial interest and public health assistance. We note that, for the period 2008-2015, there was a process of strengthening innovation policies in health, as well as successful initiatives to identify gaps, and the formulation of strategies that explicitly prioritize research and development in neglected diseases of greater incidence in the country. However, it was verified that such tools are still insufficient for the effective overcoming of the technological gap, and of the public deficit regarding imports of inputs for the health sector. One of the main challenges related to health innovation would be precisely to place the universal health system in a position of centrality within the scope of State policies. In summary, these challenges have a budgetary-financial, normative and institutional origin. Budgetary-financial because SUS underfunding is historical, impacting the demands of research and development in the sanitary seara. Regarding the normative aspect, it is suggested that misguided options, especially when promulgating the Industrial Property Law (No. 9.279 / 1996), compromise the use of progressive policies so that intellectual property responds better to the real needs of public health. In relation to the institutional framework, it was found that the dialogue between the Public Administration organs, involved in the area of access to medicines, in its most diverse interfaces, is affected by the overlapping of economic interests in relation to health security. The overcoming of such obstacles, for the full implementation of the GSPOA in Brazil, is indeed essential, in a positive action in the context of the social right to health and universal access to medicines