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.

Submitted by isabela.moljf@hotmail.com (isabela.moljf@hotmail.com) on 2016-08-10T15:46:21Z No. of bitstreams: 1 priscilamedeirosdeoliveira.pdf: 2669972 bytes, checksum: cd1944c2f0881d7eb8a64b9384814c4b (MD5) / Approved for entry into archive by Adriana Oliveira (adriana.oliveira@ufjf.edu.br) on 2016-08-15T13:03:55Z (GMT) No. of bitstreams: 1 priscilamedeirosdeoliveira.pdf: 2669972 bytes, checksum: cd1944c2f0881d7eb8a64b9384814c4b (MD5) / Made available in DSpace on 2016-08-15T13:03:55Z (GMT). No. of bitstreams: 1 priscilamedeirosdeoliveira.pdf: 2669972 bytes, checksum: cd1944c2f0881d7eb8a64b9384814c4b (MD5) Previous issue date: 2016-03-29 / FAPEMIG - Fundação de Amparo à Pesquisa do Estado de Minas Gerais / O trabalho se baseia na Função de Produção de Conhecimento (FPC) para investigar o papel das ligações entre inventores na produção tecnológica das microrregiões brasileiras, controlando-se tanto para outros insumos da invenção (com proxies para P&D industrial, universitário e grau de escolaridade de trabalhadores) quanto para características econômicas regionais, que são capazes de influenciar a criação de invenções. Para isso, utilizam-se, principalmente, informações fornecidas pelo Instituto Nacional de Propriedade Industrial (INPI) e pela Relação Anual de Informações Sociais (RAIS) que permitiram construir um uma base de dados longitudinal para as microrregiões brasileiras no período 2001-2011, que foram analisados por meio de técnicas econométricas baseadas em um painel espacial. Os principais resultados mostram que o número de ligações entre inventores (coinvenções) é positivamente associado à produção tecnológica regional. As ligações externas parecem não exercer influência sobre o desempenho tecnológico regional, o que pode indicar que a concentração do patenteamento privilegie as ligações internas, dado que estas são mais importantes que as ligações externas na geração de novo conhecimento para o Brasil. A densidade da rede apresentou-se prejudicial à atividade tecnológica. / Based on the Knowledge Production Function (KPF), this article is aimed at investigating the role of inventor links over technological production of Brazilian microregions, controlling for both other invention inputs (with proxies for manufacturing and academic R&D, and workers´schooling) and regional economic characteristics, which are able to influence the creation of inventions. To do so, we use a Brazilian patent database stemming from Brazilian Patent Office (INPI) and the Brazilian Labor Ministry (RAIS/MTE) in order to construct a spatial panel data model over the period 2000-2011. The database was analyzed by means of econometric techniques based on spatial panel data models. The main findings show that the amount of inventor links (coinventions) is positively associated to regional technological production, whereas the network density might be harmful to technological activity. External links do not seem to influence the regional technological performance, which may indicate that the concentration of patenting favors internal links, as these are more important than the external links to generate new knowledge for Brazil. The density of the network had to be detrimental to technological activity.

Bien que la créativité soit au cœur du processus d’innovation, peu d’attention a été accordée à la dimension individuelle dans l’analyse de l’activité d’innovation. L’objet de cette thèse est d’étudier le rôle des inventeurs individuels, particulièrement des inventeurs prolifiques, dans la construction des capacités dynamiques des firmes et dans la direction de spécialisation technologique des pays. L’analyse empirique qui sous tend ce travail fait référence aux systèmes d’innovation français et britannique et aux caractéristiques des inventeurs prolifiques de ces deux pays. Nous procédons en premier lieu à une étude statistique des principales caractéristiques des inventeurs français et britanniques. Celle-ci révèle une forte hétérogénéité des inventeurs qui ne se réduit pas à leur productivité en termes de brevets seulement mais se généralise à leur mobilité inter-firmes et à la densité de leur réseau de collaboration. Concernant les sources de cette hétérogénéité, du moins dans sa dimension relative à la production de brevets, notre travail, tout en confirmant les principaux résultats de la littérature sur les déterminants de la productivité des inventeurs, montre de plus que la diversification technologique et la cohérence de la base de connaissances des inventeurs sont parmi les facteurs qui expliquent la différence de productivité des inventeurs tant français que britanniques. Après avoir mis en évidence l’hétérogénéité de la dimension individuelle de l’activité d’innovation, nous étudions la relation entre cette dimension individuelle et le niveau firme et le niveau pays. Notre travail met en évidence, à cet égard, une influence significative de la présence d’inventeurs prolifiques sur la direction de spécialisation technologique des deux pays appréhendée à travers leurs avantages technologiques révélés sectoriels. Par ailleurs, les données de brevets tant de la France que de la Grande Bretagne font apparaitre une relation significative entre le degré de prolificité des inventeurs dans le champ technologique dominant d’une firme et la formation par cette dernière de capacités dynamiques lui permettant de faire face aux évolutions de son environnement technologique. Finalement, en établissant l’hétérogénéité des inventeurs individuels d’une part, et d’autre part, en mettant en évidence une articulation entre la dimension individuelle et les niveaux firmes et pays dans le processus d’innovation, notre travail fournit les éléments d’une représentation qui considère la dimension individuelle comme une composante constitutive des systèmes nationaux d’innovation. / Although creativity is at the heart of the innovation process, little attention has been paid to the individual dimension in the analysis of innovation activity. The purpose of this thesis is to study the role of individual inventors, particularly prolific inventors in building dynamic capabilities of firms and in the direction of technological specialization of countries. The empirical analysis that underlies this work refers to the French and British systems of innovation and to the characteristics of prolific inventors of these two countries. We perform, first, a statistical study of the main characteristics of French and British inventors. The study shows a strong heterogeneity of inventors. This heterogeneity cannot be reduced to their productivity in terms of patents but can be generalized to the inter-firm mobility of inventors and to the density of their collaboration network. Regarding the sources of this heterogeneity, in its dimension relative to the production of patents, our work, while confirming the main findings of the literature on the determinants of the productivity of inventors, shows that technological diversification and coherence of the knowledge base of inventors are also among the factors that explain the difference in the productivity of both French and British inventors. Having highlighted the heterogeneity of the individual dimension of innovation activity, we study the dependence between the individual dimension and the firm and country level of the innovation process. Our work demonstrates, in this regard, a significant effect of the presence of prolific inventors on the direction of technological specialization of both countries in terms of their sectorial revealed technological advantages. Furthermore, patent data of France and the UK reveal a strong relationship between the degree of prolificness in the dominant technological field of firms and their dynamic capabilities.Finally, by establishing the heterogeneity of individual inventors on the one hand and by highlighting a link between the individual dimension and firms and country levels in the innovative process on the other hand, our work provides some elements of a representation which considers individual dimension as a constitutive component of national innovation systems.

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.

La thèse vise à étudier l’impact des réseaux interpersonnels sur la capacité à innover (innovativeness) des inventeurs. Les contributions académiques soulignent qu’il existe une forte relation entre les réseaux interpersonnels et la coopération interindividuelle. Le comportement coopératif apparaît comme le meilleur moyen de mener à bien un projet innovant, un projet complexe. Nous énonçons donc l’hypothèse selon laquelle les collaborations répétées au sein d’un réseau d’inventeurs ont une influence sur leur innovativeness. Nous avons choisi d’étudier plus particulièrement la capacité à innover des inventeurs fortement productifs en mobilisant des données sur les co-inventeurs de brevets. Une étude empirique portant sur 1157 inventeurs prolifiques français qui ont obtenu 30477 brevets sur la période 1975-2002 a donc été menée. Les résultats de la régression logistique corroborent notre hypothèse et montrent un impact significatif des collaborations répétées sur la capacité à innover des inventeurs prolifiques. / This thesis aims at studying the impact of interpersonal networks on the innovativeness of inventors. The academic literature underlined the strong relation between interpersonal networks and interpersonal cooperation. The cooperative behaviour appears as the best way to success in an innovative project, a complex project. We make here the hypothesis according to which repeated collaborations in a network of inventors have an influence on their innovativeness. We chose to study more particularly the capacity to innovate of strongly productive inventors by mobilizing data on the co-inventors of patents. We run an empirical study concerning 1157 French prolific inventors who obtained 30477 patents over the period 1975-2002. The results of the logistic regression confirm our hypothesis and show a significant impact of repeated collaborations on the capacity of prolific inventors to innovate.

"August 2000" Includes bibliographical references (leaves 115-118) and index of inventors 1. Introduction, overview of years 1836-1886 -- 2. The Patent Act, no. 18, of 1859 -- 3. The Provisional Registration of Patents Act, no. 3, of 1875 -- 4. The Patent Act, no. 78, of 1877 -- 5. Numerical list of inventions