Der Erfolg von Innovationen ist unsicher. Wer Kapital in Innovationen investiert, möchte etwas über die Risiken wissen. Mit diesem Wissen können Fondsmanager von Venture-Capital-Gesellschaften ihre Investitionsentscheidung begründen und die Höhe ihrer Renditeforderung ermitteln. In der vorliegenden Arbeit wird untersucht, wie Patente über Investitionsrisiken von Venture-Capital-Beteiligungen informieren. Fondsmanager können die Patente der eigenen Portfoliounternehmen und die Patente der Wettbewerber nutzen, um systematisch Risiken in der Entwicklung ihrer Portfoliounternehmen zu erkennen und zu bewerten. Der Autor definiert und klassifiziert zunächst sowohl Patentdaten als auch Risiken. Er erklärt, wie die relevanten Informationen durch die Verknüpfung von Patentdaten, Risiken und Portfoliounternehmen entstehen und welche Rolle Indikatoren spielen. In der Hauptuntersuchung prüft er, durch welche Patentinformationen sich konkrete Gefahren erkennen lassen und welche Indikatoren sich zu diesem Zweck eignen. Für die Prüfung nutzt er in explorativer Weise die theoriebildende und empirische Literatur bisheriger Patentindikatorenforschung. Im Ergebnis zeigt sich, dass eine Reihe rechtlicher Risiken gut durch Patentinformationen erkennbar ist. Teilweise ist für ihre Bewertung jedoch nach wie vor qualitatives Fachwissen spezialisierter Patentanwälte unumgänglich. Risiken des technologischen Wandels lassen sich nach Meinung des Autors kaum durch Patentinformationen im Voraus erkennen. An einem Beispiel werden die theoretischen und methodischen Schwächen in der Literatur vorherrschender Technologielebenszyklusmodelle verdeutlicht. Wettbewerbsrisiken hingegen können mit Patentinformationen nicht nur gut erkannt werden, sondern die indizierenden Patendaten lassen sich auch statistisch gut erfassen, auswerten und direkt in Scoringmodelle übertragen. Abschließend hinterfragt der Autor kritisch die Zuverlässigkeit und Aussagekraft der Befunde durch grundlegende Klassifizierungsprobleme und gibt Anstöße für weiterführende Forschung auf dem Gebiet der Risiko- und Performancemessung von Venture-Capital-Investments. / The success of innovations is uncertain. People investing capital in innovations would like to know something about their risks. If fund managers of venture capital firms knew these risks, they would be able to justify their investment decisions and to determine the height of their claim for yield. In this thesis, the author examines how patents inform about investment risks of ven-ture capital participations. Fund managers can use those patents of their own portfo-lio companies and the patents of the competitors in order to recognize and evaluate risks systematically in the development of their ventures. First, the author defines and classifies both patent data and risks. He explains how the relevant information arises by linking patent data, risks and venture and he ex-plains the importance of indicators. In the main part of this thesis, he examines by which patent information concrete dangers could be recognized and which indicators are suitable to this purpose. For this examination, he uses theory grounding and em-pirical literature of past patent indicator research in an explorative way. It shows up that a couple of legal risks are well recognizable by patent information. However, in part, the qualitative knowledge of specialized patent lawyers is still needed. According to the author's opinion, risks of technological changes are hardly to recognize by patent information in advance. An example shows the theoretical and methodical weaknesses of the technology life cycle models, predominating in the lit-erature. However, competitive risks can be well recognized by patent information. Furthermore, the indicating patent data can be well seized statistically, evaluated and transferred directly in scoring models, too. Finally, the author discusses the reliability and explanatory power of the results using basic classification problems and gives hints for further research in the area of risk and performance measuring of venture capital investments.

Diversity of a country is often measured by the amount and spread of nationalities that live there. But also within a country, regions vary in their traditions and culture. Cultural homogeneity within communities is mixed up by (internal) migration, that, like international migration, increases diversity of a place. In a novel approach I therefore look at diversity in German municipality associations measured by different family names and investigate the effect it has on the number of generated patents. I show that cultural diversity and openness of a place affect its economic performance positively in terms of innovation also when referring to intra-country differences.

This cumulative dissertation is based on three distinct scientific papers which deal with various strategies of external knowledge sourcing. The first two papers investigate the impact of collaboration on innovation performance taking into consideration a portfolio of external partners (customers, suppliers and universities) at different stages (idea generation, R&D, design, testing and market launch) of the new product development (NPD) process. Both papers rely on representative data of German firms from a wide range of industries. It sticks out that performance effects of external collaborations are highly partner-specific. Moreover firms of different size and in different technological environments can reap the benefits of external collaborations at distinct stages of the NPD process. The third paper investigates the determinants of demand at marktes for technology (MfT). At MfT disembodied knowledge (i.e. especially patents and licences) is traded at a certain price. The paper uses data from 20 industries in 24 European countries and provides almost exclusive evidence for demand side factors that propel and contrain acquisitions at MfT.:I Acknowledgements II Tables III Figures IV Abbreviations 1. Introduction 1.1 Motivation and relevant strands of literature 1.2 Research questions and contribution of the dissertation 1.3 Abstracts of the research articles 1.3.1 Abstract chapter 2 1.3.2 Abstract chapter 3 1.3.3 Abstract chapter 4 1.4 Statement of co-authorship 2. Timing of external partnerships in low-tech and high-tech firms. When and with whom do collaborations pay off? 2.1 Introduction 2.2 Conceptual framework and hypothesis development 2.2.1 Customer collaboration 2.2.2 Supplier collaboration 2.2.3 University collaboration 2.3 Data and models 2.3.1 Database 2.3.2 Variables 2.3.3 Estimation model 2.4 Results 2.4.1 Descriptive statistics 2.4.2 Results from regression analysis 2.4.3 Robustness checks and extensions 2.5 Discussion and conclusion 2.5.1 General discussion 2.5.2 Managerial and policy implications 2.5.3 Limitations and concluding remarks References chapter 2 Appendices chapter 2 3. Alles F&E? Performanceeffekte phasenspezifischer externer Kooperation in KMU 3.1 Einleitung 3.2 Konzeptionelle Grundlagen 3.3 Theoretische Fundierung phasenspezifischer Effekte 3.3.1 Kooperation mit Kunden 3.3.2 Kooperation mit Lieferanten 3.3.3 Kooperation mit Universitäten 3.3.4 Zwischenfazit und Ableitung von Hypothesen 3.4 Daten und Operationalisierung 3.4.1 Datensatz 3.4.2 Abhängige Variable 3.4.3 Unabhängige Variablen 3.4.4 Kontrollvariablen 3.5 Empirische Strategie und Ergebnisse 3.5.1 Deskriptive Statistiken 3.5.2 Ergebnisse aus den Regressionsverfahren 3.5.3 Robustheitsprüfungen und Erweiterungen 3.6 Diskussion und Implikationen für Forschung und Praxis 3.6.1 Diskussion 3.6.2 Implikationen für die Praxis 3.6.3 Limitationen und zukünftige Forschungsfelder Literaturverzeichnis Kapitel 3 Anhang Kapitel 3 4. Markets for Technology in Europe – Mapping Demand and its Drivers 4.1 Introduction 4.2 Theoretical framework 4.2.1 The size of markets for technology 4.2.2 The nature of demand on markets for technology 4.3 Drivers of demand on markets for technology 4.3.1 Sectoral patterns of innovation 4.3.2 Technological leadership of industries 4.4 Data and Methods 4.4.1 Data 4.4.2 Variables 4.5 Results 4.5.1 Mapping markets for technology 4.5.2 Descriptive results 4.5.3 Regression results 4.5.4 Robustness checks 4.6 Discussion 4.7 Conclusion References chapter 4 5. Summary and concluding remarks 5.1 Contribution to empirical research 5.2 Limitations and future research directions 5.3 Implications for managers and policy makers 5.3.1 Implications for managers 5.3.2 Implications for policy makers Reference list Appendices / Die vorgelegte kumulative Dissertationsschrift umfasst drei unterschiedliche wissenschaftliche Aufsätze, welche sich mit unterschiedlichen Strategien der Beschaffung von unternehmensexternem Wissens befassen. Die beiden ersten Aufsätze untersuchen den Einfluss von Kooperationen mit verschiedenen externen Partnern (Kunden, Lieferanten und Universitäten) auf den Innovationserfolg von Unternehmen. Dazu wird die Kooperation mit den gewählten Partnergruppen in 5 Phasen des Neuproduktentwicklungsprozesses (NPD) (Ideenfindung, F&E, Design, Testen und Prüfen, Markteinführung) untersucht. Beide Aufsätze nutzen repräsentative Daten von deutschen Unternehmen, welche ein breites Spektrum an Branchen umfassen. Gemessene Performanceeffekte sind dabei hochgradig partnerspezifisch. Überdies profitieren Unternehmen je nach eigener Größe und technologischem Umfeld in unterschiedlichen Phasen des NPD-Prozesses von externen Kooperationen. Der dritte Aufsatz untersucht Determinanten der Nachfrage auf sogenannten Märkten für Technologie (MfT). Auf MfT wird unverkörpertes Wissen (insb. in Form von Patenten und Lizenzen) zu einem bestimmten Preis gehandelt. Die Studie beruht auf Daten aus 20 Branchen in 24 europäischen Ländern und liefert nahezu exklusive Evidenzen dafür, welche Faktoren die Nachfrage nach unverkörperter Technologie treiben und beschränken.:I Acknowledgements II Tables III Figures IV Abbreviations 1. Introduction 1.1 Motivation and relevant strands of literature 1.2 Research questions and contribution of the dissertation 1.3 Abstracts of the research articles 1.3.1 Abstract chapter 2 1.3.2 Abstract chapter 3 1.3.3 Abstract chapter 4 1.4 Statement of co-authorship 2. Timing of external partnerships in low-tech and high-tech firms. When and with whom do collaborations pay off? 2.1 Introduction 2.2 Conceptual framework and hypothesis development 2.2.1 Customer collaboration 2.2.2 Supplier collaboration 2.2.3 University collaboration 2.3 Data and models 2.3.1 Database 2.3.2 Variables 2.3.3 Estimation model 2.4 Results 2.4.1 Descriptive statistics 2.4.2 Results from regression analysis 2.4.3 Robustness checks and extensions 2.5 Discussion and conclusion 2.5.1 General discussion 2.5.2 Managerial and policy implications 2.5.3 Limitations and concluding remarks References chapter 2 Appendices chapter 2 3. Alles F&E? Performanceeffekte phasenspezifischer externer Kooperation in KMU 3.1 Einleitung 3.2 Konzeptionelle Grundlagen 3.3 Theoretische Fundierung phasenspezifischer Effekte 3.3.1 Kooperation mit Kunden 3.3.2 Kooperation mit Lieferanten 3.3.3 Kooperation mit Universitäten 3.3.4 Zwischenfazit und Ableitung von Hypothesen 3.4 Daten und Operationalisierung 3.4.1 Datensatz 3.4.2 Abhängige Variable 3.4.3 Unabhängige Variablen 3.4.4 Kontrollvariablen 3.5 Empirische Strategie und Ergebnisse 3.5.1 Deskriptive Statistiken 3.5.2 Ergebnisse aus den Regressionsverfahren 3.5.3 Robustheitsprüfungen und Erweiterungen 3.6 Diskussion und Implikationen für Forschung und Praxis 3.6.1 Diskussion 3.6.2 Implikationen für die Praxis 3.6.3 Limitationen und zukünftige Forschungsfelder Literaturverzeichnis Kapitel 3 Anhang Kapitel 3 4. Markets for Technology in Europe – Mapping Demand and its Drivers 4.1 Introduction 4.2 Theoretical framework 4.2.1 The size of markets for technology 4.2.2 The nature of demand on markets for technology 4.3 Drivers of demand on markets for technology 4.3.1 Sectoral patterns of innovation 4.3.2 Technological leadership of industries 4.4 Data and Methods 4.4.1 Data 4.4.2 Variables 4.5 Results 4.5.1 Mapping markets for technology 4.5.2 Descriptive results 4.5.3 Regression results 4.5.4 Robustness checks 4.6 Discussion 4.7 Conclusion References chapter 4 5. Summary and concluding remarks 5.1 Contribution to empirical research 5.2 Limitations and future research directions 5.3 Implications for managers and policy makers 5.3.1 Implications for managers 5.3.2 Implications for policy makers Reference list Appendices

The point of conflict between competition law and patent law is mainly on the objectives of these two policies. Whereas competition law encourages market pluralism, patent law promotes exclusive exploitation of patented-technology by patent holders. Despite this asymmetrical purposes both policies compliment each in promoting innovation, dissemination of technology, and developmentof a vibrant economy. The interface between these two should be treated cautiously since a preferential treatment of one over the other can have adverse consequences in the development of the economy. Admittedly competition law is very crucial in regulating anti-competitive conduct by cartels and monopolies that will affect the interests of the society. On the flip side, the enforcement of anti trust policies should not be overly applied to the extent of eroding the spirit of innovation and investment in beneficial technology. In the face of this aggressive global market, promotion of innovation and competition law are crucial in maintaining a competitive edge. Wherefore a balance must be struck!

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This dissertation consists of three essays in applied microeconomics on the economics of science. The first chapter contribute to the understanding of fairness and recognition in innovation systems. The second and third chapters study the effect of government policies and university relocation on science and education outcomes respectively. The first paper, coauthored with Zihao Li, studies gender difference in innovation recognition using patent citations. We propose a method to quantify under-citation, by constructing a “should-cite” list for each of over 1.5 million patents based on textual similarity, using state-of-the-art natural language processing technique. We find that female-authored patents are approximately 12% more likely to be under-cited than male-authored patents. Additionally, male inventors are far more likely to under-cite patents written by female inventors. Our findings are consistent with the testable implications of taste-based discrimination but not statistical discrimination. Welfare analysis shows that past under-citations negatively impact future patenting activities, especially for female inventors. The second paper, coauthored with Elliott Ash, Mirko Draca and David Cai studies the impact of a large-scale scientist recruitment program – China’s Junior Thousand Talents Plan – on the productivity of recruited scholars and their local peers in Chinese host universities. Using a comprehensive dataset of published scientific articles, we estimate effects on quantity and quality in a matched difference-in-differences framework. We observe neutral direct productivity effects for participants over a 6-year post-period: an initial drop is followed by a fully offsetting recovery. However, the program participants collaborate at higher rates with more junior China-based co-authors at their host institutions. Looking to peers in the hosting department, we observe positive and rising productivity impacts for peer scholars, equivalent to approximately 0.6 of a publication per peer scholar in the long run. Heterogeneity analysis and the absence of correlated resource effects point to the peer effect being rooted in a knowledge spillover mechanism. The third paper studies the long run effect on local education outcomes of the temporary exodus of Chinese universities in the Second Sino-Japanese War (1937-1945). During the war, over 80% of China’s universities, along with the top tiers of China’s educated talents were forced to relocate to inland underdeveloped areas during the war. We find that the large inflow of educated elite intellectuals and universities increased local supply of secondary schools by 6.6% during and after the war period, indicating the effect cascades to lower tiers of education. However, such trend does not persist into the People’s Republic of China (PRC) era and we find limited effect on local education outcomes in the long run. We discuss the salience of locational fundamentals and education policies in explaining the absence of persistence.

[ES] Las patentes son documentos legales que describen el funcionamiento exacto de una invención, otorgando el derecho de explotación económica a sus dueños a cambio de dar a conocer a la sociedad los detalles de funcionamiento de dicha invención. Para que una patente pueda ser concedida debe cumplir tres requisitos: ser novedad (no haber sido expuesto o publicado con anterioridad), cumplir la actividad inventiva y tener aplicación industrial. Es por ello que las patentes son documentos valiosos, ya que contienen una gran cantidad de información técnica no incluida antes en otro tipo de documento (publicado o disponible). Debido a las características particulares de las patentes, los recursos que éstas mencionan, así como los recursos que mencionan a las patentes, contienen enlaces que pueden ser útiles y dar apoyo a diversas aplicaciones (vigilancia tecnológica, desarrollo e innovación, Triple-Helix, etc.) al disponer de información complementaria, así como de la creación de herramientas y técnicas que permitan extraerlos y analizarlos. El método propuesto para alcanzar los objetivos que definen la tesis se encuentra divido en dos bloques complementarios: Patent Outlink y Patent Inlink, que juntos conforman la técnica de Patent Link Analysis. Para realizar el estudio se selecciona la Oficina de Patentes y Marcas de Estados Unidos (USPTO), recogiendo todas aquellas patentes concedidas entre los años 2008 y 2018 (ambos incluidos). Una vez extraída la información a analizar en cada bloque se cuenta con: 3.133.247 de patentes, 2.745.973 millones de enlaces contenidos en patentes, 2.297.366 millones de páginas web de patentes enlazadas, 17.001 paginas únicas web enlazando a patentes y 990.663 patentes únicas enlazadas desde documentos web. Los resultados del análisis de Patent Outlink muestran como tanto la cantidad de patentes que contienen enlaces (20%), como el número de enlaces contenido en patentes (mediana 4-5) es todavía bajo, pero ha crecido significativamente durante los últimos años y se puede esperar un mayor uso en el futuro. Existe una diferencia clara en el uso de enlaces entre áreas de conocimiento (42% pertenecen a Física, especialmente Computación y Cálculos), así como por secciones dentro de los documentos, explicando los resultados obtenidos y la proyección de análisis futuros. Los resultados del análisis de Patent Inlink identifica una cantidad considerable menor de dominios webs que enlazan a patentes (17.001 frente a 256.724), pero existen más enlaces por documento enlazante (el número de enlaces total es similar para ambos bloques de análisis). Así mismo, los datos muestran una elevada dispersión, con unos pocos dominios generando una gran cantidad de enlaces. Ambos bloques muestran la existencia de una alta relación con empresas y servicios tecnológicos, existiendo diferencias relativas a los enlaces a Universidades y Gobiernos (más enlaces en Outlink). Los resultados muestran que el modelo de análisis propuesto permite y facilita el descubrimiento y evaluación de recursos web de calidad. Así mismo, se concluye que la cibermetría, mediante el análisis de enlaces, aporta información de interés para el análisis de los recursos web de calidad a través de los enlaces contenidos y dirigidos a documentos de patentes. El método propuesto y validado permite de un modo eficiente, eficaz y replicable la extracción y análisis de los enlaces contenidos y dirigidos a documentos de patentes. Permitiendo, a su vez, definir, modelar y caracterizar el Patent Link Analysis como un subgénero del Link Analysis que puede ser utilizado para la construcción de sistemas de monitorización de link intelligence, de evaluación y/o de calidad entre otros, mediante el uso de los enlaces entrantes y salientes de documentos de patentes aplicable universidades, centros de investigación, así como empresas públicas y privadas. / [CA] Les patents són documents legals que descriuen el funcionament exacte d'una invenció, atorgant el dret d'explotació econòmica als seus amos a canvi de donar a conéixer a la societat els detalls de funcionament d'aquesta invenció. Perquè una patent puga ser concedida ha de complir tres requisits: ser novetat (no haver sigut exposat o publicat amb anterioritat), complir l'activitat inventiva i tindre aplicació industrial. És per això que les patents són documents valuosos, ja que contenen una gran quantitat d'informació tècnica no inclosa abans en un altre tipus de document (publicat o disponible). A causa de les característiques particulars de les patents, els recursos que aquestes esmenten, així com els recursos que esmenten les patents, contenen enllaços que poden ser útils i donar suport a diverses aplicacions (vigilància tecnològica, desenvolupament i innovació, Triple-Helix, etc.) en disposar d'informació complementària, així com de la creació d'eines i tècniques que permeten extraure'ls i analitzar-los. El mètode proposat per a aconseguir els objectius que defineixen la tesi es troba dividisc en dos blocs complementaris: Patent Outlink i Patent Inlink, que junts conformen la tècnica de Patent Link Analysis. Per a realitzar l'estudi es selecciona l'Oficina de Patents i Marques dels Estats Units (USPTO), recollint totes aquelles patents concedides entre els anys 2008 i 2018 (tots dos inclosos). Una vegada extreta la informació a analitzar en cada bloc es compta amb: 3.133.247 de patents, 2.745.973 milions d'enllaços continguts en patents, 2.297.366 milions de pàgines web de patents enllaçades, 17.001 pàgines úniques web enllaçant a patents i 990.663 patents úniques enllaçades des de documents web. Els resultats de l'anàlisi de Patent Outlink mostren com tant la quantitat de patents que contenen enllaços (20%), com el nombre d'enllaços contingut en patents (mitjana 4-5) és encara baix, però ha crescut significativament durant els últims anys i es pot esperar un major ús en el futur. Existeix una diferència clara en l'ús d'enllaços entre àrees de coneixement (42% pertanyen a Física, especialment Computació i Càlculs), així com per seccions dins dels documents, explicant els resultats obtinguts i la projecció d'anàlisis futures. Els resultats de l'anàlisi de Patent Inlink identifica una quantitat considerable menor de dominis webs que enllacen a patents (17.001 enfront de 256.724), però hi ha més enllaços per document enllaçant (el nombre d'enllaços total és similar per a tots dos blocs d'anàlisis). Així mateix, les dades mostren una elevada dispersió, amb uns pocs dominis generant una gran quantitat d'enllaços. Tots dos blocs mostren l'existència d'una alta relació amb empreses i serveis tecnològics, existint diferències relatives als enllaços a Universitats i Governs (més enllaços en Outlink). Finalment, es verifica que el model d'anàlisi proposat i facilita l'extracció i anàlisi dels enllaços continguts i dirigits a documents de patents, així com facilitar el descobriment i avaluació de recursos web de qualitat. A més, es conclou que la cibermetría, mitjançant l'anàlisi d'enllaços, aporta informació d'interés per a l'anàlisi dels recursos web de qualitat a través dels enllaços continguts i dirigits a documents de patents. El mètode proposat i validat permet definir, modelar i caracteritzar el Patent Link Analysis com un subgènere del Link Analysis que pot ser utilitzat per a la construcció de sistemes de monitoratge de link intelligence, d'avaluació i/o de qualitat entre altres, mitjançant l'ús dels enllaços entrants i sortints de documents de patents aplicable a universitats, centres d'investigació, així com empreses públiques i privades. / [EN] Patents are legal documents that describe the exact operation of an invention, granting the right of economic exploitation to its owners in exchange for describing the details of the operation of said invention. For a patent to be granted, it must meet three requirements: be novel (not have been previously exhibited or published), comply with the inventive step, and have industrial application. That is why patents are valuable documents, since they contain a large amount of technical information not previously included in another type of document (published or available). Due to the particular characteristics of patents, the resources that they mention, as well as the resources that mention patents, contain links that can be useful and give support to various applications (technological surveillance, development and innovation, Triple-Helix, etc.) by having complementary information, as well as the creation of tools and techniques that allow them to be extracted and analyzed. The proposed method to achieve the objectives that define the thesis is divided into two complementary blocks: Patent Outlink and Patent Inlink, which together make up the Patent Link Analysis technique. To carry out the study, the United States Patent and Trademark Office (USPTO) is selected, collecting all those patents granted between 2008 and 2018 (both included). Once the information to be analyzed has been extracted in each block, there are: 3,133,247 patents, 2,745,973 million links contained in patents, 2,297,366 million linked patent web pages, 17,001 unique web pages linking patents and 990,663 Unique patents linked from web documents. The results of the Patent Outlink analysis show that both the number of patents that contain links (20%) and the number of links contained in patents (median 4-5) is still low, but has grown significantly in recent years and you can expect more use in the future. There is a clear difference in the use of links between areas of knowledge (42% belong to Physics, especially Computing and Calculus), as well as by sections within the documents, explaining the results obtained and the projection of future analyzes. The results of the Patent Inlink analysis identify considerably fewer web domains that link to patents (17,001 vs. 256,724), but there are more links per linking document (the total number of links is similar for both analysis blocks). Likewise, the data shows a high dispersion, with a few domains generating a large number of links. Both blocks show the existence of a high relationship with companies and technological services, with differences related to links to Universities and Governments (more links in Outlink). Finally, it is verified that the proposed model allows in an efficient, effective and replicable way the extraction and analysis of the links contained and directed to patent documents, as well as facilitating the discovery and evaluation of quality web resources. In addition, it is concluded that cybermetrics, through the link analysis technique, provides information of interest for the analysis of quality web resources through the links contained and directed to patent documents. The proposed and validated method allows defining, modeling and characterizing Patent Link Analysis as a subgenre of Link Analysis that can be used for the construction of link intelligence monitoring, evaluation and / or quality systems, among others, through the use of the inbound and outbound links of applicable patent documents universities, research centers, as well as public and private companies. / La presente tesis doctoral ha sido financiada por el Gobierno de España mediante el contrato predoctoral para la formación de doctores FPI BES-2017-079741 otorgada por el Ministerio de Ciencia e Innovación. / Font Julián, CI. (2021). Descubrimiento y evaluación de recursos web de calidad mediante Patent Link Analysis [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/170640

The research performed throughout this dissertation aims at implementing quantitative methods in order to assess economic and technological performances of firms, i.e. it tries to assess the impacts of the determinants of technological activity on the results of this activity. For this purpose, a representative sample of the most important R&D firms in the world is constituted. The micro-economic nature of the analysis, as well as its international dimension are two main features of this research at the empirical level.<p><p>The second chapter illustrates the importance of R&D investments, patenting activities and other measures of technological activities performed by firms over the last 10 years.<p><p>The third chapter describes the main features as well as the construction of the database. The raw data sample consists of comparable detailed micro-level data on 2676 large manufacturing firms from several countries. These firms have reported important R&D expenditures over the period 1980-1994.<p><p>The fourth chapter explores the dynamic structure of the patent-R&D relationship by considering the number of patent applications as a function of present and lagged levels of R&D expenditures. R&D spillovers as well as technological and geographical opportunities are taken into account as additional determinants in order to explain patenting behaviours. The estimates are based on recently developed econometric techniques that deal with the discrete non-negative nature of the dependent patent variable as well as the simultaneity that can arise between the R&D decisions and patenting. The results show evidence of a rather contemporaneous impact of R&D activities on patenting. As far as R&D spillovers are concerned, these externalities have a significantly higher impact on patenting than own R&D. Furthermore, these effects appear to take more time, three years on average, to show up in patents.<p><p>The fifth chapter explores the contribution of own stock of R&D capital to productivity performance of firms. To this end the usual productivity residual methodology is implemented. The empirical section presents a first set of results which replicate the analysis of previous studies and tries to assess the robustness of the findings with regard to the above issues. Then, further results, based on different sub samples of the data set, investigate to what extent the R&D contribution on productivity differs across firms of different industries and geographic areas or between small and large firms and low and high-tech firms. The last section explores more carefully the simultaneity issue. On the whole, the estimates indicate that R&D has a positive impact on productivity performances. Yet, this contribution is far from being homogeneous across the different dimensions of data or according to the various assumptions retained in the productivity model.<p><p>The last empirical chapter goes deeper into the analysis of firms' productivity increases, by considering besides own R&D activities the impact of technological spillovers. The chapter begins by surveying the alternative ways proposed in the literature in order to asses the effect of R&D spillovers on productivity. The main findings reported by some studies at the micro level are then outlined. Then, the framework to formalize technological externalities and other technological determinants is exposed. This framework is based on a positioning of firms into a technological space using their patent distribution across technological fields. The question of whether the externalities generated by the technological and geographic neighbours are different on the recipient's productivity is also addressed by splitting the spillover variable into a local and national component. Then, alternative measures of technological proximity are examined. Some interesting observations emerge from the empirical results. First, the impact of spillovers on productivity increases is positive and much more important than the contribution of own R&D. Second, spillover effects are not the same according to whether they emanate from firms specialized in similar technological fields or firms more distant in the technological space. Finally, the magnitude and direction of these effects are radically different within and between the pillars of the Triad. While European firms do not appear to particularly benefit from both national and international sources of spillovers, US firms are mainly receptive to their national stock and Japanese firms take advantage from the international stock.<p> / Doctorat en sciences économiques, Orientation économie / info:eu-repo/semantics/nonPublished

This study engages in an ethical examination of contemporary socio-ecological and economic issues which takes seriously the plight of Africa, African communities, indigenous knowledge and biodiversity. It studies the impact of bioprospecting, biopiracy and intellectual property rights regimes on the protection, use, access to, and conservation of biodiversity and indigenous knowledge in Africa. The study also examines the ways in which northern multinational pharmaceutical and biotechnology companies and their agents prospect and convert African resources (biological commons and indigenous knowledge) into their intellectual property as well as private property. It argues that the transfer of African biological commons and indigenous knowledge is exacerbated by economic globalisation and the neo-colonial mentality of conquest concealed under the guise of commerce. The study demonstrates through concrete case studies the tactics used by northern multinational corporations to claim these resources as their intellectual property rights and private property. It observes that the privatisation of biological commons and indigenous knowledge only brings about nominal or no benefits to African communities who have nurtured and continue to nurture them. It also observes that this privatisation results in fewer benefits for biodiversity as they lead to the promotion of monoculture, i.e. commercialisation of all things. To address the injustice and exploitative implications of bioprospecting, biopiracy and intellectual property rights, the study recommends the adoption and implementation of the African model law, the establishment of defensive intellectual property rights mechanisms, and the strategy of resistance and advocacy. It suggests that these measures ought to be grounded on the African normative principle of botho and the Christian ethical principle of justice. / Systematic Theology and Theological Ethics / D.Th.(Theological Ethics)

What happens when resources get valuable and scarce? How is Intellectual Property dealing with market failures related to sub-patentable innovation or purely traditional knowledge with interesting applications? The protection of traditional knowledge and genetic resources (TKGR) has been one of the major modern challenges in international IP law. The entry into force of the Convention on Biological Diversity (CBD) and its implementation in national legislation has created more questions than the ones it answered. The objective of this dissertation is to assist in the evaluation of current national and regional implementation initiatives as well in the presentation and evaluation of different forms of entitlements that could be applicable in the case of TKGR. The dissertation has employed a theoretical framework for this evaluation, by combining the Coase Theorem and Rawls' theory of justice. The choice of these two theoretical models is not a random one. In order for the entitlement covering TKGR to be successful, it has to be efficient. It has to offer a stable and efficient marketplace where access to TKGR is possible without unnecessary frictions. However, efficiency could not be the only objective.  An entitlement focusing solely on efficiency would fall short of the needs and special considerations of TKGR trade. It would above all be counter to the objectives and major principles of the CBD, the “fair and equitable sharing of the benefits” and would certainly fail to address the very important North-South perspective.  Fairness is thus a necessary complement to the efficiency of the proposed entitlement. This dissertation proposes a thorough investigation of the special characteristics, of right-holders, subject-matter, market place as well as of the general expectations that an entitlement is supposed to fulfill. In parallel to that, it  looks into the meaning and scope of alternative entitlements in order to be able to propose the best alternative.