Universities around the world are increasingly engaging in activities of technology transfer, intensifying knowledge flows of academic-based research to firms. It is expected that these institutions play an active role in the development of the local economy. In fact, there was a sharp rise in patenting activities by universities over the last years. Moreover, universities have used different mechanisms to support university-industry technology transfer, as for example the implementation of regulatory frameworks and the creation of internal organizations aimed at facilitating interactions with firms. Although prior studies have comprehensively increased our understanding of the ways in which academic knowledge is disseminated, several important questions remain open. In this sense, the purpose of this dissertation is to investigate how university technologies are disseminated to firms, also examining the relationship between idiosyncratic attributes of universities, their regional context and university-industry technology transfer. The essays in this dissertation build on the knowledge spillover and technology transfer literatures, addressing different dimensions of the diffusion of academic knowledge. The dissertation consists of a general introduction, three essays, and a conclusion. The first essay relies on US patent databases, whereas the second and third use data in the context of Brazilian universities. Each essay, from a different perspective, explores dimensions that have not yet been addressed by prior literature. Investigating the dissemination patterns of technological knowledge embedded in university inventions is critical to understanding how and under circumstances scientific research disseminates and is deployed by firms. Along this line, this dissertation contributes to the field of innovation and technology management in several ways. / Universidades ao redor do mundo estão cada vez mais envolvidas em atividades de transferência de tecnologia, intensificando os fluxos de conhecimento da pesquisa acadêmica para empresas. Espera-se que essas instituições desempenhem um papel ativo no desenvolvimento da economia local. De fato, houve um crescimento significativo nas atividades de patenteamento por parte de universidades nos últimos anos. Além disso, as universidades têm utilizado diversos mecanismos para apoiar atividades de transferência de tecnologia, tais como a implementação de regulamentações e a criação de organizações internas destinadas a facilitar as interações com empresas. Embora estudos passados tenham ampliado de forma abrangente a nossa compreensão sobre a disseminação do conhecimento acadêmico, várias questões fundamentais permanecem em aberto. Desse modo, o objetivo desta tese é investigar como tecnologias acadêmicas são disseminadas para empresas, examinando também a relação entre atributos idiossincráticos das universidades, seu contexto regional e atividades de transferência de tecnologia. Os capítulos que seguem se baseiam nas literaturas de spillovers de conhecimento e transferência de tecnologia, abordando diferentes dimensões da difusão do conhecimento acadêmico. Esta tese consiste em uma introdução geral, três capítulos e uma conclusão. O primeiro capítulo baseia-se em dados de bases de patentes americanas, enquanto o segundo e terceiro usam dados no contexto de universidades brasileiras. Cada capítulo, de uma perspectiva diferente, explora dimensões que ainda não foram abordadas pela literatura. A investigação dos padrões de disseminação do conhecimento tecnológico embutido em invenções acadêmicas é fundamental para o entendimento de como e sob quais circunstâncias a pesquisa científica é disseminada e utilizada por empresas. Desse modo, esta tese contribui para o campo da inovação e gestão da tecnologia de diversas maneiras.

本研究主要是對上海的技術中介機構和資產評估事務所作初探性的研究，希望去實地瞭解目前中國大陸上海技術交易市場運作的狀況，及其技術鑑價相關機構。 　　在技術交易市場平台中有許多環節，本研究將著重於探討上海技術交易中介機構及其技術鑑價體系的運作情形，並瞭解其對於技術交易風險是否有機制去降低它；另一方面，也對其技術交易中的技術鑑價體系作深入的了解，包括其成立的背景、運作狀況及其使用之鑑價方法和程序為何。 　　訪談和資料收集後發現，中國大陸技術市場所扮演的角色主要為：溝通、評估、協調、組織。中國政府近年來大力推動技術交易、技術產權交易，配合各種優惠政策吸引技術、人才和資金，所以技術市場發展迅速蓬勃。評估的部分，技術鑑價為其資產評估的一部份，但是由於過去政治體制的影響，受限法令，流於形式，發展有限。主要技術成交價格由市場去決定。對於欲交易的技術的真實性與可靠性，有作初步的確認，但受限資源，並無法作深入的瞭解和把關，由欲購買技術者與技術賣方接觸詳談瞭解。 / In Mainland China, the government is promoting the “technology market” in order to push the technology into the market these years. The “technology market”, including STTE, Saviaq and technology transfer agent office, is a platform for technology transfer and exchange. This research surveys these intermediary organizations of technology transfer and exchange, and the technology evaluation organization in Shanghai. By visiting the STTE (Shanghai Technical Transfer Exchanger), Saviaq, Ke-Hua asset evaluation office and technology transfer agent office, this research wants to know how this platform work, and focuses on how they evaluate the technology and how these organizations work, the background of these organizations established and if the platform has the risk free prevent process in the dealing of technology transfer and exchange or not. 　　In Mainland China, the main function of “technology market” is offering an information platform of technology transfer and exchange. The Saviaq and STTE combine with many preferential treatment policies for pulling in the capital and the high educated people with the working experience in high technology industry. 　　The “technology market” in Mainland China is growing rapidly recently. This platform has four main functions: communication between the investors and the technology owner, evaluation of the technology, corresponding with the dealers, organizing and makes some activities to promote the technology transfer and exchange. 　　The technology evaluation is one part of capital evaluation. Because the political background of communism, the development of the capital evaluation industry is limited by the old government system and laws. The evaluation has no efficient for the dealer in the real market, it just a legal process of the technology transfer and exchange. The final price of the technology transfer and exchange is decided by the dealing. 　　About the evaluation and risk free prevent process of the technology transfer and exchange is not very sufficient. The “technology market” just does the simple identification of the reality of the technology because identifying the reality need profession and much manpower, but the resource is limited. The “technology market” is just a platform which offers the deal information to the members of their organization. The people can find the technology which they want to invest, and they can make detailed evaluation by themselves.

Around the world, knowledge and technology transfer have moved to the forefront of attention in economic, social and industrial policy. As the origins of future development increasingly derives from innovation, attention is paid more and more to non-traditional sources that have the potential to become the basis for creation of new businesses or the catalyser for the rejuvenation of old ones. Among those sources, we find university. These last years, academic patents have been one of the emerging phenomena witnessing the growing evolvement of university in the innovation process. The aim of this doctoral dissertation is to analyse the transfer of technology from university to industry through the analysis of patents. This work pursuits a threefold approach. First, it intends to analyse which characteristics determine the propensity of a university to get involved in technology transfer and more specifically to apply for a patent. Second, it disentangles the underlining value determinants of the patents to decode the value of academic patents and to identify the research processes that are leading to the most valuable inventions. Finally, it investigates the relevancy of academic patenting for innovation in general and wonders if on the long run, such practices could put innovation at risk. / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

The main purpose of this project is to develop new functionalities for the Solicitation Management System (SMS) to support the Office of Technology Transfer and Commercialization (OTTC), California State University San Bernardino (CSUSB) and the Center for the Commercialization of Advanced Technology (CCAT), San Diego State University (SDSU) for the 2008 solicitation, which opened on 28 Jan 2008. SMS is a system built to facilitate the processing of grant proposal solicitations. The SMS was first built in 2004 and was primarily used by the OTTC, CSUSB for its solicitation activities. The new version of the SMS is more user friendly, so that it is easier for users to use and comprehend. The purpose of this software is to aid the processing of a solicitation for organizations that conduct solicitations for grant proposals.

This economic history and examination of the rubber products manufacturing industry in Peninsular Malaysia contributes to the subject of resource-based industrialization in the field of development studies. The development of the industry is traced from the 1920s to 2005 when the Second Industrial Master Plan came to an end. The findings are that local interests control 80 per cent of the industry, with foreign direct investment in the remaining 20 per cent, either as subsidiary companies of overseas manufacturers or in joint ventures with Malaysian investors. The industry has a dualistic structure, with foreign-owned and joint venture companies typically being more heavily capitalized and employing a larger workforce than wholly Malaysian-owned companies. Foreign and joint venture enterprises are more likely to export a greater volume of production than local firms. Nevertheless, the industry as a whole has a strong export-orientation and Malaysian-based exporters sell into markets worldwide. A detailed examination of the industrial components production sector by means of a questionnaire indicates that Malaysian producers rely on the Malaysian Rubber Board for the transfer of manufacturing technology. Technology transfer in the foreign and joint venture sector is from parent companies and joint venture associates overseas. The conclusion is that the rubber manufacturing industry is vertically integrated with local production of natural rubber used as raw material to produce a range of goods for sale to domestic and international markets. The 80 per cent Malaysian component indicates a stable domestic industry ably supported by local technology resources.

In this study an attempt has been made to explore the role of technology transfer in the economic growth of Iraq, through the change in the technology itself for the period 1960-1978. For this purpose the economy was disaggregated into seven sectors. The experience of developed countries has shown that technical change is one of the most important factors of economic growth alongside, or even overshadowing, such factors as labour and capital. In the light of technology transfer, developing countries have the advantage of introducing high levels of advancement of knowledge which can be used to induce domestic technical change at later stages. Technical change is normally defined as a shift in the production function, and for this reason two forms of production function were estimated and tested, i. e. the constant elasticity of substitution and the Cobb-Douglas function. Also two specifications (constant and variable) were assigned to technical change. To validate the use of these, statistical tests were conducted to establish the optimum fit. Then the selected form was used to simulate output levels for comparison with actual figures. The techniques used for estimation are both linear and non-linear. Data used are time series in real terms of capital stock and output, as well as number of persons employed. Furthermore in order to judge the importance of technical change to the growth of output on aggregate and sectoral levels, as regards economic growth, comparisons were drawn with existing data from other developed and developing countries, including centrally planned economies.

L’électrification du Sénégal est intervenue assez tôt, en 1889, à Saint-Louis, au moment où les grandes villes européennes n’avaient pas fini de découvrir toutes les possibilités qu’offrait cette grande innovation énergétique. L’industrie de l’électricité est ainsi restée aux mains d’entrepreneurs métropolitains jusqu’à la fin des années 1970. Durant toute cette période, le personnel technique, en charge de son fonctionnement était essentiellement européen. C’est avec le processus de nationalisation du secteur, amorcé en fin 1972, qu’on a posé pour la première fois l’option de la « sénégalisation » des postes techniques, et ainsi du processus de transfert de technologie de l’énergie électrique vers le personnel local. Cette mission a été conduite par Électricité de France, en accord avec l’État du Sénégal. Il a néanmoins fallu presqu’un siècle, de 1889 à 1985, pour que le Sénégal s’approprie la technologie vers 1985. Cette thèse analyse à la fois l’introduction des techniques depuis la colonisation mais également la trajectoire de l’électrification du Sénégal et les outils du transfert de la technologie de l’énergie électrique. Elle évoque en outre la politique patrimoniale et l’enjeu du patrimoine industriel dans un pays non industriel comme le Sénégal. / The electrification of Senegal had already occurred in 1889, in Saint-Louis, at a time when the European cities had yet to discover all the possibilities that this great technological innovation comprised. The industry of electricity thus remained in the hands of metropolitan entrepreneurs until the end of the 1970s. During this period, the technical personnel in charge of its operating were essentially European. It is with the nationalization process launched in the seventies that, for the first time, the term “senegalisation” is coined; and, with it, the process of technology transfers to the local personnel. Electricity de France, in agreement with the State of Senegal, has conducted this task. It nevertheless took close to a century, from 1889 to 1985, for Senegal to fully seize the technology. This thesis analyzes the introduction of techniques since the colonization and both the path of electrification of Senegal, alongside the tools necessary to the transfer of the technology of electrical energy. It further mentions the patrimonial policy, and the stakes of the industrial heritage in a non-industrial country such as Senegal.

A proposta de criação de um modelo de difusão da inovação para institutos de pesquisa públicos no Brasil sugere que o inter-relacionamento de instituições de pesquisa e empresas pode ocorrer de maneira diferente da que vem sendo observada na prática. Os NITs são questionados como modelo único para gerir a política de inovação dos institutos de pesquisa para promover a transferência de tecnologia e interação com empresas. Com o objetivo de alavancar o desenvolvimento científico, por meio do aumento da quantidade gerada de produtos e serviços inovadores e do fluxo de conhecimento produzido e transferido para a sociedade, sugere-se que a estratégia de difusão da inovação para institutos de pesquisa pode ocorrer com maior eficiência da que ocorre atualmente. A compatibilização entre a produção, oferta e demanda do conhecimento científico por parte de institutos de pesquisa públicos no Brasil e empresas se dá pela multiplicidade de opções estratégias, como sugerida pela abordagem sistêmica, e com portfólio de modelos de negócios associados. Uma estrutura multicanais de distribuição pode contribuir com a eficiência da difusão da inovação por incorporar funções antes desenvolvidas por componentes da estrutura de canais nem sempre ágeis e/ou com competências específicas para gerir a inter-relação com empresas. Foi utilizada a grounded theory como metodologia que, para a categorização e posterior codificação axial, teve como base 63 fontes de dados, sendo 21 entrevistas e 42 palestras, resultado a criação de modelo teórico para difusão da inovação em institutos de pesquisa públicos no Brasil. / The proposed innovation diffusion model for public research institutes in Brazil suggests that the inter-relationship of research institutions and enterprises can occur differently from what has been observed in practice. More often than rare, one has been questioning NITs primacy on managing innovation policy research institutes to promote technology transfer and interaction with companies. Aiming to leverage the scientific development, by increasing the throughtput of innovative products and services and the flow of knowledge produced and transferred to the society, it is suggested that innovation diffusion strategy for research institutes can occur with higher efficiency than currently occurs. The compatibility between the production, supply and demand of scientific knowledge on the part of public research institutes and companies in Brazil is due to the multiplicity of possible strategies, as suggested by the systemic approach, portfolio and associated business models. A multichannel distribution structure can contribute to the efficiency of innovation diffusion by incorporating functions previously performed by components of channels not always agile and / or with specific skills to manage the relationship with companies. This study is based on the grounded theory as its methodology. For categorization and posterior axial coding purposes, it were used 63 data sources, being 21 interviews and 42 lectures, and as a result it was possible to elaborate a theoretical model for innovation diffusion for research institutes public in Brazil.

Submitted by Fabricia Fialho Reginato (fabriciar) on 2015-08-25T00:20:17Z No. of bitstreams: 1 ElisaThomas.pdf: 2569705 bytes, checksum: ecf5d45598c2ad9923b46e4cc9811fe4 (MD5) / Made available in DSpace on 2015-08-25T00:20:17Z (GMT). No. of bitstreams: 1 ElisaThomas.pdf: 2569705 bytes, checksum: ecf5d45598c2ad9923b46e4cc9811fe4 (MD5) Previous issue date: 2014-05 / CAPES - Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / It has long been stated in the literature the effects of collaboration to innovation, especially regarding research and development (R&D) activities. However, these are dynamic empirical fields. Therefore theoretical approaches face constant challenges to understand and explain the new evidences. Due to the limited scope and scale of organizations to search and identify partners with complementary knowledge and resources, and to select those with potential to effectively cooperate for R&D, there is an increasing emergence of agents who provide these services in the market. Called intermediaries or brokers, they influence the interaction among organizations with the common goal of innovation. Still, the literature has reported that the intermediary may play an important set of functions for R&D projects not limited to the search of partners. This thesis is therefore mainly concerned with the influence of innovation intermediaries in the context of collaborative R&D projects, suggesting a conceptual framework on the role of intermediaries. The framework emphasises that R&D collaboration goes beyond dyadic relationships usually highlighted in the literature. The roles of intermediaries provide an important additional dimension in collaborative R&D projects. The empirical part of the thesis explored three case studies: Force for Elastomers, from the Federal University of Rio Grande do Sul in Brazil; the Orange Service Call and Reward project undertaken by the National Endowment for Science, Technology and the Arts (NESTA) for Orange; and the StarStream project from the University of Southampton, both in the United Kingdom. The results confirmed the influence of innovation intermediaries in most of the critical elements of a R&D project. The study advances the understanding of the influence of intermediaries for the beginning of a new project between partners. The analyses also show that intermediaries influence especially through the search for possible partners and the management of the relationship. However, the activities of research and knowledge production as well as activities of development and prototyping were not directly influenced by intermediaries. The stage after R&D, when the partners had reached positive results from activities, received a major influence from intermediaries who helped the firms to protect the inventions and to value and commercialize the new technology. Research outcomes still reveal that there is still a lack of measurements about intermediaries’ effectiveness and therefore firms involved in partnerships cannot fully evaluate their role.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2017-02-22T11:41:39Z No. of bitstreams: 1 Vanessa Pirró.pdf: 955508 bytes, checksum: a457c27fe1145ca3a714f032c4b16611 (MD5) / Made available in DSpace on 2017-02-22T11:41:39Z (GMT). No. of bitstreams: 1 Vanessa Pirró.pdf: 955508 bytes, checksum: a457c27fe1145ca3a714f032c4b16611 (MD5) Previous issue date: 2017-02-15 / Know-how transaction is an important instrument for the dissemination of technical knowledge and strategic information, also operating as an important precedent for the generation of local innovations. This is a relatively recent subject which has not yet achieved institutional maturity in Brazil. Know-how does not have specific legal regulations, and a uniform definition of its concept is not verified. Given the peculiar characteristics of knowhow and its form of protection, the contracts that imply know-how transactions are complex, and must address essential clauses and other aspects that may have repercussions in its object. The purpose of this work is to discuss the importance of know-how transaction as a development tool as well as the specificities in contracts that deal with its transactions. In order to do so, we seek to approach the concept of know-how and related institutes, the elements that compose know-how, its legal nature and tutelage under Brazilian and international law. We also analyze the main elements of know-how contracts. A special chapter is dedicated to the specific regulation of know-how contracts by the Brazilian PTO (INPI), with an analysis of the historical context of its creation and the phases of its operation, addressing its present-day operation, which is still marked by an interfering position of the Institute / O fornecimento de know-how é importante meio para a difusão de conhecimentos técnicos e informações estratégicas, operando também como importante precedente para a geração de inovações locais. Trata-se de matéria relativamente recente, que ainda não alcançou uma maturidade institucional no Brasil. O know-how não possui regulamentação legal específica, não sendo verificada uma definição uniforme do seu conceito. Diante das características peculiares do know-how e da sua forma de proteção, os contratos que impliquem fornecimento de know-how se mostram complexos e devem endereçar cláusulas essenciais e demais aspectos que possam ter implicação no seu objeto. O objetivo desta obra é tratar da importância do fornecimento de know-how como instrumento de desenvolvimento, bem como das especificidades em contratos que tratem do seu fornecimento. Para tanto, procuramos abordar o conceito de know-how e institutos afins, os elementos que compõem o know-how, a sua natureza jurídica e tutela pelo direito brasileiro e internacional. Também analisamos os principais elementos dos contratos de know-how. É dedicado um capítulo especial à regulamentação específica de contratos de know-how pelo INPI, sendo apresentada ainda uma análise do contexto histórico da sua criação e das suas fases de atuação, incluindo a atuação nos dias atuais, a qual ainda é marcada por uma postura de ingerência do Instituto