Cette thèse porte principalement sur les stratégies de licence des universités. Afin de comprendre l’impact social des stratégies de licences universitaires, nous examinons le lien entre le degré d’exclusivité des licences et les diverses caractéristiques des inventions sous licence. Les résultats théoriques et empiriques de nos recherches suggèrent que les pratiques des OTTs ne sont peut-être pas toujours optimales, ce qui laisse à penser que des améliorations pourraient encore être apportées. Lorsque les innovations sont séquentielles, les universités pourraient introduire des stratégies alternatives de licences open source. Nous élargissons notre étude en examinant les interactions dynamiques entre divers canaux formels et informels de transfert de connaissances. Notre analyse qualitative longitudinale suggère que l’interaction dynamique crée un effet cumulatif important vis-à-vis de l’activité de valorisation de la recherche, et renforce la dimension collective de la valorisation. / This thesis primarily focuses on university licensing. To understand the social impact of the university licensing strategies, we examine the link between the degree of exclusivity of licenses and the various characteristics of the licensed inventions. The theoretical and empirical findings of our research suggest that the practices of university technology transfer offices (TTOs) may not always be optimal, underlying the fact that there may still be room for the improvement. We also suggest that, when the innovations are sequential, universities might introduce alternative open source licensing (OSL) strategies. Furthermore, we expand our study by examining the dynamic interactions between various formal and informal channels of transfer. Our longitudinal qualitative methodology suggests that, dynamic interaction creates a strong cumulative effect with respect to the research valorization activity and reinforces the collective dimension of valorization.

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BEPS är ett projekt påkallat av G20 som bedrivs i OECD:s regi. Projektet syftar till att förhindra erosion av nationers skattebaser, på grund av upplägg där vinster genom koncerninterna transaktioner flyttas till länder med låg beskattning. Denna uppsats behandlar specifikt BEPS action 8, vilken rör interprissättning av immateriella tillgångar. Syftet med uppsatsen är att utreda om OECD:s rapport angående BEPS action 8 ger förutsättningarna för att uppfylla, de i rapporten angivna målen, samt vilka problem som kan påverka måluppfyllelsen. Målet med BEPS action 8 är att se till att internprissättning av immateriella tillgångar, inte används för att separera beskattningsbara inkomster från värdeskapande aktiviteter. Därmed fokuserar BEPS action 8 på att se till att utförande av funktioner, användande av tillgångar och risktagande kompenseras på ett korrekt sätt, då detta anses bidra till värdeskapande. Därmed ska BEPS action 8 se till att bolag inte kompenseras endast på grund av att de är den legala ägaren av immateriella tillgångar. Transaktioner innehållande immateriella tillgångar ska prissättas med den metod som ger det mest tillförlitliga priset. Vid sidan av de traditionella prissättningsmetoderna medger OECD i rapporten, användandet av alternativa prissättningsmetoder baserade på exempelvis ekonomiska beräkningar. Uppsatsförfattarna anser att det trots uttalade problem finns förutsättningar att uppnå uppsatta mål. Detta på grund av ökade möjligheter till vinstallokeringar baserade på bidragande till värdeskapande. Den kritik som uppsatsförfattarna presenterar baseras på en risk för en ökad börda och osäkerhet för koncerner då bedömningarna vad som krävs för att skapa värde, är subjektiv och även på grund av den osäkerhet som uppstår vid tillämpningen av alternativa prissättningsmetoder. / BEPS is an OECD project, initiated by G20. The purpose of the project is to prevent base erosion and profit shifting through tax structures where profits are shifted to low tax jurisdiction. More specifically this thesis addresses BEPS action 8 and its work on transfer pricing aspects of intangibles. The purpose of this thesis is to investigate if the prerequisites exist to achieve the stated goals within action 8 and also to investigate problems that can affect the achievements. The goals of OECD with action 8 are ensure that transfer pricing of intangibles is not used to separate taxable income from the value creation activities. To achieve this OECD wants to ensure that the performance of functions, the use of assets and risk-taking is compensated since this is deemed to create value. Therefore OECD sets out to ensure that companies are not compensated only because of the fact that they are the legal owner of an intangible asset. Transactions with intangible assets shall be priced with the transfer pricing method that results in the most reliable arm’s length price. In addition to the traditional transfer pricing methods OECD states that alternative methods can be used if they result in the most reliable arm’s length price. The authors of this thesis consider that prerequisites exist to achieve the stated goals within BEPS action 8. This is primarily based on increased possibilities to ensure that profit allocations are made based on value creation. The criticism that the authors presents is based on the risk of increased burdens and an increased insecurity for MNEs since the assessments regarding what MNEs need to create value is subjective. Criticism is also based on the insecurity that arises when the alternative transfer pricing methods are used.

Diss. Stockholm : Handelshögskolan, 2006 S. 5-11: introduction and summary, s. 15-99: 3 papers

Made available in DSpace on 2016-06-02T20:39:10Z (GMT). No. of bitstreams: 1 1938.pdf: 3986372 bytes, checksum: 48c2d4899bb71a816ebddf58562a54bf (MD5) Previous issue date: 2008-03-13 / Universidade Federal de Minas Gerais / The Research and Development (R&D) in ethnopharmacology and etnobiology fields, guided by the therapeutic information obtained with local communities and indigenous people, holders of traditional knowledge, produces social conflicts and social disputes. Firstly, it is a paradoxical scientific activity since the modern scientific discovery in ethnopharmacology is produced by a non-scientific knowledge. This controversial research strategy intends to produce a socially legitimized knowledge through a process of epistemic standardization. Secondly, although the use of traditional knowledge is a typical activity, to access it and to use it requires the signature of a contract for the equitable sharing of benefits as well as the signature of a term of prior consent access. These two juridical requirements are at the same time a new ethical parameter in scientific research and a barrier to the autonomy of the scientific field. Therefore, through the politic action scientists and researches seeks new social strategies to recovery the autonomy of the scientific field in ethnopharmacology and ethnobiology areas. Thus, this sociological research analyzes the internal conflicts between scientists in the scientific field through the examination of the social controversies in the use of two distinct research models, the vertical and the horizontal research models, as well as the examination of the external social disputes of the scientific activity, specially the politic action of scientists concerning to the autonomy question. In this research, the question of access, use and equitable sharing of benefits in R&D processes emerges as an interesting strategy used by scientists to legitimate the appropriation of the traditional knowledge. As non-knowledge, the traditional knowledge is transformed by the modern commercial science in generic information without significance. At the same time, this traditional generic information would be liable to be manipulated and appropriated by pharmaceutical multinationals trough the application of intellectual property rights. Finally, the appropriation of the traditional communities claim intends to legitimate socially the controversial scientific activity of ethnopharmacologists, ethnobiologists and pharmaceutical industries. / A pesquisa e desenvolvimento (P&D) nas áreas de etnofarmacologia e etnobiologia, guiada por informações terapêuticas levantadas junto as comunidades locais e indígenas, detentoras do conhecimento tradicional, acarreta uma série de disputas e conflitos sociais. Em primeiro lugar, trata-se de uma atividade científica paradoxal, pois a descoberta científica moderna é produzida a partir de um conhecimento nãocientífico. Esta controversa atividade de pesquisa busca um conhecimento socialmente legitimado através de um processo de padronização epistêmica. Em segundo lugar, embora o emprego de conhecimento tradicional seja uma atividade usual, acessá-lo e utilizá-lo requerem a assinatura de um contrato para a divisão justa e eqüitativa de benefícios e do termo de consentimento livre e esclarecido. Estes dois pré-requisitos jurídicos são, ao mesmo tempo, um novo parâmetro ético na pesquisa científica e uma barreira para a autonomia do campo científico. Neste universo, através da ação política, cientistas e pesquisadores buscam novas estratégias para recuperar a autonomia perdida do campo científico nas áreas de etnofarmacologia e etnobiologia. Assim, esta pesquisa sociológica analisa os conflitos internos entre cientistas no interior do campo científico através do exame das controvérsias sociais no uso de dois modelos distintos de pesquisa, o modelo vertical e o modelo horizontal de pesquisa, bem como examina as disputas sociais externas à atividade científica, especialmente a ação política de cientistas sobre a questão da autonomia. Nesta pesquisa, a questão do acesso, do uso e da repartição justa e eqüitativa de benefícios nos processos de P&D emerge como uma interessante estratégia utilizada por cientistas para legitimar a apropriação do conhecimento tradicional. Como um não-conhecimento, o conhecimento tradicional é transformado pela moderna ciência comercial em uma informação genérica sem significado. Ao mesmo tempo, esta informação tradicional genérica seria passível de ser manipulada e apropriada por multinacionais farmacêuticas através da aplicação de direitos de propriedade intelectual. Finalmente, a apropriação das reivindicações de comunidades tradicionais objetiva legitimar socialmente a controversa atividade científica de etnofarmacólogos, etnobiólogos e indústrias farmacêuticas.

Dans le Cloud, peu de travaux traitent de l’analyse de l’usage réel et dynamique des logiciels consommés afin de déterminer les coûts réels engendrés et le respect des droits acquis auprès des fournisseurs de ces ressources. L’émergence de la pratique du Software Asset Management (SAM) traduit pourtant la préoccupation grandissante des industriels et des ‘Telcos’ (Entreprises de télécommunications) face à la complexité des modèles de licences dans des environnements virtualisés qui bouleversent nos usages de logiciel.La réponse des éditeurs de logiciel est souvent une incitation à ne plus suivre la consommation de licences, par le biais de contrats onéreux de consommation illimitée, rendant impossible une politique de maîtrise des coûts. Pour les utilisateurs finaux comme pour les fournisseurs de services cloud, il devient impératif de maîtriser et d’optimiser le déploiement des licences dans le Cloud.L’objectif devient celui de maitriser les besoins logiciels, au plus proche du temps réel, puis de générer des scénarii d’optimisation basés sur l’évolution de la consommation en modélisant les coûts réels afférents. Cela représente un levier de gains considérables pour tous les acteurs du cycle de vie du logiciel.Le contexte d’étude couvre l’ensemble du scope du Cloud (applications, plateformes, infrastructures et réseaux). Les travaux présentés ici s’attache à reconstituer tout le cycle de vie du logiciel, de l’achat jusqu’à la désinstallation, en intégrant les contraintes liées à sa nature ou à son usage. Nous proposons de résoudre le verrou majeur de l’identification du logiciel et de ses droits d’usage par la création et le suivi d’un tag.Nous proposons également une modélisation innovante s’appuyant sur une base de données graphe qui permet d’intégrer l’instantanéité des changements de configuration, de prendre en compte les différentes responsabilités impliquées par les niveaux de services offerts, tout en offrant la souplesse nécessaire pour supporter à la fois des modèles de licence classiques, ou à l’usage.Deux cas d’usages seront envisagés pour juger de la pertinence des modèles proposés : la gestion des licences dans un contexte de Plateforme as a Service (PaaS) et dans un cas de virtualisation de réseau (NFV). / Bout Cloud, only few works deals with dynamic and real usage analyse of deployed software in order to determine the true related costs, and licensing compliance with acquired rights from the software editors.However, the emergence of Software Asset Management (SAM) shows the growing concerns of the industry and carriers facing the licensing model complexity especially in virtualized environments where the software usage is disrupted.Editor’s answer consists in proposing to stop following this consumption via very expensive illimited-usage contracts. It makes impossible implementation of true cost management policies. For final users like for cloud service providers, it is crucial to manage and optimize license deployment in cloud environments.The aim is first to control Software need, as close as possible to real time, then to generate optimization scenario based on consumption evolution by cost modelization.It represents a valuable saving leverage and may let spring up new licensing model, more profitable for each software lifecycle’s stakeholders.Usage context covers all scope of Cloud (application, infrastructure and network). Our works propose to rebuild the Software life-cycle, from procurement to deinstallation, encompassing the constraints of it nature and usages. We propose to solve software identification issue by creation and monitoring of tags.Additionally, we propose an innovative modeling based on a graph database which allows instant integration of configuration changes, to take into account the different level of responsibility induced by the different level of granted services. It offers enough flexibility to handle classical licensing models as use-based model which are often more attractive for cloud-users.Two use-cases will be developed to evaluate our models ‘efficiency : the software licensing management in PaaS (Plateform as a Service) context and in NFV environments (Network Function Virtualization).

Uma das características mais marcantes da propriedade intelectual é a tensão existente entre interesses público e privado. Na seara das patentes, essa tensão se torna ainda mais evidente quando o objeto da propriedade privada é essencial à consecução de objetivos sociais, como é o claro caso dos medicamentos. Concebida para fomentar a inovação, oferecendo um crescente número de soluções aos problemas enfrentados pela sociedade, a patente deve servir de incentivo à atividade inventiva. Isso ocorre por meio do período de exclusividade concedido ao inventor, durante o qual somente ele está autorizado a explorar comercialmente o produto de seus esforços. Quando se trata de bens essenciais à manutenção da vida dos indivíduos, entretanto, a análise se torna mais complexa. Preços monopolísticos podem impedir o acesso a determinadas drogas e inviabilizar políticas de saúde pública, por exemplo. É o custo social de um sistema de proteção fundado no monopólio de exploração. A ausência de incentivos, entretanto, leva à ausência de investimentos em produtos inovadores (veja-se o claro exemplo das doenças negligenciadas), o que, por sua vez, também gera um custo social. Existe equilíbrio possível a essa equação? Ao regular como o conhecimento é compartilhado, e ao estabelecer limites ao que se pode (e não se pode) fazer com os produtos desse conhecimento, a propriedade intelectual assume papel central no debate que busca compreender a relação entre direito e desenvolvimento. É buscando contribuir para essa reflexão que a presente tese foi concebida. Pretende-se demonstrar que quando se olha para o desenvolvimento de forma integrada, o progresso econômico por si só deixa de ser suficiente para atender às necessidades de crescimento das nações. Logo, as justificativas econômicas ao sistema de proteção patentário também deixam de ser suficientes para, por si só, atenderem aos anseios de desenvolvimento dos mais variados países. O trabalho encontra-se estruturado em quatro capítulos principais. O primeiro apresenta o ambiente internacional no qual se dá, majoritariamente, a produção normativa em matéria de propriedade intelectual; bem como a trajetória que moldou o atual quadro brasileiro em matéria de patentes e acesso a medicamentos. O segundo capítulo analisa as principais teorias que justificam o sistema de patentes, bem como aquelas que evidenciam suas fragilidades, além de discutir alternativas possíveis de fomento à inovação. O terceiro capítulo, por sua vez, estabelece o conceito de desenvolvimento que pauta a análise central proposta pela tese e o quarto e último capítulo traça um desenho da realidade da indústria farmacêutica no Brasil, no qual fica evidenciado que a produção de novos conhecimentos, passíveis de gerar inovação na área da saúde, é uma das grandes fragilidades nacionais. Sob a ótica de uma concepção integrada de desenvolvimento, conclui-se que a atual estrutura normativa patentária, por não oferecer alternativas ao monopólio como fomento à inovação, é mais prejudicial do que benéfica ao desenvolvimento do país, sendo necessário conceber modelos alternativos de proteção que possam coexistir com o modelo vigente. / One of the most noteworthy features of intellectual property rights is the existing tension between public and private interests. Particularly in the field of patents, such tension becomes even more evident when the object of private property is key to the achievement of social goals, as is the clear case of medicines. Conceived to foster innovation and offer society an ever-increasing number of solutions to everyday problems, patents must function as real incentives to creative activity. This is feasible because for a limited period of time, the inventor is the sole detainer of the commercial rights to explore his invention. When goods are, as in the case of drugs, essential to people\'s lives, the analysis becomes much more complex. Monopolistic prices may hinder access to certain drugs and, thus, make public health policies more difficult. Based on monopoly rights, this protection system has social costs. Lack of economic incentives, on the other hand, may lead to shortage of investments in innovative products (see the case of neglected diseases, for instance), which also generates social cost. Is it possible to strike balance to this equation? By regulating how knowledge is shared, and by establishing limits to what can and cannot be done to knowledge products, intellectual property rights take on a key role in the debate that seeks to understand the relationship between law and development. This dissertation aims at contributing to such discussion, by primarily demonstrating that when development is conceived in a holistic manner, economic progress in itself no longer suffices nations. Thus, the economic rationale used for the patent system also ceases to fulfill development goals in a significantly increasing number of countries. The dissertation is divided into four main parts. Chapter one portrays the international environment in which most intellectual property issues are regulated, as well as the historical and political routes that led to the current Brazilian legal framework of patents and access to medicines. Chapter two analyses the main legal and economic theories that justify the existence of the patent system, as well as those that evidence its shortcomings. It further presents and discusses existing alternative options that may encourage innovation in this area. Chapter three establishes the concept of development that is central to the dissertation\'s main analysis, while chapter four tells the story of pharmaceutical production in Brazil. The central line traced through the dissertation makes it then possible to demonstrate how national knowledge production that may lead to pharmaceutical innovations is one of the country\'s main limitations. The use of a holistic view of development leads to the conclusion that the current patent framework is, in fact, inadequate and produces more damage than benefits to the development of Brazil, to the extent that it does not offer alternative solutions to monopoly power. Different incentive models that can coexist with the current system are, in this sense, desiderata.

L’objectif de cette thèse est de proposer une réponse à la question: Est-ce que les politiques de renforcement des droits de propriété intellectuelle telles que les TRIPS peuvent être bénéfiques aux pays en développement et leurs perspectives de rattrapage économique.?Pour répondre à cette question, on s’intéresse à la dynamique technologique sous-jacente au processus de rattrapage économique. Le premier chapitre propose une revisite empirique et analytique du modele de “catching-up and falling behind” de Verspagen (1991) qui se focalise sur l’étude du rôle des dynamiques d’innovation et d’imitation dans le processus de rattrapage économique. On trouve que même si la dynamique d’innovation est importante pour le rattrapage, la dynamique d’imitation se révèle nécessaire pour s’assurer que les pays en développement puissent développer leurs capacités qui leur permettront de prospérer. L’efficacité de la dynamique d’imitation est conditionnée par les caractéristiques du pays qui détermine sa capacité d’apprentissage (“Learning Capability”).Le deuxième chapitre se concentre sur la compréhension du fonctionnement des transferts de technologie entre les pays développés et les pays en développement. On s’intéresse aux mécanismes derrières les deux canaux de transferts principaux, le commerce international et les IDE, qui sont les canaux les plus étudiés dans la littérature. On déduit de ce chapitre la richesse et la complexité de ces mécanismes.Dans le troisième chapitre, on développe un modèle à base d’agents (ABM) pour représenter ces interactions Nord-Sud et leur complexité, avec une approche évolutionniste. Le modèle de base permet en particulier l’étude du mécanisme de transfert par la mobilité (locale) des travailleurs, un canal très peu étudié dans la littérature. Ceci nous permet d’étudier l’impact que les IDE peuvent avoir sur le développement et le rattrapage. On trouve que si les IDE des pays développés vers les pays en développement peuvent, sous certaines conditions, encourager les transferts de technologie et permettre ainsi le rattrapage, il y a tout de même des effets négatifs potentiels sur les industries locales, en particulier dans les pays les plus en retard.Le dernier chapitre propose une extension du modèle qui introduit les brevets et nous permet ainsi de répondre à la question principale. On observe que si les brevets permettent d’inciter les firmes du Nord à diffuser leur technologie et facilité le rattrapage, ces firmes demanderaient un e parfaite application des lois sur la propriété intellectuelle, ce qui serait trop sévère sur les firmes locales car cela bloquerait les imitations et surtout entraverait les efforts d’innovation de ces firmes, tout en procurant un bénéfice limité pour les firmes du Nord. / The objective of this thesis is to propose an answer to the question: Can intellectual property rights policies such as TRIPS be beneficial for developing countries and their catching-up process?To answer this question, we first look at the technological dynamics behind the catching-up process. The first chapter thus provides an empirical and analytical update on the catching-up and falling behind model by Verspagen (1991), which focuses on studying the role of the innovation and imitation dynamics in the catching up process. Mainly, we find that while the innovation dynamic is important for the catching-up process, the imitation dynamic is necessary to ensure that countries build solid capabilities that will enable them to prosper. The efficiency of the imitation dynamics is dependent on policy factors that make up the learning capability of firms and ensure firms succeed assimilating knowledge.The second chapter focuses on understanding the way those technological transfers from developed to developing countries can occur, we focus on studying the mechanisms behind two main channels, that is international trade and FDIs, which represent the main form of North-South interactions studied in the literature. From this chapter we conclude that there is a rich diversity of complex mechanisms.In the third chapter, we thus build an agent-based model (ABM) to represent those North-South interactions and their complexities, with an evolutionary economics approach. The model allows us to study a particular mechanism: transfers through the local labour mobility, a channel seldom discussed in the literature. This allows us to study the impact FDI may have on development and catching-up outcomes. We find that while FDI from developed countries can, under the right conditions, encourage technological transfers and thus catching up, there are potential negative effects on local industries, in particular in countries largely behind.The final chapter proposes an extension of the model that introduces patents, in order to answer the main question. We find that while patents help motivate northern firms to disclose their technology and thus facilitate development, those firms would require a perfect level of enforcement that will be too harsh on local firms, block imitations and also severely hinder the southern firms’ innovative efforts, while generating limited gains for northern firms.

Magister Legum - LLM / Traditional Knowledge (TK) is the long standing wisdom, teachings and practices of indigenous communities which have been passed on orally, in the majority of cases, from generation to generation. TK is expressed in the form, medicine, agriculture, understanding of the ecology, music, dance, stories, folklore, poetry, spiritual, cultural and artistic expressions, and knowledge relating to bio-diversity. This thesis focuses on plant bio-diversity, as part of TK, and the problem of bio-piracy. We attempt a definition of TK; its characteristics; possible measures that can be taken to ensure its protection; and challenges that are likely to be faced in seeking to ensure its protection, first at the global level, then with particular attention to South Africa. Some of the suggested measures include the enactment of sui generis laws to protect plant biodiversity, rather that the adaptation of the existing IP regime. Some of the challenges include unwillingness of some countries to participate in international initiatives, like the US, which is not even a signatory of the CBD, and the difficulty of identifying the persons in whom ownership of the TK should be vested when it is possessed by many communities. This issue is a very sensitive one because there have been numerous cases of bio-piracy in developing countries perpetrated by corporations from industrialised countries. Some of the notable examples of bio-piracy include; The Neem tree from India whose products are used in medicine, toiletries and cosmetics; the Ayahuasca a vine used in India for religious and healing ceremonies; the Asian Turmeric plant used in cooking, cosmetics and medicine, the Hoodia Cactus plant in the Kalahari Desert of southern Africa used by the San people to stave off hunger. These instances have given rise to increased talks about the necessity of a law on the protection of TK relating to bio-diversity in general at the international, regional and national levels. The World Intellectual Property Organisation (WIPO) is working on enacting measures to ensure the protection and conservation of TK at the international level; in 2002 it created nine fact finding commissions on TK in general. These fact finding missions on TK innovation and creativity were undertaken with the intention of seeking possibilities of protecting the intellectual property rights of TK holders. In 2002, The WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore (IGC) was created to continue with this task. The 1993 Convention on Biodiversity (CBD) encourages States to enact measures to implement its provisions on the protection of knowledge, innovations and practices of indigenous and local communities. This trend in protection of TK relating to biological resources has been followed by the Nagoya Protocol of October 2010. The World Trade Organisation (WTO) also makes mention of protecting plant varieties. The research suggests that one could use both Intellectual Property Rights and Sui Generis measures to address and secure protection of TK, and provide compensation to holders for the use of the intellectual property. / South Africa