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[pt] Esta tese é composta por três capítulos que enfocam o crescimento da China como um experimento quasi-natural de forma a avaliar os efeitos de choques de comércio exterior sobre a economia política da política comercial e sobre a dinâmica do mercado de trabalho e desigualdade de salários no Brasil. No primeiro capítulo, utilizamos evidência sobre diferenciais de exposição a esse choque da China entre mercados de trabalho locais para estimar seu efeito em indicadores do mercado de trabalho brasileiro, em particular em medidas de desigualdade de rendimentos. Primeiro, encontramos que o choque de demanda por exportações diminuiu a desigualdade de salários no setor de bens comercializáveis, sobretudo por meio do componente entre firmas da dispersão salarial, e apresentamos evidências de que essa redução parece causada por uma mudança no comportamento das firmas, e pode estar relacionado com uma redução no prêmio salarial de firmas exportadoras. Em seguida, estimamos um modelo baseado em Helpman et al. (2016), e exploramos diferenças setoriais no choque de demanda externa para realizar exercícios contrafactuais que corroboram a hipótese de que esse choque pode explicar parte da redução agregada no prêmio salarial de firmas exportadoras e na dispersão de salários. No segundo capítulo, desenvolvemos uma versão do modelo dinâmico de Caliendo et al. (2019) de modo a estimar os efeitos do duplo choque da China na dinâmica setorial do emprego no Brasil. Mostramos que ambos os choques levam à contração da maioria dos setores de manufaturas, e expansão da maioria dos setores de serviços, mas os efeitos de equilíbrio geral dos choques são modestos, especialmente quando comparados a um contrafactual alternativo no qual a produtividade brasileira nos setores primários aumenta. Estendemos o modelo para incluir dois tipos de trabalho, de alta e baixa qualificação; resultados apontam para efeitos distributivos pequenos, mas consistentes com resultados em forma reduzida obtidos no primeiro capítulo. No capítulo final, construímos uma base de dados inédita sobre características de associações setoriais brasileiras, com o intuito de investigar se os setores com maior capacidade de organização política são capazes de obter maior proteção contra competidores estrangeiros. Usamos variação na penetração de importações como uma medida da necessidade de proteção comercial, e para lidar com a endogeneidade nessa medida usamos um instrumento baseado no choque de importações da China. A evidência sugere que setores com maiores sindicatos patronais são capazes de obter maior proteção comercial, em particular por meio de licenciamento não-automático; as estimativas sugerem que esse efeito é mais alto quando a penetração de importações aumenta mais intensamente, o que é interpretado como um aumento na necessidade de medidas de proteção. / [en] This thesis consists of three chapters, all of which focus on the rise of China as a quasi-natural experiment in order to assess the effects of foreign trade shocks on the political economy of trade policy and on the dynamics of labor markets and earnings inequality in Brazil. In the first chapter, we use evidence on the differential exposure across local labor markets to this China shock in order to estimate its effect on Brazilian labor markets outcomes, in particular on measures of income inequality. First, we find that the export demand shock has decreased wage inequality in the tradables sector, mostly through the between-firms component of wage dispersion, and provide evidence that this reduction seems driven by a change in wage-setting behavior of firms, and may be linked to a reduction in the wage premium of exporter firms. We then estimate a model based on Helpman et al. (2016), and explore sectoral differences in the foreign demand shock to run counterfactual exercises that support the hypothesis that this shock can explain part of the aggregate reduction in the exporter wage premium and in wage dispersion. In the second chapter, we develop a version of the dynamic trade model by Caliendo et al. (2019) in order to estimate the effects of the dual China shock on the sectoral dynamics of Brazilian employment. We show that both shocks lead to a contraction in most manufacturing sectors, and an expansion in most services sectors, but the general equilibrium effects of the shocks are modest, especially if compared to an alternative counterfactual in which Brazilian productivity in primary sectors increase. We then extend the model to include two types of labor, skilled and unskilled. Results also point to small distributional effects of the China shock, but consistent with reduced-form evidence obtained in Chapter 1. In the final chapter, we build a novel dataset on Brazilian trade associations’ characteristics in order to investigate whether industries with higher capacity of political organization are able to obtain more protection from foreign competitors. We use variation in import penetration as a measure of the need for trade protection, and address endogeneity on this measure by using an instrumental variables strategy based on the China import shock. Evidence suggests that industries with larger employer unions are able to obtain more protection, particularly through non-automatic licensing; the estimates suggest that this effect is higher when import penetration increases more intensely, which is interpreted as increased need for protective measures.

No description available.

No description available.

從轟動全球的鴻海與夏普併購案、安謀與英特爾兩個直接競爭者間的晶片架構授權、蘋果與三星纏身多年仍難分難解的設計專利訴訟，再再都顯示智慧財產的重要性，及妥適的規劃與運用企業智財策略管理，能為企業帶來 的競爭優勢與經營彈性，可惜的是相關文獻不僅相當少，既有策略管理文獻，對智慧財產層面之策略管理，又鮮有論述。為期許自己能夠對實務及學術領域皆盡棉薄之力，並推廣相關知識，本研究選擇企業智財策略管理為研究標的，以有無積極採取此面向策略管理之利弊分析為主軸，分別涉及之具體考量為核心，再輔以國際案例說明，以應證智財管理與企業經營整合之趨勢。 　　為完整探討企業智財策略管理，本研究前兩章先思考廣泛認知的策略管理面向，並套用至智慧財產層面，說明智財策略管理為何及其重要性，與企業應將其導入日常經營；於第三章與第四章，倚賴客觀嚴謹之文獻解讀與專家訪談，搭配靈活之商業邏輯分析，試圖拉近古今中外類似策略思維，說明此概念實非前所未聞，毋寧係吾人未善加利用之競爭策略，並由具體事項整理欠缺企業智財策略管理之危機與積極採取企業智財策略管理之國際趨勢，以充分說明欠缺注意之問題與徹底落實之好處，本研究更利用柯達和全錄，說明企業是如何從默默無聞到高度成功，後續又為何日漸衰敗，並以波音與安謀，描述其係如何日益壯大，與善用智財策略管理更上一層，應證前述分析，係實質可期之策略應用；於第五章嘗試歸納、分析與整合相關資料，經過多次思考、討論與修正，提出企業宜進行之內部組織調整及12步驟之企業智財策略管理，給予企業一套有具體步驟的策略指引，嘗試協助企業成就更上一層，維持高度競爭力，並永續經營；透過深入探討企業智財策略管理議題，亦希冀能夠達到拋磚引玉之效，激發更多討論，補充本研究之不足。 / From recent Foxconn-Sharp merger, licensing deal among ARM and Intel, and dogfight be-tween Apple and Samsung; the importance of intellectual property (IP) is self-evident. Enterprises could gain competiveness and flexibility if strategic IP management is carefully planned and applied. Generous IP activities remained, but only a handful of scholarships dedicated to the topic; more likely than not, these papers focused on traditional perspectives, rather than strategic IP management. This research intends to provide an account broadly discuss relevant issues, including, what strategic IP management is, how it should be treated by enterprises, and guidelines of integrating it to business management. Hope the thoughts provided could benefit current practices as well as academics. Chapter I & II described how the research is done, delved into traditional perspectives of strate-gic management, and construed strategic IP management to show the necessities of proper integra-tion for enterprises. Banked on resources and professional insights, Chapter III & IV carefully drew connections between strategic IP management and ancient Chinese wisdoms, and shown threats, benefits, and trends on why enterprise should incorporate strategic IP management into business. Further, it used famous corporations including Eastman Kodak, Xerox, Boeing Company, and ARM Holdings to show how successful businesses have failed due to careless on strategic IP management, in contrast to businesses indeed can benefited from proper integration of such instrument. Chapter V scrutinized materials, and integrated different opinions and perspectives, then provided adjustments to organizations within corporations and formulated a 12-steps strategic IP management intended to provide enterprises a guideline that would lead to further success. Lastly, Chapter VI provided a ret-rospect of the research, and wished to set an example and to stimulate more discussions.

Das humane Zytomegalievirus, ist ein ubiquitäres Pathogen, welches akute und persistierende Infektionen verursacht. Bei immunsupprimierten Patienten kann das Virus zu schweren Erkrankungen, wie Hepatitis, Pneumonie und bei kongenitaler Infektion außerdem zu Schädigungen des ZNS führen. HCMV blockiert die Zellproliferation durch einen Arrest am G1/S-Übergang des Zellzyklus, andererseits wird aber gleichzeitig die Expression S-Phase spezifischer Gene aktiviert. Teilweise lässt sich dies durch eine Virus vermittelte spezifische Inhibition der zellulären DNA-Repliaktion sowie durch eine massive Deregulation Zyklin-assozzierter Kinasen erklären. Zellkulturexperimente deuten darauf hin, dass die Zellzyklusalterationen wichtige Voraussetzungen für eine erfolgreiche Virusreplikation darstellen. Es ist hingegen nicht bekannt, welche Relevanz sie für die Virusvermehrung in vivo und das pathologische Erscheinungsbild im erkrankten Organismus besitzen. Diese Frage kann nur in einem Tiermodell sinnvoll angegangen werden. Aufgrund der Wirtsspezifität der Zytomegalieviren, ist man dabei auf die Verwendung der jeweiligen artspezifischen CMV angewiesen. Murines CMV (MCMV) und Ratten-CMV (RCMV) sind dabei die bislang bestuntersuchtesten Systeme. Das Anliegen dieser Arbeit war es zu prüfen, inwieweit die für HCMV beschriebenen Zellzyklusregulationen in MCMV und RCMV auf Zellkulturbasis konserviert sind. Es konnte gezeigt werden, dass sowohl RCMV als auch MCMV einen antiproliferativen Effekt auf infizierte Zellen besitzen und ebenso wie HCMV zu einem Zellzyklusarrest führen. Nager-Zytomegalieviren können Zellen auch in der G2-Phase arretieren und in dieser Zellzyklusphase auch effizient replizieren können. Die Infektion mit Nager-CMV führt außerdem auf breiter Basis zur Veränderung Zyklin-assoziierter Kinaseaktivitäten. Allen Zytomegalieviren ist die Hemmung der zellulären DNA-Synthese am G1/S-Übergang durch die Inhibition des replication licensing, dem Beginn der DNA-Synthese gemein. Durch diese vergleichende Studie wird einerseits deutlich, dass wesentliche funktionelle Schritte der Zellzyklusregulation zwischen den Zytomegalieviren konserviert sind, aber andererseits die zu Grunde liegenden molekularen Mechanismen zum Teil deutlich variieren. / Human Cytomegalovirus (HCMV) is an ubiquitous, species-specific beta-herpesvirus that, like other herpesviruses, can establish lifelong latency following primary infection. HCMV infection becomes virulent only in immunocompromised patients such as premature infants, transplant recipients and AIDS patients where the virus causes severe disease like hepatitis, pneumonitis and retinitis. Congenital infection produces birth defects, most commonly hearing loss. To develop rational-based strategies for prevention and treatment of HCMV infection, it is crucial to understand the interactions between the virus and its host cell that support the establishment and progression of the virus replicative cycle. In general, herpesviruses are known to replicate most efficiently in the absence of cellular DNA synthesis. What is more, they have evolved mechanisms to avoid the cell´s DNA replication phase by blocking cell cycle progression outside S phase. HCMV has been shown to specifically inhibit the onset of cellular DNA synthesis resulting in cells arrested with a G1 DNA content. Towards a better understanding of CMV-mediated cell cycle alterations in vivo, we tested murine and rat CMV (MCMV/RCMV), being common animal models for CMV infection, for their influence on the host cell cycle. It was found that both MCMV and RCMV exhibit a strong anti-proliferative capacity on immortalised and primary embryonic fibroblasts after lytic infection. This results from specific cell cycle blocks in G1 and G2 as demonstrated by flow cytometry analysis. The G1 arrest is at least in part caused by a specific inhibition of cellular DNA synthesis and involves both the formation and activation of the cells’ DNA replication machinery. Interestingly, and in contrast to HCMV, the replicative cycle of rodent CMVs started from G2 as efficiently as from G1. Whilst the cell cycle arrest is accompanied by a broad induction of cyclin-cdk2 and cyclin-cdk1 activity, cyclin D1-cdk4/6 activity is selectively suppressed in MCMV and RCMV infected cells. Thus, given that both rodent and human CMVs are anti-proliferative and arrest cell cycle progression we found a surprising divergence of some of the underlying mechanisms. Therefore, any question put forward to a rodent CMV model involving cell cycle regulation has to be well defined in order to extrapolate meaningful information for the human system.

Dans les pays en développement (PED), les problèmes engendrés par le VIH/SIDA et l’inaccessibilité des antirétroviraux (ARV) s’avèrent être la cause de ravages extrêmement préoccupants à tous les niveaux (démographique, politique, social et économique). Dans le cadre de l’Organisation mondiale du commerce (OMC), et notamment de l’Accord sur les aspects des droits de propriété intellectuelle qui touchent au commerce (« Accord sur les ADPIC »), un nombre croissant de PED ont ou sont en train d’intégrer un standard international de protection des brevets de produits et de procédés pharmaceutiques à leur législation nationale. Cette intégration a eu et continue de jouer un rôle majeur dans la problématique de l’accès aux médicaments dans les PED. Les conditions et les effets du régime de protection des innovations suscitent de vifs débats entre les partisans d’une protection accrue des brevets et les défenseurs de l’accès aux médicaments essentiels. Une des principales motivations de notre travail de recherche est de fournir une étude permettant de trouver des solutions à la fois favorables à l’amélioration de l’accès aux médicaments et à la préservation de l’innovation. Le problème complexe de l’accès aux médicaments ARV dans les PED est influencé par la pluridisciplinarité et l’interdépendance de nombreux facteurs. Le système des brevets ne constitue pas « l’unique » solution au problème. Toutefois, il doit être plus sérieusement considéré dans sa fonction d’équilibrage entre l’intérêt privé et l’intérêt collectif. C’est un outil juridique précieux pour le développement économique et technologique des PED et la réalisation de l’intérêt commun contre la pandémie. / In developing countries, problems brought about by HIV/AIDS and inaccessibility of antiretrovirals (ARVs) are proving to be the cause of serious damages at all levels (demographic, political, social and economic). Within the context of the World Trade Organization, and in particular the Agreement on Trade-Related Aspects of Intellectual Property Rights (“TRIPS Agreement”), a growing number of developing countries have integrated or are in the process of integrating into their national law an international standard of patent protection for pharmaceutical products and processes. Such integration continues to play a major role in the issue of access to medicines in developing countries. The conditions and effects of the protection regime respecting innovations give rise to heated debates between supporters of an increased patent protection and defenders of the access to essential medicines. One of the main motivations for our research is to provide a study that helps to find solutions that are both in favour of improving access to medicines and protecting innovation. The complex problem of access to ARV drugs in developing countries is influenced by the multidisciplinarity and interdependence of many factors. The patent system does not solve the problem on its own. However, it should be seriously considered in its function of balancing the private and collective interests. It is a valuable legal tool for the economic and technological development of the developing countries and to achieve the common interest against the pandemic.

政府透過法律制度將原先具有非排他性及非敵對性等公共財性質之專利財產化，藉此鼓勵發明人進行研發，間接為整體社會帶來促進創新與阻礙創新等不同面向之影響，而專利之私有化使擁有專利之所有人取得排他獨佔權限，如此累積創新所帶來之結果便是形成專利叢林現象，使單一產品生產時須取得眾多專利，增加未取得專利之侵權風險，該專利叢林現象後續更促使訴訟成為新興專利聚集型態獲取利益之手段。 從專利取得之角度觀察，其取得專利之方式可系統化分為自行研發、併購等內化形式或取得專利授權等外部形式，而專利取得之動機則從單純產業利用轉變為企業策略性考量；現今專利市場中，更經常將取得之專利以授權或出售方式商品化，甚或以專利作為商業談判、利益交換之籌碼，使專利有貨幣化現象。從經濟學之角度思考，專利貨幣化或有交易、預防及投機等動機，並得從專利本質上與後續發展上之特性觀察到專利貨幣化之因素。 由於本文將專利市場分為專利聚集、專利交易平台、專利資訊提供者及一般個人、實際從事生產公司與研究機構等不同類型參與者，並將研究對象著重在專利聚集與專利交易平台二者，因此特於本文中討論專利聚集形成之階段與交易模式，且因應專利交易模式而衍生探討專利交易價金之計算。從本文可知，專利聚集得區分為攻擊型、防禦型、以授權營利型及混合型四大類，各類型專利聚集及專利交易平台皆有其創造價值之價值鏈活動安排、整體產業競爭作用力之五力分析與支援核心競爭優勢之相對應策略活動系統，並從各市場參與者之運作模式中亦得觀察可能存在之缺失。 攻擊型專利聚集表面上雖提供授權服務，然手段上具有強制性，以訴訟等手段迫使下游實際從事生產等公司支付授權金以取得專利授權，從模式上觀察，其存在未經挑選專利、擁有專利過多及組織體系過於龐雜等缺失；而防禦型專利聚集則從下游買方之迫切需求角度出發，以防禦目的之專利授權或出售為訴求，藉由廣泛涵蓋不同領域之專利組合滿足下游買方對於專利侵權風險之控管，然其現有模式可能因支付有限年費導致難以確保購買大量專利之品質，並有為符合眾多會員需求使專利相關性降低以及整體產業難以避免搭便車現象等缺失；至於以授權營利型專利聚集透過技術或產品標準定義之專利組合，包裹式將下游實際從事生產廠商需要之專利一次性授權，雖不見得有授權之急迫需求，但顯然降低下游買方取得授權之交易成本，惟其缺失為權利金分配制度之公平性與專利組合之區別標準。混合型專利聚集則涵蓋上述三種專利聚集之優勢，並以特殊之智財資本市場重新定位無形資產能夠創造之價值，對於下游買方及上游專利供應者而言，皆帶來產業結構變化之衝擊，同時以專利組合授權來滿足下游專利被授權人之需求，不過，混合型專利聚集管理複雜度高、經濟利潤有下降可能，並且長期將有價格扭曲之應變風險。 專利交易平台與專利聚集不同之處在於其不直接取得專利或專利授權，僅以專利供給方與需求方之交易中介者自居，然從廣義概念上，其亦為專利聚集之一種形態，有助於專利買賣雙方取得資訊，降低搜尋、談判或執行等交易成本，並透過其他業務互補專利交易平台業務可能之不足，惟其仍舊有所缺失，亦即價格決定機制之困難、服務範疇過大導致成本控管之不經濟與交易公開之接受程度等問題。從本文各章節之分析中，可比較各市場參與者之不同，亦得觀察彼此間之互動與缺失，從而提出未來可能之研究方向，並針對專利市場之管制與開放給予建議。 / The propertization of patents which intrinsically show the traits of public goods including non-excludable and non-rival was established to encourage inventors and therefore leads to positive and negative influence to the society indirectly. The privatization of patents protects the exclusive rights of the owners, whereas what we called the accumulated innovation set up the patent thickets that enhance the risks of infringement and promote the strategic litigations raised by new patent aggregators. The methods of acquiring patents could systematically divided into internalization which includes R&D and M&A, and externalization which includes licensing and so on. While the motivations of acquiring patents transform from industrial applications to strategic considerations, and the patents gradually become commercialized and even express its monetization. This paper classifies different players in the patent market, such as patent aggregators, patent transaction platforms, patent information providers and operating companies, while with the focus on patent aggregators and patent transaction platform. Besides, the patent aggregators could be categorized into “offensive patent aggregators”, “defensive patent aggregators”, “running by licensing patent aggregators” and “hybrid patent aggregators”. Moreover, the findings of this paper stand on what each patent aggregator and patent transaction platform has its scheduled activities of the value chain, the five forces model to the analysis of its industry and the strategic activities system for supporting its core competence, and even the demerits of its operating model. The offensive patent aggregators provide licensing services, while its services apparently contain compulsive licensing model by raising claims against the operating companies. Instead, defensive patent aggregators help the downstream buyers in need to fight against the offensive patent aggregators by licensing or selling patent portfolios which cover broad technological areas and benefit risk management. Next, the running by licensing patent aggregators package their patents by standards of technologies or products and provide “one-stop-shop licensing solutions” to the downstream buyers to save the transaction costs. Furthermore, the hybrid patent aggregators embrace the advantages of three kinds of patent aggregators mentioned above and try to create the IP capital market leading to the transformation of the industry structure. On the other hand, the patent transaction platforms are different from the patent aggregators in the ownerships of patents. The patent transaction platforms will never become the owner of the patents or acquire the rights of patent licensing, it just named themselves intermediaries of transaction that reduce the transaction cost and enhance the transparency of information. Nevertheless, the diversified operating models of different patent aggregators and patent transaction platforms exist its improvable or inevitable drawbacks. The analysis of each chapter in this paper could help to compare the players in patent market and contribute to observe the shortages and interactions between the ones. What’s more, this paper gives some suggestions for further researches in the future as the conclusion.

During the last two decades, there have been a number of policy and legislative changes in respect of South Africa’s intellectual property (IP) and the national system of innovation (NSI). In 2012, a Ministerial Review of the Science, Technology and Innovation (STI) landscape in South Africa made recommendations to improve the STI landscape and effectively the national system of innovation. The study provides a critical review of drafts of the national IP policy published in 2013 as well as the IP Framework released in 2016 for public comment. The review of the IP and the NSI are within the context of the National Development Plan (NDP), which outlines South Africa’s desired developmental goals. South Africa is part of the BRICS group of countries (Brazil, Russia, India, China and South Africa). The South African economy is characterised by a desire to move away from being dependent on resources and commodities, to becoming a more knowledge based and innovation driven economy. It is hoped that such a move would assist the country to address some of the social and economic development challenges facing South Africa, as captured in the NDP. South Africa has a functioning IP system, but its relationship with South Africa’s development trajectory is not established. More particularly, the extent to which the IP system relates to the innovation system and how these two systems must be aligned to enable South Africa to transition successfully from a country based on the production of primary resources and associated commodity-based industries to a viable knowledge-based economy is unclear. The Trade-related Aspects of Intellectual Property Rights (TRIPS Agreement) of the World Trade Organisation (WTO) provides that IP must contribute to innovation and to transfer of technology and knowledge in a manner that is conducive to social and economic welfare. Certain provisions set out the foundations of intellectual property systems within the context of each member state. This study has thus explored the complex, complementary and sometimes contested relationships between IP and innovation, with particular emphasis on the potential of an intellectual property system to stimulate innovation and foster social and economic development. The study has also analysed the interconnectivity of IP and innovation with other WTO legal instruments, taking into account South Africa’s positioning within the globalised economy and in particular the BRICS group of countries. The research involved a critical review of South Africa’s IP and innovation policies, as well as relevant legislation, instruments, infrastructure, IP and innovation landscape, and relationship with international WTO legal instruments, in addition to its performance, given the developmental priorities and the globalised economy. The research documents patenting trends by South Africans using European Patent Office (EPO), Patent Cooperation Treaty (PCT), United States Patents and Trademarks Office (USPTO) databases over the period 1996-2015. A comparative analysis of patenting trends amongst BRICS group of countries has also been documented. The study also documents new findings, observations and insights regarding South Africa’s IP and innovation systems. Some of these, particularly in relation to higher education and research institutions, are directly attributable to the Intellectual Property Rights from Publicly Financed Research and Development Act. More particularly, the public institutions are becoming relevant players in the NSI and are responsible for growth of certain technology clusters, in particular, biotechnology. At the same time, the study makes findings of a decline of private sector participation in patenting as well as R&D investment over the 20-year period. Recommendations are included regarding specific interventions to ensure coherence between the IP and innovation systems. Such coherence and alignment should strengthen the systems’ ability to stimulate innovation and foster inclusive development and competitiveness, which are relevant for addressing South Africa’s socio-economic development priorities. / Mercantile Law / LL. D.