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This dissertation investigates the phenomenon of new technology development in emerging economies (EEs). I do this by studying the international patenting activities of EEs at the country level and firm level. In order to do this, I develop and analyze a panel database of patents filed with the United States Patents and Trademarks Office (USPTO). I then examine differences in the nature of technologies that are being patented by emerging economies in comparison to developed economies (DEs). Through this dissertation, I develop a key construct that pertains to the nature of technologies that are patented. This construct is named novelty of technology knowledge and it pertains to the age of technological knowledge that organizations draw from and build upon while developing new innovations. The first research question I examine is what is the impact of global connectedness and institutional development in EEs on the age of technology knowledge that they build on. I build on insights from the institutional theory and argue that the absence of well-developed institutions presents constraints to the development and protection of novel technology innovations. On the other hand, global connectedness in the form of trade linkages provides opportunities for engaging in novel technology innovations. I hypothesize that a country's level of global connectedness and institutional development have a positive relation with the novelty of its technology knowledge. I use data on the international patenting activities of 48 countries with the USPTO over a period of 9 years. I use panel data estimation models to test the hypotheses. I find that global connectedness is positively related to the level of a country's international patenting. The second research question is what is the impact of the level of internationalization of EE firms on the age of technology knowledge that they build on. I first identify the benefits and costs associated with internationalization for EE firms as a result of the conditions in their home country. I then argue that with increasing internationalization, the counter forces of exploration and exploitation thrust firms' technology development from initially focusing on newer technology bases towards focusing on older technologies. I hypothesize the existence of a U-shaped relationship between the level of internationalization and the novelty of technology knowledge and test my hypotheses using a panel of bio-pharmaceutical firms from India. The findings from this dissertation make important contributions to the literature examining innovation and new technology development in the context of EEs. / Ph. D.

The share of patents held by the universities reflects the strength of technological research of any nation. Despite legislative encouragement provided in most countries for universities to patent their research, academic patents form only a small volume of patents filed in any country. Universities do not seem to patent most of their research. This situation is exacerbated in the case of India, where only 0.7% of the patents during the period 2003 – 05 were owned by the universities. This concern led to the current study of probing the patenting behaviour of faculty. From extant literature, we found that most of the research in academic patenting was either at university level or national level and the conclusions were based on econometric analyses of secondary data. A major limitation of those studies was that, they assume individual characteristics as constant. The contribution of this study is to relax the above mentioned assumption and focus on studying the impact of individual characteristics of faculty on their patenting behavior. The thesis has three main objectives, namely a. To develop a model of academic patenting behavior with academic inventors as the focus. b. To deduce individual characteristics that distinguishes an academic patentee from an academic non patentee. c. To provide insightful suggestions to administrators at universities for intellectual property management policies and practices, along with talent management practices to enable patenting behavior. We modeled patenting behavior at the individual level as being influenced by demographic variables such as designation, prior industrial experience and behavioral variables, namely, attitudes towards patenting, situational awareness of support for patenting, personality traits like resilience and creative personality traits and motives like monetary, fame and prosocial motives. Initially, eight academic patentees were interviewed to arrive at individual characteristics requiring study. We combined the behavioral characteristics derived from the content analysis of the initial study with our insights from the gaps in the existing literature and designed a questionnaire. The questionnaire aimed at measuring seven behavioral variables along with collecting information on demographic details. The seven behavioral variables included in our study are creative personality traits, resilience, attitudes towards patenting, situational awareness of support for patenting, monetary motives, fame motives and prosocial motives. The main study was conducted using survey research design. We contacted 1200 faculty from Indian Institute of Science, Indian Institute of Technology Delhi, Indian Institute of Technology Bombay, Indian Institute of Technology Kanpur, Indian Institute of Technology Madras and Indian Institute of Technology Kharagpur initially through e-mail and later in person. We used data provided by a sample of 249 faculty members for the analyses. In the sample, 115 are academic-patentees and 134 are academic-non-patentees. We attempted to determine individual characteristics that distinguish an academic-patentee from an academic-non-patentee. The results from our study indicated that in academic patentees there was a statistically significant correlation between prosocial motive and situational awareness of support patenting. While in the case of academic non patentees, there was a significant correlation between fame motive and monetary motive. Using t-test, we were able to conclude that academic patentees differed significantly (p < 0.01) from academic non patentees in their attitude towards patenting and in their situational awareness of support for patenting. We found that both the academic patentees and academic non patentees were high in resilience and did not differ from each other significantly. When we looked into differences in motives we found that academic patentees differed significantly (p < 0.01) in their prosocial and monetary motives. Both the groups were high on fame motives and did not differ significantly from each other. Based on results of chi-square tests of the 28 creative personality traits, we could conclude that academic patentees differed significantly from academic non patentees (p < 0.01) in describing themselves as unconventional and inventive. We found that our model of patenting behavior that included demographic variables like age and prior industrial experience along with behavioral variables like attitudes towards patenting, situational awareness of support for patenting and being unconventional explained maximum variance (Nagelkerke R2 = 0.48). We were able to classify 78% of the sample correctly into academic patentees and academic non patentees. The Wald criterion demonstrated that all the predictors made significant contribution to prediction. We were able to establish the importance of predictors in determining patenting behavior. We found designation as the most important predictor among those included in our study. Other things being equal, the odds of a Professor or an Associate Professor being a patentee was 5.6 times more than those of an Assistant Professor. We found the creative personality trait “unconventional” as the second most important predictor. The odds of faculty who describe themselves as “unconventional”, being a patentee was 4.5 times more than those who do not describe themselves as unconventional. The third important predictor was prior industrial experience (odds ratio: 1.9), the fourth and the fifth being situational awareness of support for patenting (odds ratio: 1.3) and attitudes towards patenting (odds ratio: 1.2), respectively. Thus to conclude, we found that both demographic and behavioral factors influence the patenting behavior. Our revised model of academic patenting indicates that two types of advantages have positive influence on academic patenting behavior at the individual level. We named them as experience advantage and psychological advantage. Experience advantage is gained as a result of increased academic experience and increased industrial experience. The psychological advantage results when an academic inventor, as an individual is “unconventional”, has positive attitude towards patenting and is aware about support available for patenting to a large extent. Based on our research, we suggest intellectual property management practices and talent management practices that are likely to increase the patenting behavior of academic inventors. Attitude towards patenting can be improved by making patenting experience more positive and by providing more assistance for patenting through the Intellectual Property Cell / Technology Transfer Office. Increasing awareness of support for patenting can be promoted by making available information on government funding agencies and industrial partners who would support in patent filing and in commercializing patents. Such information not only prevents the pile up of unutilized academic patents but also encourages the faculty to continue to engage in patenting behavior. Academic patenting behavior can also be facilitated through promoting organizational culture that encourages their members to be “unconventional”. The limitations of the study and suggested future research are also described in the thesis.

The central objective of this study is to examine the factors that have influenced the evolution of the drug patenting regulatory framework in Canada from 1965 to 2005. The principal focus is on the extent to which in formulating that regulatory framework the Canadian federal government has been influenced by domestic and international interests and forces. In examining the domestic interests and forces attention is devoted to the financial interests of the two sectoral associations representing the patented and generic drug manufacturers and the economic and political interests of the governing and opposition parties. In examining the international interests and forces the focus is both on the emergence of international institutions and agreements and on the interests of various countries and drug companies located therein which wanted to ensure that Canadas regulatory framework would not have an adverse effect on them. This study reveals that there was three relatively distinct phases in the evolution of Canadas drug patenting regulatory framework and that each was influenced primarily by different sets of factors. The first phase which lasted from 1965 to 1991 was influenced entirely by domestic interests and forces produced by a highly charged political debate over reduced patent protection and drug price restrictions on the one hand, and increased patent protection and economic development on the other. The second phase, which lasted from 1992 to 2001, consisted largely of international forces. This included the emergence of new international institutions and agreements such as the World Trade Organization and the North American Free Trade Agreement, which created new intellectual property obligations for Canada and provided for even longer periods of patent protection than what had already existed. The third phase which began 2002 and continues to the present day, consists of a combination of domestic and international forces which attempt to reconcile domestic issues such as price restriction and economic development with international issues such as allowing Third World countries an opportunity to import drugs at reasonable prices. The Government of Canadas response to all of these pressures has predominantly reflected the objectives of patented drug manufacturers.

The central objective of this study is to examine the factors that have influenced the evolution of the drug patenting regulatory framework in Canada from 1965 to 2005. The principal focus is on the extent to which in formulating that regulatory framework the Canadian federal government has been influenced by domestic and international interests and forces. In examining the domestic interests and forces attention is devoted to the financial interests of the two sectoral associations representing the patented and generic drug manufacturers and the economic and political interests of the governing and opposition parties. In examining the international interests and forces the focus is both on the emergence of international institutions and agreements and on the interests of various countries and drug companies located therein which wanted to ensure that Canadas regulatory framework would not have an adverse effect on them. This study reveals that there was three relatively distinct phases in the evolution of Canadas drug patenting regulatory framework and that each was influenced primarily by different sets of factors. The first phase which lasted from 1965 to 1991 was influenced entirely by domestic interests and forces produced by a highly charged political debate over reduced patent protection and drug price restrictions on the one hand, and increased patent protection and economic development on the other. The second phase, which lasted from 1992 to 2001, consisted largely of international forces. This included the emergence of new international institutions and agreements such as the World Trade Organization and the North American Free Trade Agreement, which created new intellectual property obligations for Canada and provided for even longer periods of patent protection than what had already existed. The third phase which began 2002 and continues to the present day, consists of a combination of domestic and international forces which attempt to reconcile domestic issues such as price restriction and economic development with international issues such as allowing Third World countries an opportunity to import drugs at reasonable prices. The Government of Canadas response to all of these pressures has predominantly reflected the objectives of patented drug manufacturers.

CRISPR-Cas9 based genome engineering has emerged as a revolutionary biological technique in the past decade with multifarious therapeutic and biotechnological applications for human welfare. It is anticipated that the global CRISPR-Cas9 market will exceed a revenue of USD 3 billion by 2024. In the past few years, product and process oriented CRISPR-Cas9 applications have led to extensive patenting efforts, resulting in some major patent disputes. Some of CRISPR-Cas9 based applications for human welfare are directly linked to modifications within the human cells as well as their possible misuse on the ethical grounds, there is a fundamental divide in the United States and the European Union about various patenting legal provisions. In the proposed study, I will categorically investigate the legal frameworks on the patentability of various human welfare related CRISPR-Cas9 applications in the United States and the European Union as well as their socio-economic impact.

La logique du nouveau système économique international s'appuie sur l'idée que le brevet est un mécanisme juridique d'incitation à la recherche et au développement. L'objet de notre étude est de savoir si les écarts de niveau de développement entre les pays pouvaient avoir des effets sur la fonction du brevet dans les pays en voie de développement. Dans cette perspective, nous avons consacré la première partie de notre recherche à l'étude du droit des brevets sur le plan international. Cette analyse est indispensable pour une meilleure compréhension des choix opérés par un pays en développement comme l'Algérie dans l'évolution de son propre système de protection des inventions. Ensuite, nous avons analysé le régime algérien des brevets et les changements qu'il a subi en vue de s'adapter au haut niveau de protection exigé par le système international, afin d'examiner les effets de telles exigences sur le développement. Il ressort de nos analyses, que pour remplir sa fonction universelle comme instrument d'incitation à l'innovation technologique et au développement, le système de brevet algérien doit connaitre plusieurs modifications sur le plan juridique, économique et institutionnel. / The logic of the new international economic system is based on the idea that the patent is a legal mechanism to incentive research and development. The subject of our study is to know if the variations of the levels of development among between different countries could affect the function of the patent in the third world. In this perspective, we have to analyze the Algerian patent law and the changes they have undergone in order to adapt to the high level of protection required by the international system in order to examine the effects of the requirement of these conditions on reveal developments. Then we analyzed the Algerian regime of patents and the changes it has undergone in order to adapt to the level of protection required by the international system, to examine the effects of these requirements on you development. That the patent system in Algeria fulfills its universal function as an instrument for incentive technological innovation and development, several changes in the legal, institutional and economic should be performed.

This dissertation aims to answer the main question of "How does regional ecology (few or many small innovative firms in a region) enhance or limit innovation?" Put differently, how vital is the mix of small and large firms for regional innovation performance? From the policy perspective, the results of this study shed some light for policy maker to assess the "knowledge searching" strategies of firms when choosing locations. The research design combines a unique survey of patent inventors in the United States and archival data. Georgia Tech inventor survey data contains commercialization measures for patented inventions and information on firm characteristics. Using this archival data, data has been collected on regional innovation measures, regional-level attributes and project-level measures. The results indicate that the agglomeration of specialized firms is positively associated with regional innovation activities, as the Marshall-Arrow-Romer model proposed. In addition to traditional regional measures, small firm dominated ecology is a strong factor explaining regional commercialization activities, even though the role is not very significant when explaining the regional patenting activities. It is suggested that the organizational ecological perspective is complementary to understand information flow mechanisms in innovative regions. One mechanism of SME dominated ecologies is partially through the increase of skilled labor mobility. Furthermore, when the regional ecology moves towards being dominated by small firms, large firms benefit more from the presence of many innovative small firms than SMEs. By contrast, the concentration of innovative small firms does not add much value for SMEs. I suggest the focus of policies should be on understanding the heterogeneous ability of accessing localized knowledge resources between large and small firms. Deriving from the findings, policy implications and future research are discussed.

Drawing upon the research on gender in science (especially gender and publication and patent productivity), social network studies, and social studies of interdisciplinary research and nanotechnology, this dissertation develops and tests a series of hypotheses to advance the understanding of the gender difference in patenting in the U.S. Ridgeways theory of gender frame (Ridgeway, 2009, 2007; Ridgeway&England, 2004) is very powerful in explaining gender inequity at both micro- and macro-levels, and thus constitutes the foundation of this study. After laying out the theoretical foundation, I set out to focus on collaboration as one of critical mechanisms accounting for the gender difference in patenting. While social network scholars maintain that social capital resides in network structure and claim different structures provide different benefits (Borgatti, Jones,&Everett, 1998), I conceive of diversity as the most important structural feature of collaboration networks to predict patenting performance, and accordingly develop the concept boundary-spanning collaboration to refer to collaboration networks containing relationships to diverse others. Then, I rely on social studies of gender, network, and desired outcomes as well as research on interdisciplinary fields in general and nanotechnology in particular to propose several hypotheses regarding how gender would differ on boundary-spanning collaboration and how the differences matter the gender gap in patenting in the context of nanotechnology. Two sets of analyses, performed on large-scale patent data and individual-level survey data, generate novel and important findings. These results enhance our understanding of the distinct context of nanotechnology, especially with regard to collaboration and gender representation, and the interrelationships of gender, boundary-spanning collaboration, and patenting involvement in this context. In brief, there are three major findings. First, while nanotechnology and patenting activities present new areas for gendered studies in science, the influential gender stereotypes always predict the detection of a gender gap. Second, collaboration networks, especially those featured with diversity, are relevant to the gender gap in patenting nanotechnology in a complicated way, but the operationalization of diversity is the key to comprehend the complexity. Third, the returns from collaborative relationships are generally gendered, but the gender gap in returns varies upon the context where a relationship takes place. Relating these findings to previous research, I highlight the theoretical and methodological contributions of this study, point out its limitations for future research development, and draw pertinent policy implications.

Submitted by Rogério Moraes (rogerio3@oi.com.br) on 2011-12-27T12:36:16Z No. of bitstreams: 1 Dissertação MPPJ_FGV_Rogério Moraes_Versão Aprovada.pdf: 1783703 bytes, checksum: 16685ea0c9ba45a133320a39ecabe2fd (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2011-12-30T11:39:13Z (GMT) No. of bitstreams: 1 Dissertação MPPJ_FGV_Rogério Moraes_Versão Aprovada.pdf: 1783703 bytes, checksum: 16685ea0c9ba45a133320a39ecabe2fd (MD5) / Made available in DSpace on 2012-04-11T19:13:58Z (GMT). No. of bitstreams: 1 Dissertação MPPJ_FGV_Rogério Moraes_Versão Aprovada.pdf: 1783703 bytes, checksum: 16685ea0c9ba45a133320a39ecabe2fd (MD5) Previous issue date: 2011-12-20 / The purpose of this dissertation is the examination of some of the many ethical and legal controversies involving the use of human embryonic stem cells for research and therapy. The use of such stem cells was approved by Law nº. 11.105 of 2005, known as the new Biosecurity Law, article 5 of which allowed only for research and therapy, the use of said cells obtained from human embryos from the in vitro fertilization process, not used in their procedure, met certain conditions. Once came into effect, the device has been cited by the Attorney General of the Direct Action of Unconstitutionality (ADI) nº. 3510, which generated extensive discussions within the multidisciplinary team. Despite the declaration of the constitutionality of that article, there are still many controversial legal and ethical. It is questionable, especially, the differences concerning the legal status of the embryo produced in vitro and surplus in the process of fertilization, as well as the adequacy of the constitutional principle of human dignity in this context. Are shown, though, questions relevant to the patenting of genetic material and, consequently, of embryonic stem cells. / A finalidade da presente dissertação será o exame de algumas das muitas polêmicas éticas e jurídicas que envolvem a utilização das células-tronco embrionárias humanas para fins de pesquisa e terapia. A utilização de tais células-tronco foi aprovada pela Lei n.º 11.105 de 2005, conhecida como a nova Lei de Biossegurança, cujo artigo 5º permitiu, apenas para fins de pesquisa e terapia, a utilização das citadas células obtidas de embriões humanos provenientes do processo de fertilização in vitro, não utilizados no respectivo procedimento, atendidas certas condições. Assim que entrou em vigor, o citado dispositivo sofreu por parte do Procurador Geral da República a Ação Direta de Inconstitucionalidade (ADI) nº 3510, que gerou amplos debates de âmbito multidisciplinar. Apesar da declaração de constitucionalidade do referido artigo, ainda são muitas as polêmicas de ordem jurídica e ética. Questiona-se, principalmente, as divergências existentes acerca da natureza jurídica do embrião, produzido in vitro e excedente nos processos de fertilização, bem como a adequação do princípio constitucional da Dignidade Humana neste contexto. São demonstradas, ainda, questões pertinentes ao patenteamento de material genético e, consequentemente, das células-tronco embrionárias.