Submitted by Renata Lopes (renatasil82@gmail.com) on 2017-05-11T18:00:44Z No. of bitstreams: 1 raquelcoelhoreis.pdf: 1431099 bytes, checksum: ddaa9cad218cf8c07ed0fb203e770ac4 (MD5) / Approved for entry into archive by Adriana Oliveira (adriana.oliveira@ufjf.edu.br) on 2017-05-17T15:21:45Z (GMT) No. of bitstreams: 1 raquelcoelhoreis.pdf: 1431099 bytes, checksum: ddaa9cad218cf8c07ed0fb203e770ac4 (MD5) / Made available in DSpace on 2017-05-17T15:21:45Z (GMT). No. of bitstreams: 1 raquelcoelhoreis.pdf: 1431099 bytes, checksum: ddaa9cad218cf8c07ed0fb203e770ac4 (MD5) Previous issue date: 2017-02-20 / O estudo tem como objetivo investigar os determinantes regionais e estruturais da ocorrência de ligações entre regiões nas redes sociais de colaborações no Brasil. Para isto, utiliza-se de dados de copatenteamento das produções tecnológicas, realizadas tanto por inventores brasileiros como destes em parceria com estrangeiros. Como possíveis determinantes das ligações nas redes de copatenteamento regional consideram-se tanto os aspectos econômicos, tecnológicos e de densidade demográfica das regiões quanto as próprias estruturas de topologia dos nós nas redes. Os dados para a pesquisa são fornecidos pelo Instituto Nacional de Propriedade Industrial (INPI), Relação Anual de Informações Sociais (RAIS), Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) e Instituto Brasileiro de Geografia e Estatística (IBGE). Sendo assim, foi possível a construção de uma base de dados longitudinal para o período de 2001-2011 com abrangência geográfica mais desagregada de REGIC imediata, e investigação por meio de técnicas econométricas de dados em painel. A fim de atingir o objetivo proposto identificam-se duas redes no Brasil: rede inter-regional e internacional. Portanto, para ambas as redes aplicam-se duas abordagens. Primeiramente, utiliza-se um modelo voltado para dados truncados, Tobit, cuja variável dependente é dada pela razão entre o número de ligações e o total de patentes geradas pela região. E posteriormente, aplica-se um modelo para dados de contagem, Binomial Negativo Inflado em Zeros (ZINB), que considera o número absoluto de ligações de cada região nas redes. Como principais resultados evidencia-se que as ligações dos nós (regiões) são mais impactadas por aspectos da infraestrutura local, como nível de P&D, e por sua estrutura de posição na rede. No entanto, outras características locais e estruturais também merecem ser destacadas como a participação econômica das regiões, assim como os níveis de participação da indústria. / The study aims to investigate the regional and structural determinants of the links among regions in social networks of collaboration in Brazil. For this, we use patent database that possess information on Brazilian inventors’ residence address and on the nationality of all inventors responsible for the patent application in Brazilian Patent Office. We investigate which are the main regional determinants of the links in the Brazilian co-patenting networks taking into account variables that capture economic, technological and demographic density aspects of Brazilian regions, as well as the topology structures of the nodes in the networks. The database is provided by the National Institute of Industrial Property (INPI), the Annual Social Information Relation (RAIS), the Coordination for the Improvement of Higher Education Personnel (CAPES) and the Brazilian Institute of Geography and Statistics (IBGE). We consider a longitudinal database for the period 2001-2011 and apply panel data techniques in spatial unit of analysis corresponding to the Intermediate Areas of Urban Connectivity, according to the concept of Regions of Influence of Brazilian Cities (REGICs). Two types of networks are considered in Brazil: the inter-regional and the international ones. Therefore, for both types of networks two approaches are applied: 1) a truncated data model is used, i.e. Tobit, whose dependent variable is given by the ratio of the number of links to the number of patents generated by the region; and 2) a Zero-inflated negative binomial (ZINB) model is used, which considers the absolute number of inter-regional links among inventors in a certain region. The main results show that node (region) connections are more affected by aspects of local infrastructure, such as R&D level, and their position in the network. However, other local and structural characteristics also deserve to be highlighted as the economic participation of regions, as well as levels of capital goods imports and industry participation.

Submitted by isabela.moljf@hotmail.com (isabela.moljf@hotmail.com) on 2017-06-29T13:06:50Z No. of bitstreams: 1 alexandrenovaesmejdalani.pdf: 1643059 bytes, checksum: 594b09f0b89278240658be2e6efb6dc9 (MD5) / Approved for entry into archive by Adriana Oliveira (adriana.oliveira@ufjf.edu.br) on 2017-08-07T21:52:44Z (GMT) No. of bitstreams: 1 alexandrenovaesmejdalani.pdf: 1643059 bytes, checksum: 594b09f0b89278240658be2e6efb6dc9 (MD5) / Made available in DSpace on 2017-08-07T21:52:44Z (GMT). No. of bitstreams: 1 alexandrenovaesmejdalani.pdf: 1643059 bytes, checksum: 594b09f0b89278240658be2e6efb6dc9 (MD5) Previous issue date: 2017-02-17 / FAPEMIG - Fundação de Amparo à Pesquisa do Estado de Minas Gerais / Os estudos que exploram o processo e determinantes para a formação da rede se inserem no âmbito do debate acerca do papel da cooperação entre inventores para o benefício do sistema de inovação. O objetivo desta dissertação é investigar quais são os determinantes da formação de laços de copatenteamento no Brasil, utilizando a primeira década do século XX (2000-2011) nesta análise. Tradicionalmente, os trabalhos empíricos sobre o tema buscaram na geografia econômica um arcabouço para investigar o papel de espaço na cooperação. Mais recentemente, o uso de instrumentos de análise de redes sociais se mostrou útil na identificação de processos internos à topologia da rede. Nesta dissertação, ambos os arcabouços são utilizados, combinando instrumentos analíticos espaciais e relacionais. Duas óticas são dadas ao problema: como se conectam as regiões brasileiras e como se conectam os inventores brasileiros. Para isto, são utilizadas as bases de dados da Base de Dados Estatísticas de Propriedade intelectual (BADEPI) do INPI, e a base da Relação Anual de Informações Sociais (RAIS) do Ministério do Trabalho. Os principais resultados indicam que: (1) a geografia ainda possui um papel fundamental na formação de redes, (2) a rede e seus subcomponentes estão espacialmente concentrados, (3) existe um padrão de aglomeração geográfica desigual no sistema brasileiro de invenções, (4) a proximidade tecnológica e a proximidade relacional são fatores importantes na determinação de novas conexões e (5) inventores buscam similaridade socioeconômica para formar novas conexões, embora haja benefícios nas conexões com indivíduos mais ricos e bem posicionados na rede. / The study of processes and causes of how networks are formed emerges in the context of the debate about the role of inventors’ cooperation and its benefits to innovation systems. The aim of this dissertation is to investigate the determinants of co-patents ties formation in Brazil in the first decade of the 20th century (2000-2011). Traditionally, the empirical works on the theme used the framework of Economic Geography to study the role of space in nodes cooperation. Recently, the use of social network analysis instruments proved to be useful to identify internal processes in network topology. In this dissertation, both frameworks are used, combining the analytical instruments of spaces and relations. The problem has two viewpoints: how regions connect to each other and how inventors connect to each other. The databases used are the Database on Statistics of Intellectual Property (BADEPI) from INPI, and the Annual Report of Social Information from Labour Ministry. The main results indicate that: (1) geography still plays a fundamental role in forming networks; (2) the network and its subcomponents are spatially concentrated; (3) there is an unequal geographical agglomeration patterns in the Brazilian invention system; (4) technical and relational proximity are important factors in determining new connections and (5) inventors seek for similar socialeconomic partners, although there are benefits of cooperation with players there are wealthier and better positioned in the network.

This thesis considers some conflicts involving indigenous peoples that arise from the universal standardization of Intellectual Property Rights (IPRs) over Plant Genetic Resources (PGR). My study presents the research problem of how to include indigenous peoples in dialogue as a prerequisite for conflict transformation. To better understand this problem, and potential solutions, I conducted participatory action research (PAR) through an ethnographic case study of Himalayan farmers working with the grassroots network Navdanya. The study explores the research question: how do Garhwali farmers experience grassroots mobilization for biodiversity and indigenous knowledge (IK) conservation? This question is intended to generate data for conflict resolution analysis on how to engage indigenous peoples in dialogue on the subject of IPRs over PGR. I discuss five themes that emerge from the data collected including: experiences and strategies in grassroots mobilization, culture and sharing, the seed, climate change and women. My research is divided into three separate, but interrelated elements. Firstly, I discuss my methodological choices and experiences. Secondly, I present the ethnographic research, thematic data analysis and draw conclusions. Finally, I frame the literature in the context of the theory of structural violence to explain the significance of conflicts arising from IPRs over PGR in the context of the erosion of IK systems and biodiversity.

La tesi ha ad oggetto le forme di tutela dei diritti di proprietà industriale sulle invenzioni aventi ad oggetto piante. La prima parte del lavoro è dedicata ad un’analisi delle linee evolutive degli strumenti specifici di protezione delle nuove varietà vegetali introdotti, dapprima, nell’ordinamento giuridico statunitense e, qualche tempo dopo, in quelli dei Paesi aderenti alla Convenzione UPOV. L’autore pone a confronto le suddette discipline ad hoc con la normativa brevettuale classica, evidenziandone le differenze sia sul piano dei rispettivi requisiti d’accesso che su quello del contenuto e della portata della tutela. Viene, dunque, valutato l’impatto prodotto dall’avvento delle moderne biotecnologie sui sistemi normativi vigenti in Europa e negli Stati Uniti in materia di protezione dell’innovazione conseguita in campo agricolo. Attraverso lo studio dei principali arresti giurisprudenziali e delle iniziative legislative succedutisi negli ultimi anni, vengono delineati i tratti caratteristici degli approcci adottati, rispettivamente, oltre-Atlantico e nel vecchio continente al fine di fornire risposta alle questioni determinate dalla rivoluzione biotecnologica, con particolare riguardo ai problemi di interfaccia fra tutela varietale e tutela brevettuale che quest’ultima ha determinato. L’autore ritiene che le vie seguite negli Stati Uniti ed in Europa, per quanto diverse tra loro sul piano formale, non siano poi così distanti nella sostanza e, de jure condendo, suggerisce di ridefinire in Europa le interrelazioni fra tutela varietale e tutela brevettuale, abrogando il divieto di brevettazione delle nuove varietà vegetali, vero elemento differenziale fra il contesto normativo europeo e quello statunitense. / Intellectual property rights on plant-related inventions are the subject matter of this thesis. In the first part of this work, the author analyzes the evolution of the specific means of protection for new plant varieties first introduced in the United States of America and then in the member States of the UPOV Convention. The author makes a comparison between these ad hoc means of protection and the patent protection, by pointing out the differences in respect to the conditions for protection and the scope of protection. After that, an assessment of the impact of modern biotechnology on the existent European and American plant-related invention systems of protection is made. The author investigates the approaches which were chosen in Europe and in the United States of America in order to address the issues related to the biotechnological revolution, with particular focus on the interface problems between plant variety protection and patent protection, by means of a study of the principal case law and regulatory interventions adopted during the last years. The author believes that American and European approaches are not so different in substance and, de jure condendo, suggests redefining the relationship between plant variety protection and patent protection in Europe through the elimination of the ban on patent protection for plant varieties, which is the real differential factor between European and American normative contexts.

Innovation comprises the processes of invention and commercialization. While the importance of innovation, especially commercialization, has been widely recognized, existing studies have largely overlooked the commercialization process. By examining the determinants of uses and nonuses of patented inventions from firms at the levels of technology, organization, and project/invention, this study attempts to help fill a critical gap in the literature. In doing so, it enriches theoretical understandings of innovation and, in particular, builds on the evolutionary explanation of technology development, the Teecian framework on profiting from innovation, Transaction Cost Economics (TCE), the Knowledge-Based View (KBV), and open innovation and innovation network perspectives. It also reveals an empirical reality of commercial use and strategic nonuse of patents. The study is based on a novel dataset constructed from multiple sources: inventor surveys, the United States Patent and Trademark Office online database, and COMPUSTAT, among others. After examining the factors affecting overall propensity to commercialize patented inventions, this study explores the factors that affect the organizational paths of commercialization. The empirical estimation indicates that technological uncertainty and a strong internal position of complementary assets raise the propensity for internal commercialization. The study argues that openness of innovation processes and network relationships should affect the choice of commercialization paths. Consistent with the hypotheses, empirical estimations show that external industrial knowledge increases the propensity of internal commercialization. The study also indicates that collaboration has diverging effects on the choice of commercialization paths. While collaboration with firms in vertical relationships tends to favor internal commercialization, collaboration with firms in horizontal relationships tends to favor external commercialization (licensing, start-up). Finally, the study reports findings on the strategic use of patents and then tests hypotheses about the factors driving strategic nonuse. It concludes that a significant portion of U.S. patents are indeed filed for strategic reasons. It also finds that characteristics of technology and firms are significantly associated with different strategies. In particular, firms are more likely to use a patent for strategic defensive purposes when they have larger amounts of assets. The study concludes with discussing managerial and policy implications.

The present day world has been experiencing rapid technological advancement on the one hand and increasing number of diseases afflicting the human beings on the other. To deal with the later, medical devices are innovated and introduced in to the market (making use of the technological advancements), on a continuous basis across the world. However, taking an innovated medical device to the market poses innumerable challenges and therefore, these have to be clinically trialled before its launch to ensure safety and efficacy. Of late, India has emerged as one of the preferred destinations to carry out clinical studies due to numerous advantages, primarily its diverse human gene pool and cost-competitiveness. However, there is very little understanding on the landscape of medical devices clinically trialled in India. It is to throw light on this critical issue with respect to the selection of participants in the clinical trial process, selection of locations and determination of trial duration that the present study has been carried out. In addition, the role of patents associated with the introduction of new medical devices in relation to the key challenges is examined. Furthermore, we studied the characteristics of clinical trials by industry and non-industry sponsors and between cardiovascular and other disease related trials. The present study has been carried out based on secondary data covering 108 medical device clinical trial registrations accessed from Clinical Trial Registry of India (CTRI) database pertaining to the period 2008-2014. At the outset, the pattern of trials related to the most prominent diseases such as cardiology and cardiovascular diseases and those which are invasive and non-invasive are examined. Our findings indicate that almost 50% of the trials are related to diseases of cardiology, cardiovascular diseases and those which are invasive in nature. For studying the patenting aspect, we proposed a conceptual grouping of sponsors as Incumbent, Potential Entrant and Supporter, based on their patent holdings in the domestic market and in PCT (Patent Cooperation Treaty) filings. Patents owned by Primary Sponsor (PS) showed significant variations in their clinical trial characteristics particularly the invasiveness of device, disease type, locations and participants. Three quantitative models are developed to identify the factors that influence the selection of number of participants, locations and time taken to execute medical device clinical trials using multivariate statistical techniques. The results of the three conceptual models on number of participants, locations and trial duration showed invasiveness of device and disease type playing significant roles in all the three models. The number of PCTs owned by PS was found to be influential in selecting the number of locations and participants but not the patents owned in IPO (Indian Patent Office). We also observed significant differences between industry and non-industry sponsors in terms of their clinical trial characteristics. The findings of the study formed the basis to understand the medical device clinical trial landscape and other pertinent issues in the Indian context, which enabled us to derive appropriate inferences and policy implications.

Patents have become a direct source of revenue, apart from providing legal protections for inventions. A patent generates revenue in its patented form through licensing or sell-out. Three challenges confront this shift in use of patents as direct revenue generators especially in the context of patent sale. First, the challenge of estimating the price a patent fetches in a sale (referred as ‗patent value‘) remains scarcely addressed owing to the intangible nature of patents and lack of patent sale data in public domain. Secondly, the variations in price and the method used to estimate the price while selling a patent individually (called as a singleton) or in a group along with other patents (called as portfolio) are little understood. Thirdly, literature focus so far has been on the static dimensions of patent value determinants leaving scope for researching the time varying dynamic nature of potential value determinants. This thesis aims to systematically address the above challenges and research gaps through five specific research objectives pertaining to the following four aspects of patent sale: (1) Successful sale aspect of patent lots in an auction (Research objective 1) Research objective 1: To explore the determinants of successful sale of singletons and portfolios. (2) Selling strategy aspect of the sold patents (Research objective 2) Research objective 2: To characterize the singleton and portfolio patent lots successfully sold in an auction. (3) Time dynamic aspect of factors influencing price (Research objectives 3 & 4) Research objective 3: To investigate the effect of time dynamic nature of patent age on the selling prices of singletons and portfolios. Research objective 4: To understand the effect of time dynamic trend of technological importance (TI) and patent class trend on selling prices of singletons and portfolios. (4) Valuation aspect (Research objective 5) Research objective 5: To identify the determinants of selling prices of singletons and portfolios. In this thesis, we use a combination of patent bibliometric and market based approach to study various aspects of singleton and portfolio patent sale incorporating the time dynamic aspect. A set of US patents auctioned by an US auction firm, called Ocean Tomo, is used as sample. The sample was dominated by patents from Computer & Communication field. The research findings showed significant differences in the characteristics of sold and unsold lots both in the case of singletons and portfolios. Amongst the sold lots, singletons were found to include more novel (lesser patent backward citations) and technology specific (higher C&C technology scope) patents than the portfolios sold. Further investigation on the variation in selling prices fetched by singletons and portfolios showed portfolios fetching significantly higher prices than singletons at the lot level. Interestingly, at a granular level, the equation reversed with singletons showing significantly higher price compared to the average price per individual US patent member within the portfolio. Along the time dynamic aspect, the existence of an optimal age to sell patents for higher prices is evidenced especially in the case of singletons from C&C technology field. The optimal age was found to be around 10 year 2 months of age from grant of singletons. No such optimal age was identified for portfolios. The growth trend analysis of the forward citations (technological importance of patent) and the patent applications filed within the specific patent class of a patent (attractiveness of patent class) illustrated the significance of the patent class trend in explaining variation in selling price of singletons. Finally, the valuation models of singletons and portfolios showed singletons being valued more on the patent related characteristics unlike portfolios which were valued based on the all three aspects – patent, seller and bundling. In summary, the novelty of the thesis resides in the (1) incorporation of new set of variables namely forward citation diversity, forward citations trend, patent class trend, technology scope and portfolio type in understanding patent price (2) treatment of time dynamic variables in understanding patent value and (3) focus on portfolio analysis through independent analysis of singleton and portfolio selling prices.

Innovation comprises the processes of invention and commercialization. While the importance of innovation, especially commercialization, has been widely recognized, existing studies have largely overlooked the commercialization process. By examining the determinants of uses and nonuses of patented inventions from firms at the levels of technology, organization, and project/invention, this study attempts to help fill a critical gap in the literature. In doing so, it enriches theoretical understandings of innovation and, in particular, builds on the evolutionary explanation of technology development, the Teecian framework on profiting from innovation, Transaction Cost Economics (TCE), the Knowledge-Based View (KBV), and open innovation and innovation network perspectives. It also reveals an empirical reality of commercial use and strategic nonuse of patents. The study is based on a novel dataset constructed from multiple sources: inventor surveys, the United States Patent and Trademark Office online database, and COMPUSTAT, among others. After examining the factors affecting overall propensity to commercialize patented inventions, this study explores the factors that affect the organizational paths of commercialization. The empirical estimation indicates that technological uncertainty and a strong internal position of complementary assets raise the propensity for internal commercialization. The study argues that openness of innovation processes and network relationships should affect the choice of commercialization paths. Consistent with the hypotheses, empirical estimations show that external industrial knowledge increases the propensity of internal commercialization. The study also indicates that collaboration has diverging effects on the choice of commercialization paths. While collaboration with firms in vertical relationships tends to favor internal commercialization, collaboration with firms in horizontal relationships tends to favor external commercialization (licensing, start-up). Finally, the study reports findings on the strategic use of patents and then tests hypotheses about the factors driving strategic nonuse. It concludes that a significant portion of U.S. patents are indeed filed for strategic reasons. It also finds that characteristics of technology and firms are significantly associated with different strategies. In particular, firms are more likely to use a patent for strategic defensive purposes when they have larger amounts of assets. The study concludes with discussing managerial and policy implications.

The past decade has witnessed a second academic revolution with the new role of contributing to economic growth and social development assigned to universities. A real phenomenon embedded in this new role is the right given to universities to file for a patent protection over publicly funded research and the possibility to retain financial returns from its license or selling. The aim of this thesis is to better understand this phenomenon and its relationship to scientific production.<p><p>Starting with the role patents pay in stimulating innovation, Chapter 2 assesses the cost of rewarding and enforcing exclusive patent rights in Europe and discusses implications for patenting at universities.<p><p>Chapter 3 aims to document patenting at universities in Belgium by applying the definition of university-invented patents. It challenges the ‘European Paradox’, the view that despite being good in producing science, European research institutions are not successful in transferring it to the real economy.<p><p>Chapters 4 and 5 investigate the relationship between patenting and scientific productivity. Chapter 4 questions the critique that patenting at universities may have a detrimental effect on scientific progress. Chapter 5 challenges the view that knowledge diversity increases group ability to innovate. It further enhances our understanding of how different ways of achieving diversity affect team inventive performance.<p> / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

The dissertation consists of three empirical papers in institutional microeconomics. The first paper examines the role of institutional quality in international trade, the second paper focuses on unintended consequences of intellectual property rights for social welfare, and the last one addresses the impact of banking on corporate financing and investment. An introductory chapter puts these three papers into perspective. In the first paper I analyze the role of institutions in price dispersion among cities in the European region in the 1996-2009 period. Using a number of institutional quality measures I find that the better the institutions, the lower the predicted dispersion. The result is robust to different specifications of the regression model and is consistent with a hypothesis that arbitrage, as an entrepreneurial activity and the main power behind the law of one price, is influenced by institutional quality. In the second paper I use a large data set of U.S. patents applied for between 1980 and 2007 by 22 large technology companies to study development of strategic patenting over time and across industries. Using two complementary methods I reveal strong evidence against the hypothesis of more strategic patenting after 1995. Contrary to the expectations, aerospace patents appear to be on average...