The aim of this research is to investigate the phenomenon of business method patents in Europe. Not only the issue of patentability of business methods is discussed, but also the possible strategic use of these patents and patent applications is explored. For this purpose, a data set has been specifically created, including all the applications submitted in the class G06Q (namely data processing systems or methods, specially adapted for administrative, commercial, financial, managerial, supervision or forecasting purpose) at the EPO. A quantitative analysis of the data has been performed, revealing the huge volume of business method patent applications (more than 34,000) filed at the EPO over the last 20 years. Equally, a continued interest of large companies in patenting business methods has been demonstrated. However, these empirical observations seem to be inconsistent with both the legal framework (most notably Article 52 EPC 2000 establishes that business methods are not patentable) and the low rate of acceptance of applications (only a small fraction of patents have eventually been granted) in the category of business methods at the EPO. All of this supports the hypothesis that firm demand for business method patent protection can be driven by strategic purposes, often resulting in inefficiencies in the market and reducing in competition. Hence, the research presented intends to highlight overcoming inefficiencies, as well as possible antidotes provided by the EU competition law. On this purpose, some of the common practices, such as hold-up or tacit collusion, are identified. At the same time, the beneficial effects of mutual licensing agreements are highlighted. In particular, the research examines the European legal framework on the technology transfer agreements. Their effectiveness in contrasting business method patents' strategic uses is analysed, particularly regarding reduction on competition. Based on this, the thesis argues ultimately that a wider opening in granting patent protection to business methods will not result in discouraging new entries in the field.

A presente dissertação utiliza indicadores bibliométricos de patentes com a finalidade de levantar as características da produção tecnológica do biodiesel indexada na Derwent Innovations Index (DII) entre os anos de 1983 e 2015. Busca-se analisar os principais países produtores de inovação considerando as políticas de incentivo em pesquisa e desenvolvimento tecnológico adotadas nestas nações. Para tanto, dentre as características analisadas estão o volume da produção disponível na base, os escritórios de depósitos, os países dos depositantes, o tipo de depositante (pessoa física, jurídica ou misto) e as temáticas predominantes de acordo com a Classificação Internacional de Patentes (CIP). O uso de indicadores de patentes de biodiesel utilizados neste trabalho se justifica por revelar características únicas da produção tecnológica na área e provocar reflexões a respeito da configuração dos processos de inovação. O referencial teórico aborda os temas da produção e do uso de indicadores de Ciência Tecnologia e Inovação (CT&I), o sistema de patentes, as patentes como indicadores de CT&I e a tecnologia do biodiesel. A metodologia empregada é exploratória, descritiva, e conta com uma abordagem quantitativa dos dados. O corpus da pesquisa é composto de 3.070 patentes para o qual aponta-se duas fases do ciclo de vida tecnológico do biodiesel: a fase de emergência (1983 e 2002) e a fase de crescimento (2003 e 2015). Ao analisar os depósitos nestas duas fases foram identificados os cinco principais escritórios de depósitos (China, Organização Mundial de Propriedade Industrial, Estados Unidos, Japão, e Coreia do Sul), bem como as cinco principais nacionalidades dos depositantes de biodiesel (chinesa, americana, japonesa, alemã e sul coreana). Salienta-se nestes resultados o proeminente papel do continente asiático em relação à amplitude do seu mercado e à posse de tecnologia. Verifica-se ainda uma significativa tendência de depósitos de patentes por aplicantes de um mesmo país, observado em 95,15% das ocorrências. Apesar da pouca colaboração demonstrada, destacase os Estados Unidos como o país com mais depósitos em colaboração com outras nacionalidades. As relações estabelecidas entre escritório de depósito e nacionalidade dos depositantes demonstram as diferentes estratégias e tendências de proteção tecnológica estabelecida pelos seus aplicantes e os mercados que visam explorar. Percebe-se que a maior parte dos depósitos é realizada por pessoa jurídica, (63,09%), seguido por depósitos mistos (23,26%), e finalmente de pessoa física, com o menor percentual da pesquisa (13,65%). Constata-se um total de 70 assuntos indexadores das patentes de biodiesel de acordo com a CIP encontrada nos documentos. Destes, 12 estão presentes em 91,63% de todos os documentos recuperados, sendo a subclasse C10L, relacionada ao uso de aditivos em combustíveis, a mais utilizada. Por fim, são abordadas as patentes brasileiras bem como as depositadas no Brasil à luz das políticas públicas em CT&I no país, no qual salienta-se a parceria entre organizações para a garantia da continuidade das medidas de fomento da produção de conhecimento tecnológico. / The present dissertation uses bibliometric patents indicators with the purpose of identify the characteristics of the technological production of biodiesel indexed in the Derwent Innovations Index (DII) between the years 1983 and 2015. The aim is to analyze the main innovation producing countries considering the policies of incentive in research and technological development adopted in these nations. Therefore, among the characteristics analyzed are the volume of production available in the base, the deposit offices, the countries of the depositors, the type of depositor (individual, legal or mixed) and the predominant themes according to the International Patent Classification (IPC). The use of biodiesel patent indicators used in this work is justified by revealing unique characteristics of the technological production in the area and provoking reflections regarding the configuration of the innovation processes. The theoretical reference deals with the topics of production and use of indicators of Science Technology and Innovation (ST&I), the patent system, patents as ST&I indicators and biodiesel technology. The methodology is exploratory, descriptive, and has a quantitative approach to data. The corpus of the research is composed of 3,070 patents, which point to two phases of the technological life cycle of biodiesel: the emergency phase (1983 and 2002) and the growth phase (2003 and 2015). When analyzing the deposits in these two phases, were identified the five major deposit offices (China, World Intellectual Property Organization, United States, Japan, and South Korea), as well as the top five nationalities of biodiesel assignee (Chinese, Japanese, German and South Korean). These results highlight the prominent role of the Asian continent in relation to the breadth of its market and the possession of technology. There is also a significant trend of patent deposits by applicants from the same country, observed in 95.15% of occurrences. The United States stands out as the country with the most deposits in collaboration with other nationalities. The relationships established between depository office and depositors' nationality demonstrate the different strategies and trends of technology protection established by its applicants and the markets they seek to exploit. It can be seen that most of the deposits are made by legal entity (63.09%), followed by mixed deposits (23.26%), and finally by individuals, with the lowest percentage of the research (13.65%). In the documents were found 70 index subjects of the biodiesel patents according to the IP. Of these, 12 are present in 91.63% of all recovered documents, and the subclass C10L, related to the use of additives in fuels, are the most used. Finally, the Brazilian patents as well as those deposited in Brazil in the light of the public policies in ST&I in the country, which emphasizes the partnership between organizations to guarantee the continuity of measures to promote the production of technological knowledge.

Analysis of patent documents is one way to learn about trends in the evolutionof technologies. In this thesis, we propose a mixture of life cycle Poisson modelfor predicting the life cycle of technologies from patent count data. The aim is topredict the life cycle of technologies and determine the stage of the technology inthe development S-curve. The model is constructed from historical data on patentpublications of technologies and also from experts’ belief of life cycle of technologies. The methods used to estimate the model are based on Bayesian methods, inparticular we use a combination of Gibbs sampling and slice sampling to simulatefrom the posterior distribution of the model parameters. We apply the model on adataset of 123 technologies from the electricity sector. As a preliminary exploratorystep clustering analysis is also applied on the dataset. Finally we evaluate the modelhow it performs to predict the trend of life cycle of technologies based on differentbase years. Results reveal that the model is capable of predicting the life cycleof technologies based on its different stages. However, the predictions of expectedbehavior become more accurate when more data is used to construct the prediction.

This thesis is a critique and proposed reform of the decision-making process under the European Patent Convention 1973, Article 53(a) as it relates to morality. It postulates that the manner in which the morality bar is currently managed is inappropriate as it relies on patent officials to make the initial decision as to whether the patent application is morally permissible or not. In a pluralistic world, morality is understood differently by a wide variety of people but this is not currently being acknowledged within the patent system. Whilst there is an option to bring opposition proceedings to challenge patent grants, this onus is considerable on the challenger and any debate is then played out by a very small sector of highly specialised experts, often with very differing views on morality. This thesis seeks to broaden the decision-making process to reflect society's pluralism. Officials, it will be argued, should instead of trying to decide what constitutes morality in a realm of such importance for humanity as a whole, administer a system which facilitates public participation and a vote. This will be based on existing models of widespread public deliberation and participation, albeit not ones that currently operate in (or near) the patent world. At present, criticisms in the legal literature tend to suggest more deliberation in the patent field and more participation is recommended in science literature but the logistics are unexplored and will be brought together in this work, making an original contribution to knowledge. In order to achieve its aim, the thesis employs a pluralistic methodology which includes doctrinal, socio-legal and interdisciplinary facets which will enable the construction of a model for reform of the patent system in the domain of morality. This will come from outside of traditional legal mechanisms such as legislative, judicial or patent office reform solutions, as a far-reaching paradigm is envisaged. The claim to originality lies in the extraction of principles from deliberative and participatory models of democracy and their application to the decision-making process in morally controversial biotechnological patents.

The dissertation is an investigation of the Swedish engineering company AGA’s inventive activity during the years 1904-1959. Inventive activity denotes the company’s efforts in rying to develop innovations. Operations such as patents, experiments, business methods, business co-operations, technical development and other related activities have been studied. Through its lighting system for beacons, which emanated from the international gas industry, AGA had a strong economic base, and could thus go through periods of strong diversification. This led to the growth of more branches on the company’s product tree, and the aim of this dissertation has been to map out and understand how this AGA tree developed. One point of departure for this study has been to investigate how the inventive activity at AGA reacted to changes in the demand side of the economy. According to the American economist Jacob Schmookler the demand determines the development of innovative activity. The American economic historian Nathan Rosenberg has criticised Schmookler, however, arguing that it is the resources of knowledge which dictate the innovative course, since technology transfers are costly to put into economic practice. A third perspective, partly bridging these differences of opinions, is the discussion on the influence of technology procurement, which, among others, the Swedish innovation researcher Charles Edquist has presented. These perspectives frame my study, which maps AGA through two major changes in technology during the first half of the twentieth century. The AGA product tree consists of path dependent shifts in technology; possibilities to develop new technology opened up in the interaction between the company and the market. Among other things, the main innovation, the AGA flasher, originally developed for the lighting in beacons, proved to be functional for railway signalling devices and respirators. Through general market changes outside the company, similar opportunities arose for AGA to develop already existing technique for new markets. During the period of research the inventive activity was characterized by a constant experimenting, where the company’s success to a large extent rested on the engineers’ ingenuity. AGA, being product diversified, had little room to act independently on the market. Thus, to a high degree the company had to adjust its inventive activity to market demand. By cooperating with initiated customers, above all public ones, AGA had the opportunity to continuously develop products in demand, despite limited resources.

The differences between firms‘ book values and market values has drawn attention to investigate what factors are causing this phenomenon. A considerable amount of research was dedicated to investigating the association between firms‘ innovative activity, which results in the patenting of new products or services and firms market value in the context of United States. However, not many studies of similar kind are documented in the Swedish firms context. The purpose of this thesis is to investigate the previous studies, and analyze whether and how patents and R&D are associated with Swedish firms‘ market values. For this study the cross-section and time-series data were collected from publicly listed Swedish companies’ financial statements and the Amadeus database. Investigation begins with an attempt to find out whether R&D and patents are associated. Finally, the hypothesis is tested whether patents are positively associated with Swedish firms’ market values. The results partially support the expectations. There was no strong statistical association found between R&D and patents, however in the final model patents were found to be positively associated with Swedish firms’ market values. A conclusion can be drawn that the patent is a powerful device providing incentives for innovation, while innovation in products and services ensures that our quality of life is increasing.

Currently there are approximately 20,000 valid gene patents in the United States. The debate regarding biotechnology and patent law has reached a pinnacle over the patentability of genes. Biotech is fighting a patentability war on two fronts. The Court of Appeals for the Federal Circuit cannot agree regarding the touchstone of patentability for genes; two branches of the Executive are at odds over whether gene sequences qualify under 35 U.S.C. §101. Recent U.S. Supreme Court and Federal Circuit jurisprudence also undermine the patentability of genes as obvious. This thesis argues that the patentable subject matter debate fails to adequately address the goals of patent policy in fostering innovation. Looking to Canadian and U.K. jurisprudence, it is possible to hone an approach to obviousness that addresses the ethical and research concerns in the patentable subject matter debate while fostering investment and patent protection for non-obvious biotech discoveries.

Currently there are approximately 20,000 valid gene patents in the United States. The debate regarding biotechnology and patent law has reached a pinnacle over the patentability of genes. Biotech is fighting a patentability war on two fronts. The Court of Appeals for the Federal Circuit cannot agree regarding the touchstone of patentability for genes; two branches of the Executive are at odds over whether gene sequences qualify under 35 U.S.C. §101. Recent U.S. Supreme Court and Federal Circuit jurisprudence also undermine the patentability of genes as obvious. This thesis argues that the patentable subject matter debate fails to adequately address the goals of patent policy in fostering innovation. Looking to Canadian and U.K. jurisprudence, it is possible to hone an approach to obviousness that addresses the ethical and research concerns in the patentable subject matter debate while fostering investment and patent protection for non-obvious biotech discoveries.

This paper investigates how the size of a firm affects its licensing strategy for patented technologies through empirical analysis of the characteristics at the technological, firm, and industry levels. Only firms with commercialization capabilities are considered in this study in order to compare the incentives of utilizing technologies internally with the incentives of selling them for licensing revenue. Focusing on licensing motivated by non-strategic purposes, empirical analysis shows that large companies are less willing to license patents that fit into their business focus, as well as those which have a low technological value in general. On the other hand, small firms are more inclined to license patents which are more relevant to their business focus, but less innovative on average. This study also finds that market share and competition intensity are important factors in their licensing decisions: the more competitive and the smaller the market share of the patents owned by large firms, the higher the chance that firms will list them on the market. In line with the revenue versus competition framework by Arora and Fosfuri (2003), this paper concludes that large firms are generally more concerned about the rent dissipation effect over the revenue effect from licensing, while the opposite is true for smaller firms.

In this dissertation, I explore the effect of tax incentives on where U.S. multinationals decide to locate their innovative activities worldwide. Research and development (R&D) tax incentives offered by foreign countries and differences between U.S. and foreign tax rates provide opportunities that may influence where multinationals decide to locate their innovative activities. Using firm-level patenting data that identifies the country-specific location of innovations from 1986 to 2000, I examine the relation between innovative activities performed in a foreign country and these tax incentives using the Heckman (1979) two step estimation approach. I find evidence that the foreign percentage of innovative activities is associated with the attractiveness of foreign R&D tax incentives and with an increase in the effect of U.S. R&D allocation rules. In addition, the results suggest that firms in excess foreign tax credit positions decrease the amount of R&D activities in a foreign location with increased foreign tax rates, consistent with income shifting incentives. In contrast, I find that the firms in deficit foreign tax credit positions increase their foreign R&D activities with increasing foreign tax rates. This study is the first to examine and provide evidence of the influence of foreign R&D tax incentives and income shifting incentives on a U.S. multinational’s decision on where to locate R&D activities.