"Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de maîtrise en droit". Ce mémoire a été accepté à l'unanimité et classé parmi les 10% des mémoires de la discipline. / Les provinces canadiennes sont présentement aux prises avec des dépenses élevées en matière de médicaments. Afin de contrôler ces dépenses, plusieurs d'entre elles ont adopté différentes politiques visant à promouvoir et à accélérer la vente de médicaments génériques, lesquels sont équivalents aux médicaments novateurs mais de trente à quarante pourcents moins chers. Le gouvernement canadien, en vertu de son pouvoir de réglementation en matière de brevets, pourrait contribuer aux efforts des gouvernements provinciaux en assouplissant les règles relatives aux brevets pharmaceutiques pour ainsi promouvoir l'accélération de la mise en marché de médicaments génériques. Le gouvernement hésite toutefois à le faire en raison de sa politique en matière de brevets pharmaceutiques dont les effets se veulent équilibrés tant pour l'industrie pharmaceutique novatrice que pour l'industrie du médicament generique. Précisément, cette politique vise, d'une part, à encourager les investissements en recherche et développement par l'industrie novatrice et, d'autre part, à garantir la vente rapide de médicaments génériques au Canada pour que soient contrôlées les dépenses en matière de médicaments. Ce mémoire consiste en un examen du cadre juridique de la politique canadienne en matière de brevets pharmaceutiques. Nous y soulevons et analysons particulièrement ses glissements, quant à l'objectif d'équilibre recherché de la politique canadienne, qui résultent de son application dans le contexte juridique, politique, scientifique et économique actuel. Notre intention est de démontrer que, dans l'intérêt des Canadiens à court et à long terme, la politique canadienne en matière de brevets pharmaceutiques ne doit pas être assouplie en faveur de l'industrie du médicament générique seulement, ceci malgré la croissance des dépenses en matière de médicaments. En effet, l'intérêt des Canadiens ne peut être maximisé que si cette politique est rééquilibrée en tenant compte de l'ensemble de ses glissements juridiques observés. / All Canadian provinces are presently facing increasingly growing drug expenditures. In order to control these expenditures the provinces have adopted different policies to promote and accelerate the sale of generic drugs, these drugs being equivalent to brand-name drugs but thirty to fourthly percent less expensive. Considering its jurisdiction in the field of patents, the Canadian government could contribute to the efforts of the provincial governments in making more flexible the Canadian patent rules, thus promoting the marketing ofgeneric drugs in Canada. The government is however hesitating to do so because of its policy on pharmaceutical patents, which policy aims at balancing the interests of both the brand-name and generic drug industries. Effectively, the purpose ofthe poltey is to promote, on the one hand, the investments in research and development of new drugs in Canada and, on the other hand, to guarantee the rapid marketing of generic drugs, thus controlling drug expenditures. The purpose of this thesis is to examine the judicial framework of the Canadian policy on pharmaceutical patents. Its weaknesses, with regard to the balanced objective of the policy, resulting from its application in the present judicial, political, and economical and scientific context are the focus of this analysis. Our goal is to demonstrate that, to reach the Canadian social benefit, both in the short and long run, the Canadian policy on pharmaceutical patents should not be relaxed for the sole benefit of the generic drug industry, although the drug expenditures are growing. Rather, the social Canadian benefit would only be maximised by re-balancing the Canadian policy in the light of all its demonstrated weaknesses.

"Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de maîtrise en droit, option recherche" / In the past decade, we have seen a resurgence of patent pools. These pools have emerged in our high-tech world to overcome a number of transaction costs involved in assembling patents necessary for the creation of new technologies. While patent pools can be pro-competitive; they can also present a number of anti-competitive features, such as sheltering collusion and eliminating competition between rival firms. This has been said to explain the enormous swings in the analytical approach of enforcement agencies with respect to patent pools. The introduction of the Antitrust Guidelines for the Licensing of Intellectual Property by American competition authorities marked an important shift in patent pool enforcement, reflecting the view that intellectual property and competition law are actually complementary, both seeking to enhance innovation as well as competition. Based on these Guidelines, enforcement agencies' identified potential problems and have offered a number of guiding principles and recommendations - in the form of Business Review Letters - to help pooling parties avoid running afoul of competition law. A review of some of these guidelines reveals that following them indiscriminately, without regard to the particular circumstances, can in fact have a negative impact on innovation and industry. Four areas where a clarification and refinement of policy are necessary are highlighted; namely, the essentiality doctrine, pool, independent licensing and grantback clauses. We maintain that guidance from the competition authorities is too rigid, and that a more carefully tailored approach is necessary to achieve an optimal outcome in both competition and innovation. / Au cours de la dernière décennie, nous observons une renaissance de l'institution des communautés de brevets (patent pools), constitués pour surmonter les coûts afférents a la réunion des brevets nécessaires pour la création des nouvelles technologies. Bien que ces communautés de brevets en général favorisent la concurrence, elles peuvent aussi avoir des effets anti-concurrentiels, entre autre, en permettant la collusion et l'élimination de la concurrence entre compagnies rivales. On a dit que ceci explique les étonnantes oscillations dans l'approche analytique qu'ont adoptée les organismes d'application à l'égard des communautés de brevets. L'introduction des Antitrust Guidelines for the Licensing of Intellectual Property par les autorités de la concurrence américaines marque un point tournant dans l'analyse des communautés de brevets, reflétant le fait que les lois de la propriété intellectuelle et celles de la concurrence sont, en réalité, complémentaires en ce qu'elles tendent toutes les deux à améliorer l'innovation et la concurrence. Se basant sur ces lignes directrices, les agences ont identifié les problèmes potentieis et ont offert un certain nombre de directives et de recommandations sous forme de lettres de revue (Business Review Letters) pour aider ceux qui entendent constituer des communautés de brevets à éviter d'enfreindre la Loi. Toutefois, une révision de certaines de ces lignes directrices démontre que, suivies d'une façon inconsiderées, sans égard aux circonstances particulières, elles peuvent avoir un impact négatif sur l'innovation et l'industrie. Quatre sections ont été mises en évidence où les règles doivent être clarifiées et nuancées, à savoir la doctrine de l'essentialité, les droits d'exclusivité, les services indépendants délivrant les licences et les clauses de rétrocession. Nous soutenons que les règles adoptées par les autorités de la concurrence sont trop rigides et qu'une approche plus nuancée est nécessaire pour atteindre un résultat optimal, à la fois pour la concurrence et pour l'innovation.

Neste trabalho investigamos os determinantes da adesão de países a dois tratados internacionais de patentes: A Convenção de Paris e o Tratado de Cooperação de Patentes (TCP). Por meio de um modelo hierárquico Bayesiano, apresentamos evidências de que fatores domésticos são importantes para predizer adesão aos tratados estudados. Porém, quais fatores são importantes dependem do tipo de tratado. Para o TCP, que é um tratado que visa reduzir custos de transação, a legislação doméstica de patentes não é relevante. Para a Convenção de Paris, que limita as opções de política na área de patente, a legislação doméstica é fator relevante. Nós mostramos também que os ganhos diretos de participar dos tratados, medido pelo número de patentes no exterior, é uma variável importante e positivamente associada à probabilidade de adesão a ambos os acordos. Apresentamos ainda evidências de que variáveis sistêmicas são importantes e que as mudanças no sistema internacional nos últimos 30 anos são fatores importantes para explicar a adesão. / In this paper we investigate the determinants of the accession of two international patent treaties: the Paris Convention and Patent Cooperation Treaty (PCT). Through a Bayesian hierarchical model, we present evidence that domestic factors are important in predicting accession to the treaties studied. However, what factors are important depends on the type of treaty. For TCP, which is a treaty aimed at reducing transaction costs, the domestic law of patents is not important. For the Paris Convention, which limits the options in the area of patent policy, domestic law is a relevant factor. We also show that the direct gains from participating in treaties, as measured by the number of patents abroad, is an important variable and positively associated with the likelihood of ratification to both agreements. We also present evidence that systemic variables are important and that changes in the international system over the past 30 years are important factors to explain the membership to the treaties.

A mudança nas relações funcionais entre os agentes da indústria da construção civil, a velocidade dos avanços tecnológicos e a intensa competitividade entre os escritórios de arquitetura evidenciam uma necessidade crescente de organização do processo de projeto, cujo aprimoramento pode ser alcançado através do uso de metodologias sistemáticas. Entretanto, a ininteligibilidade e a falta de domínio do processo criativo do arquiteto resultam, muitas vezes, em sistemas metodológicos ineficazes, devido à deficiência de ferramentas que suportem a criatividade do projetista, na fase de concepção das idéias. A Teoria da Solução Inventiva de Problemas (TRIZ) é uma metodologia que direciona o processo criativo, através da proposição de Princípios Inventivos (PIs) e identificação de padrões na evolução dos sistemas. Conceituando a contradição como um elemento chave para a criação, é baseada em pesquisas de patentes mundiais de vários campos do conhecimento. Estudos preliminares, identificando diversos princípios da TRIZ em soluções arquitetônicas existentes, incentivaram-nos à exploração da metodologia na área da arquitetura, objetivo deste trabalho. Na tentativa de uma primeira validação do modelo, realizou-se um estudo de caso no Conjunto Residencial da USP (CRUSP), no qual a teoria foi utilizada para solucionar o problema de adequação da acessibilidade dos edifícios às pessoas portadoras de deficiência física. O estudo de caso demonstrou que a TRIZ é uma alternativa metodológica para a fase inicial do processo de projeto arquitetônico, à medida em que possui ferramentas para sistematizar o conhecimento do problema, delimitar o espaço de busca por soluções e sinalizar as idéias potencialmente relevantes. / The modification in the functional relationships among the project players of the building construction industry, the speed of technological advances and the strong competitiveness among the architectural offices are indications of a growing need for organization of the design process, whose improvement has been achieved through systematic methodologies. However, the unintelligibility and lack of management of the architect's creative process result, a lot of times, in ineffective methodological systems, caused by a deficiency of tools that support the designer's creativity in the phase of conceptual design. The Theory of Inventive Problem Solving (TRIZ) is a methodology that improves the creative process through the propositions of Inventive Principles (IPs) and identification of some patterns in the evolution of the systems. The theory considers the contradiction as the key element for innovation and it is based on researches about worldwide patents of several fields of knowledge. Preliminary studies identified several TRIZ Principles in existent architectural solutions and motivated us to the exploration of the methodology in this field, which was the goal of this work. In the attempt of a first validation of the model, a case study was accomplished in the Residential Building of Universidade de São Paulo (CRUSP), using TRIZ to solve the problem of adaptation of the buildings for accessibility by disabled people. The case study demonstrated that TRIZ is a methodological alternative for the early phases of architectural design process, because it includes tools to systematize the problem knowledge, to delimit the search space for solutions and to signal the ideas potentially relevant.

This thesis demonstrates that, while generally seen as a non-democratic activity, lobbying should in fact be viewed as an important part of democratic policymaking, providing valuable input into law and policy, particularly in areas where expertise is at a premium. Constructing a theoretical model of democracy and using the field of intellectual property as a focal point, the role of private actors is examined across a series of case studies: the 2011 Hargreaves Review of Intellectual Property and Growth, the 2010 Digital Economy Act, and the proposed 2002 EU Computer Implemented Inventions Directive. Each case study is based upon a combination of secondary sources and the first-hand experiences of certain actors involved and in each case the lobbying activity is critically evaluated in light of the features and normative conditions of the democratic model. This study ultimately shows both the positive aspects and negative aspects of lobbying from a democratic viewpoint, noting that the importance of stakeholder input into the law and policy that will affect those stakeholders is essential. It also shows, however, that equality of access to, and influence over, policymakers is far from satisfactory and that until such inequalities can be resolved, lobbying cannot be fully justified under my model of democracy.

Made available in DSpace on 2016-04-28T14:16:10Z (GMT). No. of bitstreams: 1 Yaeko Uehara.pdf: 949233 bytes, checksum: b086c6531163f7bb1f28bcf66eeba9fa (MD5) Previous issue date: 2010-10-27 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / This thesis aims to analyze the articulation and the relationship of public policies to encourage the scientific production in Brazil and the patent system in the period from the creation of the National Alcohol Program in 1980 until 2005. In this work there are two distinct periods: the intervention of the State, by means of centralized economic planning, and the period of deregulation, regulated by market laws. In this sense, this thesis focuses on the role of government as regulator and then enabling a policy of developing a local and exclusive renewable energy generation and the mutual relations between the different interests of social groups involved in this process. Also covers the history of science, technology and technical process of producing ethanol from sugarcane. Finally makes a mapping of patents granted to sugar cane and ethanol, as well as the final protections of the cultiving of sugarcane in the related period. The starting point was the assumption that the mapping of intellectual property granted in the period to sugarcane and ethanol in Brazil allows delineating the complex network interfaces of the various groups and institutions and their participation in development and consolidation of national science and technology. For this work the main government documents produced during the period, legislation and incentive mechanisms were analyzed. Simultaneously the records relating to patents from the database of the National Institute of Industrial Property were collected. From basic bibliography new developments concerning the relationship of science policy with patents and plant variety protection have been outlined / O objetivo desta tese é analisar a articulação e a relação das políticas públicas de incentivo, a produção científica no Brasil e o sistema de patentes, no período que vai da criação do Programa Nacional do Álcool em 1980 até 2005. A abordagem deste trabalho contempla dois períodos diferenciados: o de intervenção do Estado, por meio do planejamento econômico centralizado, e o período de desregulamentação, regulado pelas leis de mercado. Neste sentido, estuda o papel do governo enquanto regulador e posteriormente indutor de uma política de desenvolvimento autóctone na geração de energia renovável e as mútuas relações entre os diversos interesses dos grupos sociais envolvidos. Também aborda a história da ciência, tecnologia e técnica no processo de produção do álcool combustível a partir da cana de açúcar. E, finalmente faz um mapeamento das patentes de invenção concedidas para cana-de-açúcar e etanol, bem como as proteções definitivas de cultivares da cana, no período. Partiu-se da hipótese de que o mapeamento da propriedade intelectual concedida no período para a cana-de-açúcar e o etanol no Brasil permite delinear a complexa rede de interfaces dos diversos grupos e instituições e sua participação no processo de desenvolvimento e consolidação de uma ciência e tecnologia nacional. Para esta tese foram, inicialmente, analisados os principais documentos governamentais produzidos no período, legislação e os mecanismos de incentivos. Simultaneamente foi realizada a coleta de registros constantes do banco de dados do Instituto Nacional de Propriedade Industrial referente a patentes de invenções. A partir de bibliografia básica foram sendo delineados novos desdobramentos sobre o vínculo de políticas científicas com patentes e a proteção de cultivares

O presente estudo tem por objetivo investigar o contexto de geração de patentes, obtidas em processos de cooperação entre universidade-empresa, visando identificar eventuais impactos da pesquisa tecnológica na produção científica dos inventores da Universidade de São Paulo (USP). Parte do pressuposto que a análise das inovações patenteadas, no âmbito das atividades de cooperação universidade-empresa (U-E), pode fornecer indícios sobre a emergência de um novo modelo de inovação e identificar impactos paralelos da produção tecnológica na produção científica abrindo caminhos para a identificação de novos critérios para avaliação dos impactos da relação produção científica-produção tecnológica. Caracteriza-se como pesquisa exploratória, de abordagem qualitativa, onde duas categorias principais de dados foram coletados: dados sobre a tecnologia reivindicada e dados sobre os autores/inventores, por meio de consulta aos arquivos da Agência USP de Inovação, através do banco de patentes do Instituto Nacional de Propriedade Industrial (INPI) e do banco de dados de currículos da Plataforma Lattes, mantida pelo Conselho Nacional de Pesquisas (CNPq). Foram identificados 36 pedidos de depósito de patente USP em co-titularidade com empresa, sendo a amostra constituída por 23 pedidos fora do período de sigilo, com a participação de 75 inventores e 24 empresas, além de 01 agência de fomento e 01 universidade que não a própria USP. As atividades entre U-E analisadas permitem concluir sobre a existência desse novo modelo, no qual a universidade é peça chave no processo de inovação. A participação das empresas advém de quatro principais contextos: Pesquisa Contratada, Pesquisa Tecnológica, Orientação Acadêmica, Consultoria. Conclui-se que a atividade inventiva tem impactos positivos sobre a produção científica, propiciando produções qualificadas para publicação em periódicos e impactos quantitativamente positivos no desenvolvimento das atividades acadêmicas dos docentes envolvidos, bem como na ampliação das atividades de formação de novos pesquisadores. / This study aims to investigate the generation context of patents obtained in the cooperation process between the university-industry, to identify potential impacts of technological research in the scientific production of the inventors of the University of São Paulo (USP). It assumes that the analysis of patented innovations within the activities of university-industry cooperation, may provide clues about the emergence of a new innovation model and identify parallel impacts of technological production in the scientific production opening ways for the identification of new criteria for evaluation the impacts relationship of scientific-technological production. It is characterized as exploratory, qualitative approach, where two main categories of data were collected: data on the claimed technology and data about the authors / inventors, by consulting the archives of the USP Innovation Agency, through the patent database National Institute of Industrial Property (INPI) and the database of resumes of the Lattes Platform, maintained by the National Research Council (CNPq). We identified 36 patent applications being filed in USP co-ownership with the company, and the sample consisted of 23 applications out of the secrecy period, with the participation of 22 companies and 75 inventors, and 01 development agency and 01 non-university their own USP. Activities between the university-industry analyzed to conclude on the existence of this new model, in which the university is a key part in the innovation process. The involvement of business comes from four main contexts: \"Contract Research\", \"Technology Research\", Academic Orientation, and Consultancy. It is concluded that the inventive activity has a positive impact on scientific output, providing qualified productions for publication in journals quantitatively and positive development impacts of the academic activities of the teachers involved, as well as expanding activities in the training of new researchers.

O presente estudo tem por objetivo investigar o contexto de geração de patentes, obtidas em processos de cooperação entre universidade-empresa, visando identificar eventuais impactos da pesquisa tecnológica na produção científica dos inventores da Universidade de São Paulo (USP). Parte do pressuposto que a análise das inovações patenteadas, no âmbito das atividades de cooperação universidade-empresa (U-E), pode fornecer indícios sobre a emergência de um novo modelo de inovação e identificar impactos paralelos da produção tecnológica na produção científica abrindo caminhos para a identificação de novos critérios para avaliação dos impactos da relação produção científica-produção tecnológica. Caracteriza-se como pesquisa exploratória, de abordagem qualitativa, onde duas categorias principais de dados foram coletados: dados sobre a tecnologia reivindicada e dados sobre os autores/inventores, por meio de consulta aos arquivos da Agência USP de Inovação, através do banco de patentes do Instituto Nacional de Propriedade Industrial (INPI) e do banco de dados de currículos da Plataforma Lattes, mantida pelo Conselho Nacional de Pesquisas (CNPq). Foram identificados 36 pedidos de depósito de patente USP em co-titularidade com empresa, sendo a amostra constituída por 23 pedidos fora do período de sigilo, com a participação de 75 inventores e 24 empresas, além de 01 agência de fomento e 01 universidade que não a própria USP. As atividades entre U-E analisadas permitem concluir sobre a existência desse novo modelo, no qual a universidade é peça chave no processo de inovação. A participação das empresas advém de quatro principais contextos: Pesquisa Contratada, Pesquisa Tecnológica, Orientação Acadêmica, Consultoria. Conclui-se que a atividade inventiva tem impactos positivos sobre a produção científica, propiciando produções qualificadas para publicação em periódicos e impactos quantitativamente positivos no desenvolvimento das atividades acadêmicas dos docentes envolvidos, bem como na ampliação das atividades de formação de novos pesquisadores. / This study aims to investigate the generation context of patents obtained in the cooperation process between the university-industry, to identify potential impacts of technological research in the scientific production of the inventors of the University of São Paulo (USP). It assumes that the analysis of patented innovations within the activities of university-industry cooperation, may provide clues about the emergence of a new innovation model and identify parallel impacts of technological production in the scientific production opening ways for the identification of new criteria for evaluation the impacts relationship of scientific-technological production. It is characterized as exploratory, qualitative approach, where two main categories of data were collected: data on the claimed technology and data about the authors / inventors, by consulting the archives of the USP Innovation Agency, through the patent database National Institute of Industrial Property (INPI) and the database of resumes of the Lattes Platform, maintained by the National Research Council (CNPq). We identified 36 patent applications being filed in USP co-ownership with the company, and the sample consisted of 23 applications out of the secrecy period, with the participation of 22 companies and 75 inventors, and 01 development agency and 01 non-university their own USP. Activities between the university-industry analyzed to conclude on the existence of this new model, in which the university is a key part in the innovation process. The involvement of business comes from four main contexts: \"Contract Research\", \"Technology Research\", Academic Orientation, and Consultancy. It is concluded that the inventive activity has a positive impact on scientific output, providing qualified productions for publication in journals quantitatively and positive development impacts of the academic activities of the teachers involved, as well as expanding activities in the training of new researchers.

This paper investigates the effects of going public on firm innovation by comparing the innovation activities of firms that go public with firms that choose to not undergo an initial public offering (IPO) and remain privately held. Going public here is a transformation of a privately held firm into a public firm, i.e. the first time for the firm to publicly trade in stock markets. The combination of a propensity score matching (PSM) and a difference-in-difference (DiD) methods are adopted to measure the innovation trends in terms of patent applications. Using the patent-based metric, firm innovation increases following IPOs. Comparing to the innovation activities of privately held peers, going public can boost the patent growth rate of firms and delay the downward trend of patent growth in the two years following IPOs.

La question de l’accès aux médicaments fait l’objet d’une littérature importante autour de la collision entre desmodèles industriels fondés sur la protection de la propriété intellectuelle par les brevets et des systèmes de santégrevés par les prix élevés des médicaments.L’histoire de l’accès aux traitements antirétroviraux en Afrique du Sud depuis le début du XXIème siècle met enévidence le choc entre des modèles industriels fondés sur la propriété privée et la montée d’une coalition multiniveauxpromouvant le droit à la santé, choc qui atteint son paroxysme lors du très médiatisé « Procès de Pretoria »en 2000. Cette histoire traduit la difficile rencontre entre deux ordres juridiques internationaux sans pour autantfournir d’indice sur la façon dont la politique de couverture universelle en médicaments se construit concrètementen Afrique du Sud.Cette thèse élargit considérablement la question de la régulation du médicament en ne la cantonnant pas à uneexplication en termes d’opposition frontale entre une vision marchande et une vision sanitaire. L’étude de lapolitique du médicament sud-africaine trahit un écheveau de transactions entre le gouvernement et l’industrie quicontribuent à reformuler constamment les trois piliers du secteur du médicament : les systèmes de santé, lescapacités de production industrielle ainsi que les dynamiques de l’innovation.Les politiques du médicament doivent être lues à l’aune de ces interdépendances historiques et fondatrices de l’Etatcapitaliste sud-africain. La recomposition des priorités du gouvernement autour des impératifs de santé ne marquepar la rupture avec l’industrie pharmaceutique mais la reconfiguration de l’ensemble des relations entre la puissancepublique et l’industrie. L’enjeu de cette thèse est de remettre au centre les interactions entre la configuration despolitiques du médicament et la réorientation des modèles industriels pharmaceutiques. / Access to medicines has been at the core of an extensive literature. They usually highlight the collision betweenhigh-cost patented medicines promoted by industry and their increasing pressure on health spending.The timeline of access to antiretroviral treatments in South Africa since the beginning of the XXIth century castsa light on the struggles between industrial models based on private property and the rise of a multi-level coalitionwhich promotes the right to health. These struggles are epitomized by medias during the “Pretoria trial” in 2000.This case betrays the thorny encounter between two international bundles of rights without giving any clue on theconcrete construction of universal medicines coverage policy in South Africa.This thesis broadens the issue of medicines regulation by overcoming the contradictions between market and publichealth. It shows that government and industry keep strong contacts which have a deep impact on the three pillarsof the medicines sector: health systems, industrial capacities and innovation.Medicines policies emanate from these historical fundamental interdependences which are at the basis of statebuilding. The shift of governmental priorities towards public health does not entail the ostracism of pharmaceuticalindustry but the total reshaping of relations between public authorities and industry. What is at scope in this thesisare the links between the configuration of medicines policies and the mutation of pharmaceutical industrial models.