Made available in DSpace on 2015-03-05T17:38:51Z (GMT). No. of bitstreams: 0 Previous issue date: 7 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / O sistema jurídico na modernidade identifica os bens produzidos intelectualmente como modalidade de propriedade privada, desde então, a patente foi o instrumento racionalmente criado para proteger uma invenção. Todavia a patente é um instrumento paradoxal, pois trata da apropriação privada sobre bens de natureza coletiva. No final do século XX, os direitos de propriedade intelectual foram (re)direcionados para o âmbito da OMC mediante o acordo TRIPS. Ao tratar os direitos de propriedade intelectual no âmbito do comércio internacional os Estados-membros da OMC, levando em conta os graves problemas sanitários globais, como a SIDA positivaram a Declaração de Doha como forma de apoiar a saúde pública em relação ao acesso aos medicamentos. Sustenta-se que ambos os sistemas, sanitário e patentário, são essenciais à sociedade global, todavia a própria sociedade coloca-se em risco toda vez que opta em padronizar o monopólio patentário para todos os setores de pesquisa. Garantir o acesso aos medicamentos a todos aque / The juridical system in the modernity identifies the goods produced intellectually as private property modality, and since then, the patent has been the instrument rationally created to protect an invention. However the patent is a paradoxical instrument, because it deals with the private appropriation of goods of collective nature. At the end of the 20th century the intellectual rights of properties were re-addressed to WTO’s scope by the TRIPS Agreement. When dealing with the intellectual rights of properties in the scope of the international commerce the WTO’s state-members, carrying into account the serious global sanitary problems, as AIDS legalized the Doha’s Declaration as a form of supporting the public health regarding the access to medication. It sustains that both systems, sanitary and patent, are essences to the global society, however the very society puts itself in risk every time it opts in standardize the patent monopoly for all the research sectors. To guarantee the access to the medicatio

No Brasil, o acesso aos recursos genéticos e conhecimentos tradicionais são regulamentados pela Medida Provisória n. 2186-16, de 2001. Essa regulamentação não foi capaz de conter a biopirataria, uma prática que data de tempos antigos, e cuja incidência é maior nos países megadiversos. O cupuaçu, objeto de estudo do presente trabalho, foi o primeiro caso de denúncia da biopirataria envolvendo um exemplar da biodiversidade brasileira, mas além dele, outros exemplares de nossa biodiversidade também tiveram seus nomes populares registrados como marca por empresas estrangeiras, entre os quais: o açaí, a copaíba e o jaborandi. Ante a importância do assunto e da escassez de estudos sobre o tema desenvolveu-se a presente pesquisa com o intuito de levantar, discriminar e analisar um conjunto de fatores responsáveis pela ocorrência de práticas de biopirataria tendo como referência o estudo de caso do cupuaçu. Entre os quais destacamos a inexistência de uma lei que configure a biopirataria como crime; a falta de fiscalização nas regiões com maior diversidade biológica; a burocratização gerada pela supramencionada Medida Provisória às pesquisas científicas brasileiras; as limitações dos órgãos responsáveis pela concessão de patentes; as lacunas geradas pela legislação internacional, representada pelo acordo Trips; o fator econômico, relativo ao rendimento econômico que a prática gera às empresas e instituições que se utilizam de recursos genéticos e conhecimento tradicional associado e o fator políticas públicas, dado à necessidade de políticas que valorizem o conhecimento tradicional das comunidades. Para seu combate, propomos formas de iniciativas sociais e políticas de conservação à biodiversidade e proteção ao conhecimento tradicional, onde destacam-se: o fortalecimento das unidades de conservação, principalmente as de uso sustentável por permitirem a presença humana, constituindo-se num importante mecanismo de proteção da nossa biodiversidade e das comunidades tradicionais; a multiplicação do projeto Aldeias Vigilantes: uma nova abordagem na Proteção dos Conhecimentos Tradicionais e no Combate à Biopirataria na Amazônia que visa levar à comunidade indígena um programa de caráter informativo, educativo e conscientizador sobre fatos envolvendo apropriação desautorizada de conhecimentos tradicionais e recursos biológicos da Amazônia, numa linguagem adequada à diversidade étnica e cultural de cada povo; a reflexão e aplicação da Carta dos Pajés de São Luis do Maranhão; o estímulo aos contratos de bioprospecção no Brasil; o incentivo à cooperação Sul-Sul (entre países do hemisfério sul). Além disso, elencamos os elementos necessários para a construção da legislação nacional de acesso e repartição de benefícios, sugeridos a partir das contribuições positivas identificadas nas legislações estrangeiras de acesso e repartição de benefícios; da aplicação das Diretrizes de Bonn; da construção de um sistema de patentes sui generis; aplicação das propostas da CPI da Biopirataria, além das contribuições obtidas com o processo do caso cupuaçu. / In Brazil, the access to the genetic resources and traditional knowledge are controlled by Medida Provisória n. 2186-16, of 2001. This regulation wasnt able to contain the biopiratary, a practice that dates from old times, and whose incidence is bigger in the megadiversos countries. Cupuaçu, object of study of the present work, was the first case of denunciation of biopirataria involving a sample of Brazilian biodiversity, but beyond it, other samples of our biodiversity had also their popular names registered as brands by foreign companies, among them there are: açaí, copaíba and jaborandi. In front of the importance of the subject and the shortage of studies on the subject was developed the present research with the intention to raise, discriminate and to analyze a set of responsible factors for the occurrence of the practice biopiratary having as reference the study of case of cupuaçu. Among them there are: the lack of a law that configures this biopiratary as crime; the lack of fiscalization in the regions with bigger biological diversity; the bureaucratization generated by the Medida Provisória against the Brazilian scientific research; the limitations of the responsible agencies for the concession of patents; the gaps generated for the international legislation, represented for the Trips agreement; the economic factor, relative factor to the economic income that the first practice generates the companies and institutions which use genetic resources and traditional knowledge and the public politics factor, to necessity of politicians that value the traditional knowledge of the communities. For this combat, we consider forms of social initiatives and politics of conservation to biodiversity and protection to the traditional knowledge, where they are distinguished: the strengthening of the units of conservation, mainly of sustainable use for allowing to the presence human being, consisting in an important mechanism of protection of our biodiversity and the traditional communities; the multiplication of the project \"Vigilant Villages: a new boarding in the Protection of the Traditional Knowledge and in the Combat of the Biopiratary in the Amazon\" that aims at taking the aboriginal community a program with informative character, educative and makes counscious on facts involving anauthorized appropriation of traditional knowledge and biological resources of the Amazon, in a suitable language to the ethnic and cultural diversity of each people; the reflection and application of the Letter of the Pajés of São Luis of the Maranhão; the stimulus to contract of bioprospecção in Brazil; the incentive to the cooperation South-South (between countries of the south hemisphere). Moreover, we identify the necessary elements for the construction of the national legislation of access and distribution of benefits, suggested from the positive contributions identified in the foreign legislations of access and distribution of benefits; of the application of Diretrizes of Bonn; the construction of a patentss system sui generis; application of the proposals of the CPI of the Biopiratary, beyond the contributions gotten with the process of the cupuaçus case.

A globalização propiciou que novas estruturas de empresas tomassem forma. Visando ampliar seus mercados, as maiores companhias do mundo começaram a internacionalizar suas atividades. As primeiras atividades a serem realizadas fora do país de origem foram as mais simples, como produção, comercialização e distribuição, no entanto, graças ao avanço da tecnologia, ações mais nobres puderam ser realizadas em outras regiões. Essas mudanças estruturais forçaram as empresas multinacionais a ampliar suas fronteiras tecnológicas, passando agora a pesquisar e desenvolver produtos e processos para o mercado global, mas sempre dando o merecido destaque às peculiaridades regionais que muitas vezes decidem quem terá sucesso. A força que a internacionalização das atividades de Pesquisa e Desenvolvimento tomou e sua importância tanto para o crescimento da companhia como para o desenvolvimento do país que recebe investimentos destinados a esse fim merecem ser estudadas. Com isso o objetivo desse trabalho é comparar o grau de internacionalização das atividades de P&D nas subsidiárias das empresas estrangeiras localizadas no Brasil com aquelas localizadas na Índia e na China através de indicadores de C&T. / The globalization propitiated that new structures of companies took form. Aiming at success in new markets, the biggest companies of the world started to internationalize its activities. The first activities to be made through of the native country ware simple, as production, commercialization and distribution, however, with the advance of the technologies, nobler actions could have been carried through in other regions. These structural changes forced the multinationals companies to extend its technological borders, passing to search and to develop products and processes for the global market, but giving the deserved emphasis to the regional peculiarities that many times decide who will have success.. The internationalization of the activities of Research and Development and its importance for the growth of the companies and for the development of the country that receives investments deserve to be studied. The objective of this dissertation is to compare the degree of internationalization of the activities of R&D in branch offices of foreign companies located in Brazil with those located in India and China using Science and Technology data.

Cette thèse étudie le rôle des brevets essentiels pour la coordination de l'innovation dans les standards des Nouvelles Technologies d'Information et de Communication (NTIC). Les firmes actives dans la standardisation ont réagi au défi de la marée de brevets essentiels en créant des mécanismes innovateurs de coordination, et notamment des consortia informels de standardisation et des pools de brevets. La thèse met en lumière le mécanisme d'appropriation original que représentent les brevets essentiels. Ce mécanisme peut cependant générer des incitations à recourir à des stratégies opportunistes. Les pools de brevets peuvent exacerber ces incitations, mais induisent également une augmentation du nombre de brevets déposés autour des standards technologiques. Les consortia informels ont un effet positif sur le nombre de brevets liés aux standards si les incitations à innover sont insuffisantes. L'effet des consortia est plus faible, voire négatif, si les incitations à innover sont excessives. Les brevets essentiels influencent le progrès technologique des standards, notamment en donnant lieu à un progrès plus continu, consistant dans de nombreuses mises à jour et évitant les remplacements de standards. / This thesis studies the role of essential patents for the coordination of innovation in ICT standards. The increasing number of essential patents around technological standards is an increasing challenge for standardizing firms. In response, these firms have developed innovative coordination mechanisms, and in particular patent pools and informal standards consortia. This thesis sheds light on the function of essential patents as a distinctive appropriation mechanism tailored to cumulative innovation. This mechanism can however induce incentives for opportunistic strategies, which can be even exacerbated by patent pools. Nevertheless, patent pools also lead to an increase in the number of patented technologies developed for technological standards. Informal consortia induce an increase in the number of standard-related patents when incentives to innovate are insufficient. When the incentives to innovate are excessive, the effect of consortia on the number of patents is weaker, or even negative. Essential patents have an incidence on the technological progress of standards. For instance, inclusion of essential patents induces a more continuous type of technological progress, consisting in many small standard updates, and avoiding discontinuous standard replacements.

This paper draws on evidence from Victoria to examine why more innovation takes place in some areas than in others. In so doing, it explores the relationship between innovation and networks. / Despite a large number of recent government policy statements on innovation, there has been very little attention paid to the spatial dimensions of innovation. / The literature on innovation increasingly points to the important role played by local and regional networks in driving innovation. Innovation is the result of the production, use and diffusion of knowledge, and this demands collaboration involving networks of individuals, organisations and institutions. / To test the theory of a connection between networks and innovation across regional Victoria, patent data is used as a proxy measure for innovation. This data is then cross-referenced with various social and economic data sets. / The analysis reveals that innovation in Victoria is substantially concentrated in ‘hot spots’ such as inner Melbourne. In some parts of Victoria very little innovation takes place at all. / This research has found that all things being equal, more innovation will take place in those areas in which there is a greater density of informal networks. However, not all types of networks are positive, and they are more important in provincial areas than in big cities. Innovation clearly has a spatial aspect, and innovation policy needs to give particular attention to the requirements of provincial areas.

<p>Computer programs must give a technical effect that goes beyond"normal physical interaction"to be considered to belong to a technical field. The invention shall be be susceptible of industrial application, which means that it should be possible to reproduce or use in any other industrial way. The reqirement that the invention shall be new means that the technique must not be previously known because of patents, published articles, etc. That an invention shall be a contribution to the state of the art in a technical field means that the invention shall not be obvious to invent for a person skilled in the art. Patents do effect the innovation among the inventers, but in most industries most inventions would be invented independent if there was a patent system or not. Only in pharmaceuticals- and chemicals industries, the patent is of a great importance. Patents are probably of lesser importance for the computer industry than for those industries, even though the industry is of great importance for many other industries and therefor, the patent system can be of great importance for some computer-implemented inventions as well. There is a risque the the competition is negatively affected by the patent system, becuase of the monopoly it gives. I believe, though, that the gain of the patent system compensates for the risque of imperfections in the market. The free movement for goods, persons, services and capital will probably not be affected if the proposal of the directive about patentibility of computer-implemented invention will get passed.</p>

Intellectual property, particularly patents, plays a major role in innovation and discovery in biotechnology. Likewise, since the passage of the Bayh-Dole Act in 1981, patents have become an increasingly important factor in U.S. university-driven basic research, especially in the life sciences where patented technologies have transformed agriculture. Specifically, this paper looks at the potential impacts of these trends on university driven research, the university researcher, the pharmaceutical industry, and the farm sector with an emphasis on recent and pending court cases and legislation. This paper examines policy and adoptions issues in biotechnology and biomedicine in depth and touches on important developments in the tech sectors as a back drop for pending legislation and recent court rulings. How policy is adopted, implemented and interpreted have profound impacts on food production, medical ethics, ecology, U.S. and international farm and innovation sectors and the competiveness of the U.S. in the global economy

Computer programs must give a technical effect that goes beyond"normal physical interaction"to be considered to belong to a technical field. The invention shall be be susceptible of industrial application, which means that it should be possible to reproduce or use in any other industrial way. The reqirement that the invention shall be new means that the technique must not be previously known because of patents, published articles, etc. That an invention shall be a contribution to the state of the art in a technical field means that the invention shall not be obvious to invent for a person skilled in the art. Patents do effect the innovation among the inventers, but in most industries most inventions would be invented independent if there was a patent system or not. Only in pharmaceuticals- and chemicals industries, the patent is of a great importance. Patents are probably of lesser importance for the computer industry than for those industries, even though the industry is of great importance for many other industries and therefor, the patent system can be of great importance for some computer-implemented inventions as well. There is a risque the the competition is negatively affected by the patent system, becuase of the monopoly it gives. I believe, though, that the gain of the patent system compensates for the risque of imperfections in the market. The free movement for goods, persons, services and capital will probably not be affected if the proposal of the directive about patentibility of computer-implemented invention will get passed.

The patent system has developed over a period of over 500 years. The initial motivation was a desire to import privately held technology to advance economic development, offering excluding and transferrable rights through licensing to “inventors” for the disclosure and perfection of their “contrivance” (invention). These rights have gradually developed to internationally accepted private property rights on technology and are today in many wayssimilar to physical assets, establishing, since 1883, the basis for an international system for trade in technology in its own rights. The thesis is a dual study of contract and mechanism design for experimental trading with patents. Experimental economics is used as a method to gather data on behavior, varying environmental and institutional parameters. An informal price theory is developed and tested. The experimental research adds to the static analysis literature by using a dynamic analysis in a behaviorally rich experimental system of specialized agents and competitive demand-side bidding on a linear contract, the “patent product.” The microeconomic system has primary and secondary markets, traders, and a linear contract on patents with limitedvalidity and uncertain values. The main results show that risks are shifted away from invention to innovation through demand-side bidding, including traders, creating incentives for increased technologycompetition and economic growth. When a linear contract – fixed fee plus royalty – is used totrade the patents, the fixed fee approaches the blocking value of the patent, in support of theproposed price theory (blocking formally similar to insurance). Such shift in risk bearing maybe beneficial for developing nations in leveraging their human capital through education andincreasing global market access through the patent system. The competitive bidding increasesthe dynamic market efficiency considerably, clearly indicating the dynamic value of the patentsystem. Market efficiency is however still low compared to other typical auction markets,suggesting further experiments to increase efficiency before it will be possible to provide helpful advice about what to do in the field. Dynamic gains increase with increased demandsidebidding and high patent validity. Tentative policy proposals are made for patent,development and innovation policy. The experiments have been carried out at the Interdisciplinary Center for Economic Science, George Mason University, USA. / QC 20100813

Der Erfolg von Innovationen ist unsicher. Wer Kapital in Innovationen investiert, möchte etwas über die Risiken wissen. Mit diesem Wissen können Fondsmanager von Venture-Capital-Gesellschaften ihre Investitionsentscheidung begründen und die Höhe ihrer Renditeforderung ermitteln. In der vorliegenden Arbeit wird untersucht, wie Patente über Investitionsrisiken von Venture-Capital-Beteiligungen informieren. Fondsmanager können die Patente der eigenen Portfoliounternehmen und die Patente der Wettbewerber nutzen, um systematisch Risiken in der Entwicklung ihrer Portfoliounternehmen zu erkennen und zu bewerten. Der Autor definiert und klassifiziert zunächst sowohl Patentdaten als auch Risiken. Er erklärt, wie die relevanten Informationen durch die Verknüpfung von Patentdaten, Risiken und Portfoliounternehmen entstehen und welche Rolle Indikatoren spielen. In der Hauptuntersuchung prüft er, durch welche Patentinformationen sich konkrete Gefahren erkennen lassen und welche Indikatoren sich zu diesem Zweck eignen. Für die Prüfung nutzt er in explorativer Weise die theoriebildende und empirische Literatur bisheriger Patentindikatorenforschung. Im Ergebnis zeigt sich, dass eine Reihe rechtlicher Risiken gut durch Patentinformationen erkennbar ist. Teilweise ist für ihre Bewertung jedoch nach wie vor qualitatives Fachwissen spezialisierter Patentanwälte unumgänglich. Risiken des technologischen Wandels lassen sich nach Meinung des Autors kaum durch Patentinformationen im Voraus erkennen. An einem Beispiel werden die theoretischen und methodischen Schwächen in der Literatur vorherrschender Technologielebenszyklusmodelle verdeutlicht. Wettbewerbsrisiken hingegen können mit Patentinformationen nicht nur gut erkannt werden, sondern die indizierenden Patendaten lassen sich auch statistisch gut erfassen, auswerten und direkt in Scoringmodelle übertragen. Abschließend hinterfragt der Autor kritisch die Zuverlässigkeit und Aussagekraft der Befunde durch grundlegende Klassifizierungsprobleme und gibt Anstöße für weiterführende Forschung auf dem Gebiet der Risiko- und Performancemessung von Venture-Capital-Investments. / The success of innovations is uncertain. People investing capital in innovations would like to know something about their risks. If fund managers of venture capital firms knew these risks, they would be able to justify their investment decisions and to determine the height of their claim for yield. In this thesis, the author examines how patents inform about investment risks of ven-ture capital participations. Fund managers can use those patents of their own portfo-lio companies and the patents of the competitors in order to recognize and evaluate risks systematically in the development of their ventures. First, the author defines and classifies both patent data and risks. He explains how the relevant information arises by linking patent data, risks and venture and he ex-plains the importance of indicators. In the main part of this thesis, he examines by which patent information concrete dangers could be recognized and which indicators are suitable to this purpose. For this examination, he uses theory grounding and em-pirical literature of past patent indicator research in an explorative way. It shows up that a couple of legal risks are well recognizable by patent information. However, in part, the qualitative knowledge of specialized patent lawyers is still needed. According to the author's opinion, risks of technological changes are hardly to recognize by patent information in advance. An example shows the theoretical and methodical weaknesses of the technology life cycle models, predominating in the lit-erature. However, competitive risks can be well recognized by patent information. Furthermore, the indicating patent data can be well seized statistically, evaluated and transferred directly in scoring models, too. Finally, the author discusses the reliability and explanatory power of the results using basic classification problems and gives hints for further research in the area of risk and performance measuring of venture capital investments.