Patent Strategies and R&D in Complex Product Industries

The study aims at providing a framework conceptualizing patenting activities under the condition of intellectual property rights fragmentation. Such a framework has to deal with the interrelated problems of technological complexity in the modern patent landscape. In that respect, ex-post licensing agreements have been incorporated into the analysis. More precisely, by consolidating the right to use patents required for commercialization of a product, private market solutions, such as cross-licensing agreements and patent pools help firms to overcome problems triggered by the intellectual property rights fragmentation. Thereby, private bargaining between parties as such cannot be isolated from the legal framework. A result of this analysis is that policies ignoring market solutions and only focusing on static gains can mitigate the dynamic efficiency gains as induced by the patent system. The evidence found in this thesis supports the opinion that legal reforms that aim to decrease the degree of patent protection or to lift it all together can hamper the functioning of the current system.

Nanoscale-electrical and optical properties of iii-nitrides

III-nitrides are wide-band gap materials that have applications in both electronics and optoelectronic devices. Because to their inherent strong polarization properties, thermal stability and higher breakdown voltage in Al(Ga,In)N/GaN heterostructures, they have emerged as strong candidates for high power high frequency transistors. Nonetheless, the use of (Al,In)GaN/GaN in solid state lighting has already proved its success by the commercialization of light-emitting diodes and lasers in blue to UV-range. However, devices based on these heterostructures suffer problems associated to structural defects. This thesis primarily focuses on the nanoscale electrical characterization and the identification of these defects, their physical origin and their effect on the electrical and optical properties of the material. Since, these defects are nano-sized, the thesis deals with the understanding of the results obtained by nano and micro-characterization techniques such as atomic force microscopy(AFM), current-AFM, scanning kelvin probe microscopy (SKPM), electron beam induced current (EBIC) and scanning tunneling microscopy (STM). This allowed us to probe individual defects (dislocations and cracks) and unveil their electrical properties. Taking further advantage of these techniques,conduction mechanism in two-dimensional electron gas heterostructures was well understood and modeled. Secondarily, origin of photoluminescence was deeply investigated. Radiative transition related to confined electrons and photoexcited holes in 2DEG heterostructures was identified and many body effects in nitrides under strong optical excitations were comprehended.

Nuove biotenologie per la produzione di piante micorrizate con tartufo

Il lavoro svolto durante questa tesi di dottorato pone le basi per lo sviluppo di nuove biotecnologie della micorrizazione di piante forestali con tartufi pregiati ed in particolare con Tuber magnatum. Durante questa tesi è stato possibile isolare e mantenere in coltura pura il micelio di T. magnatum, ad ottenere e descrivere le sue micorrize e quelle di altri tartufi “bianchi” (T. oligospermum, T. borchii) e a seguire l’evoluzione del micelio nel suolo utilizzando la tecnica della real time PCR. Sono stati disegnati primer specie specifici in grado di identificare T. oligospermum ed è stata verificata la possibiltà di utilizzare questi primers in PCR multiplex con quelli specifici di T. magnatum e di T. borchii già presenti in bibliografia, al fine di “scovare” sia frodi nella commercializzaione degli ascomi sia eventuali contaminazioni nelle piante micorrizate. Per migliorare lo sviluppo miceliare di tartufo abbiamo si è cercato di migliorare il mezzo nutritivo per la crescita del micelio utilizzando: fonti di carbonio diverse, estratti radicali di nocciolo e singole frazioni separate dagli stessi. Infine sono stati sviluppati protocolli di crioconservazione per miceli di tartufo. Gli estratti radicali sono in grado di stimolare le crescita miceliare del tartufo modello T. borchii e dimodificarne la morfologia ifale. Questo risultati sono stati confermati anche dall’aumento dell’espressione di geni CDC42 e Rho-GDI, due geni legati alla crescita apicale polarizzata delle ife dei funghi filamentosi. Inoltre è stato dimostrato che il mantenimento in coltura per numerosi anni dei miceli di tartufo provoca una perdita della capacità d’infettare le radici delle piante e quindi il loro potenziale utilizzo sia a scopo sperimentale sia a scopo colturale. Questo pone in risalto l’importanza della conservazione a lungo termine del materiale biologico a disposizione ed è stato dimostrato che la crioconservazione è applicabile con successo anche alle specie del genere Tuber.

Reputation, VC funding, and innovation: Evidence from the UK Micro and Nanotechnology sector

Startups’ contributions on economic growth have been widely realized. However, the funding gap is often a problem limiting startups’ development. To some extent, VC can be a means to solve this problem. VC is one of the optimal financial intermediaries for startups. Two streams of VC studies are focused in this dissertation: the criteria used by venture capitalists to evaluate startups and the effect of VC on innovation. First, although many criteria have been analyzed, the empirical assessment of the effect of startup reputation on VC funding has not been investigated. However, reputation is usually positively related with firm performance, which may affect VC funding. By analyzing reputation from the generalized visibility dimension and the generalized favorability dimension using a sample of 200 startups founded from 1995 operating in the UK MNT sector, we show that both the two dimensions of reputation have positive influence on the likelihood of receiving VC funding. We also find that management team heterogeneity positively influence the likelihood of receiving VC funding. Second, studies investigating the effect of venture capital on innovation have frequently resorted to patent data. However, innovation is a process leading from invention to successful commercialization, and while patents capture the upstream side of innovative performance, they poorly describe its downstream one. By reflecting the introduction of new products or services trademarks can complete the picture, but empirical studies on trademarking in startups are rare. Analyzing a sample of 192 startups founded from 1996 operating in the UK MNT sector, we find that VC funding has positive effect on the propensity to register trademarks, as well as on the number and breadth of trademarks.

The Effect of Support Measures on Involvement in Technology Transfer

The present PhD dissertation is dedicated to the general topic of knowledge transfer from academia to industry and the role of various measures at both institutional and university levels in support of commercialization of university research. The overall contribution of the present dissertation work refers to presenting an in-depth and comprehensive analysis of the main critical issues that currently exist with regard to commercial exploitation of academic research, while providing evidence on the role of previously underexplored areas (e.g. strategic use of academic patents; female academic patenting) in a general debate on the ways to successful knowledge transfer from academia to industry. The first paper, included in the present PhD dissertation, aims to address this gap by developing a taxonomy of literature, based on a comprehensive review of the existing body of research on government measures in support of knowledge transfer from academia to industry. The results of the review reveal that there is a considerable gap in the analysis of the impact and relative effectiveness of the public policy measures, especially in what regards the measures aimed at building knowledge and expertise among academic faculty and technology transfer agents. The second paper, presented as a part of the dissertation, focuses on the role of interorganizational collaborations and their effect on the likelihood of an academic patent to remain unused, and points to the strategic management of patents by universities. In the third paper I turn to the issue of female participation in patenting and commercialization; in particular, I find evidence on the positive role of university and its internal support structures in closing the gender gap in female academic patenting. The results of the research, carried out for the present dissertation, provide important implications for policy makers in crafting measures to increase the efficient use of university knowledge stock.

Patent nonnuse: are patent pools as possible solution?

Studies have depicted that the rate of unused patents comprises a high portion of patents in North America, Europe and Japan. Particularly, studies have identified a considerable share of strategic patents which are left unused due to pure strategic reasons. While such patents might generate strategic rents to their owner, they may have harmful consequences for the society if by blocking alternative solutions that other inventions provide they hamper the possibility of better solutions. Accordingly, the importance of the issue of nonuse is highlighted within the literature on strategic patenting, IPR policy and innovation economics. Moreover, the current literature has emphasized on the role of patent pools in dealing with potential issues such as excessive transaction cost caused by patent thickets and blocking patents. In fact, patent pools have emerged as policy tools facilitating technology commercialization and alleviating patent litigation among rivals holding overlapping IPRs. In this dissertation I provide a critical literature review on strategic patenting, identify present gaps and discuss some future research paths. Moreover, I investigate the drivers of strategic non-use of patents with particular focus on unused strategic play patents. Finally, I examine if participation intensity in patent pools by pool members explains their willingness to use their non-pooled patents. I also investigate which characteristics of the patent pools are associated to the willingness to use non-pooled patents through pool participation. I show that technological uncertainty and technological complexity are two technology environment factors that drive unused play patents. I also show that pool members participating more intensively in patent pools are more likely to be willing to use their non-pooled patents through pool participation. I further depict that pool licensors are more likely to be willing to use their non-pooled patents by participating in pools with higher level of technological complementarity to their own technology.

Interfacial interactions, charge transport and growth phenomena in Organic Field Effect Transistors

Organic electronics is an emerging field with a vast number of applications having high potential for commercial success. Although an enormous progress has been made in this research area, many organic electronic applications such as organic opto-electronic devices, organic field effect transistors and organic bioelectronic devices still require further optimization to fulfill the requirements for successful commercialization. The main bottle neck that hinders large scale production of these devices is their performances and stability. The performance of the organic devices largely depends on the charge transport processes occurring at the interfaces of various material that it is composed of. As a result, the key ingredient needed for a successful improvement in the performance and stability of organic electronic devices is an in-depth knowledge of the interfacial interactions and the charge transport phenomena taking place at different interfaces. The aim of this thesis is to address the role of the various interfaces between different material in determining the charge transport properties of organic devices. In this framework, I chose an Organic Field Effect Transistor (OFET) as a model system to carry out this study as it An OFET offers various interfaces that can be investigated as it is made up of stacked layers of various material. In order to probe the intrinsic properties that governs the charge transport, we have to be able to carry out thorough investigation of the interactions taking place down at the accumulation layer thickness. However, since organic materials are highly instable in ambient conditions, it becomes quite impossible to investigate the intrinsic properties of the material without the influence of extrinsic factors like air, moisture and light. For this reason, I have employed a technique called the in situ real-time electrical characterization technique which enables electrical characterization of the OFET during the growth of the semiconductor.