Open innovation opens up organizational boundaries so that a company can use and combine internal and external knowledge to develop and commercialize its own innovations, and can take its internal knowledge to market through external channels to generate additional value. There are many studies on large companies that use open innovation in order to develop their products, and keep up with rapid economic changes which affect their businesses. However there are not many studies on small- and medium-sized enterprises (SMEs) in terms of open innovation. SMEs are crucially important in global economy and innovation. They account for a large proportion in the global economy and create a large number of employment opportunities. They are more innovative than larger companies due to their flexibility and ability to quickly and efficiently integrate inventions created by their development activities. Nonetheless they lack of resources and appropriate structures. Accordingly innovation processes and strategies used for product development by large companies may not be appropriate for them. This study examines if SMEs should adopt open innovation activities for their product development and suggests that SMEs should adopt open innovation activities as complementary approaches to their internal R&D for their product development.

Open innovation (OI) is currently being applied as a new mode for firms to utilise both internal and external resources for R&D and new product developments. Investigating the impact of OI on China's high-tech firms is becoming increasingly important. Under the guidance of China's national innovation policy and the rise of innovation in high-tech industries, OI is regarded as having a positive impact on the competitiveness of Chinese firms and as bringing a significant innovation outcome. By utilising and integrating external knowledge and resources, OI can promote high-tech firms' R&D development in China's current transitional environment. A key objective of this thesis is to examine the overall relationship between locational factors, ambidexterity in OI and innovation performance given absorptive capacity (ACAP). The thesis reviews the current literature regarding OI, ambidexterity in OI, the cluster effect and ACAP and then integrates these lenses to build links for constructing a new model of the research. This includes the relationships between locational factors, ambidexterity in OI and innovation performance. It also examines the moderating effect of ACAP and, more importantly, the mediation effect of ambidexterity in OI on the relationship between locational factors and innovation performance. The findings of the thesis reveal that locational factors positively affect ambidexterity in OI, while ACAP positively moderates the relationship between the two factors. In addition, ambidexterity in OI - an optimal combination of inbound and outbound OI - can significantly influence innovation performance and is crucial to the ambidextrous conduction of firms. ACAP also positively moderates the relationship between ambidexterity in OI and innovation performance. Finally, ambidexterity in OI can mediate the relationship between locational factors and innovation performance, and ACAP moderates the overall relationship between locational factors, ambidexterity in OI and innovation performance. This thesis makes a number of contributions to the existing OI literature. First, building on the cluster perspective, the thesis contributes to the literature on OI by recognising the influence of locational factors on the balance in OI. The examination of ACAP also contributes to the literature by highlighting the contingent value of ACAP on the relationship between locational factors and the balance in OI. Second, the thesis contributes to the OI literature by bringing a greater conceptual clarity to the view of balance. A more balanced portfolio can bring better innovation performance than those that are less balanced. The thesis also enriches the knowledge in the relationship between the balance in OI and innovation performance, which demonstrates the moderating effect of ACAP on this relationship. Third, the study conceptualises the balance in OI that mediates the relationship between locational factors and innovation performance. It is a key contribution to the existing OI literature by advancing our understanding of the overall relationship among locational factors, the balance in OI and innovation performance.

A presente dissertação busca analisar os aspectos subjacentes à emergência de um novo paradigma no que tange à inovação: open innovation (ou inovação aberta). Tendo em vista que o estudo comporta a necessidade de conceituação, importa observar que atualmente o conhecimento se mostra difundido entre inúmeras fontes. Sendo assim, a ideia de uma estrutura totalmente vertical e autossuficiente de pesquisa e desenvolvimento, inerente aos modelos fulcrados no paradigma anterior (closed innovation ou inovação fechada), vem dando lugar à crença de que ideias valiosas podem surgir tanto internamente quanto externamente, da mesma maneira que as inovações resultantes das atividades empresariais podem chegar ao mercado por caminhos internos e externos. Essa abordagem atribui grande relevância ao intercâmbio de conhecimento e à perspectiva colaborativa, destacando como principal vantagem a diminuição dos custos com pesquisa e desenvolvimento. Dentre os vários pontos de distinção entre os referidos paradigmas encontra-se a função a ser desempenhada pela propriedade intelectual. Por conseguinte, o objetivo desta dissertação consiste em investigar como a propriedade intelectual funciona dentro da lógica pela qual se orienta a inovação aberta, isto é, se ela impede o fluxo de conhecimento entre os diversos agentes do mercado envolvendo tecnologia ou, ao contrário, se a proteção formal desses ativos intangíveis é o elemento que permite tal intercâmbio. Nesses termos, busca-se demonstrar que as sociedades empresárias adotantes desse modelo aberto abordam a questão da titularidade de direitos de propriedade intelectual como ponto crucial à consecução de práticas baseadas em inovação aberta, as quais se instrumentalizam a partir de contratos formais. Importa observar que, através de uma metodologia científica de análise de conteúdo, toda a investigação em curso se perfaz tendo em conta a empresa enquanto conceito dinâmico dentro do contexto da manifestação do mercado como um fenômeno poliédrico, o qual, em se tratando de temas como propriedade intelectual, será orientado para a inovação. Desta feita, a conclusão da pesquisa indica que os direitos da propriedade intelectual são importantes ativos em uma lógica de open innovation, pois esta não advoga a extinção da propriedade intelectual, mas a flexibilização de sua exploração. / This dissertation aims to analyze the underlying aspects regarding the emergence of a new paradigm in terms of innovation: open innovation. Given that the study demands conceptualization, it is important to notice that, currently, knowledge is diffused among various sources. Thus, the idea of a vertical and self-sufficient structure of research and development, inherent to the business models based on the previous paradigm (closed innovation) is being substituted by the believe that valuable ideas may come from inside and outside the company. Likewise, innovations resulting from the business activities may find their way to market from internal or external paths. This approach assigns great importance to knowledge exchange and collaborative perspective, and also highlights the advantage of a decrease on costs of research and development. Among the numerous elements of distinction between the two referred paradigms is the role played by intellectual property. Therefore, the aim of this dissertation is the investigation on how intellectual property works in an open innovation oriented logic, that is, if it prevents the knowledge flow between the several agents of technology market, or, instead, if the formal protection of intangible assets enables such exchange. Thereby, the present work seeks to demonstrate that firms involved with open innovation practices address the issue of intellectual property ownership as crucial to the development of their business with great use of formal contractual instruments. It shall be noticed that through a methodology consisting in content analysis all this investigation is conducted taking into account the enterprise as a dynamic concept inside the context of the market as a manifestation of a polyhedral phenomenon which, regarding intellectual property, shall be oriented towards innovation. Thus, the conclusion of the present research indicates that intellectual property rights are important assets when it comes to an open innovation landscape since it does not advocates intellectual propertys extinction, but an easing regarding its profiteering.

A presente dissertação busca analisar os aspectos subjacentes à emergência de um novo paradigma no que tange à inovação: open innovation (ou inovação aberta). Tendo em vista que o estudo comporta a necessidade de conceituação, importa observar que atualmente o conhecimento se mostra difundido entre inúmeras fontes. Sendo assim, a ideia de uma estrutura totalmente vertical e autossuficiente de pesquisa e desenvolvimento, inerente aos modelos fulcrados no paradigma anterior (closed innovation ou inovação fechada), vem dando lugar à crença de que ideias valiosas podem surgir tanto internamente quanto externamente, da mesma maneira que as inovações resultantes das atividades empresariais podem chegar ao mercado por caminhos internos e externos. Essa abordagem atribui grande relevância ao intercâmbio de conhecimento e à perspectiva colaborativa, destacando como principal vantagem a diminuição dos custos com pesquisa e desenvolvimento. Dentre os vários pontos de distinção entre os referidos paradigmas encontra-se a função a ser desempenhada pela propriedade intelectual. Por conseguinte, o objetivo desta dissertação consiste em investigar como a propriedade intelectual funciona dentro da lógica pela qual se orienta a inovação aberta, isto é, se ela impede o fluxo de conhecimento entre os diversos agentes do mercado envolvendo tecnologia ou, ao contrário, se a proteção formal desses ativos intangíveis é o elemento que permite tal intercâmbio. Nesses termos, busca-se demonstrar que as sociedades empresárias adotantes desse modelo aberto abordam a questão da titularidade de direitos de propriedade intelectual como ponto crucial à consecução de práticas baseadas em inovação aberta, as quais se instrumentalizam a partir de contratos formais. Importa observar que, através de uma metodologia científica de análise de conteúdo, toda a investigação em curso se perfaz tendo em conta a empresa enquanto conceito dinâmico dentro do contexto da manifestação do mercado como um fenômeno poliédrico, o qual, em se tratando de temas como propriedade intelectual, será orientado para a inovação. Desta feita, a conclusão da pesquisa indica que os direitos da propriedade intelectual são importantes ativos em uma lógica de open innovation, pois esta não advoga a extinção da propriedade intelectual, mas a flexibilização de sua exploração. / This dissertation aims to analyze the underlying aspects regarding the emergence of a new paradigm in terms of innovation: open innovation. Given that the study demands conceptualization, it is important to notice that, currently, knowledge is diffused among various sources. Thus, the idea of a vertical and self-sufficient structure of research and development, inherent to the business models based on the previous paradigm (closed innovation) is being substituted by the believe that valuable ideas may come from inside and outside the company. Likewise, innovations resulting from the business activities may find their way to market from internal or external paths. This approach assigns great importance to knowledge exchange and collaborative perspective, and also highlights the advantage of a decrease on costs of research and development. Among the numerous elements of distinction between the two referred paradigms is the role played by intellectual property. Therefore, the aim of this dissertation is the investigation on how intellectual property works in an open innovation oriented logic, that is, if it prevents the knowledge flow between the several agents of technology market, or, instead, if the formal protection of intangible assets enables such exchange. Thereby, the present work seeks to demonstrate that firms involved with open innovation practices address the issue of intellectual property ownership as crucial to the development of their business with great use of formal contractual instruments. It shall be noticed that through a methodology consisting in content analysis all this investigation is conducted taking into account the enterprise as a dynamic concept inside the context of the market as a manifestation of a polyhedral phenomenon which, regarding intellectual property, shall be oriented towards innovation. Thus, the conclusion of the present research indicates that intellectual property rights are important assets when it comes to an open innovation landscape since it does not advocates intellectual propertys extinction, but an easing regarding its profiteering.

Open innovation platforms are a tool to solve sustainability challenges through innovation. These platforms facilitate the collaboration among diverse stakeholders, which is challenging but necessary to solve complex sustainability challenges. However, there is little research on how to design open innovation platforms to support collaboration and feedback from platform members is needed to understand their viewpoints. The study aims to understand the perceived benefits and challenges of participants from sustainability-oriented open innovation platforms. Based on this, the study intends to provide guidance for designing these platforms to increase the benefits for its participants. To understand the different viewpoints better, a qualitative research design in the form of a case study was chosen. Data was collected from interviews with participants from the open innovation platform Climate-KIC and analysed with the help of the Framework method. The results emphasise that open innovation platforms must support their participants throughout the whole open innovation process. Special attention must be paid to the diversity of the participants that require different support from the platform based on their maturity level.

El objetivo del estudio fue explicar el estado del arte en sus diferentes posturas, las mismas que guardan relación con la implementación de la innovación abierta en las pymes. Numerosas investigaciones afirman que las prácticas de innovación abierta, ya es una tendencia, de modo que, es imperativo que las pymes no solo hagan uso esta implementación, sino que, por ser numerosas en el país, motiven al crecimiento empresarial. La presente investigación contempla las diversas posturas de innovación con estudios realizados desde el 2014 hacia el presente. Asimismo, la investigación muestra resultados beneficiosos en un cierto porcentaje de pymes, siendo estas contrarias para otros investigadores, donde muestran resultados no favorables y contrapuestos. Consecuentemente, ya que existe una controversia en la implementación de la innovación abierta para las pymes, no existe un protocolo establecido para implementar la innovación abierta en una organización, de modo que, da lugar a que otras empresas puedan imitar o improvisar procesos de adopción de empresas. / The objective of the study was to explain the state of the art in its different positions, which are related to the implementation of open innovation in SMEs. Numerous researches affirms that open innovation practices are already a trend, so it is imperative that SMEs not only make use of this implementation, but because they are numerous in the country, they motivate business growth. The present investigation contemplates the diverse positions of innovation with studies realized from the 2014 towards the present. Likewise, the research shows beneficial results in a certain percentage of SMEs, these being contrary to other researchers, where they show unfavorable and conflicting results. Consequently, since there is a controversy in the implementation of open innovation for SMEs, there is no established protocol to implement open innovation in an organization, so that it results in other companies being able to imitate or improvise processes of adoption of Business.

<p>It is visible in the innovation literature the tendency to evolve the innovation process into a moreopen and flexible model where innovators of all types can interact freely. This fairly recentparadigm known as Open Innovation is a phenomenon with still a considerable amount of opengaps and challenges. Therefore the question of how integration is achieved between differenttypes of outside innovators remains unanswered. Many organizations, some in more extent thanothers, are already applying Open Innovation within networks; however there is still not a clearunderstanding or a formal theory that describes the mechanisms that can help integrate theinnovation activities with other actors. To address this challenge, we conducted an exploratorystudy in 7 different organizations representing two types of innovators (private firms andacademic institutions) and a nexus agency that acts as an integrator between them. The first partof the results consist of an extensive list of 27 integration mechanisms applicable in openinnovation projects later categorized in 5 new main categories for their practical study anddiscussion. More abstractly, as relationships between these integration mechanisms and interorganizationalnetworks have not been analyzed yet, we want to propose a framework that canprovide an initial notion of their role and interaction in Open Innovation Projects. Thisframework is valuable to consider the applicability of the proposed integration mechanismscategories in different OI settings and supports the understanding of how the harmonization ofOI efforts occurs with different types of innovators. Having a framework of this typeconsiderably extends the understanding of integration in the Open Innovation field and providesas well a guide for organizations to identify how to integrate open innovation efforts.</p>

It is visible in the innovation literature the tendency to evolve the innovation process into a moreopen and flexible model where innovators of all types can interact freely. This fairly recentparadigm known as Open Innovation is a phenomenon with still a considerable amount of opengaps and challenges. Therefore the question of how integration is achieved between differenttypes of outside innovators remains unanswered. Many organizations, some in more extent thanothers, are already applying Open Innovation within networks; however there is still not a clearunderstanding or a formal theory that describes the mechanisms that can help integrate theinnovation activities with other actors. To address this challenge, we conducted an exploratorystudy in 7 different organizations representing two types of innovators (private firms andacademic institutions) and a nexus agency that acts as an integrator between them. The first partof the results consist of an extensive list of 27 integration mechanisms applicable in openinnovation projects later categorized in 5 new main categories for their practical study anddiscussion. More abstractly, as relationships between these integration mechanisms and interorganizationalnetworks have not been analyzed yet, we want to propose a framework that canprovide an initial notion of their role and interaction in Open Innovation Projects. Thisframework is valuable to consider the applicability of the proposed integration mechanismscategories in different OI settings and supports the understanding of how the harmonization ofOI efforts occurs with different types of innovators. Having a framework of this typeconsiderably extends the understanding of integration in the Open Innovation field and providesas well a guide for organizations to identify how to integrate open innovation efforts.

This study looks at Open Innovation in Research and Development projects and explores the nature of collaboration and leadership characteristics. Thereby perspectives of both industrial and academic partners are considered, focusing primarily on the project level of the collaboration. It is based on the understanding that leadership plays a crucial role in bringing the partners successfully together, based on the prior understanding that academia and industry are potentially different in the nature, objectives and working dynamics of research and development.   This thesis begins with examining the existing literature on the concept of Open Innovation, including benefits and drawbacks of such projects. This leads to uncovering the managerial challenges that such projects encounter which can be mitigated by effective leadership. For this reason, relevant theories on leadership are explored, especially focusing on leadership in R&amp;D contexts, as these kind of projects have special requirements from leaders that differ from traditional projects.  This research is qualitative in nature and takes an abductive approach to theory. 18 semi-structured interviews were conducted, consulting with heads of R&amp;D departments from industrial companies, professors in charge of research labs at universities and representatives from intermediary organisations. The study is exploratory and cross-sectional in nature, as open innovation collaborations in Sweden, the UK and the Netherlands were in the centre of attention. The process of analysis implied the use of a template analysis, which provided the researchers with enough flexibility to code, categorize, and interpret necessary findings. The results show that the nature of Open Innovation collaborations differs from case to case, from mere contractual relationships to collaborative partnerships with a high level of interaction on a daily basis. The key motive for both partners is finance-based, as the universities gain access to funding and the company can save on research expenses. Additionally, companies benefit from access to academic expertise and from potential governmental funding.  Further, there is not a single leader in an industry-university collaboration, rather each entity has a leader of their own and collaborative working is fostered by them. It is deduced that no single leadership theory fits best in the operational level of R&amp;D open innovation functioning, rather it is a mixture of a few popular theories which were predominant in collaborative relationships. The characteristics of leaders in open innovation were deduced and autonomy, communication and joint problem-solving have a prominent role in furthering the R&amp;D collaborative relationship. As a result, a connection between leadership and Open Innovation collaborations was explored.

Sustainability has become an increasingly important aspect for companies to consider. Not only is it necessary to comply with laws and regulations that encourage corporate sustainability, but it has also become a way for companies to gain competitiveness. Historically, companies have primarily adopted so called closed innovation models focused on internal resources and capabilities, in order to generate competitive advantages. However, in a world characterized by rapidly changing demands and high product complexity, the internal capabilities of companies are challenged, which have led firms to explore other collaborative models of innovation. This trend is referred to as open innovation and it implies that companies open up their innovation process in order to utilize external knowledge and share their unutilized ideas. This thesis seeks to explore the sustainability-related implications of open innovation by understanding opportunities and challenges related to adopting an open approach for innovation projects that aim to enhance sustainability. Furthermore, it adopts a contingency perspective through which it seeks to examine factors affecting the sustainability-related performance of open innovation projects. The study is based on empirical data obtained through six semi-structured interviews in a Swedish state-owned enterprise within the air transport industry. The research finds that an open approach for sustainability-oriented innovation projects leads to increased creativity, increased access to knowledge and reduced duration, but that they are challenged by a high degree of complexity. Furthermore, the findings suggest that the sustainability performance of open innovation projects is moderated by three factors: the management of the project, the dedication of the individuals involved and the absorptive capacity of the team. The study argues that in order to enhance sustainability performance of innovation projects, these factors must be adjusted according to the openness of the project. By exploring the context dependencies of open innovation for sustainability purposes, the study contributes to develop a broader comprehension of the contextual characteristics of open innovation as well as its relevance for sustainability.