<p>The purpose of this dissertation is to explore how small and mid-sized enterprises (SMEs) can leverage open innovation to increase their economic viability and success in this modern, globalized post-industrial society marked by constant change and intense competition. To date, most open innovation research has focused exclusively on large companies, while neglecting the specific competitive challenges and strategies of SMEs. This dissertation evaluates the open innovation landscape from the vantage point of SMEs because these firms play a significant role in economies around the globe. Innovation is a crucial driver in their ability to survive, compete, and prosper. The dissertation author created three new models to explore the research topic. The first, the <i>Holistic Model of Innovation</i>, is useful to more fully understand the entire innovation landscape (both closed and open innovation as well as product and non-product innovations). This dissertation also presents the author&rsquo;s <i>SME Competitive Challenges Model </i>, which identifies the main size-related competitive hurdles that SMEs face (i.e., challenges related to a lack of resources, limited dynamic capabilities, and excessive risk exposure). Additionally, the author presents his <i>SME Open Innovation Strategies Model</i>, which evaluates various open innovation strategies for overcoming these competitive challenges. This dissertation presents a series of propositions based on these new conceptual models and tests them by conducting a systematic review, several meta-syntheses, a case study, and multiple statistical meta-analyses with data from 34,676 SMEs across dozens of industries in 27 countries. </p><p> <i><b>Keywords:</b></i> Small and Mid-Sized Enterprises (SMEs), Small Business Strategy, Global Open Innovation, Closed Innovation, Size-Related Competitive Challenges </p>

<p>Many critics have questioned whether the protection of the IPRs would benefit developing countries. It was argued in this paper that developing countires have the interest in protecting IPRs as well. However, it was showed that the benefit of this protection can be realized only if there is a fair rule of the game to all players in the multilateral trading system. The general objective of this research was to examine the current status of IPRs protection and the levels of TRIPS compliance by Rwanda in the area of copyright.</p>

Biological diversity is defined in Article 2 of the Convention on Biological Diversity as the variability among living organisms from all sources including terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part. This, includes diversity within species and of ecosystems. Biological diversity and its components is valuable in meeting the social, economic, scientific, educational and other human needs. Biological diversity is also important for revolution and maintaining of life sustaining systems of the biosphere. For many years biological resources were treated as coon heritage of mankind; free access was consequently accepted. Most of the genetic resources used for developing new products originated from developing countries in the South; on the other hand research and development in respect of new technologies is carried out mostly by firms in developed countries in the North. New products resulting thereof are subsequently protected by the intellectual property rights (IPR). It is now recognised that new products using biological resources benefit directly or indirectly from indigenous knowledge. Such knowledge is of significant value for the understanding of the natural environment and for sustainable use of natural resources. However, the contribution made by these communities does not receive the same recognition or protection as products which benefit from their knowledge. Existing IPR systems were not designed to extend benefits to indigenous knowledge. Changes in this area were necessitated by concerns about the significant reduction of biological diversity due to certain human activities. These concerns coupled with the recognition that issues of conservation of biological resources cannot be dealt with without addressing issues of equity in access to and sharing of both genetic resources and technologies, recognition of the role of indigenous and local communities, eradication of poverty and international co-operation among others. The Convention on Biological Diversity entered into force in 1993 as a global effort into addressing these issues. It is recognised in the Convention that access to and transfer of technology among members are essential elements for the attainment of its objectives. Parties are therefore called upon to facilitate access and transfer technologies that are relevant to conservation and sustainable use. Protection to IPR holders is provided by the requirements that access to and transfer of technology which is subject to patents and other IPR is to be provided on terms which recognise and are consistent with the adequate and effective protection of IPR. The relationship between environmental protection and IPR is thus made an important issue which may influence implementation of the Convention. This thesis focuses on the study of national and international IPR regimes and their role in implementation of the provisions of the convention. Limitations of these regimes are identified, recent developments in addressing these limitations are analysed and possible alternatives are proposed. This study purports to supplement global efforts to effectively implement provisions of the Convention. / Thesis (Ph.D.)-University of Durban-Westville, 1999.

This work will investigate the implementation of plant variety protection obligations that African states, and in particular South Africa, have to undertake under the various relevant international agreements, especially the Agreement on Trade Related Aspects of Intellectual Property Rights and the Convention on Biological Diversity. The property rights regimes set up in the different international instruments do not necessarily culminate in a coherent whole. While a trend towards the privatisation of plant genetic resources is evident and notable, continuous upholding of the sovereign rights of states over their natural resources is also present. In particular, this work will investigate the question of whether intellectual property rights support or undermine the objectives of the Convention on Biological Diversity. Article 27.3(b) of the Agreement on Trade Related Aspects of Intellectual Property Rights provides for the mandatory patenting of micro-organisms and microbiological processes. This provision has, however, been the source of much controversy and was inserted under the proviso that it be reviewed four years after the coming into force of the Agreement (i.e. 1999). To date, such review has not occurred. Accordingly, it will be argued that the obligation to implement the Agreement on Trade Related Aspects of Intellectual Property Rights in African Member States should be suspended pending the outcome of the review. This work will critically consider the effects that the introduction of patents over plant varieties are likely to have in Africa, focusing on the fulfilment of basic food needs for all individuals and the sustainable management of biological resources in African countries. It will be argued that African states should take advantage of the possibility of devising a property rights system adapted to their needs and conditions and should avoid any system involving the introduction of monopoly or exclusionary rights, such as patents or plant breeders' rights. / Thesis (LL.M.)-University of Natal, Durban, 2003.

The changing situation in the economic and social lives, various technological innovations and rising demand to protect intellectual property efficiently induce the passing of new international laws reglamenting intellectual property. The international reglamenting of intellectual property affects national law systems involving it. Progressive means of communication and information transmission as well as international and regional reglamenting of intellectual property leads to the globalization of the law of intellectual property. In this work there are analyzed international legislations, most affecting the globalization of the intellectual property law. There are shown the reasons of rise of such a phenomenon. There are shown fields in which the globalization of the intellectual property takes part and it is studied international agreements, conventions, directives of European Parliament and European Council, related to intellectual property. Attempting to perceive what is the globalization of the intellectual property and how does it affect national systems of law, it is studied several ways of international reglamentation of the objects of intellectual property - global and regional, and the demand of such a classification is shown as well. In the last part of this work it is analyzed the influence of the globalization of intellectual property over the national law systems. It is also studied how the globalization of the law of intellectual property affects the law... [to full text]

ABSTRACT Purpose - This thesis analyses, firstly, how the environment affects the use of intellectual property rights (IPRs) in firms. Secondly, the connections between IPRs and firm's openness with regards to partner, phase, and content variety; and lastly, how firm's environment modifies IPRS-firm's openness relationship. Methodology - Based on a survey for R&amp;D managers or similar job positions in 415 Swedish, Finish and Italian manufacturing firms, after obtaining the raw data, the results will be evaluated and discussed in reference to the theoretical framework. Results - The paper displays the correlation between formal IP mechanisms and firm's environment. In this way, the study exposes the common use of this kind of protection, on one hand, to deal with rising development technology costs and shortening product life cycles, and, on the other hand, in a technological environment. In addition, the work exhibits the value of IPRs in early phases and commercialization in the innovation process, regarding the need to acquire knowledge in creation, and safeguard R&amp;D to take profit from it. Finally, the paper establishes a linear correlation that shows as higher environmental dynamism that leads to lower use of IPRs under OI regime. Limitations - This thesis is focused on formal IP protection mechanisms, firm's environment, and firm's openness, without pay attention to informal IP protection ways, which for sure are linked. This analysis is, however a subject for further research. Keywords: Intellectual property Rights, Firm's openness, Firm's environment, Survey.

In the last 20 years, linguists and community members engaged in fieldwork with endangered languages have become increasingly aware of and vocal about the ethical dilemmas that potentially can, and often do, arise in work of this nature. One result of this can be seen in the reconceptualization of best practices and methodologies in linguistic fieldwork. There is a strong push towards collaborative, community-driven, and interdisciplinary forms of research, and a concomitant shift in the roles taken on by academic and community-based researchers. The shifts in roles in turn have led academics and community-members to rethink the responsibilities associated with these roles. The purpose of this thesis is threefold: firstly, to provide a description of a highly collaborative, community-driven project involving, as one of its components, the documentation of language associated with Traditional Ecological Knowledge (TEK); secondly, to consider and illustrate how the relative roles of academics and community participants have shifted and thirdly, to discuss responsibilities associated with the protection of the TEK documented through this work – knowledge that would not have been documented to the same extent if the project had not been collaborative and community-driven. These topics evolved from the knowledge and guidance of Kʷakʷaka'wakʷ Clan Chief Kʷaxsistalla (Adam Dick), as well as the ethnoecological/linguistic projects that this thesis is centred on. I propose that a) collaborative research that is community-steered can be supported by the Community-Based Language Research model developed by Czaykowska-Higgins (2009), b) within this emerging research framework unconventional research roles can be assumed by all participants, c) it is important to respect and protect the Traditional Ecological Knowledge recorded in research with Indigenous experts, and d) existing systems of Intellectual Property fall short in adequately protecting and respecting TEK. I conclude this study by relating these issues to larger movements occurring within linguistics and social science and humanities research in general. I suggest a move away from subscribing to the Intellectual Property system, and towards approaching language research through a human rights framework. The result of this thesis is an analysis of collaborative community-based language research with and within an Indigenous community in Canada. It will contribute to the ongoing discussions and evaluations of changing roles and responsibilities in field research in linguistics. / Graduate

Intellectual property rights (IPRs) are becoming increasingly important due to their inevitable link to technology and economic development. This highlighted role has resulted in the emergence and development of over-protections that are beyond the ideal scope of IPRs. As the scope of IPRs expands, competition concerns are also intensifying and, as a result, the interface between IP and competition law is expanding in new directions. To address these new developments, trans-Atlantic jurisdictions have developed new policies based on the general provisions of their competition laws. Canada’s current policy toward the IP/competition law interface is affected by the existence of a unique section in its Competition Act, section 32, which directly refers to the anti-competitive usage of IPRs. Despite section 32’s long presence in the Act and its role as a basis of the Competition Bureau’s analysis of the IP/competition law interface in Canada, this section has not been judicially considered to date. This thesis re-examines the role of section 32 and explores some of the reasons behind its current obsolescence. The main claim of this thesis is that the current interpretations of the role of section 32 are not as broad as envisaged in the statute. On the one hand, the Competition Bureau’s interpretation in the Intellectual Property Enforcement Guidelines (IPEGs) limits the scope of section 32 to the unilateral refusal to license IPRs. The approach that the Bureau has adopted toward the unilateral refusal to license is more in line with the American restrictive approach, which allows very limited scope for competition law interventions in the IP realm. From the author’s point of view, such a restrictive approach is not consistent with the underlying principles of Canadian competition policies. On the other hand, section 32 has not been amended since 1935. This has led to the generation of some procedural restrictions in the application of this section. The author claims that the procedural requirements of section 32 need to be amended in order to parallel the modernization of the Competition Act that has occurred over the last few decades. / Graduate

This research comprises a comparative study of Japanese and UK Intellectual Property (IP) management and an extension, informed by the study, of existing IP strategy frameworks. The research was prompted by observing that little has been written about IP management and that Japanese IP management might differ from that in the West due to differing economic, legal and technological circumstances. A literature review found IP related economics literature but little in English regarding IP management. The most relevant work was that by Teece concerning the combined role of complementary assets and intellectual property rights (IPRs). The present research's contribution is thus threefold. A detailed description of the development and nature of Japanese IP management. A comparison with UK IP management, putting Japanese IP management into an international context. Finally, a development of existing general IP Strategy frameworks informed by the results of the international comparison. In studying IP management in Japan a wide range of specialist literature in Japanese was studied. Interviews were held, those with Japanese IP managers, lawyers, government and NGO officials being in Japanese. The first comparative survey of UK and Japanese IP management formed a key source of the data collected. A response rate of 44% in Japan (211 replies) and 33% in the UK (259 replies) enabled comparisons by both size and sector. Many similarities were found between Japanese and UK attitudes to and practice of IP management, reflecting the similarity of the underlying issues in both countries. There were also significant differences between Japanese and UK companies especially in the extent and organisation of resources devoted to IP management, in attitudes to IP strategy, licensing, litigation, the filing of patent applications and in the use and management of patent information. The study provided the basis for developing a view of IP strategy as a dynamic management strategy process. This process occurs in a framework involving time and the control of technological scope and progress using IPRs and complementary assets. Other considerations involved comprise the ability to use resources to exploit markets fully and learning opportunities. The study of Japan's IP management and its development from a position of technological followership to that of still learning leadership thus provides a basis for a view of IP strategy as taking place in an integrated dynamic management framework.

This thesis investigates the impact of finance on technological innovation. In the first essay we study the causal relation between informativeness of stock prices and innovative efficiency. Using mutual fund flow-driven price pressure as an exogenous shock, we show that impairment of stock price efficiency diminishes innovative efficiency. In the year following the price-pressure shock, patents per R&D dollar drop by 4.7%, while citations are 26.2% lower. Consistent with market feedback, stock mispricing has a greater effect on innovative efficiency when there is less information available from other sources, such as insider information or peers' stock prices. We do not find evidence supporting alternative explanations such as the endogeneity of mutual fund trading, financing effect, managerial incentive, or shareholder short-termism. Overall, our findings show that stock markets improve real efficiency by providing useful market feedback. The second essay examines the implication of intellectual property protection (IP) to equity financing. Firms can protect IP by either keeping their inventions secret or seeking patent protection and disclosing the inventions. We expect the relative protection conferred by the methods to affect the choice between secrecy and patenting. Further, we expect the manner of IP protection to affect the information released by firms and, hence, their stock liquidity and cost of equity capital. For our empirical analysis, we rely on the exogenous passage of state-level statutes that strengthened trade secret protection. We show that stronger trade-secret protection increased opaqueness and reduced stock liquidity. Firms that raised equity capital after the enactment of trade secret statutes experienced more negative stock market reactions. By contrast, the implementation of the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS), that strengthened patent protection, improved the transparency and stock liquidity of patenting firms. After TRIPS the stock market reaction to equity offering by these firms was also less negative. Our findings suggest that stronger patent protection encourages more information disclosure and reduces financing frictions, while stronger secrecy protection induces opaqueness and makes equity financing more difficult. In the third essay, we show that corporate investment in R&D declines sharply following a financial-covenant violation, wherein creditors can use the threat of accelerating the loan to press for changes in firm policies. The reduction in R&D is more severe in firms with low R&D efficiency i.e., when firm R&D is less productive in terms of ROA and delivers fewer patents and citations. It is striking that, despite decrease in R&D, covenant-violating firms do not suffer a drop in innovative output (patents and citations-to-patents). These results highlight that lenders are judicious in exercising their control rights after covenant violations and suggest that bank financing can be a viable source of financing for innovative firms.