Book of Abstracts
CHES FOR TH RESEARCH
149 THEORETICAL FOUNDATIONS AND METHODOLOGICAL APPROACHES FOR TH
RESEARCH
18.1 Evolution of Triple Helix, Derived Models, and Other Abstractions
Marcelo Gonçalves do Amaral¹, Andrea Aparecida da Costa Mineiro², Adriana Ferreira de Faria³, Iasmim Ribeiro de Abreu e Costa¹
¹Triple Helix Research Group Brazil / Fluminense Federal University, Brazil, ²Federal University of Itajubá, Brazil, ³Federal University of Viçosa, Brazil
PURPOSE
The research aims to analyze the evolution of Triple Helix as a theory
and a movement from 2003 onwards. In addition, it transits between
recent metaphors to explain the innovation system that ended up
being gathered under the same umbrella.
DESIGN / METHODOLOGY / APPROACH
This research study is essentially an essay based on literature review.
The review was not systematic but organized with previous publications
about TH model (AMARAL; MINEIRO; FARIA, 2022; MINEIRO et al., 2021;
MINEIRO, 2019). The content was also influenced by a TH revisionist
moment started in 2019 (CAI; ETZKOWITZ, 2020; LEYDESDORFF;
SMITH, 2022). Several authors have been re-discussing the model, its
influences, and its gaps, and proposing new arrangements aiming to
update the metaphor that best represents the current complexity of
the relationships between the economic actors of the second decade
of the 21st century (Amaral and Cai, 2021).
FINDINGS OR EXPECTED OUTCOMES
Since it began to be widespread, there have been attempts to
include new actors and helices in the original model. Etzkowitz and
Leyderdorff were initially quite reluctant to accept such interventions,
but later they understood that the model can receive interventions and
enhancements. Since then, they have been dialoguing with these new
versions, also understanding that science, as an open process, is built
interactively and iteratively. Therefore, the research shows variations
of the model with three, four, five, and six helixes, particularly the
Quadruple Helix, Quintuple Helix, and Triple Helix Twins (CARAYANNIS;
CAMPBELL; GRIGOROUDIS, 2021; ETZKOWITZ; ZHOU, 2006;
HARDIANTO et al., 2019; AMARAL; CAI, 2022), in addition to theoretical
discussions about an infinite number of helixes and new syntheses
such as EUTOHA and the neo-Triple Helix Model (CARAYANNIS;
CAMPBELL, 2022; CAI, 2022), constituting a broad overview of the
metaphors of the helix as a way of explaining the behavior of social
actors. It also shows practical applications of the model to support
users in their development.
ORIGINALITY / VALUE
This work is original in its scope including helices model variations
published between 2002 and 2022.
PRACTICAL / SOCIAL IMPLICATIONS
This study is essential for anyone
who
wants
understand the evolution of the TH model over the
twenty years from a theoretical and practical viewpoint.
to
last
DIRECTIONS FOR FURTHER RESEARCH / LIMITATIONS
In some respects, the TH model lost the enchantment it had ten or
twenty years ago, and many theorists and practitioners moved to morehelix models (AMARAL; MINEIRO; FARIA, 2022; CAI; LATTU, 2022). This
movement is related to the search for more adequate explanations for
the relationships that take place in the economy and society, but it also
has a certain aspect of fad, which science must analyze, but avoid. The
emergence of EUTOHA’s discussion or neo-Triple Helix Model open
new stream for research.
KEYWORDS (3-5)
Triple Helix; Quadruple Helix; Quintuple Helix; Triple Helix Twins,
EUTOHA; neo–Triple Helix Model.
REFERENCES
AMARAL, M.; CAI, Y. The Tribology of the Helixes: Relations between
Triple, Quadruple and Quintuple Helix Models. Triple Helix, 9(1):1-5,
2022. http://doi.org/10.1163/21971927-12340006
AMARAL, M.; CAI, Y. The Triple Helix Model and the Future of Innovation:
A Reflection on the Triple Helix Research Agenda. Triple Helix, 8(2):217
229, 2021. https://doi.org/10.1163/21971927- 12340004
AMARAL, M.; MINEIRO, A.; FARIA, A. As Hélices da Inovação: Interação
Universidade- empresa-Governo-Sociedade no Brasil. Editora CRV,
2022.
CAI, Y. Neo-Triple Helix Model of Innovation Ecosystems: Integrating
Triple, Quadruple and Quintuple Helix Models. Triple Helix, 9(1):76-106,
2022. https://doi.org/10.1163/21971927-bja10029
CAI, Y.; ETZKOWITZ, H. Theorizing the Triple Helix model: Past,
present, and future. Triple Helix, (7):189-226, 2020. https://doi.
org/10.1163/21971927-bja10003
CAI, Y.; LATTU, A. Triple Helix or Quadruple Helix: Which Model of
Innovation to Choose for Empirical Studies? Minerva, 60:257-280,
2022. http://doi:10.1007/s11024-021-09453-6
CARAYANNIS, E.; CAMPBELL, D. Towards an Emerging Unified Theory
of Helix Architectures (EUTOHA) Focus on the Quintuple Innovation
Helix Framework as the Integrative Device. Triple Helix, 9(1):65-75,
2022. http://doi.org/10.1163/21971927-bja10028
CARAYANNIS, E.; CAMPBELL, D.; GRIGOROUDIS, E. Helix Trilogy: the
Triple, Quadruple, and Quintuple Innovation Helices from a Theory,
Policy, and Practice Set of Perspectives. Journal of the Knowledge
Economy, 2021. http://doi.org/10.1007/s13132-021-00813-x
CARAYANNIS, E.; CAMPBELL, D. ‘Mode 3’ and ‘Quadruple Helix’: toward
a 21st century fractal innovation ecosystem. International Journal of
Technology Management, 46(3-4):201-234, 2009.
CARAYANNIS, E.; CAMPBELL, D. Open Innovation Diplomacy and a
21st Century Fractal Research, Education and Innovation (FREIE)
Ecosystem: Building on the Quadruple and Quintuple Helix Innovation
Concepts and the “Mode 3” Knowledge Production System. Journal of
Knowledge Economy, 2:327-372, 2011.
ETZKOWITZ, H.; LEYDESDORFF, L. The dynamics of innovation: from
National Systems and “Mode 2” to a Triple Helix of university-industrygovernment relations. Research Policy, 29(2):109-123, 2000.
ETZKOWITZ, H.; ZHOU, C. Triple Helix twins: innovation and
sustainability. Science and Public Policy, 33(1):77-83, 2006.
FARINHA, L.; FERREIRA, J. Triangulation of the Triple Helix: A
conceptual framework. Triple Helix Association, 2013.
HARDIANTO, W.; SUMARTONO; MULUK, M.R. K.; WIJAYA, F. PentaHelix
Synergy on Tourism Development in Batu, East Java. International
Journal of Innovation, Creativity and Change, 10(6):137-149, 2019.
LEYDESDORFF, L. The Triple Helix, Quadruple Helix, ..., and an N-tuple
of Helices: Explanatory Models for Analyzing the Knowledge-based
Economy? Journal of Knowledge Economics, 3(1):25-35, 2012. https://
doi.org/10.1007/s13132-011-0049-4
LEYDESDORFF, L.; ETZKOWITZ, H. The Triple Helix as a Model of
Innovation Studies. Science & Public Policy, 25(3): 195-203, 1998.
LEYDESDORFF, L.; SMITH, H. L. Triple, Quadruple, and Higher-Order
Helices: Historical Phenomena and (Neo-)Evolutionary Models. Triple
Helix, 9(1), 2022. https://doi.org/10.1163/21971927- bja10022
MINEIRO, A. A Hélice Quádrupla e Quíntupla e seus Relacionamentos
em Parques Científicos e Tecnológicos Consolidados no Brasil.
Doctoral thesis (Business Management), Federal University of Lavras,
2019.
MINEIRO, A.; ARANTES, R.; VIEIRA, K.; CASTRO, C.; CARVALHO, E.;
AMARAL, M. Business practices for strengthening the quadruple and
quintuple helix: a study using structural equation modeling, International
Journal of Innovation Science, 2021. https://doi.org/10.1108/IJIS-022021-0049
MULYANINGSIH, H. Enhancing innovation in quadruple helix
perspective: The case of the business incubators in Indonesia.
International Business Management, 9(4):367-371, 2015. http://doi.
org/10.36478/ibm.2015.367.371
VIALE, R.; CAMPODALL’ORTO, S. An evolutionary Triple Helix to
strengthen academy- industry relations: suggestions from European
regions. Science and Public Policy, 29(3):154-168, 2002. http://doi.
org/10.3152/147154302781781029
150 THEORETICAL FOUNDATIONS AND METHODOLOGICAL APPROACHES FOR TH
RESEARCH
18.2 Revisiting, Rediscovering, and Rethinking Triple Helix
18.2 Revisiting, Rediscovering, and Rethinking Triple Helix
Marcelo Amaral¹, Marília Schocair²
¹Triple Helix Research Group Brazil / Fluminense Federal University, Brazil, ²São Paulo University, Brazil.
PURPOSE
This research revisits the literature of Henry Etzkowitz and Loet
Leydesdorff, mainly published between 1995 and 2003, which
presents the central concepts of the Triple Helix. The study aims to
present the model, seeking to go beyond the superficial but didactic
view of the three superimposed spheres. The model has complexities
and subtleties; and, therefore, a more in-depth look at the work of the
main authors, their use, and the understanding of the criticisms will
help the researchers to have a better comprehension of the theory and
how to use it.
DESIGN / METHODOLOGY / APPROACH
This effort is part of a project carried out since 2009 to map production
on the topic of university-industry-government linkages and build a
database. The TH database is a spreadsheet in MS Excel and has
approximately 4,000 items published in all Triple Helix Conferences,
Triple Helix Journal, and other sources. This database allows the use
of bibliometric analysis techniques and serves to study the evolution
of the academic movement. The members of the Triple Helix Research
Group Brazil reviewed a considerable part of the existing literature
produced on the topic and selected 258 scientific communications,
published between 1983 and 2021. Additionally, other documents
were accessed, many of them unfinished or original versions of later
published papers, collected by the Triple Helix Association. From the
analysis of this material, in many cases articles already read and cited
and, in other cases, using the floating reading technique, it was possible
to select 73 most relevant works. This material has been treated by
this research group since mid-2021. Eighteen of these articles were
discussed in depth in a master’s course and 54 were summarized.
FINDINGS OR EXPECTED OUTCOMES
This paper presents the Triple Helix model, from its antecedents, its
central concepts, and the discussions that it influences. Triple helix is
based in previous approaches (like university-business collaboration
and national innovation system), and it is supported by several
theories (like Simmel’s social geometry of triads interaction, Gaudens’
intermediaries’ properties, and Occam’s Razors). The model has a neo
institutional and neo-Schumpeterian approaches working together to
improve the comprehension of innovation phenomena. Thus, it is
possible to identify a research agenda based on the most relevant
ideas, unfinished ideas, and gaps found. It seems two ways to do
that. One in theoretical studies and a second one in comparative case
studies across countries. The role of the university in the society and
the transformation process to reach an entrepreneurial university; how
to measure linkages across actors and spheres; how transform this
metaphor in practical tool to be implement in companies and public
policies; are questions mapped and open to future research.
ORIGINALITY / VALUE
There are revisionist works by Triple Helix, but essentially done by the
main authors themselves. This is the first revisionist work conducted
in large scale. It discusses gaps in the model and proposes a research
agenda.
PRACTICAL / SOCIAL IMPLICATIONS
It is expected that this study will dialogue with active researchers in
the field and attract new brains to advance in theoretical solutions
that later allow advances in the real world in search of the prosperity
of society. For scholars working on the topic, the paper discusses
new horizons for research. Also, it is a good introduction for
those who want to know more about the topic. There’s no practical
or social implication in terms of policy or use of Triple Helix.
DIRECTIONS FOR FURTHER RESEARCH / LIMITATIONS
There is a clear lack of practical and useful tools to apply Triple Helix
in the public policy and in the companies. In terms of research, there
are several peripheral ideas, not developed, such as the movement of
people across the helices as a dynamic element (DZISAH; ETZKOWITZ,
2008) and the transformation of spheres into spaces (ETZKOWITZ;
RANGA, 2010). There were efforts to try to position Triple Helix as a
recipe for exiting economic crises (RANGA; ETZKOWITZ, 2012), but the
lack of more normative and predictive content limited and continues to
limit such use. More recently, efforts have been observed to approach
topics such as open innovation (LEYDESDORFF; IVANONA, 2016)
and sustainability (CAI; ETZKOWITZ, 2020). These efforts bring us to
the discussion about the inclusion of new helices. Another idea, the
financial sector as a helix, appears in the literature due to the relevance of
venture capital and state funding in the innovation process. This is a
subject that can be further discussed.
KEYWORDS (3-5)
Triple Helix; university-industry-government; entrepreneurial university.
REFERENCES
AMARAL, M.; MINEIRO, A.; FARIA, A. F. As Hélices da Inovação:
Interação Universidade- empresa-Governo-Sociedade no Brasil.
Editora CRV, 2022.
CAI, Y. Neo-Triple Helix Model of Innovation Ecosystems: Integrating
Triple, Quadruple and Quintuple Helix Models. Triple Helix, 9(1):1-31,
2022. http://dx.doi.org/10.1163/21971927-bja10029.
CAI, Y.; ETZKOWITZ, H. Theorizing the Triple Helix model: Past,
present, and future. Triple Helix, 7(2-3):189-226, 2020. https://doi.
org/10.1163/21971927-bja10003.
DZISAH, J.; ETZKOWITZ, H. Triple Helix Circulation: The Heart of
Innovation and Development. International Journal of Technology
Management & Sustainable Development, 7(2):101-115, 2008. https://
doi.org/10.1386/ijtm.7.2.101_1
ETZKOWITZ, H. MIT and the Rise of Entrepreneurial Science. London:
Routledge, 2002.
ETZKOWITZ, H.; DZISAH, J. Professors of Practice and the
Entrepreneurial University. International Higher Education, 10-11, 2007.
https://doi.org/10.6017/ihe.2007.49.7989
ETZKOWITZ, H.; LEYDESDORFF, L. The Endless Transition: A "Triple
Helix" of University-Industry-Government Relations. Minerva, 36(3):203208, 1998. https://doi.org/10.1023/A:1017159001649
ETZKOWITZ, H.; LEYDESDORFF, L. The Dynamics of Innovation:
From National Systems and “Mode 2” to a Triple Helix of University–
Industry–Government Relations. Research Policy, 29(2):109- 123,
2000. https://doi.org/10.1016/S0048-7333(99)00055-4
FARINHA, L.; FERREIRA, J. Triangulation of the Triple Helix: A
conceptual framework. Triple Helix Association, 2013.
LEYDESDORFF, L. The Triple Helix, Quadruple Helix, ..., and an N-Tuple
of Helices: Explanatory Models for Analyzing the Knowledge-Based
Economy? Journal of the Knowledge Economy, 3(1):25-35, 2012.
https://doi.org/10.1007/s13132-011-0049-4
LEYDESDORFF, L.; ETZKOWITZ, H. The Future Location of Research:
A Triple Helix of University-Industry-Government. EASST Review,
15(4):20-25, 1996a.
LEYDESDORFF, L.; ETZKOWITZ, H. Emergence of a Triple Helix of
University-IndustryGovernment Relations. Science and Public Policy, 23(5):279–286,
1996b. https://doi.org/10.1093/spp/23.5.27
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Marcelo Amaral