Triple HelixUniversities – Enterprises – State. Innovations in action

Henry Etzkowitz I International Triple Helix Institute, Palo Alto InstituteITH www.triplehelix.net

Triple Helix Thesis• University plays leading role in Knowledge-based

Society: shift from secondary to primary institutional sphere

• Taking the role of the other e.g., university forming firms; government as venture capitalist; industry raising training to higher levels

• Internal Transformation of University-Industry-Government (U-I-G) as well as relations among them

UNIVERSITY Research GroupInput: Students with new ideas Output: trained persons, knowledge, start-ups

GOVERNMENT INSTITUTEConcentrated focus; long term perspectivepermanent staff/ in depth expertise

FIRM R&D UNIT: Innovation objective ; scanning and project management expertise

UNIVERSITY CENTER: Hybrid Model; elements of academic group, firm R&D unit, Govt. Research Institute

Why the University?: Students as Competitive Advantage

- flow through of human capital

Statist Society

Government

IndustryAcademia

-Statist Spheres

• Government dominates other spheres

• Top-down bureaucratic co-ordination

• Large project mentality

• Industry: national champions

• University: primarily teaching institution

State

IndustryAcademia

Laissez-faire Society

-Laissez-Faire Spheres

• University: basic research and human resource provider

• Industry: Firms linked by market• Government: limited to addressing

market failures• Individualistic mentality; heroic

entrepreneur• Interface Units Across strong

boundaries

State

Industry

Academia

Hybrid Institutional Innovation at the Intersection of Institutional Spheres

Optimum Triple Helix

From Boundary Lines to Boundary Spaces

• Integrative Boundaries• Shift in Opposite directions depending upon Triple Helix Configuration • from Solid to Porous and from boundary absence to membrane with Selective and Assistive Features• Nantes Atlantapole• Stanford StartX• Chinese University Run Enterprises (URE’S) ->spinoffs

Free Association in Civil Society is the Launch Pad of an Optimum Triple Helix

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Regional Renewal Strategy

• Linking knowledge, innovation, governance and leadership

Regional Innovation Organizer

-Knowledge space

• Universities and Research Institutes

• Underutilized Potential

• Research Projects with economic and social relevance

• Decentralization after Mexico City Earthquake

-Consensus space

• RIO: Regional Innovation Organizer

• Fora to Generate Ideas and Strategies

• Triple Helix Meeting Place

e.g. New England Council; Niteroi Technopole; Amsterdam Knowledge Circle

-Innovation space

• Forming Dynamics for Innovation• RII： Regional Innovation Initiator• Hybrid Organizational Experiments

e.g. Technology transferoffices, science parks, incubators

• Invention of Venture Capital Firm

Regional Innovation Organizer (RIO)

• Takes the lead in bringing together triple helix actors in response to crisis or opportunity:

• President Compton of MIT: 1930’s New England • Stanford Provost and Firm CEO, 1990’s Silicon Valley• William Mcdonough, NY Federal Reserve Bank.

1990’s New York City• UFRJ Professor, Rio De Janeiro, 1990’s

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University MissionsThe First Academic Revolution late 19th century; ongoing The Research University research groups and centersThe Second Academic Revolution 20th century; ongoing The Entrepreneurial University new firms and networks

Bi-Evolution of University Missions

• Teaching: Individuals and Organizations

• Research: Individual and Group

• Economic and Social Development: Companies and Region

Entrepreneurial Universities

• MIT• Brownfield Site• mid 19th century• Public/private• Consulting Controversy• Invention of 1/5th rule• WW II Rad Lab• Invention of VC model• Mini-computer industry• Bio-tech follow-on

• Stanford• Greenfield Site• Late 19th century• Private• Create industrial

penumbra • Steeple of Excellence• Tech transfer strategy• Capitalise land;

invention science park

The evolution of the firm

• From hierarchical to flatter structures• R&D integrated into firm long-term strategy (3rd

Generation R&D)• R&D responsive to customer needs, integrated into

value chains (4th Generation R&D)• Knowledge-based start-ups with high-growth and

job creation potential (gazelles)• R&D alliances: from individual firms to networks of

large firms, SME’s and academic research groups in Joint R&D Centers research-based clusters

Government’s Positive Intervention

• Direct: Government -> Industry

• Indirect: Government ->University->Industry

• Government as a balance-wheel in downturn: Incentivising new industries as well as renewing old ones Counter-cyclical venture capital

Regional Innovation Policy

• Picking Winners e.g. UK structured competition

• Entrepreneurial University Development• Top Down/ Bottom Up Complementary Roles• E.g. Brazil Innovative Incubator Development

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Circulation of Knowledge in Triple Helix

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Triple Helix Association (THA)www.triplehelixassociation.org

• International Conference Series: Tsingua University Beijing, 21-23 August 2005; Theme ”Triple Helix in Fast Developing Countries

• Chapters: Russia, Greece, Brazil, South Asia

• Webinars, Thematic Research Groups

• Helice: Quarterly Magazine

• Triple Helix: A Journal of University-Industry- Innovation and Entrepreneurship, Springer: Triple Open Access:

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Triple HelixA Journal of University-Industry-Government Innovation and Entrepreneurship

Editor-in-Chief: Henry Etzkowitz

ISSN: 2197-1927 (electronic version) Journal no. 40604