1. Triple Helix:
Catalyst for Change
Henry Etzkowitz

2. 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
Shift from Laissez Faire and Statist to hybrid model of intersecting Institutional Spheres

3. Statist Triple Helix
Government
Industry
University

4. Laissez-faire Triple Helix
Government
Laissez-faire Triple Helix
Industry
University

5. Interactive Triple Helix
Innovation at the
Intersection among
Institutional
Spheres
Government
Industry
University

6. Civil Society: Base of Triple Helix*
07/16/96
Government
University
Industry
Civil Society: Base of Triple Helix *

7. U-I-G Triple Helix
for Innovation
U-P-G Triple Helix
for Sustainability

8. U-I-G Triple Helix
for Innovation
U-P-G Triple Helix
for Sustainability

9. Academia: Competitive Advantage
UNIVERSITY
flow through of students
-new inventors
-new entrepreneurs
-new knowledge production
INSTITUTE
permanent staff depth of expertise

10. Generating Trust Among the Triple Helix
Problem: Isolation Among U-I-G
Solution: Creation of Intermediate Ties
Between Strong Ties of Kinship and Weak Ties of Information Exchange (Granovetter, 1973)
Response to Crisis or Opportunity
1920’s New England loss of Industry
Early days of Silicon Valley

11. Triple Helix Spaces

12. -Knowledge space
* Universities and Research Institutes Underutilized Potential
* Research Projects with economic and social relevance
* Decentralization after Mexico City Earthquake

13. - Consensus space * Fora to Generate Ideas and Strategies
* Triple Helix Meeting Place
e.g. New England Council; Niteroi Technopole; Amsterdam Knowledge Circle
* RIO: Regional Innovation Organizer

14. - Innovation space * Forming Dynamics for Innovation
* RII：Regional Innovation Initiator
* Hybrid Organizations, e.g.,
technology transfer offices, science parks,
incubators
accelerators
* Invention of Venture Capital Firm

15. Bi-Evolution of University Missions
Teaching: Individuals and Organizations
Research: Individual and Group
Economic and Social Development in the Region:
technology, spin-offs and start-ups
The First Academic Revolution
The Second Academic Revolution
late 19th century; ongoing
20th century; ongoing
The Research University
The Entrepreneurial University
research groups and centers
new firms and networks

16. The Entrepreneurial University
* Second Academic Revolution: entrepreneurship, incubation and firm-formation as third academic mission
* Entrepreneurial University is non-linear: can be built on a teaching as well as a research university base
* Entrepreneurial University is combinatorial: entrepreneurship and research integrated (firm and academic lab in one, e.g.4G at PUCRS) 16

17. 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

18. 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

19. Triple Helix Spaces
Linking knowledge, innovation, governance and leadership

20. Knowledge space
Pool of existing knowledge and the means of production of new knowledge
Prerequisite: reach critical mass of research resources to generate growth
Potential: Universities, Firm R&D units and Research Institutes (often underutilized)
E.g. 1980s post-earthquake decentralization of Mexico City R&D institutes (R. Casas)

21. Consensus space
Neutral ground to Generate Ideas and Strategies - Triple Helix Meeting Place
Formal and informal networks support new innovation projects
Leadership by various Triple Helix actors

22. Innovation space Leadership: Regional Innovation Organizer
Creation of new and adaptation of existing hybrid organizations from elements of the TH spheres: e.g. Venture Capital Firm, Incubator, Science Park, ‘Company’ Universities
Renewal of Science Parks: foundation of technology-based universities

23. Triple Helix CirculationG G I I I

24. Professors of Practice (PoPs)
Turns traditional PoP model “on its head” from teaching to research
PoP Types:
Forward linear: faculty entrepreneurs moving ½ time to Industry
Reverse linear: Industry entrepreneurs (PhDs) moving ½ time to University
Entrepreneurial role models for students and faculty
Develop large-scale projects, strengthen ties with business, retain faculty entrepreneurs in university
Self-sustaining virtuous circle between University and Industry

25. Researchers of Practice (RoPs)
Link academic and business sides of university
1/2 time in Academic Unit e.g. Business School, Engineering, Medicine etc
1/2 time in Tech transfer office, incubator, science park
Junior faculty (assistant profs) mentored by PoPs
Hypothesis: more productive than traditional academics: two sources of inspiration (theory and practice)
PoPs + RoPs: seamless web from firm to university and from academic to business development

26. Novum Trivium Model for reform of undergraduate education
Update classical Trivium of grammar, rhetoric and dialectics
Structure:
A Traditional Discipline
Innovation and Entrepreneurship
Another Language and Culture

27. A Journal of University-Industry-Government Innovation and Entrepreneurship
Triple Open Access Goals:
Free to Readers
Free to Authors
Open to All Innovation Perspectives

28. Triple Helix conceptual axes
Institutional Spheres
Hybrid institutions at UIG interfaces:
U-I interface: TTOs, SPs, BIs, ILOs, JRCs, excellence centres);
U-G interface: university contracts & grants offices, academics’ advisory services to policy-makers;
I-G interface: chambers of commerce, professional associations, sectoral firm associations
Integrative
Spaces
Knowledge, Consensus and Innovation Spaces
Dissemination of innovation and best practice from local/regional to national/international level through networks of universities, firms, interface organisations
Regional Innovation Organizer (leadership)
Individual
Dynamics
Circulation of individuals within and among TH spheres:
dual roles of academics in U-I/U-G;
student internships in firms, government, training in firms for dissertations
TH education:
Students: Novum Trivium, TH PhD
Academics: PoPs, RoPs