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A Triple Helix of Academic-Industry-Government Relations: Development models beyond 'Capitalism versus Socialism'

Etzkowitz, H.; Leydesdorff, L.

Publication date 1996 Document Version Final published version Published in Current Science

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Citation for published version (APA): Etzkowitz, H., & Leydesdorff, L. (1996). A Triple Helix of Academic-Industry-Government Relations: Development models beyond 'Capitalism versus Socialism'. Current Science, 70(8), 690-693. https://www.jstor.org/stable/24097580

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A triple helix of academic-industry-government relations: Development models beyond Capitalism versus socialism'

Despite different development histories, Builthuis, the director of Philips R&D, The triple helix model a broad spectrum of societies, formerly discuss the relationship of the university conceptualized under the divergent ru- to an R&D intensive multinational cor- These two instances of academic brics of the first, second, and third poration. Not surprisingly, Philips looks industry and government-industry ties worlds, have formulated for personnel, discipline-based research exemplify older familiar bi-lateral for strategie's based upon the deliberate and possibly interdisciplinary research mats of technology and knowledge elaboration of academic-industry from academia but primarily relies on transfer. The thesis of a trilateral or relations through reflexive S&T poli- its own tightly-managed interdiscipli- 'triple helix'model of innovation is that cies. Newly industrializing, de- nary teams for innovation inputs into three institutional sectors (public, pri industrializing and re-industrializing its mass-consumption electronics prod- vate and academic) that formerly oper nations, somewhat to their surprise, find ucts. Nevertheless, even though its in- ated at arms length are increasingly that they share a mutual interest in fos- terests are practical, Philips maintains a working together, with a spiral pattern tering knowledge-based economic and focused basic research effort on silicon, of linkages emerging at various stages social developments requiring the a topic highly relevant to its technolo- of the innovation process. Start up firms creation of boundary spanning mecha- gies. are a common outgrowth of the three nisms. Frigas Gelegyi, director of the Zoltan sectors: arising from academic research How should one model the knowl- Bey Foundation in Hungary, discussed groups, national laboratories, and the edge infrastructure of such a global the Hungarian transition. The Zoltan laboratories of large corporations, system? We proposed to study this Bey is the successor organization to the There are four dimensions to the de complex system as a triple helix of uni- branch industrial research institutes velopment of the triple helix model: the versity-industry-government relations1. under the former socialist system; now first is internal transformation in each of A workshop in Amsterdam (3-6 January the remaining institutes are jointly the helices, such as the development of 1996) discussed the triple helix in vari- sponsored by government and industry lateral ties among companies through ous national and regional contexts. following the German Fraunhofer strategic alliances or an assumption of Ninety participants came from several model. Formerly, Gelegyi was pessi- an economic development mission by world regions including Latin America, mistic about a role for domestic R&D, universities. The second is the influence eastern Europe, western Europe, given the influx of foreign companies of one helix upon another, for example, north America, Australia, and southeast bringing their own technology. Al- the role of the US federal government in Asia. though these initial fears were partially instituting an indirect industrial policy realized; having entered the Hungarian in the Bayh-Dole Act of 1980. When scene, foreign companies soon ac- the rules of the game for the disposition Traditional bi-lateral dynamics quired Hungarian suppliers and of intellectual property produced from these local companies, having to update government-sponsored research were The Dutch Academy of Science and their technologies to meet higher changed, technology transfer activities Engineering adjacent to an Amsterdam standards, needed the support of the spread to a much broader range of uni canal, formerly the home of the State Hungarian innovation system. Now versifies, resulting in the emergence of Museum and Rembrandt's famous that the technical requirements for an academic technology transfer pro 'Nightwatch' painting, was the site of products have been raised; real rather fession and information media to serv the opening sess-ion of the triple helix than formal connections to R&D ice it. meeting. More than 200 Dutch R&D sources are needed, thus Gelegyi's The third dimension is the creation of experts and foreign visitors heard Kees qualified optimism. a new overlay of tri-lateral networks and 690 CURRENT SCIENCE, VOL. 70, NO. 8, 25 APRIL 1996

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organizations from the interaction spirals from which they emerged and the to extend your laboratories, hire young among the three helices, formed for the larger society. One such effect is on people and increase your salaries.' purpose of coming up with new ideas science itself as a result of internal In some countries universities have and formats for high-tech development. changes within academia, strengthened suffered budget cuts of sometimes more At the regional level examples include and diffused by government policy. than 20%. This does not necessarily Joint Venture Silicon Valley, estab- Linkages among sectors, drawing to- indicate decline in terms of the knowl lished during the recent economic gether organizations working at differ- edge production and control structures, downturn, the Knowledge Circle of ent stages of the innovation process, is The science system itself takes part in Amsterdam, organized during the past the next step to bringing about a new the transition. decade, and the New England Council, innovation environment comprising The classic sociological model of the founded in the 1920s, all including par- universities, national laboratories, labo- conduct of science was formulated by ticipants from small and large compa- ratories of large corporations and start Robert K. Merton, based upon his nies, local government and academia. up firms. These organizations act, not analysis of such underlying conditions The discussions that took place in the separately as in the old linear model, as the rise of protestantism, creating an New England Council meetings during but through various alliances and con- intellectual climate conducive to ex the 1930s, led by MIT President Karl sortia, creating ties across the triad of perimentation in 17th century England. Compton, resulted in the formulation of helixes (representing the academic, in- Methodological and social norms of a strategy for knowledge-based eco- dustrial and government sectors) whose science were implicitly formulated that nomic development from the regions' interconnections we have only begun to encouraged the development of scien academic institutions that was realized model and map. These links are not only tific institutions and the role of the sci after the Second World War, in part, among firms in an industry but also entist. One of these norms, defined by through the invention of the public between firms and universities, between Merton in 1942, was 'disinterested venture capital firm. Thus far, a regional state governments and universities and ness,' the expectation that scientific computer network 'Smart Valley' and a firms, and now between elements of the knowledge would be freely distributed, Dutch internet industry have emerged federal government, stage governments, with researchers taking their rewards in from the new configurations. firms and universities. recognition from their peers. At the national level, the topics that National innovation systems are re- The capitalization of knowledge has the US technology programs, such as gionalized and internationalized as in- replaced disinterestedness as a norm of the Advanced Technology Program novation processes take place across science. This new norm has arisen not (ATP) and Small Business Innovation national boundaries, through coopéra- only from the practices of industrial Research (SBIR) address, are not rigidly tive arrangements among regions and science and the emergence of an entre set from above. Certainly they draw for firms. Bilateral government-industry preneurial dynamic within academia but general themes upon critical technolo- and university-industry ties have ex- from the external influences on the uni gies lists or the interests of program panded into trilateral relationships at versity, from government polices such managers. However, the agencies also the regional, national and multi-national as the indirect ones that changed the call meetings on technology themes in levels. Encouraged by government, uni- rules for disposition of intellectual different parts of the country in which versities have become a key element property arising from federally funded people from small and large companies, in innovation policies throughout research and from direct industrial universities and government laborato- the world, both as a source of technol- policies, as well. Concretized in organ ries participate. In workshop discus- ogy for start-up firms and older compa- izational forms such as technology sions on a particular area of technology, nies. transfer offices and the requirements of such as digital video, problems in the government granting programs for the technology are discussed. The question _ _ _ support of research, the capitalization of posed is: what are the blockages that Normative change in science: knowledge changes the way that scien can be addressed through a grant pro- The role of the universities tists view the results of their research, gram. Out of these discussions, if a con sensus arises, then that becomes the Universities are undergoing a 'second topic on which a request for proposals academic revolution' as the economic Cross-national comparisons is made. Through this format, instead of function of the university is increasingly a top down planning hierarchy, a bottom institutionalized as an overlay on the During the last decade, growth has been U,P Panning process is being created in 'first revolution' that combined research concentrated in sciences at the inter the US. with higher education2. As Judith Sutz faces like biotechnology, artificial in (University of Montevideo, Uruguay) telligence, advanced materials, etc3, expressed it forcefully in her contribu- Cooperative research centres are in Innovation environments tion to the conference: 'The increasing many countries the fastest growing insti demand for funds from universities and tutions of university research4. Tim The fourth dimension of the helix model research institutes gets a similar re- Turpin and his colleagues from Wollon is a recursive effect of these neo- sponse worldwide: support yourselves! gong (Australia) concluded from a com corporatist entities (typically represent- That is to say, connect yourselves with parison of developments in China and ing academia, industry and government industries and the government, offer Australia that ten to fifteen years of in contrast to traditional European cor- your knowledge and your capacity to transformation have thoroughly 'dis poratist models representing govern- generate new knowledge and charge for organized' the previously existing insti ment, industry and labour), both on the that. Only in this way, will you be able tutional boundaries.

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Sandra Negraes Brisolla (University other hand, university-industry regional level, rela to incorporate govern of Campinas, Brazil) addressed the tions have been a priority mentalfor lower and academic actors, who play question why Brazil had fallen behind level (i.e. state) governments an increasing with rolea in creating the condi Korea by 1985 in 'technological capac- focus on regional development5. tions for Thus,a successful regional innova ity.' In the early 1980s, at the time of different dynamics can be discernedtion environment. on the transition from military dictatorship both sides of the Atlantic Ocean6, In our view, the knowledge-based to democracy, the roles were still re- In comparing European countries, economic regime one has made the distinc versed. The analysis concluded that finds different patterns of tionuniversity between laissez faire and active Korea's successful management of the industry relations; different state interventionsectors; obsolete: governance financial sector seems to have been a different technologies (e.g. means refs nowadays 1, 7). codifying high quality crucial factor. While Brazil had main- But the system that came selections in place that has set free new areas of tained an open market during the 'debt characteristics that go activitiesbeyond aslocal zones of recombinations. crisis', the Korean government managed specificity. Petra Ahrweiler Magnus (Bielefeld) Gulbrandsen (Oslo, Norway), to shelter its banking system protec- in her contribution to the for conference example, showed how new devel tively, and thereby created financial communicated how the artificial opments intelli at the interfaces of Scandina conditions for the development of a gence community in the German vian Federal universities can be assessed taking knowledge-based economy. Republic has consciously been devel as a baseline successful instances of Brisolla proposed to distinguish (for oped as a 'scientific-politico-economic' knowledge-based economic develop example, national) systems in terms of community that internally discusses ments and like in the regions of Grenoble their 'technological capacity' to trans- decides upon the various options and Cambridge. for form the economy. Such a capacity developing the field. Terry Shinn One expects the new opportunities should include relevant factors like (GEMAS, Paris) showed that communi (and the new jobs!) to emerge not in the banking, the gearing of the educational ties that discussed 'research technolo existing institutions, but in careful re system, and the flexibilities for trans- gies' and scientific instruments across combinations that are based on knowl formations within the relevant markets. disciplinary and institutional boundaries edgeable reconstructions by their From an evolutionary economics per- have existed since the late 19th century, nature. An economic and science policy spective, one is able to analyse the Problem-solving requires the use analysisof which does not take account of specificities of such a system in terms of theories as heuristics, and an orientation these potentials for recombination of niche creation and niche management towards interaction with other domains, elements among the helices, misses the within a global economy. Jian Tong The transformations affect the nature lessons of from several decades of experi (Chinese Academy of Sciences) con- scientific theorizing by developing other ences in knowledge-based economic tributed by specifying the categories for dimensions of relevance, developments. variation, selection, and retention in this The patent system, for example, has analysis: 'In Nelson and Winter's the- evolved to define mathematical algoThe triple helix meeting was supported ory, the game is played within markets and rithms and new forms of life as byinven various Dutch groups including the industrial firms are the only players tions in addition to more conventional Ministry of Education, Culture and Sci whereas to address the triple helix analyti- innovative artifacts. Andrew Webster ences, the Society of Technical Sciences cally, academic institutions, industrial (Anglia University, UK) reported and on Engineering,a the Royal Academy of firms and government agents apparently all survey among British academics Sciences,about the Graduate School for Sci should be players in a game played beyond the shortcomings of the patenting ence, sys Technology and Modern Culture as well as within markets.' tern to cover the new arrangements. Bill as well as the European Union and the Tong proposed to consider 'human Kaghan (University of Washington, US National US) Science Foundation. The capital' as the main variation generating noted that the patent system isorganizing based on units were the Science Pol factor in knowledge-based economies, 'a laboratory model of science', while icy Institute of the State University of 'niche selection' provides the feedback, many sciences are increasingly provid New York at Purchase and the Depart and adaptation processes enable the ing using a 'desktop' ment of Science and Technology Dy institutional reproduction. model. Some elements can be patented, namics of the University of Amsterdam. While the new regime is globally others need copyright protection. The constructed, variations abound. Several institutional models used by policy An edited selection of papers from papers (e.g., by Philippe Laredo and makers and transfer agents may require the conference will be published by Philippe Mustar from the Ecole des revision. Cassell/Leicester University Press/ Mines, Paris) focused on the deliberate Pinter in a volume, provisionally enti attempts of the European Commission tled Universities in the Global Knowl to develop transnational networks of Development model beyond edge Economy, Henry Etzkowitz and scientists and industrialists in order to 'capitalism versus socialism' Loet Leydesdorff (eds.). shape the European Union. Which have been the effects in terms of research and A hidden assumption of evolutionary 1. Etzkowitz, H. and Leydesdorff, L., the formation of SMEs? Europe's supra- economics has been a theory of the firm, EASST Rev., 1995, 14, 11-19. ^ national networks came on top of na- This focus is sometimes extended to the 2. Etzkowitz, H., Evolutionary Economics tional programs that tended to focus group of companies in an industry or a and Chaos Theory: New Directions in more on strategic priorities (like bio- heterogeneous network of companies in Technology Studies (eds Leydesdorff, L. technology) than on university- an industrial district. We suggest ex and Van den Besselaar, P), Pinter, Lon industry relations. In the US, on the tending the analysis, especially at the don, 1994, pp. 139-151.

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3. Gibbons, M., Limoges, C., Nowotny, 5. H.,Berglund, D. and Christopher, C., Part Computing, Clarendon Press, Oxford, Schwartzman, S., Scott, P. and Trow, M., nerships: A Compendium of State and 1994. The New Production of Knowledge: The Federal Cooperative Technology Pro Dynamics of Science and Research in grams, Batelle, Columbus, Ohio, 1995. Contemporary Societies, Sage, London, 6. Biotechnology and the Changing Role of Henry Etzkowitz, Science Policy Institute, 1994. Government, OECD, Paris, 1988. State University of New York, Purchase, NY 4. Etzkowitz, H. and Kemelgor, C., The 7. Faulkner, W. and Senker, J., Knowledge 10577, USA and Loet Leydesdorff, De Collectivization of Science - Academic Frontiers: Public Sector Research and partment of Science and Technology Dynam Entrepreneurss and their Research Cen Industrial Innovation in Biotechnology, ics, Nieuwe Achtergracht 166, 1018 WV, tres, Minerva, in press. Engineering Ceramics and Parallel Amsterdam, The Netherlands,

RESEARCH NEWS

'FIP-effect' in the solar and stellar coronae

B. N. Dwivedi and Anita Mohan

There is currently a great controversy ence of the so-called 'FIP-effect' from abundance analyses. However, if the raging over the element abundance the EUVE data is indicated in some same lines and the same atomic data are variation in both solar and stellar coro- stellar coronae (e.g., a Cen, e Eri) but used, it would be difficult to imagine a nae. Reviews1'2 of direct extreme ultra- not in others (Procyon, for instance)3. situation wherein errors in the atomic violet (EUV) and X-ray studies of the Most numerous group of EUV sources, data also depended on FIP, such that solar corona indicate that the abun- the active cool stars and the study of when analysing solar EUV and X-ray dances of elements with low First Ioni- their coronae have been carried out with spectra it would always give rise to the zation Potential (FIP) < 10 eV (e.g., Fe, EUVE satellite. With a resolution of 'FIP-effect'. Other controversies regard Mg, Si, Ca) are enhanced in the solar about 1 Â, EUVE has offered a unique ing earlier solar results, such as whether corona relative to their abundances in opportunity to study individual spectral the assumptions of ionization equilib the photosphere by factors of 3 to 10. lines in stellar EUV spectra. This has rium might not be applicable in some The abundances of species with high allowed major advances in the field, circumstances and gives rise to spurious FIP > 10 eV (e.g., O, Ne, Ar) generally such as the derivation of detailed emis- abundance anomalies, call for detailed appear to be the same in the solar pho- sion measure distributions for the tem- interesting investigation, tosphere and corona. This phenomenon perature range of log T - 5-7.5 K; and Consequently it appears that, while is known as the'FIP-effect', but there is the inference of plasma densities from study of coronal EUVE data is very not yet any widely accepted model to density-sensitive line ratios. EUVE important, there is a ground for debate explain it. The FIP-dependent variation observations coupled with IUE (Inter- why the Sun exhibits'FIP-effect'. Thus, has also been shown from solar wind national Ultraviolet Explorer) or HST the study of coronal abundances prom and spectroscopic studies. Abundance (Hubble Space Telescope), have made it ises to be an interesting field of research anomalies, such as the 'FIP-effect', can possible to study the temperature struc- with space programs with high have important consequences for the ture of the outer atmospheres of stars, resolution EUV capabilities, such as the radiative loss functions and might pro- from the chromosphere and the transi- SOHO satellite-borne CDS and SUMER vide new and potentially powerful diag- tion region up through to the corona. instruments. Based on our own re nostics for the physical processes in the This is necessary to calculate the search5, making use of high-FIP coronal outer atmospheres of the Sun and other atmospheric energy balance, to iden- spectral lines (Ne VI: 999.6 and stars. tify and test possible heating mecha- 1006.1 Â) to low-FIP ones (Mg VI: With the launch of ROSAT Wide nisms. 1190.07 and 1191.62 Â), an important Field Camera (WFC) and subsequently Abundance anomaly in the Sun and observing sequence has been planned by the Extreme Ultraviolet Explorer Procyon, whose coronae look superfi- the SUMER team6 for further studies on (EUVE), astronomers have had their daily similar, has recently been investi- this topic. Meanwhile, the absence of the first consistent access to the EUV gated4. Using the same lines and the 'FIP-effect' in the corona of Procyon pro waveband (100-1000 Â) to observe same atomic data, it could not be ex- vides evidence that the'FIP-effect'is not a sources outside the solar system. Data plained why the Sun exhibits a 'FIP- ubiquitous signature of late-type stellar from the ROSAT EUV sky surveys have effect' but Procyon does not. It may be coronae. The available solar observations, allowed study of the global properties of argued that the reality of the 'FIP- however, provide a compelling body of white-dwarfs, coronally active stars and effect', even in the Sun, may be an arti- evidence2 that the 'FIP-effect' is opera cataclysmic binaries. The possible près- fact of the spectral lines chosen for the five in the solar atmosphere.

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