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Beyond a Bibliometric Analysis and Literature Review: The Comprehension
and Uses of Triple Helix Approach in Brazil
Conference Paper · June 2021
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Marcelo Amaral
Nathan Messias
Universidade Federal Fluminense
Universidade Federal Fluminense
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Edilane Carraro
Universidade Federal Fluminense
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XIX International Triple Helix Conference – 2021
Beyond a Bibliometric Analysis and Literature Review: The Comprehension and Uses of
Triple Helix Approach in Brazil
TYPE: Original research
TRACK: Triple Helix Metrics
PURPOSE: The Triple Helix (3H) approach has spread rapidly in Brazil since 1999 and remains a
valuable metaphor for explaining the relationships between institutional actors to promote science,
technology, and innovation. Players in the industry and government spheres have also incorporated
the approach, largely because of its simplicity. Possibly, due to the lack of formal rigor. From an
academic viewpoint, the production on the subject is relevant in the country, essentially case studies
and reports of experiences in regional development projects (Amaral & Messias, 2020). Local
research groups, such as Triple Helix Research Group Brazil (THERG-Brazil) and the Triple Helix
Association (THA) local chapter, consolidated themselves as leaders to publicize 3H. However, from
the observation of the 3H use and analyzing the academic communications published, several
inaccuracies and superficialities were found that generated two inquiries. The first is if the Brazilian
researchers have adequate comprehension of the 3H. The second question is which source of
knowledge is used, whether it is the seminal works from the concept creators, local literature from
researchers engaged in the international movement, or secondary literature, which gives rise to
superficial and incorrect interpretations. Thus, the aim is to understand how the concept is applied by
local academic researchers and, in a broader way, how it was spread in Brazil. The gap was identified
in publications about the evolution of the 3H movement (Rosa et al., 2018).
DESIGN/METHODOLOGY/APPROACH: This research is characterized as exploratory. A
database of scholarly communications was built with publications from Brazilian authors in Brazil
from 1997 to 2020. The 382 documents collected from academic databases (like Scielo, Spell, and
CAPES), conference proceedings, and grey literature were organized in an MS Excel spreadsheet.
The database was split in two, one related to the authors from THERG-Brazil and the Brazilian THA
Chapter, named Jose Mello's database (an homage to the former vice-president of THA and one of
the main 3H disseminators in Brazil). The second one includes the remaining authors. In a second
moment, the authors performed a content analysis to classify the studies using a typology proposed
by the authors, with three approaches and nine categories, as shown in Table 1. A detailed analysis
was about the sources (references) cited in these communications.
Table 1. Typology to classify TH academic communications
Approach
Categories
Theoretical approach
Addresses TH theoretically.
Macroeconomics
National or supranational/regional innovation system, such as S&T&I
aspects of innovation
policies, funding agencies.
Regional or local innovation systems (regional economic development
projects or state policies).
Innovation in a sector.
Microeconomics
Innovation in the productive sector of goods and services, such as
aspects of innovation
companies, spin-offs/spin-outs.
Innovation at the university and research institutes/centers
(entrepreneurial university, internal policies, projects, technology transfer
offices).
Government innovation, practices, and projects.
Innovation in technology transfer mechanisms (TTO/NITs, incubators,
and parks).
Other organizations in the hybrid and consensus space.
FINDINGS OR EXPECTED OUTCOMES: There are two main findings. The first one is a typical
bibliometric analysis. From the total 382 communications, 52 were included in Jose Mello's database.
The
other
330
publications
can
be
classified
as
194
academic
papers,
58
monographs/thesis/dissertations, 54 conference communications, six book chapters, etc. Around onethird of these communications were published in the last five years. An average of 30 communications
was published by year, confirming the relevance of the subject. The most prolific academic authors
are Dusan Schreiber (8 communications), Pelayo Olea (8), Andrea Paula Segatto (7), Carlos Alberto
Silva (6), Asa Fujino (4), Geciane Porto (4), Gabriela Ferreira (4), Adriana Faria (4), Eric Charles
Dorion (4) and Daniel Pedro Puffal (4). More than a hundred authors were identified, ensuring broad
dissemination of 3H in the country. The authors are predominantly from public research universities
from the southeast and south regions of Brazil.
From the 382 communications references, 1125 citations were from Etzkowitz and Leydersdorff's
works, 296 citations from the authors of José Mello's database, and 1321 citations from other
Brazilian authors. No one from José Mello's database was in the ten most-cited authors. They are
Andrea Segatto (99 citations), Renato Dagnino (63), Márcia Rapini (62), Ary Plonski (57), Geciane
Porto (43), Eva Stal (41), José Cassiolatto (34), Asa Fujino (29), Sandra Brisolla (27), and Carlos
Brito Cruz (27). Some of them also in the most prolific list. Several of these authors, in fact, dialogue
with 3H, such as Segatto and Plonsky, which deals with technology transfer and science parks.
However, most of the author's research topics related to the innovation system (IS) approach.
The most referenced communication is Etzkowitz & Leydesdorff (2000), followed by the Portuguese
translation of Etzkowitz’s book published in 2009. The book had a small edition and it is not available,
which raises a question about ethics.
The 9-categories typology allows classifying the 330 communications in: 24% addressing theoretical
aspects (79); 46% approaching macroeconomic aspects (153 studying regional/local innovation
systems); and 55% addressing microeconomic aspects (181 on discussions about the role of the
university, TTO/NITs, etc.). Some communications are in more than one category.
A second discussion is related to the quality of these communications. For example, there are
references to communications about local productive arrangements (APL), hence the citations to
works written by Cassiolato. It may indicate an incomplete understanding that 3H is an evolution of
the IS approach, which it is not. By placing the university on the same level as the other entities (as
the source of knowledge that will generate innovations in the knowledge economy), 3H breaks with
the IS vision, essentially based on the firm's ability to innovate. The IS analyses the existence of the
institutions and the execution of their roles, while 3H is an approach where the actors extrapolate
their institutional roles and assume new missions. In this sense, the lack of works that explains how
to apply 3H (if it should be applied) leaves the subject open to interpretation.
Another possible interpretation is that Brazilian authors have comprehended only the
Neoinstitutionalist functionality of 3H (related to the institutions) without comprehending the
Neoschumpeterian aspects (dynamic and complexity of innovation process) (Cai & Etzkowtiz, 2020).
There is an effort to add a new helix in some studies, which is not incorrect or prohibited. Still, when
this new helix is the army or the intermediate entities, it reinforces the notion of an incomplete concept
comprehension. The same matter happens with the merging of the APL concept with 3H. Most of the
case studies reviewed advocate the existence of a 3H only due to the participation of organizations
from the three spheres in regional development projects. There is no concern in analyzing the
objectives and results of the projects and the role of organizations. When it is a project to modernize
the industry aiming to upgrade its competitive capabilities, there is probably no relation with 3H.
By the end, most of the authors used secondary literature. In the 382 communications, there are on
average 2.94 references to the published research from Etzkowitz and Leydersdorff, 3.45 references
to other Brazilian authors, and only 0.77 references to the Mello's database authors. The effort of
researchers connected to José Mello to be part of the international movement has no local
repercussion.
ORIGINALITY/VALUE: Scientometrics studies are relevant and developed, but similar studies
were not found in the literature analyzing academic movements either their dissemination in a
country. The work highlight valid results: a review of the methods used in research on the topic;
review of objectives and approaches for research on the themes; discovery of themes or gaps not
investigated; and increase of knowledge of researchers and institutions that work with 3H in Brazil.
PRACTICAL/SOCIAL IMPLICATIONS: The work was not intended to have practical and social
implications. It was essentially an academic exercise. However, the dissemination of the results may
impact the comprehension and application of the 3H approach in Brazil and the future agenda of local
researchers.
DIRECTIONS FOR FURTHER RESEARCH/LIMITATIONS: The work has limitations due to
the construction of the database. Probably, the database is incomplete, and, in this sense, this project
will continue. Some works initially published as congresses articles or monographs/dissertations are,
in a second moment, published again or source for new publications, which leads to a possible double
counting of subjects, research, and authors.
KEYWORDS (3-5): Triple Helix; Academic Movements; Brazil
REFERENCES:
AMARAL, M., & MESSIAS, N. A evolução do movimento da Triple Helix: uma análise das
comunicações científicas por meio de técnica bibliométrica. International Journal of
Innovation, 8:250-275, 2020.
CAI, Y., & ETZKOWITZ, H. Theorizing the Triple Helix model: Past, present, and future. Triple
Helix Journal, 1-38, 2020.
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.
ROSA, J.; MESSIAS, N., & AMARAL, M. The Triple Helix Movement: An Analysis of Academic
Communications. XVI Triple Helix Conference, Manchester, 2018.
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