XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
THE FIRST DECADE OF PUBLICATIONS ON
OPEN INNOVATION: A BIBLIOMETRIC
ANALYSIS
Giseli Valentim Rocha (UNIFEI)
[email protected]
Barbara Elizabeth Pereira Sotomonte (UNIFEI)
[email protected]
Jose da Silva Ferreira Junior (UNIFEI)
[email protected]
Carlos Henrique Pereira Mello (UNIFEI)
[email protected]
The term open innovation is relatively new in science, but has had a large
increase in research since its inception. This research aims to address this
growth, focusing on an analysis of articles developed in the last decade on
this topic and give general information on the same. The method used for it
was the bibliometric research with compiling data in specific software,
getting to the end of the study, the results of the most cited authors and the
research lines with a greater focus on this issue.
Palavras-chave: Open Innovation; Bibliometric Analysis; Research Areas
XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
1. Introduction
Companies always developed technologies and applied them in their own products; they had
closed innovation strategies that did not allow interaction with their environment. However,
these strategies began to change in the 1980s when companies from various sectors began to
seek
external
expertise
to
complement
their
processes
(VON
HIPPEL,
1998;
CHESBROUGH, 2003; CASSIMAN and VEUGELERS, 2006).
Thus, the term Open Innovation has emerged, which was only coined in the early 2000s, by
Chesbrough. By studying the history and the behavior of large US companies during the
twentieth century, Chesbrough found that innovation management models used in these firms
were quite closed in relation to the emergence of new ideas and their application in the
market. However, this began to change as profound social changes occurred in the
dissemination of knowledge and the division of labor for innovation (FERRO, 2010).
The open innovation model became important in the discussion of innovation processes and
models, being quoted in many articles, conferences and lectures around the world
(INSTITUTE INNOVATION, 2014). This topic has received much acceptance from the
academic and business world as a possibility to traditional practices of innovation
management.
Since the emergence of the term, the subject has grown in interest by academics and
businesses worldwide. This assertion can be validated by research carried out in March 2014,
in the academic base ISI Web of Knowledge, which with only the search of the word "Open
Innovation" were obtained the data presented graphically in Figure 1.
Figure 1 - Number of publications on “Open Innovation” 2003/2013
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
Promoting further the theme, Rahman and Ramos (2010) argue that, in terms of process, open
innovation covers the management and the accumulation of ideas, knowledge, licenses,
intellectual property, patents and inventions. In terms of innovation, it can be considered userinnovation, marketing innovation, cumulative innovation and distributed innovation. Briefly,
open innovation incorporates joint efforts of internal initiatives the organization and possible
outsourcing or combination of multiple inputs coming from the external environment during
the process of design and product development. Figure 2 illustrates these concepts that have
also coined in the funnel ideas.
Figure 2 - Open innovation model
Source: Adapted from Chesbrough, 2013
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
It is important, given this context that last the first decade of its release, for a review of how
the subject has evolved in terms of academic research and, if possible, indicate the trend
where these studies go. To identify how to have research on open innovation, this study
presents a bibliometric study to identify which areas of research were more addressed, what
are the main authors, the main journals and other information that guided the theme will be
shown. Thus, the study shows, in three phases, which is differential to research on the subject,
an analysis of publications, citations and bibliometric network, which can present patterns and
future trends that will guide another authors to better understand the topic and carry out more
researches.
2. Closed Innovation X Open Innovation
The open innovation theory corresponds to a number of innovative approaches whose basic
element is made innovation beyond the research and development departments of the
organization. In the context of open innovation initiatives, the term "open innovation" has
been used to describe various phenomena, such as open source, user-centered innovation,
distributed innovation and co-creation (FRANKE and PILLER, 2004; SAWHNEY and
PRANDELLI, 2000; VON HIPPEL, 2005). Due to these new perspectives, Wang (2012)
points out that the open innovation model represents a break values, in which knowledge
becomes conquered through partners that jointly acquire skills necessary for innovation.
From the closed innovation’s point of view it was necessary to break paradigms. The
organization in R & D departments led to many important achievements and numerous
commercial successes. Thus, this was the mental model that the management of large
companies used to manage their research centers. In fact, it is the same model used by most
US corporations to manage their research laboratories for most of the twentieth century
(CHESBROUGH, 2013).
However, the past success of closed innovation responds negatively by its persistence in the
face of ever-changing scenario of knowledge today, that is, being a fundamentally focused
approach inside, it was well suited to the environment of the beginning of century XX, but
meets with the scenario of knowledge at the beginning of the century XXI. To elucidate these
differences, Table 1 shows a comparison between Closed Innovation and Open Innovation.
Table 1 Closed Innovation X Open Innovation
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
Characteristic
Team
Closed Innovation
The best people in the
area work for us.
Open Innovation
We work with talented people
from inside and outside the
organization.
Where do R &
D
To profit from R & D, we
have to discover, develop
and market for ourselves.
R & D outside can increase the
value significantly. The internal R
& D is required to take each other
for part of this amount.
Source
Technology
If we discover high, we
have to take it to market
before.
We do not need to lead a search
for profit from it.
Pioneering
The company to bring
innovation to the market
first win
Build better business models is
more important than getting to
market first.
If we create more and
better ideas to market, we
win.
If we make better use of internal
and external ideas, we will win.
We should control our IP
so that our competitors do
not profit from our ideas.
We benefit for others to use our
IP, and we must acquire third
party technology whenever they
bring benefits to our business.
Quantity
Quality
Intellectual
Property
and
Source: Adapted from Chesbrough (2006)
Thus, according to Chesbrough (2013) the new open approach is based on a different
knowledge scenario, focusing on valuable ideas that can arise from the inside and / or outside
the company, and can go to market. Corroborating, Ferro (2010) believes that companies that
adopt such a model seeking to differentiate them through collaborative knowledge, valuing
creativity and use of ideas arising from internal and external sources. This does not mean
abandoning of all the old model of competition to the detriment of an exclusive performance
by means of open innovation, but think open in order to create competitive intelligence able to
identify opportunities.
3. Research Method
The research method selected for the study was the bibliometric analysis. By bibliometrics, it
is understood as quantitative and statistical technique for measuring production rates and
dissemination of scientific knowledge (ARAÚJO, 2006).
The bibliometrics has three basic laws: Bradford's Law (productivity periodicals), Lotka's
Law (productivity of authors) and Zipf's Law (occurrence frequency of words). The first is
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
also known as the law of dispersion and allows, by measuring the productivity of magazines,
establish the core and the areas of dispersion on a particular subject in the same set of journals
(VANTI, 2002).
The bibliometrics has interdisciplinary scope and can be applied to various areas of
knowledge. In general, the principle of bibliometrics is analyze the scientific or technical
activity by the quantitative study of publications and its main objective is the development of
increasingly reliable indicators. Indicators can be defined as the parameters used in the
evaluation processes of any activity (HAYASHI et al .; 2007).
For this bibliometric study the database that was chosen is the ISI Web of Knowledge that,
according to Targino and Garcia (2000), is an important tool for the diagnosis of scientific
literature, it is the most comprehensive database of scientific information in the world. Thus,
it is the basis most widely used by experts and researchers in bibliometric studies for its wider
coverage areas, the large volume of journals, and especially for compiling quotes that the
basis receive annually.
For the development of the work, the following steps were followed:
a)
We used the ISI Web of Knowledge platform for data collection, specifically the base
Web on the Science;
b)
Data collection occurred in March 2014, considering the periods of 2003 to 2006; 2007
to 2010 and 2011 to 2013. These three phases have been defined within the first decade
of 2003 to 2013 (when the term Open Innovation comes up with Henry Chesbrough
article). The division of the decade aimed a detailed deepening theme evolution;
c)
We conducted the research for topics using the keyword "open innovation" delimiting
the periods mentioned above which resulted in 1173 published works, 43 between 2003
and 2006, 263 between 2007 and 2009 and 867 between 2010 and 2013;
d)
We used as filter areas of research "Social Sciences" and "Technological Science" and
the types of documents classified as articles, abstracts and books;
e)
Focused only on articles in which the word "open innovation" appeared in the title,
abstract or keywords. This last filter resulted in a total of 845 articles.
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
The articles were added to a list that allowed us to analyze some of the results generated by
the Web of Science. The file was generated with the input data and used this information in
specific software, such as Word, Excel and CiteSpace, the first two being for reading and
generation of tables and charts and the latter used to generate graphics.
4. Results and Bibliometric Analysis in Phases
Using the data collected and analyzed it may be constructed Table 2, which shows the most
discussed research areas throughout the three phases described.
Table 2 The most researched areas
Research Areas
Phase 1
(2003/2006)
Phase 2
(2007/2010)
Phase 3
(2011/2013)
Management
X
X
X
Business & Economics
X
X
X
Computer Science
X
Information Science
X
Operation Research &
Management Science
Engineering
X
X
X
X
In relation to research areas explored in this first phase it was noticed a great diversity. The
authors were not focused on any specific topic related to Open Innovation, and in many works
can be noted that lacked even understanding the central theme. The second phase of research
on Open Innovation, between the years 2007 and 2010 revealed that it was a very significant
increase in the number of publications, since the issue had become a little more known and
called more attention of the academic community. However, it was still remarkable and
intense the concern in simply understanding what is and about the term itself and the topic
itself. There is a need to define closed and open innovation and innovation always converge to
a central theme of the works. The third phase of bibliometric research on Open Innovation,
between the years 2011 and 2013 revealed a further significant increase in the number of
publications, since the subject is currently already much better known and draws more
attention of the academic community in various areas.
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
The cluster analysis identifies groups of documents that share references. Thus, the articles
are engaged when bibliographically different authors cite one or more common in articles
(GARFIELD, 2001). The study aimed to identify the cluster relationship with abstracts which
is identified for the three temporal phases as shown in Figure 3 demonstrated, being
respectively to A, B and C phases 1, 2 and 3.
Figure 3 - Cluster-Abstract phase 1, 2 and 3
A
B
C
Co-word analysis using patterns of co-occurrence of pairs of items, or words or phrases to
identify the relationship between ideas within an area in the text (HE, 1999). This analysis
enables a new researcher in an area becomes instantly familiar, facilitating the identification
of key issues and their relationships, beyond what allows us to discover and describe the
interaction between different research fields (MUÑOZ-LEIVA et al., 2012).
The keywords were also surveyed, as they are those that, in sequence or isolated, were entered
in the research tool. The keywords related to the topic open innovation, which again appeared
in the studies published in all the phases: Open Innovation, Research and Development,
Innovation, Strategic Alliances, Networks, Management, Knowledge, Business, Strategy,
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
Technology and Performance. Figure 4 shows how they appear in each stage of the decade
studied, respectively.
Figure 4 - Key-Words phase 1, 2 and 3
B
A
C
Also the journals that published more about the Open Innovation theme in the decade
2003/2013 were analyzed. Prominent among international: New Open Innovation, Science
Administration Quart, Research Police, MIT Sloan Manage Review. It is shown in Figure 5,
as the periodical publication for each test phase, respectively.
Figure 5 - Journals phase 1, 2 and 3
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
A
B
C
In the co-citation analysis is performed by counting the number of times that two articles,
authors, journals are cited together in third article. In this case, the point of
view of the citing author there is similarity between the subject (MIGUEL, MOYA-ANEGON
and HERRERO-SOLANA, 2008). Regarding the co-citation network, this allocates items that
are frequently cited together in a close space.
In this network you can see the flow of information between the analyzed articles and
references with more citations. The sizes of the nodes represent the frequency of citation.
Figure 6 shows the reference phases of the analyzed network, respectively A, B and C.
Figure 6 - Cross-reference phase 1, 2 and 3
A
B
C
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
Finally, Figuge 7 illustrates the References Network of the three phases. It references from the
co-occurrence of the reference, respectively. The node refers to the article and its size and
color is related to the amount of quote. In these networks, the most common are green and is
represented by the first article Chesbrough 2003. Note that this work is the most cited in all
phases to be the theme of the precursor. As for bonds, they reflect the amount of references
two articles share. Table 3 shows the number of references by authors in the analyzed phases.
Figure 7 - References Network phase 1, 2 e 3
A
B
C
Table 3 Number of references by authors and stage
Phase 1
Author
Chesbrough 2003ª
Cohen 1990
Chesbrough 2003b
Von Hippel 1988
Teece 1986
Total
17
10
7
6
6
Phase 2
Author
Chesbrough 2003a
Cohen 1990
Chesbrough 2006
Laursen 2006
Chesbrough 2003 b
Total
166
75
66
61
60
Phase 3
Auhtor
Chesbrough 2003a
Cohen 1990
Laursen 2006
Chesbrough 2006a
Chesbrough 2006b
Total
200
108
104
89
69
5. Conclusion
This work conducted a literature review on the tenth anniversary of the matter open
innovation based on bibliometrics, divided into three periods. It identified the main areas of
research, clusters, keywords, the network of citations and references. With this it is noted that
the interest in open innovation theme has grown since 2003, when the first work. This
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
increase is given by the growing interest of researchers in better understanding the topic, the
environment in which it develops the practice of open innovation and the network of
relationships between areas of society who benefit from this practice.
The pioneers articles Chesbrough in 2003 were the most cited by researchers. This is natural
in science since these works present basic concepts on the subject, opening the topic for
discussion and influencing all other researchers, according to the citation network and
reference demonstrates. Keywords showed that the theme also addresses concepts of Open
Innovation, Research and Development, Innovation and Network. Thus, the journals that most
published on Open Innovation are those that focus on such areas as International Research
Policy, R & D Manage, Open Innovation and New Strategic Manage.
On the implementation process of Open Innovation in the first two phases, most studies
showed that companies had a tendency to look over the inside out for innovation. In other
words, the studies show that companies were still in the outbound phase, ie innovation from
the inside out. Interestingly, over the years there was a reversal, ie, in the third stage of the
decade there are far fewer companies with Outbound approach. Currently, the majority of
published studies have demonstrated a strong Inbound process innovation inwardly, which is
a clear tendency. Most companies are already safe to the point of wanting to share what is
developed in innovation within it. They have realized that they will not lose intellectual
property, knowledge, R & D and other resources generated, or are ripe in understanding the
benefits that open innovation can bring to their development.
It is worth noting that this work is one of the few in Brazil who dedicated itself to examine the
first "decade of open innovation" with a bibliometric look. The use of bibliometric analysis
software analyzes the value making them more quantitative than qualitative.
It is important to know about two limiting factors in the research. The first is the quality of
information, ie, as each journal has your article formatting requirements that often results in
the absence of certain information that may influence the results. The second factor is the
sample set to the analysis, which were selected journal articles. Finally, as future research, it
is suggested that papers published in conference proceedings are also analyzed by clusters and
to indicate trends, since this can complement the results.
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XXXV ENCONTRO NACIONAL DE ENGENHARIA DE PRODUCAO
Perspectivas Globais para a Engenharia de Produção
Fortaleza, CE, Brasil, 13 a 16 de outubro de 2015.
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