实现高水平科技自立自强，建设更具国际竞争力的现代化产业体系，需要从系统层面解决关键核心技术突破问题。在创新生态系统演化的情境下，以高端科学仪器产业为研究背景，通过国际领先者和国内赶超者的探索性双案例研究，探索分析关键核心技术的突破机制。针对基因测序仪技术，选择Illumina和华大基因两个典型案例进行纵向分析与横向比较，提出关键核心技术突破的过程模型。研究发现：创新生态系统是关键核心技术突破的载体，通过“个体繁衍—种群塑造—群落融合”的演化过程推动关键核心技术突破；国际领先者倾向于选择“产品—服务—生态”的维持型突破路径，而国内赶超者倾向于选择“服务—产品—生态”的逆向突破路径。在创新生态系统演化情境下，国内赶超者实施关键核心技术突破通常经历三个主要阶段，包括发展创新生态系统、逆向突破、生态化创新，突破过程受到价值主张、创新环境、动态能力和临界事件等因素的调节。研究揭示了创新生态系统演化与关键核心技术突破的相互影响关系，为政府政策制定和企业创新实践带来启示。
Abstract
The breakthrough of key core technologies is a major issue that China encounters at the current stage of its development. The reasons why key core technologies are difficult to conquer, not superficially because of a comprehensive technology blockade from the developed countries, but fundamentally because of some systematic problems, including that the basic research support is insufficient; the collaborations between industry, academia and research departments are not close enough; the early market is difficult to form; and the institutional mechanism of developing key core technologies is not valid enough, and so on. Therefore, to make a breakthrough in key core technologies is not simply a technological issue, but a systemic issue. Accordingly, this study explored the breakthrough mechanism of key core technologies in the context of innovation ecosystem evolution.As for research methods, this study explored the key core technology breakthrough mechanism by applying the exploratory dual case study method, and taking the high-end scientific instrument industry as the research subject. Two typical cases of Illumina and BGI have been selected as the samples of international leading firm and the domestic catch-up firm for a comparative analysis of the gene sequencer technology breakthroughs. The research steps are as follows: (1) The authors of this paper obtained the first-hand data and second-hand data through interviews and other means, analyzed and summarized the characteristics of research objects, event sequences, influential events, environment, organization and other factors related to time and order with the help of time axis, and divided the innovation ecosystem evolution process from the start-up stage to the prosperity stage; (2) Based on the literature research, we established a theoretical analysis framework by measuring three categories, including system structure, dynamic capabilities and value proposition, to provide guidance for data coding; (3) We also processed the open coding, axial coding and selective coding in the proceduralised grounded analysis, and made the theoretical saturation achieved when there is no new property of category identified；(4) We finally conducted a comparative analysis of two cases by vertical and horizontal comparison.The research results are as following: (1)The innovation ecosystem is the carrier for the breakthrough of key core technology, and the innovation ecosystem promotes the key core technology breakthroughs through the evolution process of “individual reproduction, population shaping and community integration”; (2)International leading firms tend to choose the maintenance breakthrough path of “product-service-ecology”, while the domestic firms tend to choose the reverse breakthrough path of “service-product-ecology”;(3)The implementation of the key core technology breakthroughs by domestic firms usually goes through three main stages. The first stage is to develop their own innovation ecosystem within the innovation ecosystem of international leading firms. The second stage is to withdraw from the constraints of the innovation ecosystem of international leading firms and implement reverse breakthroughs upstream of the industrial chain after a critical event occurs. The third stage is to purposefully carry out ecological innovation around key core technologies, forming confrontation with international leading firms; and (4) The key core technology breakthrough process of domestic firms is often affected by four important factors, including value proposition, innovation environment, dynamic capability, and critical events.This study revealed the interactional relationships between the evolution of innovation ecosystem and the breakthroughs of key core technologies, which brings enlightenment to government policy-making and enterprise innovation practice. This study have put forward the following suggestions: (1) The government should focus on optimizing the policy system, providing comprehensive policy supports to enterprises with the potential to make breakthroughs in key core technologies, and establish a suitable policy environment for cultivating an innovation ecosystem conducive to key core technology breakthroughs, such as promoting the first set of policies, implementing application benchmarks, industrial demonstration, and scenario development projects. (2) For the catch-up firms, it is important to recognize that the key core technology breakthrough process of the latecomers is different from the one of international leading firms. Domestic catch-up firms may follow the reverse breakthrough path of “service-product-ecology” to develop the key core technologies. In this process, domestic firms should attach importance to establishing correct value propositions, improving dynamic capabilities, and keenly paying attention to the impact of critical events.
关键词
关键核心技术 /
创新生态系统 /
过程模型 /
高端科学仪器
Key words
key core technology /
innovation ecosystem /
process model /
high-end scientific instrument
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基金
国家自然科学基金项目：“技术创新失败的挽救机制研究：以生物制药产业为例” （71772082，2018.01—2021.12）；国家自然科学基金项目：“创新生态系统柔性机制研究：基于科学驱动的产业”（72362004，2024.01—2027.12）； 国家社会科学基金项目：“引发‘从0到1’创新的Serendipity形成机理与对策研究”（21BGL265，2022.01—2024.12）；国家自然科学基金项目：“公共治理视阈下跨区域合作创新网络多主体协同发展机制研究” （72164002，2022.01—2025.12）；“研究阐释习近平总书记来川视察重要指示精神和省第十二次党代会精神”重大项目：“中国（绵阳）科技城协同创新发展能力建设及政策机制研究”（SC22ZDYC10，2022.08—2023.12）。
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