突破关键核心技术是“十四五”规划中科技自立自强的重要部署，是二〇三五年远景目标的重要规划，关系着我国能否如期进入创新型国家前列、建成世界科技强国。在该领域进行初步的理论探索，首先对关键核心技术进行概念界定与内涵阐释，进而描述关键核心技术的主要特征，最后以产学研为攻关主体，从“突破路径”和“助力渠道”两个维度探析出关键核心技术的7个主要突破因素：技术打压认知与需求导向、国际科技合作与开放创新、产学研深度融合、长期性充足研发资金投入、领军人才及其团队、技术链与产业链以及政府政策与体制机制等。结论可为后续研究与实践提供参考与借鉴。

Breaking through key part of core technology is a major practical problem and theoretical research topic in China. Proposals for formulating the 14th Five-Year Plan (2021-2025) for National Economic and Social Development and the Long-Range Objectives Through the Year 2035 explicitly states that "Sci-tech self-reliance and self-strengthening as the strategic support for national development, the new system concentrating nationwide effort and resources on key national sci-tech undertakings should be improved in the context of the socialist market economy, and key part of core technology should be strived to make major breakthroughs".However, the academic research on breaking through key part of core technology is still in its infancy, and there are not many researches abroad. The limited literature and reports in China mainly focus on a few topics such as leadership speeches, government role, identification methods, innovation barriers, breakthrough paths, institutional mechanisms and case description. Scholars has made a preliminary study on the concept, characteristics and influencing factors of key part of core technology, but it is far from reaching a consensus. In view of this, we especially explores some basic theoretical issues in this field: concept, connotation, characteristics and breakthrough factors of key part of core technology. Firstly, key part of core technology can be understood from two perspectives: the concept of “or” relationship between “key technology” and “core technology”; “key” represents the degree of importance, “core technology” is the body. Comprehensively reviewing the concepts of key part of core technology in existing literature, we find that some define it through the first perspective and quote the concepts like “core technology” from previous studies, which enlarges or reduces the connotation and extension of key part of core technology and blurs the boundary characters between them; Others make definition from their own interest, but perspectives vary from one to another. Based on this, we believe that key part of core technology is a necessary and insufficient condition of core technology. Combining the related theories of technology gap, the view of sustainable development and holistic approach to national security, we define the concept and explain the connotation of key part of core technology. Then, from the perspective of process, the main characters of key part of core technology are described from four aspects: technical status, research process, breakthrough mechanism and innovation achievements. Finally, the contradiction between a dilemma that one country’s high-end sci-tech development being blocked by other developed countries and that country's domestic security and market demand has triggered a theoretical discussion on breaking through key part of core technology and realizing sci-tech self-reliance and self-strengthening. Taking Industry-University-Research as the body, we analyze seven main breakthrough factors of the key part of core technology from the two dimensions of "breakthrough path" and "assistance channel": Technology suppression cognition and demand orientation, International science technology cooperation and open innovation, Deep integration of Industry-University-Research, Long-term sufficient R&D investment, Leading talents and their teams, Technology chain and industry chain, Government policies and institutional mechanisms. The conclusion can provide a basis of reference for the further research and practice.

We show that technology spillovers shift the composition of corporate research and development by promoting innovation based on the exploitation of existing knowledge while disincentivizing innovation that explores new areas and breaks new ground. Accordingly, firms facing large technology spillovers attain fewer superstar inventors among their human capital, who are important drivers of breakthrough technology advancement. These findings complement the existing studies documenting the positive effect of technology spillovers in increasing firms’ overall innovation outputs; they highlight potential downsides of technology spillovers in reducing firm investment in technology breakthrough and valuable human capital.

Cumulative innovation is central to economic growth. Do patent rights facilitate or impede follow-on innovation? We study the causal effect of removing patent rights by court invalidation on subsequent research related to the focal patent, as measured by later citations. We exploit random allocation of judges at the U.S. Court of Appeals for the Federal Circuit to control for endogeneity of patent invalidation. Patent invalidation leads to a 50% increase in citations to the focal patent, on average, but the impact is heterogeneous and depends on characteristics of the bargaining environment. Patent rights block downstream innovation in computers, electronics, and medical instruments, but not in drugs, chemicals, or mechanical technologies. Moreover, the effect is entirely driven by invalidation of patents owned by large patentees that triggers more follow-on innovation by small firms.

Wind energy, the most commercialized prospect of renewable energy, is being developed and utilized on a large scale. Major institutions and universities have invested a lot of manpower, capital and technology in researching the wind power technology, which has made remarkable progress. In the era of green economy, the leading technology of wind power deserves more attention. Dominant technology represents the development direction of technology area. Identification of the dominant technology is of great significance for the technological choice and strategic layout of enterprises. In contrast to traditional technology identification methods, here we propose a visual analysis model based on patent citation relationship. First, the patent mutual citation data are input into the visualization software Gephi to identify the leading technology in the visual processing stage. The PageRank algorithm is used to cross contrast the technical value to build the leading technology recognition model. Second, we evaluate the technical value of each patent with five indices, including 'number of patent cited', 'patent number of the same family', 'scope of patent coverage', 'claim number of each patent', and 'number of patent litigations' to verify the accuracy of the visual model. Taking the database of wind power generation technology from European Patent Office as an example, we obtain 7421 patents from 1900 to 2017. The results of visual processing, evaluation of the index and PageRank judgment show that the visual model has a significant effect in the identification of the leading technology. The results also explain the applicability of the PageRank algorithm and the five indicators are the most scientific and reasonable for dominant technology identification.