创新生态系统视角下核心企业突破关键核心技术“卡脖子”——以中国高速列车牵引系统为例

Removing Bottlenecks in Critical Core Technologies from the Perspective of Innovation Ecosystem:A Case Study of China's High-speed Train Traction System

关键核心技术被“卡脖子”是制约中国高质量发展难题,如何突破成为当前理论和实践亟需探索的问题。本文以中国高速列车牵引系统突破为案例对象,结合创新生态系统、耦合与关系多元性理论,探究关键核心技术突破规律。研究表明,关键核心技术的突破包括四个主要环节,每个环节依赖的技术知识存在差异,因而核心企业需要针对不同环节的技术特征,与创新生态系统成员构建适配的多元耦合网络:与科研机构构建研发导向型紧密耦合网络以突破集成技术;与部件研制企业建立研发导向型松散耦合网络以支持其突破负责的子技术分支;采用研发导向型松散耦合网络,促进所有部件研制企业协同创新以实现子技术分支匹配兼容;与创新生态系统上下游成员构建商业化导向型紧密耦合网络,促进研发网络和商业化网络交互迭代,持续提高技术可靠性,最终成功突破关键核心技术。此外,由于新旧技术范式和企业技术能力差异,在“落后—追赶”与“创新引领”阶段中,关键核心技术突破所依赖的有效耦合模式不同,具体表现在耦合网络的结构和演进特征方面。本研究拓展并深化创新生态系统“瓶颈”与耦合模式研究,为核心企业与政府协调创新生态系统成员间耦合关系,突破关键核心技术被“卡脖子”困境提供启示。

The bottleneck in critical core technologies poses a challenge to China's high-quality development,and removing this bottleneck is a crucial issue in current theory and practice.Using the breakthrough in China's high-speed train traction system as a case study,this paper explores the patterns of breaking through critical core technologies through the lens of innovation ecosystems,coupling,and relational pluralism theories.The investigation uncovers a four-stage process in achieving breakthroughs in critical core technologies,with each stage requiring distinct technical knowledge.Consequently,focal firms are advised to cultivate adaptive and diverse coupling networks with innovation ecosystem members,tailoring them to the technical characteristics of each stage.This involves establishing a closely coupled network with research institutions for integrated technology breakthroughs,forming a loosely coupled network with component manufacturing enterprises to support advancements in sub-technological branches,utilizing a loosely coupled network to foster collaborative innovation among component manufacturing enterprises,and building a closely coupled commercialization-oriented network with upstream and downstream ecosystem members.This iterative process facilitates the continuous enhancement of technical reliability,culminating in the successful breakthrough of critical core technologies.It is emphasized that breakthroughs must occur in all four stages for comprehensive success.The effective coupling patterns for overcoming bottlenecks in critical core technologies differ between the“lagging-following”and“innovation leadership”stages due to variances in old and new technology paradigms and corporate technological capabilities.Similarly,the reliance on R&D-oriented loosely coupled patterns varies in conquering sub-technological branches.In coordinating the compatibility and alignment of sub-technological branches,differences in the reliance on R&D-oriented loosely coupled patterns are also observed.This study expands and deepens the research on“bottlenecks”and coupling patterns in innovation ecosystems,providing insights for focal firms and governments to coordinate coupling relationships among innovation ecosystem members and break through the dilemma of critical core technologies being bottlenecked.