从外源到内生的技术创新与追赶研究——基于中国垃圾焚烧发电技术发展的分析

Research on technological innovation and catch-up from exogeneity to endogeneity:Based on the analysis of the development of waste-to-energy(WTE)technology in China

我国垃圾焚烧发电行业起步晚但发展快,如今不仅在垃圾焚烧发电规模上领先于传统垃圾焚烧发电强国,在技术上也从籍籍无名飞跃至世界领跑地位,成为中国式现代化的典型案例。本文通过对国家政策演进与垃圾处理外源到内生技术变革的过程分析,揭示出我国垃圾焚烧发电技术得以赶超的关键性因素——企业的自主学习能力与国家对技术路线的宏观指引。研究发现:(1)垃圾处理政策的发展是倒逼企业创新、推动垃圾焚烧发电行业走向繁荣的必要条件;(2)我国垃圾焚烧发电技术经历了外源式技术引进到内生式自主创新的发展道路,成功实现垃圾焚烧发电规模和技术的全面领先。(3)本文提出了一个“双核驱动内生式创新组织模式”,在该模式下,“有为政府”与“有效市场”的结合,是推动我国垃圾焚烧发电技术内生式创新的核心动力。本文的研究有助于揭示我国垃圾焚烧发电技术变革历程,同时也为中国式现代化提供典型实践经验。

China′s waste-to-energy(WTE)industry started late but developed rapidly.Today,it is not only ahead of the traditional WTE powers in terms of scale of WTE,but also has leapt from unknown to the world leader in technology,becoming a typical case of Chinese-style modernization.Through the analysis of the process of national policy evolution and the transformation of waste disposal from exogenous to endogenous technologies,we revealed the key factors for China′s WTE technology to the catch-up and surpassing stage—the enterprise′s independent learning ability and China′s macro guidance on the technical route.We found in the study that,firstly,the development of waste treatment policies is a necessary condition for forcing enterprises to innovate and promoting the prosperity of the WTE industry.Secondly,China′s WTE technology has gone through a development path from exogenous technology introduction to endogenous independent innovation,successfully achieving comprehensive leadership in the scale and technology of WTE.Thirdly,we proposed a model of“dual core driven endogenous innovation organization model”,under which the combination of“promising government”and“effective market”is the core power to promote endogenous innovation of WTE technology in China.Our results obtained from the study are not only helpful to reveal the technological transformation process of WTE in China,but also beneficial to provide some typical practical experiences for the Chinese-style modernization.