核心企业主导的关键核心技术创新生态系统构建机理:以上海微电子为例

The Construction Mechanism of a Key Core Technology Innovation Ecosystem Organized by a Core Enterprise: The Case of SMEE

摘要:

关键核心技术关系国家经济社会发展质量和产业安全，以核心企业为牵引、协同其他创新主体形成创新生态系统，是突破关键核心技术的重要方式。从创新生态系统的视角，基于协同演化和动态能力理论，结合单案例研究和扎根分析方法，以上海微电子为例，探究关键核心技术创新生态系统的形成机理和演化路径。研究发现：在关键核心技术受制情境下，创新生态系统难以依靠市场协作自然形成，而是在核心企业持续组织和动员下逐步形成。核心企业通过非市场战略突破资源约束困境，确立技术攻关的合法性和资源基础；通过市场战略推动技术成果进入具体应用场景，实现技术能力与市场需求的结合；通过生态要素赋能，驱动政府、科研院所、金融机构等异质性主体加强资源连接与协同合作。在此过程中，经历了任务牵引、市场验证和生态共生三个阶段，推动关键核心技术创新生态系统由初始任务牵引逐步走向能力共生。本研究成果为理解受制情境下关键核心技术创新生态系统形成提供了理论解释，也为核心企业组织协同攻关提供了实践启示。

Abstract:

Key core technologies are critical to the quality of national economic and social development and industrial security. Building innovation ecosystems led by focal firms and involving multiple innovation actors represents an important approach to achieving breakthroughs in key core technologies. From the perspective of innovation ecosystems, this study investigates the formation mechanism and evolutionary trajectory of key core technology innovation ecosystems by adopting a single-case study and grounded theory approach, with Shanghai Micro Electronics Equipment (Group) Co., Ltd. as the research context. Drawing upon co-evolution theory and dynamic capability theory, this study explores how focal firms organize and mobilize heterogeneous actors under conditions of technological constraints. The findings reveal that, under the constraints of key core technologies, innovation ecosystems do not emerge naturally through market-based collaboration but are gradually constructed through the continuous organization and mobilization of focal firms. Specifically, focal firms overcome resource constraints through nonmarket strategies, establishing legitimacy and resource foundations for technological breakthroughs; they leverage market strategies to facilitate the application of technological achievements in specific scenarios and align technological capabilities with market demands; and they empower ecosystem factors to enhance resource connections and collaborative interactions among heterogeneous actors, including governments, research institutions, and financial institutions. Through this process, key core technology innovation ecosystems evolve through three stages: the task-driven stage, the market validation stage, and the ecosystem symbiosis stage, gradually shifting from initial task orientation toward capability-based symbiosis. This study provides theoretical insights into the formation of key core technology innovation ecosystems under technological constraints and offers practical implications for focal firms in organizing collaborative technological breakthroughs.