关键核心技术产学研协同创新机理研究——以芯片光刻技术为例

产学研协同创新是突破关键核心技术“卡脖子”问题、实现科技自立自强的重要途径，但鲜有研究揭示面向关键核心技术创新的产学研协同机理。基于复杂系统管理理论，构建关键核心技术产学研协同创新机理系统框架，揭示产学研非线性互动协同创新规律，并以芯片光刻技术为例，借助社会网络分析法实证解析该框架。研究发现：(1)资源整合—主体交互—系统涌现是基于复杂系统管理视角提升产学研协同网络成效、加快关键核心技术突破的有效途径；(2)主导者—桥梁—辅助者权力分配规则能够有效促进多元主体在交互过程中通过嵌入性社会关系推动关键核心技术创新的价值增值；(3)模块化—松散耦合的网络结构能够消除主体间交互障碍、最大化结构红利，是产学研协同复杂网络在系统结构层面涌现的关键核心技术创新突破规律。最后，通过芯片光刻技术专利合作网络实证解析关键核心技术产学研协同创新机理，提出强化面向关键核心技术产学研协同创新、助力高水平科技自立自强的对策建议。

The Collaborative Mechanism of Key and Core Technology Innovation:An Empirical Research Using Chip Lithography as An Example

Industry-university-research collaborative innovation is an important way to accelerate the breakthrough of the bottleneck problem of key and core technologies, but few studies have revealed the industry-university-research institution collaborative mechanism for key and core technologies innovation.Following the complex system management theory, this study constructs the industry-university-research institution collaborative mechanism framework of key and core technology innovation to explore the innovation laws hidden in the nonlinear interaction and cooperation of industries, universities and research institutions, and takes the patent cooperation network of chip lithography technology as an example to analyze the framework with the help of social network and other analysis methods.#br#The knowledge integration mechanism of "technology with pure rationality and practical rationality " speeds up knowledge transfer and stimulates creativity through the "potential difference" and "heterogeneity" of knowledge among collaborative subjects,and it is an effective way for the breakthrough of key and core technology innovation. Specifically, in the innovation process of key and core technologies, it is necessary to dissect, absorb and reconstruct the technical knowledge, pure rational knowledge and practical rational knowledge from the collaborative subjects of industries, universities and research institutions. The potential difference between different collaborative subjects accelerates the dissemination, sharing and complementary overflow of knowledge and resources. The heterogeneity between knowledge stimulates the creativity of collaborative subjects, so as to reduce the innovation cost and risk and promote the birth of key and core new technologies.#br#The power distribution rule of "leader-bridge-helper" can effectively explain the value-added process of embedded social relations in the interaction process of collaborative subjects and promote the innovation of key and core technologies. In the industry-university-research institution collaborative innovation system of key and core technology, all subjects interact tacitly and consciously according to the power distribution rules of "leader-bridge-helper", and automatically form an orderly structure under the leading role of the leader organization, the conduction intermediary role of the bridge organization, and the following and auxiliary role of the auxiliary organization. By constantly coordinating the relationship between the interactive subjects, the decentralized action goals between the subjects are integrated into the common goal of the collaborative network, so as to improve the interaction efficiency, avoid transaction costs and other costs, and finally promote the system to produce the effect of "the whole is greater than the sum of parts", and achieve the innovation and value increase of key and core technologies.#br#The network structure of "modularization-loose coupling" can eliminate the interaction obstacles between subjects and maximize the structural dividends. It is the key and core technology innovation breakthrough law of industry-university-research institution collaborative complex network at the system structure level. Specifically, the sub-modules with heterogeneous functions in the key and core technology industry-university-research institution collaborative complex system interact with other modules on a relatively independent basis, so that the whole collaborative system has stability and maintains a certain flexibility. The sub-modules are connected with each other according to the principle of "loose coupling", so as to minimize information redundancy, reduce conflicts and opportunistic risks, improve system flexibility, scalability and the reusability of elements, save management costs and finally promote the innovation and breakthrough of key and core technologies.#br#This study provides some of enlightenment for the key and core technology industry-university-research institution collaborative policy-making and enterprise innovation management. The three parties in the industry-university-research collaboration mechanism framework should evaluate their own resources and find partners purposefully, clarify their network positions and improve collaboration ability accordingly. Moreover, at the national level, the government should appropriately guide and set up technological specialization module development programs according to China's current development stage and basic national conditions, and effectively employ administrative means to establish connections with domestic and foreign resources; at the enterprise level, relevant enterprises should set their own technology sub-module strategies according to their own advantages and disadvantages. It is also vitalfor the government and enterprises to improve relevant systems to ensure the collaboration progress, such as further improving the institutional innovation and incentive policy system design and creating an open, integrated and resilient corporate culture.#br#