【摘要】 在全球经济格局剧变与重塑背景下，确保关键核心技术的自主可控是我国实施科技强国战略、维护国家安全的关键。本文以西科控股及其孵化的光电产业领域创业企业集群为研究对象，系统探讨了技术集群先导平台企业助力创业企业关键核心技术突破的过程机理。研究发现：（1）创业企业在关键核心技术突破过程中面临着技术认知、技术身份、技术工程化、技术性能、技术整合、技术落地等6种发展障碍，不同障碍在关键核心技术突破过程中的内涵和表现呈现较大差异；（2）技术集群先导平台企业能在创业企业关键核心技术突破过程中采取集中于“技术”层面，聚焦关键核心技术突破具体实施流程和操作细节，直接解决技术难题的功能性策略；以及重点关注“生态”层面，通过强化与各主体间的关系网络，建立和完善技术发展内外部环境的关系性策略，加速关键核心技术突破；（3）在助力创业企业关键核心技术突破过程中，技术集群先导平台企业的主导逻辑呈现由价值引领到工程革新再到生态培育的阶段特征，由此引发其双重身份并实现以平台身份为主向以技术先导企业身份为主的动态演化。本文拓展了关键核心技术突破过程机制的理论解释边界，为技术集群发展态势下关键核心技术突破路径及组织模式研究提供了新见解，对我国加速推进关键核心技术突破以实现高水平科技自立自强具有启示意义。更多还原

【Abstract】 In recent years, intensifying global technological competition and the restructuring of international innovation systems have significantly increased the pressure on late-developing economies to secure autonomy and control over key and core technologies. Under this background, breakthroughs in key and core technologies have become a central pillar of China’s strategy for building technological self-reliance and safeguarding economic security. Unlike general technological innovation, breakthroughs in key and core technologies are characterized by high complexity, strong engineering dependence, long development cycles, and substantial uncertainty, making them difficult for individual entrepreneurial firms to achieve independently. Existing studies have examined key and core technology breakthroughs mainly from the perspectives of policy systems, industrial environments, or leading firms. However, limited attention has been paid to the role of technology cluster–based platform organizations, particularly to the internal process mechanisms through which such organizations facilitate entrepreneurial firms’ technological breakthroughs. In response to this gap, this paper investigates how technology cluster pilot platform enterprises assist entrepreneurial firms in achieving breakthroughs in key and core technologies.This study adopts an exploratory single-case research design, taking XIOPM Holdings and its incubated entrepreneurial enterprise cluster in the optoelectronics industry as the research context. Drawing on longitudinal qualitative data collected over nearly four years—including semi-structured interviews, participant and non-participant observations, internal archival materials, and external policy and industry documents—the study applies the Gioia methodology to inductively construct a process model of key and core technology breakthroughs. Multiple data sources are triangulated to ensure analytical rigor and theoretical saturation. The findings reveal three major insights. First, entrepreneurial f ir ms face six inter related developmental obstacles during the process of achieving key and core technology breakthroughs: technological cognition barriers, technological identity barriers, technology engineering barriers, technological performance barriers, technological integration barriers, and technological landing barriers. These obstacles vary in their manifestations and relative importance across different stages of the breakthrough process, ref lecting the evolving nature of technological uncertainty and organizational constraints. Second, technology cluster pilot platform enterprises respond to these obstacles by deploying two complementary categories of facilitation strategies. Functional strategies focus on the “technology” dimension, addressing concrete challenges through joint R&D, engineering validation, small-batch trial production, and process optimization. Relational strategies focus on the “ecosystem” dimension, strengthening trust-based relationships and coordinating interactions among entrepreneurial firms, research institutions, government agencies, and industrial partners. Together, these strategies not only alleviate firms’ immediate technical bottlenecks but also reshape the institutional and relational conditions for sustained technological advancement. Third, the study demonstrates that the dominant logic of technology cluster pilot platform enterprises undergoes a phased transformation throughout the breakthrough process. Specifically, the dominant logic evolves from value leadership in the technology exploration and development stage, to engineering innovation in the technology engineering transformation stage, and further to ecosystem cultivation in the technology application stage. This transformation is accompanied by a dynamic evolution of organizational identity, as platform enterprises shift from emphasizing a platform identity to increasingly foregrounding a technology-leading enterprise identity. Importantly, these stages are not strictly linear; in practice, technology exploration and engineering transformation may proceed in parallel, requiring platform enterprises to f lexibly combine stage-specific and hybrid support strategies.This paper makes several contributions to the literature. First, it develops a process model illustrating how technology cluster pilot platform enterprises facilitate entrepreneurial firms’ breakthroughs in key and core technologies, revealing a staged advancement path from technology exploration and development to engineering transformation and application, and thereby enriching process-based theories of key and core technology breakthroughs under technology cluster development. Second, by identifying the functional and relational strategies adopted by platform enterprises, the paper explains the mechanisms through which entrepreneurial firm clusters overcome complex technological barriers, extending existing research on breakthrough pathways and organizational modes of key and core technologies. Third, the study uncovers the underlying theoretical logic of platform-enabled breakthroughs, showing that the dominant logic of technology cluster pilot platform enterprises evolves from value leadership to engineering innovation and further to ecosystem cultivation, accompanied by a dynamic shift in dual organizational identities from a platform-oriented role toward a technology-leading enterprise role, thus offering a deeper micro-level explanation of how platform enterprises drive key and core technology breakthroughs.From a practical perspective, the study provides actionable implications for technology cluster pilot platform enterprises, entrepreneurial firms, and policymakers seeking to accelerate key and core technology breakthroughs and foster high-level technological self-reliance.更多还原