机会窗口视阈下后发企业自主创新能力演化机制研究

——基于OLED本土领军企业的案例解析

韩晓　徐建伟

（国家发展和改革委员会）

摘要：在技术民族主义兴起与“卡脖子”技术封锁加剧的背景下，后发企业如何突破传统技术引进路径依赖、构建自主创新能力，成为实现高水平科技自立自强的关键命题。本文基于机会窗口理论，以显示行业典型后发企业维信诺为案例，系统揭示其自主创新能力形成与演化的内在逻辑与阶段路径。研究发现：（1）机会窗口是触发企业创新能力跃迁的关键外部变量，不同窗口类型决定能力升级的进入时点与路径方向；（2）后发企业的自主创新能力演进依赖于创新文化、结构化创新投入、知识重组与生态协同等机制的持续构建与动态适配；（3）创新能力遵循“专业化奠基—工程化进阶—体系化突破”的阶梯式跃迁路径。本文突破传统技术追赶分析范式，强调后发企业在动态环境中识别窗口、耦合机制与重构能力的互动过程，为理解后发情境下企业自主创新能力演化提供新的理论视角，并对中国在新兴产业与未来产业领域实现创新引领具有政策启示意义。

关键词：后发企业；自主创新能力；机会窗口；知识重组；创新能力演化机制

作者简介：韩晓，国家发展和改革委员会产业经济与技术经济研究所助理研究员，北京，100038；徐建伟，国家发展和改革委员会产业经济与技术经济研究所研究员。

引用格式：韩晓,徐建伟.机会窗口视阈下后发企业自主创新能力演化机制研究——基于OLED本土领军企业的案例解析[J].经济与管理研究,2026,47(2):72-86.

Evolution Mechanisms of Independent Innovation Capabilities in Latecomer Firms from the Perspective of Windows of Opportunity

—A Case Study of a Leading OLED Firm in China

HAN Xiao, XU Jianwei

(National Development and Reform Commission, Beijing 100038)

Abstract: Against the backdrop of fierce technological competition and intensifying constraints of “chokepoints” in global technology chains, how latecomer firms can break away from dependence on technology imports and build independent innovation capabilities has become a critical issue. Existing studies on innovation in latecomer firms have primarily focused on technological catch-up, learning mechanisms, and capability accumulation, while paying insufficient attention to how firms dynamically align internal innovation mechanisms with heterogeneous windows of opportunity (WoO) across different phases. Building on the concept of WoO, this paper examines the evolution mechanisms of innovation capabilities in latecomer firms. Taking Visionox, a representative latecomer firm in China’s OLED display industry, as a case, this paper draws on extensive archival materials and in-depth interviews to construct an analytical framework of “WoO - mechanism response - capability leap” and reveals how latecomer firms identify, seize, and amplify different types of WoO to achieve stepwise upgrading of innovation capabilities.

This paper yields three main findings. First, WoO serves as a critical trigger for innovation capability leaps. Technological paradigm shifts, demand-technology coupling, and institutional restructuring each open distinct WoO, characterized by a phased, temporary, and selective nature. Whether the WoO can be transformed into competitive advantages depends on firms’ strategic responses. Second, the evolution of independent innovation capabilities in latecomer firms relies on the co-evolution of multiple endogenous mechanisms. In technological WoO, a mission-oriented innovation culture enables firms to maintain strategic commitment under high uncertainty and long R&D cycles, thereby laying a foundation for product specialization capabilities. In demand-technology composite WoO, structured investment mechanisms enhance innovation efficiency and drive the leap toward engineering and systems integration capabilities. In institutional WoO, policy support oriented toward independent controllability and system-level breakthroughs guides firms to transform institutional dividends into key technological breakthroughs and systemic innovation capabilities. Third, the evolution of innovation capabilities in latecomer firms follows a phased trajectory from specialization-based capability formation, to engineering-based upgrading, and ultimately to system-level breakthroughs. Through the temporal recombination of technological elements and the spatial reconfiguration of innovation networks, firms gradually shift their roles from technology adopters to system integrators and ecosystem leaders. In this process, institutional WoO functions primarily as an amplifier rather than a direct driver.

This paper deepens the explanatory power of WoO theory in latecomer contexts from a dynamic interaction perspective. It also offers valuable policy implications for promoting technological self-reliance and strength and enhancing system-level competitiveness in China’s emerging and future industries.

Keywords: latecomer firm; independent innovation capability; windows of opportunity; knowledge recombination; evolutionary dynamics of innovation capability

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