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论"宽容失败"激励关键核心技术突破的学理和实践逻辑OA

On the Theoretical and Practical Logic of"Tolerance for Failure"in Key Core Technologies Innovation

中文摘要英文摘要

关键核心技术创新是赢得国际战略竞争主动权的重要因素,其涵盖的"卡脖子"技术与"杀手锏"技术具有高度不确定性与长周期性等特征,这决定了其突破与涌现有赖于建构"鼓励创新、宽容失败"的包容性生态.尽管国家层面反复倡导,但宽容失败的共识在我国实践中仍难以落地,严重制约了创新动力的根本性释放.本文旨在回答"为何宽容失败"与"如何构建容错生态"两大核心问题.首先,从理论逻辑上阐明,宽容失败通过形成循环学习机制驱动"卡脖子"技术实现持续的知识积累与技术突破,并通过激发莱维飞行式的自由探索催生颠覆性的"杀手锏"技术.其次,剖析我国面临的现实困境:社会层面尚未完全形成对创新不确定性的理性认知,制度体系中长期激励与短期考核之间的张力尚未完全消解,金融市场供给侧与创新活动的需求之间仍存在适配缺口.最后,通过借鉴美国、德国、日本等全球创新高地的容错文化与制度实践,提出一个系统性框架:从创新主体层面构建有边界、有约束的宽容失败治理机制;从文化培育层面形成敢为人先、开放包容的社会风尚;从制度调适层面构建适配创新规律的弹性管理体系;从资本支撑层面构建适配创新风险特征的耐心资本池.从而推动创新主体与文化、制度、资本等三大维度的协同演进,形成敢试错、善纠错、能突破的良性闭环,为加快实现高水平科技自立自强、培育新质生产力提供坚实的系统支撑.

Key core technology innovation is a crucial support for winning the initiative in in-ternational strategic competition and cultivating new quality productive forces.The"chokepoint"technologies and"game-changing"technologies involved are characterized by high uncertainty,long development cycles,high failure rates,and high knowledge complexity,which determines that their breakthrough and emergence depend on an innovation ecosystem of"encouraging inno-vation and tolerating failure".This paper focuses on two core propositions:"why we should toler-ate failure"and"how to build an ecosystem that supports tolerance for failure",and conducts re-search from both theoretical and practical dimensions.At the theoretical logic level,for the breakthrough of"chokepoint"technologies,based on organizational learning theory,this paper points out that tolerance for failure helps to achieve the incremental conquest of"chokepoint"technologies by reinforcing goal-oriented iterative learning cycles(trial,feedback,and iteration).For the forging of"game-changing"technologies,based on random search theory,tolerance for failure ensures goal-free exploration,constructs a broad search space characterized by Lévy flight,and retains key cross-domain mutation opportunities while deepening local search,thus providing the possibility for forging"game-changing"technologies.At the level of practical di-lemmas,this paper analyzes the practical difficulties faced by China.First,societal cognition has not yet fully embraced a rational understanding of technological uncertainty.Second,institu-tional arrangements continue to exhibit tensions between long-term innovation incentives and short-term performance evaluations.Third,mismatches persist between the supply structure of financial markets and the risk profile of innovation activities.To overcome these constraints,this paper draws lessons from the failure-tolerant cultures and institutional practices of leading inno-vation economies such as the United States,Germany,and Japan.In light of China's specific de-velopmental context,it proposes a systematic ecological framework encompassing four dimen-sions:innovation actors,cultural environment,institutional systems,and capital support.At the actor level,the framework advocates establishing a bounded-failure-tolerance governance mechanism that achieves a dynamic balance between tolerance and accountability.At the cul-tural level,it calls for fostering a social consensus that encourages a pioneering spirit and ratio-nal attitudes toward failure.At the institutional level,it recommends constructing flexible perfor-mance evaluation systems and phased fault-tolerance procedures.At the capital level,it empha-sizes developing patient capital pools and risk-sharing mechanisms aligned with the structural characteristics of innovation risk.

龚磊;王卓越;帕丽达·克里木;刘志迎

杭州师范大学阿里巴巴商学院,浙江 杭州 311121杭州师范大学阿里巴巴商学院,浙江 杭州 311121中共新疆维吾尔自治区委员会党校(新疆维吾尔自治区行政学院)国家治理教研部,新疆维吾尔自治区 乌鲁木齐 830000中国科学技术大学管理学院,安徽 合肥 230026

管理科学

宽容失败创新容错试错关键核心技术耐心资本"卡脖子"新质生产力科技金融自立自强

tolerance for failureinnovation tolerancekey core technology innovationpa-tient capital"chokepoint"technologiesnew quality productive forcesSci-Tech financetech-nological self-reliance

《创新科技》 2026 (3)

1-14,14

国家自然科学基金青年科学基金项目(C类)"企业宽容创新失败与关键核心技术创新:驱动机理、治理机制与系统建构研究"(72502062)国家社会科学基金重大项目"创新链与产业链耦合的关键核心技术实现机理与突破路径研究"(22&ZD094).

10.19345/j.cxkj.1671-0037.2026.3.1

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