核心技术微观机理与突破路径——以中国汽车AMT技术为例

Micro Mechanism and Breakthrough Path of Core Technology:Evidence from China's Automotive AMT Technology

缺乏核心技术,一直是我国产业创新和国际竞争的"软肋"和"瓶颈"。主流创新理论和技术追赶理论都把核心技术视为"自明性概念"而"黑箱"化处理。通过对我国汽车电控机械式自动变速箱(AMT)技术突破过程的纵向多案例研究,打开了核心技术"黑箱",识别出3个内在单元:原理性、性能性与可靠性核心技术,三者"黑箱度",即突破难度依次提高。研究发现,企业实现核心技术突破就是逐步打开其"黑箱"的过程,以原理性核心技术为起点,以可靠性核心技术为终点;不同核心技术单元通过不同机制和能力实现突破。揭示了核心技术内在机理及其演化规律,丰富了技术演化及技术追赶理论,为我国企业实现核心技术突破、后发企业技术创新路径选择及政府创新政策制定提供了独特新颖的思路。

Lack of core technologies has long been the weakness and bottleneck for China＇s industrial innovation and international competition. Mainstream innovation and technology catching-up theory regard core technology as a selfevident concept and thus treat it as a ＂black box＂. This study opens the core technology ＂black box＂based on a longitudinal multiple case analysis on China＇s breakthrough of Automated Mechanical Transmission（ AMT） technology.We recognize three components of core technology,including Principle Core Technology（ PRCT）,Performance Core Technology（ PFCT） and Reliability Core Technology（ RLCT）,rising successively on difficulty to breakthrough.Latecomers＇ breakthrough on core technology is a gradual process of opening the ＂black box＂,that is,starting from PRCT and ending in RLCT. The three units are broken through in different ways,depending on different capabilities.This research sheds light upon the inner mechanism and evolutionary regulation of core technology,enriches technology evolution and catching up theories,and provides a novel and unique perspective for latecomers＇ selection on innovation path as well as innovation policies by the government.