从技术引进到自主突破：人工智能对企业关键核心技术突破的影响研究

洪元元　王宁　刘晓康

（郑州大学）

摘要：在“卡脖子”技术制约持续加剧与高质量发展要求不断提升的背景下，提升企业在关键核心技术领域的突破能力已成为亟待回应的核心议题。本文选取2009—2024年沪深A股上市公司数据，基于动态能力理论，对人工智能影响企业关键核心技术突破的机理进行理论分析与实证检验。研究结果表明，人工智能有助于促进企业关键核心技术突破，且该结论在内生性分析与稳健性检验后依然成立。机制检验结果表明，人工智能通过提升企业创新能力、知识吸收能力与适应能力，从而推动企业实现关键核心技术突破。异质性分析发现，人工智能的促进效应在东部地区、非高技术密集型行业、处于成长期以及大型企业中更为明显。进一步分析结果显示，人工智能的经济后果表现为明显提升企业的市场竞争力。本文不仅为理解人工智能技术赋能关键核心技术突破提供了新的理论视角，也为相关政策制定与实践推进提供了有益参考。

关键词：人工智能；关键核心技术突破；创新能力；吸收能力；适应能力

作者简介：洪元元，郑州大学商学院博士研究生，郑州，450001；王宁，郑州大学商学院教授、博士生导师；刘晓康，郑州大学商学院博士研究生，通信作者。

基金项目：河南省软科学研究计划重大项目“河南省进一步深化科技体制改革提升创新体系整体效能对策研究”（252400411003）；河南省教育科学规划重大课题项目“智能化时代教育变革问题研究”（2025-JKZB-01）；河南省高校哲学社会科学研究重大项目“城市收缩的社会需求抑制效应及应对策略研究”（2026-JCZD-09）

引用格式：洪元元,王宁,刘晓康.从技术引进到自主突破:人工智能对企业关键核心技术突破的影响研究[J].经济与管理研究,2026,47(4):49-63.

From Technology Introduction to Indigenous Breakthrough: Impact of AI on Firms’ Breakthroughs in Core Technologies in Key Fields

HONG Yuanyuan, WANG Ning, LIU Xiaokang

(Zhengzhou University, Zhengzhou 450001)

Abstract: The bottleneck of core technologies in key fields has increasingly become a major constraint on China’s industrial security, national security, and high-quality economic development. Meanwhile, artificial intelligence (AI) is profoundly reshaping firms’ modes of production, knowledge acquisition patterns, and technological innovation paradigms. In this context, whether and how AI promotes firms’ breakthroughs in core technologies in key fields has become an important research issue. Using panel data of Chinese A-share listed companies in Shanghai and Shenzhen from 2009 to 2024, this paper develops a firm-level measure of AI and empirically examines its impact on breakthroughs in core technologies in key fields.

The results show that AI can promote firms’ breakthroughs in core technologies in key fields, and this conclusion remains robust after addressing potential endogeneity concerns and conducting a series of robustness tests. Mechanism analysis indicates that AI facilitates breakthroughs in core technologies in key fields primarily by strengthening firms’ dynamic capabilities, particularly innovation capability, knowledge absorptive capacity, and adaptive capability. Further analysis reveals notable heterogeneity in this effect, with stronger impacts observed among firms located in eastern regions, firms operating in non-high-tech intensive industries, firms in the growth stage, and large-sized firms. Moreover, AI contributes to enhancing firms’ market competitiveness, suggesting that breakthroughs in core technologies in key fields further consolidate firms’ competitive advantages.

The marginal contributions are reflected in several aspects. First, this paper improves the measurement of firm-level AI by refining existing AI dictionaries and removing negative contextual terms, macro-trend descriptions, and intention-oriented expressions. Second, it integrates AI and breakthroughs in core technologies in key fields into a unified analytical framework, thereby enriching the literature on the determinants of breakthroughs in core technologies in key fields. Third, based on dynamic capability theory, this paper reveals the internal paths through which AI promotes breakthroughs in core technologies in key fields. Finally, it further examines the economic consequences of AI by analyzing its effects on firms’ market competitiveness.

The findings suggest that policies should accelerate the diffusion and application of AI, improve AI-related infrastructure and public service platforms, and promote the deep integration of AI with firms’ innovation activities. Meanwhile, differentiated policy support should be implemented according to regional conditions, industrial characteristics, and firm life-cycle stages. In addition, efforts should be made to enhance firms’ innovation capability, knowledge absorptive capacity, and adaptive capability to fully unleash the empowering role of AI in facilitating breakthroughs in core technologies in key fields.

Keywords: artificial intelligence; breakthroughs in core technologies in key fields; innovation capability; absorptive capacity; adaptive capacity

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