Abstract: Accelerating the construction of independent innovation capabilities in core technologies is an imperative requirement in the new context of international scientific and technological competition. Against this backdrop, China's innovation policy planning must transcend the traditional logic of follower catch-up and shift towards a technological strategic perspective of beyond catch-up. It is essential to balance the breakthrough of bottleneck technologies and the forward-looking layout of killer technologies, focusing not only on the autonomy and control of current key industries but also on shaping future technological competitive advantages. Focusing on the strategic layout of national innovation policy, this study defining and discussing the scientific connotations and development patterns of killer technologies from the perspective of beyond catch-up, and emphasizes the strategic significance of killer technologies in international competition, which compensates for the bias of existing research that predominantly emphasize bottleneck technologies. Killer technologies refer to "asymmetrical technologies" mastered by technological entities at the high end of the innovation chain, which are difficult for other entities to imitate and surpass. Killer technologies are primary innovation outcomes formed within an endogenous innovation chain, fundamentally different from bottleneck technologies that rely on external sources of innovation. In the process of breaking through bottleneck technologies, latecomers who improve and expand within existing technological paradigms and tracks are prone to falling into the "catch-up trap" of continuous catching up and continuous falling behind. This study provides a comprehensive analysis of the "valley of death" phenomenon in key core technology innovation. On the basis of summarizing and sorting out the patterns of innovation transformation chains for two types of key core technology, the study analyzes the three major innovation breakpoints and constraints of innovation achievement transformation from basic research to application development, to productization, and then to scaling up, which supplements the previous research's insufficient attention to the breakpoints of upstream technology acquisition and downstream technology promotion. The main challenges faced by killer technologies at the stages of technology acquisition, transformation, and promotion are the insufficiency of continuous basic research, goal divergence among multiple entities, and the failure of business model innovation. Bottleneck technologies face the "cold start" paradox of latecomers, the lack of "know-how" in application transformation, and the difficulty of scaling up development at three stages. Breakthroughs in key core technologies typically require multiple entities to collaborate in complex innovation networks. Focusing on the three types of "valley of death" faced by the two categories of key core technologies, this study systematically elaborates the breakthrough path mechanisms for killer technologies and bottleneck technologies based on the "capability enhancement - resource allocation - institutional environment" logical framework, aiming to provide new theoretical perspectives and practical guidance for China's innovation policy layout. Capacity building of entities is key to breakthroughs in key core technologies, the optimization of resource allocation aims to enhance the entity capabilities, and reasonable and effective institutional arrangements support and safeguard the effective allocation of resources. These three types of innovation breakthrough elements interact and collaborate effectively in the process of breaking through key core technologies.

摘要： 加快建设关键核心技术自主创新能力是国际科技竞争新形势下的必然要求。本研究首先着眼于国家创新政策战略布局，从超越追赶视角对“杀手锏”技术的科学内涵与发展规律进行了定义与论述，弥补了既有研究偏重于“卡脖子”技术的视角缺陷。“杀手锏”技术指技术主体在创新链高级端掌握的、难以被其他主体模仿和超越的“非对称性技术”，是形成于内源式创新链的“一次创新”成果，与依赖外部创新源的“卡脖子”技术有根本差异。其次，通过对两类关键核心技术创新转化链式过程的规律总结与梳理，本研究解析了从基础研究到应用开发、到产品化、再到规模化的三大创新成果转化断点问题与制约因素，即技术形成、技术转化及技术推广“死亡之谷”挑战。最后，关键核心技术的突破通常需要多元主体在复杂的创新网络中协同攻关，本文针对两类关键核心技术面临的三类“死亡之谷”，基于“能力－资源－制度”的逻辑框架，系统性阐述了“杀手锏”技术和“卡脖子”技术的突破路径机制。