为探讨中国“卡脖子”技术形成的原因，以高端数控机床为例，从微观视角分析了“卡脖子”技术结构和产业特征。研究发现中国高端数控机床产业的专利分布呈现科学界和产业界分化现象，技术集成度、复杂度不高并且专利价值较低，竞争能力较弱；高校院所以数控技术为主，技术体系呈现链式结构；领军企业以机床制造为主，技术体系呈现离散型结构。而日本数控机床产业体系以领军企业为主，并且专利呈现较高的技术集中度、关联度，整体技术体系呈现多技术核心的网络结构，数控和制造技术结合度高，具有较强的竞争能力。建议从技术生态体系构建、“卡脖子”技术分类攻关机制、改革评价方式等方面加强现代化产业链锻造，提高安全可靠能力。
In order to reveal the characteristics of the bottleneck technique, with CNC machine tools as an example, using the case comparison methods, this paper analyzes the patent technology characteristics from a micro perspective based on the patentometrics. It is found that there is a gap between the scientific community and the industry in China. In general, the technology integration is complex and the patent value is in a low level, with weak competitiveness. The universities focus mainly on the CNC technology, with the technology system in a chain structure. The enterprise is mainly based on the machine tool manufacturing, with the technology system in a discrete structure. Japanese CNC machine tools are dominated by leading enterprises, and their patents show a high degree of technological concentration and relevance, with the overall technology system in a network structure of multiple technology cores, with a high degree of combination between the CNC and the manufacturing technology, and with high competitiveness. Finally, to strengthen the forging of the modern industrial chain and improve the safety and the reliability, it is recommended to build a technology ecosystem, with a bottleneck technique classification mechanism, and to reform the evaluation methods.
[1] 是什么卡了我们的脖子[EB/OL].[2020-08-17]. http://digitalpaper.stdaily.com/http_www.kjrb.com/kjrb/html/2018-04/19/node_2.htm.
[2] 饶子和.筑牢"科学地基"突破"卡脖子"瓶颈[J].中国政协, 2019(12):12.
[3] 核心技术靠化缘是要不来的[EB/OL] [2020-8-17].http://digitalpaper.stdaily.com/http_www.kjrb.com/kjrb/html/2018-04/19/content_392662.htm?div=-1.
[4] 夏清华,乐毅."卡脖子"技术究竟属于基础研究还是应用研究[J].科技中国, 2020(10):15-19.
[5] 汤志伟,李昱璇,张龙鹏.中美贸易摩擦背景下"卡脖子"技术识别方法与突破路径——以电子信息产业为例[J].科技进步与对策, 2021, 38(1):1-9.
[6] 张治河,苗欣苑."卡脖子"关键核心技术的甄选机制研究[J].陕西师范大学学报(哲学社会科学版), 2020, 49(6):1-15.
[7] Trajtenberg M. A penny for your quotes:Patent citations and the value of innovations[J]. Rand Journal of Economics, 1990, 21(1):172-187.
[8] 马永涛,张旭,傅俊英,等.核心专利及其识别方法综述[J].情报杂志, 2014, 33(5):38-43.
[9] Bessen J E. The value of US patents by owner and patent characteristics[J]. SSRN Electronic Journal, 2008, 37(5):932-945.
[10] Klemperer P. How broad should the scope of patent protection be[J]. Rand Journal of Economics, 1990, 21(1):113-130.
[11] 这些"细节"让中国难望顶级光刻机项背[EB/OL].[2020-01-31]. http://www.xinhuanet.com/politics/20184/19/c_1122704657.htm.
[12] 中国工程院. 2020年中国制造强国发展指数报告[R/OL].[2021-01-31]. http://news.sciencenet.cn/htmlnews/2020/12/450938.shtm.
[13] Ozman M. Breadth and depth of main technology fields:An empirical investigation using patent data[EB/OL].[2021-02-02]. http://stps.metu.edu.tr/en/working-papers.
[14] 张古鹏,陈向东,牛欣.基于专利宽度和深度的技术复杂度分析[J].科研管理, 2012, 33(3):113-120, 135.
[15] 黄晓斌,梁辰.专利技术的关联网络分析——以4G通信技术领域为例[J].情报学报, 2015, 34(1):92-104.
[16] 刘凤朝,马荣康,孙玉涛.基于专利技术共现网络的纳米技术演化路径研究[J].科学学研究, 2012, 30(10):1500-1508.
[17] 姜子莹,封凯栋.论我国产学研结构性问题的成因,影响及其解决方案[J].中国科技论坛, 2020(7):3-5.
[18] 余江,刘佳丽,甘泉,等.以跨学科大纵深研究策源重大原始创新:新一代集成电路光刻系统突破的启示[J].中国科学院院刊, 2020, 35(1):112-117.
[19] 中国科技发展战略研究小组,中国科学院大学中国创新创业管理研究中心.中国区域创新能力评价报告2019[M].北京:科学技术文献出版社, 2019:10-11.
[20] 中国科学技术信息研究所. 2017年度中国科技论文统计与分析年度研究报告[M].北京:科学技术文献出版社, 2019:42-43.
[21] 陈吉红:中高端数控系统市场潜力大,和国外竞争须提高产品可靠性[EB/OL].[2021-03-20]. https://baijiahao.baidu.com/s?id=1693013890764519479&wfr=spider&for=pc.
[22] NATIONAL SCIENCE BOARD. Science&Engineering Indicators 2018[EB/OL].[2020-07-01]. https://www.nsf.gov/nsb.
