专利视角下中国“卡脖子”企业现状分析及突破建议

Analysis of the Current Situation of China's Bottleneck Enterprises and Countermeasures from the Perspective of Patents

摘要:

“卡脖子”企业是指被美方列入“实体清单”的企业，这些企业所涉及的技术具有重要战略地位但与国外技术存在差距，美方的制裁对这些企业的产业链安全、稳定性乃至国家安全构成风险。从专利视角出发，采用专利计量、社会网络分析和BERTopic主题挖掘等方法，从专利数量、专利权人、产业技术主题及演化等角度探究中国“卡脖子”企业现状。研究发现：中国“卡脖子”企业群体专利数量优势逐渐显现，专利申请量前十的企业均是以发明专利为主，专利价值较高，说明“卡脖子”企业具备较强的创新能力，但影响力有待提高；“卡脖子”企业专利合作网络规模逐渐增大，但网络结构不够紧密，具有无标度特征；“卡脖子”企业专利主要分布在数字通信、计算机技术、半导体、视听技术、电信等领域，美国对中国企业的管制正逐步从传统高技术扩展到人工智能、量子信息、机器人等新兴和前沿技术领域。根据分析结果，从补短板和筑长板两个角度，提出重视专利质量、精准突破“卡脖子”技术、扩大开放合作、发展战略性新兴产业等对策建议。

Abstract:

In recent years, the United States has frequently added Chinese enterprises in its “Entity List”. The technology involved in these enterprises holds significant strategic importance, and the US sanctions pose risks to the security and stability of China’s supply chains, as well as to national security. Using patent measurement, social network analysis and BERTopic topic mining methods, this paper deeply explores the current situation of China's bottleneck enterprises from the perspectives of patent quantity, patent holders, industrial technology themes and evolution. The study finds that the number of patents of China's bottleneck enterprises is gradually emerging. The top 10 enterprises with the most patents are mainly invention patents with high patent value, which shows that bottleneck enterprises have strong innovation capabilities, but their influence needs to be improved. The scale of patent cooperation network of bottleneck enterprises is gradually increasing, but the network structure is not tight enough and has scale-free characteristics. Patents of bottleneck enterprises are mainly distributed in the fields of digital communications, computer technology, semiconductors, audio-visual technology, telecommunications. That indicates the US regulations on Chinese enterprises is gradually expanding from traditional high technology to emerging and cutting-edge technology fields such as artificial intelligence, quantum information, and robots. According to the analysis results, from the perspectives of making up for shortcomings and building strengths, countermeasures and suggestions are proposed, such as paying attention to patent quality, accurately breaking through bottleneck technologies, expanding open cooperation, and developing strategic emerging industries.