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2026 , Vol. 70 >Issue 19: 43 - 55

DOI: https://doi.org/10.13266/j.issn.0252-3116.2026.19.004

研究论文

“卡脖子”技术识别方法研究：技术依赖与封锁的双重视角

  • 刘盼盼 ,
  • 钟永恒 ,
  • 刘佳
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  • 1 中共北京市委党校(北京行政学院) 图书馆(北京市情研究中心) 北京 100044;
    2 中国科学院武汉文献情报中心 武汉 430071;
    3 中国科学院大学经济与管理学院信息资源管理系 北京 100190;
    4 科技大数据湖北省重点实验室 武汉 430071
刘盼盼，助理研究员，博士；钟永恒，研究员，博士，博士生导师，通信作者，E-mail:zyh@mail.whlib.ac.cn；刘佳，副研究馆员，博士，硕士生导师。
32305.14.CN11-1541.2026.19.004

收稿日期: 2025-07-30

  修回日期: 2025-11-17

  网络出版日期: 2026-09-24

基金资助

本文系青海省科学技术厅科技援青合作专项“盐湖资源绿色高值利用科技成果数字化服务系统”（项目编号： 2023-QY-213）研究成果之一。

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Research on the Identification Methods of“Bottleneck” Technologies: Dual Perspectives of Technological Dependence and Blockades

  • Liu Panpan ,
  • Zhong Yongheng ,
  • Liu Jia
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  • 1 Party School of Beijing Municipal Committee of the C. P. C (Beijing Administration Institute), Library(Beijing City Research Center), Beijing 100044;
    2 National Science Library(Wuhan), Chinese Academy of Sciences, Wuhan 430071;
    3 Department of Information Resources Management, School of Economics and Management, University of Chinese Academy of Sciences, Beijing 100190;
    4 Hubei Key Laboratory of Big Data in Science and Technology, Wuhan 430071
Liu Panpan, Assistant Researcher, PhD; Zhong Yongheng, Researcher, PhD, Doctoral Supervisor, Corresponding Author, E-mail: zyh@mail.whlib.ac.cn; Liu Jia, Associate Research Librarian, PhD, Master's Supervisor.

Received date: 2025-07-30

  Revised date: 2025-11-17

  Online published: 2026-09-24

Supported by

This work is supported by Qinghai Provincial Department of Science and Technology's Science and Technology Cooperation project titled“Digital Service System for Scientific and Technological Achievements in Green and High-Value Utilization of Salt Lake Resources”(Grant No.2023-QY-213).

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摘要

[目的/意义] 突破“卡脖子”技术是我国实现高水平科技自立自强的关键，而精准识别“卡脖子”技术是其重要前提。[方法/过程] 基于技术依赖与技术封锁的视角，综合考虑“卡脖子”技术形成过程中技术先发者和技术后发者之间的关系，设计“卡脖子”技术识别框架。首先，以专利数据为来源，根据技术价值和经济价值筛选关键核心技术，采用BERTopic主题模型挖掘专利主题；其次，构建专利引用网络，通过网络脆弱性分析方法衡量技术的影响力，并结合专利引用关系构建技术依赖测度公式；然后，结合商业管制清单和专利数据，采用文本相似度方法测度技术封锁指数；最后，结合以上相关指标遴选出“卡脖子”技术和潜在“卡脖子”技术。[结果/结论] 实证研究表明：我国在芯片领域存在多项“卡脖子”技术和潜在“卡脖子”技术，主要集中在EUV光刻与光刻胶、化学气相沉积、电子设计自动化等方向，将此结果与相关产业政策进行对比，验证本方法的可靠性。

关键词： “卡脖子”技术; 技术识别; 技术依赖; 技术封锁

本文引用格式

刘盼盼 , 钟永恒 , 刘佳 . “卡脖子”技术识别方法研究：技术依赖与封锁的双重视角[J]. 图书情报工作, 2026 , 70(19) : 43 -55 . DOI: 10.13266/j.issn.0252-3116.2026.19.004

Abstract

[Purpose/Significance] In the context of global technological competition and industrial transformation, technological competition has become the core battlefield for comprehensive national strength. China still faces a significant gap in certain key technology areas compared to international advanced levels. The increasingly complex and severe external technological environment exacerbates the "bottleneck" dilemma in specific technology fields. Against this backdrop, constructing a scientific and efficient "bottleneck" technology identification system has become an important task for safeguarding national technological sovereignty and promoting independent innovation in industry. [Method/Process] From the perspectives of technological dependence and technological blockade, this study integrates the relationship between technology pioneers and technology latecomers in the process of identifying bottleneck technologies and designs a framework for their identification. First, using patent data as the source, key core technologies are selected based on technological value and economic value, and the BERTopic topic model is employed to mine patent themes. Second, a patent citation network is constructed, and the technological impact is assessed using network vulnerability analysis methods. This assessment is complemented by a formula for measuring technological dependence based on patent citation relationships. Subsequently, the technological blockade index is measured using text similarity methods in conjunction with the Commerce Control List and patent data. Finally, the identified key bottleneck technologies and potential bottleneck technologies are selected based on the aforementioned indicators. [Result/Conclusion] China has several existing and potential bottleneck technologies in the chip domain, primarily concentrated in areas such as EUV lithography and photoresists, chemical vapor deposition, and electronic design automation. The results were validated against relevant industrial policies, confirming the reliability of this method. [Innovation/Value] First, by combining the dimensions of technology dependence of latecomers on pioneers and the blockade imposed by pioneers on latecomers, this study provides a more comprehensive view of the bottleneck technology issue. Technological dependence often leaves latecomers in a vulnerable position susceptible to blockade, while technological blockade further intensifies the latecomers' dependence on the pioneers' technologies. Second, the introduction of patent citation networks and complex network analysis methods allows for the construction of a technological dependence index, while the text similarity calculation between patent themes and Commerce Control List themes facilitates the development of a technological blockade index. [Insufficient/Improvment] It is challenging to effectively identify "sleeping beauty" patents that possess significant potential value but have not been widely cited. Future research could integrate the content of patent texts to build a comprehensive framework for evaluating explicit influence and potential disruption. Additionally, incorporating expert knowledge, supply chain information, and enterprise interviews into the data sources could establish a multi-dimensional analysis system encompassing policies, patents, and industrial chains, thereby enhancing the accuracy and comprehensiveness of the identification model.

Key words： bottleneck technology; technological identification; technological dependence; technological blockade

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