“卡脖子”技术形成路径与破解策略选择——基于芯片产业的案例研究

The Formation Path of Technology Bottlenecks and the Strategy Selection:A Case Study of the Chip Industry

如何破解关键核心技术被发达国家封锁的“卡脖子”难题,是促进我国经济发展、保障我国国家安全的重要课题,揭示“卡脖子”技术形成机理,能为系统解决该类问题提供科学依据。针对我国当前30项“卡脖子”技术开展实地访谈和资料分析,运用扎根理论归纳“卡脖子”技术形成的核心范畴,根据战略管理研究框架梳理核心范畴间的内在联系,以芯片制造产业为案例揭示问题形成机理及破解路径。研究发现:围绕“卡脖子”问题可提炼5个核心范畴。其中,技术特征定位反映关键核心技术的市场属性,是识别目标技术的充分条件;技术竞争态势反映目标技术的竞争劣势;技术封锁壁垒反映“卡脖子”威胁程度,构成问题形成的内外因;安全可控程度反映内外因对产业和国防安全的影响程度,是识别“卡脖子”技术成立的必要条件;而技术破解方式选择需要综合考虑各要素之间的影响程度和路径差异,并制定针对性策略。

With the rising protectionism and anti-globalization sentiment in the world,the economies of China and the United States have changed from a positive-sum game to a zero-sum game.The US has implemented technological containment on multiple Chinese companies in core areas such as chips,high-end materials,equipment,systems,and specialized software,leading to a serious shortage on the supply side and a strong dependence on exogenous chips on the demand side in China.In order to ensure China's economic development and national security,it is essential to reveal the formation mechanism and solution path of technology bottlenecks and make breakthroughs in bottleneck problems.Aiming at the current technology bottlenecks in China,this paper carries out field interviews,surveys and desk data analysis,and summarizes the core categories based on grounded theory;then,according to the strategic management research framework,it clarifies the internal correlation between the core categories through the case study of chip manufacturing technology and constructs the problem formation mechanism and solution path.First,both investigation and desk data analysis are taken into account to diversify data acquisition channels and meet the dynamic and temporal requirements of subsequent research.Second,grounded theory is used to carry out multi-level coding of data and refine some core concepts that reflect the cause of the problem.Meanwhile,to systematically reveal the interrelationships and mechanisms of core concepts,this study takes the technologically backward parties as the research subjects,introduces a strategic management analysis framework,and constructs an analysis framework based on target positioning,environmental analysis,result evaluation strategy selection to reveal the formation mechanism and seek a solution path.On this basis,a case study is conducted on the technological containment process in the chip industry.The research shows that five core categories can be extracted around the bottleneck problem,technical feature position reflects the marketing attributes of key core technologies,which is the premise of the formation of the problem.The situation of technology competition reflects the current situation and degree of disadvantage of such technologies;the technical blockade barrier reflects the way and threat degree of technological containment,which are the internal and external causes of the problem.Safety and controllability reflect the hidden dangers and impacts of the above factors.The selection of a technical cracking mode requires comprehensive consideration of the influence degree and path difference of each element and a targeted strategy.Besides,the technological blockade process adopted by the United States can be divided into four stages.The first trade friction stage is marked by increasing tariffs,which have hindered domestic enterprise exports.The second partial control stage,represented by the ZTE incident,destroyed the existing global supply chain and industrial division of labor directly.Third,in the comprehensive lockdown stage,the"Chips and Science Act"was introduced to comprehensively block Chinese products,enterprises and universities.In the final control stage,specific advanced computing integrated circuits and semiconductors were precisely controlled through the modification of regulations.The following conclusions are drawn.First,combined with the characteristics of the technology bottlenecks,the relevant technologies play a decisive role in industrial development.Thus,it is essential to strengthen the intensity of basic research through top-level design and boost the enthusiasm of different research and development entities to carry out breakthrough research by utilizing large central enterprises,research institutes,and other institutions.Through specialized,refined,and innovative enterprises,the deficiencies of the industry chain can be remedied to assist chip enterprises.Second,it is necessary to consider the internal and external factors of the talent shortage.The shortage of domestic chip talents directly affects the technological competitiveness of enterprises,while the external driving force of talent blockade exacerbates this performance.This study clearly reveals the path differences that arise from the technology bottleneck problems,providing a more scientific and credible theoretical basis and support for subsequent path comparison analysis and corresponding strategy formulation.