The Formation Background, Construction Methods, and Predicaments of Western Countries' Global Technological Monopoly Power

The implementation of technological monopoly by Western countries in the global economic system is one of the important characteristics of contemporary capitalism. With the continuous advancement of economic globalization since the latter half of the 20th century, changes in communication technology and transportation have provided strong support for the globalization of production processes and the integration of trade, enabling multinational enterprises to disperse production processes worldwide. At the same time, the process of economic globalization has also provided convenient conditions for Western countries to use technological monopoly to extract super-profits on a global scale. High-tech multinational enterprises and inter-firm strategic alliances in a very small number of Western countries, relying on their control over core technologies, standards, and so forth, have established comprehensive control within the global economic system. Technological monopoly manifests as multinational enterprises and strategic alliances, through monopolizing core scientific and technological knowledge resources, controlling key links in global economic activities such as R&D and design, dispersing non-core, lower-technology-level links to countries or regions with lower costs, and extracting surplus value from non-core links such as processing and manufacturing. Economic globalization has provided a certain pathway for monopoly capitalist countries to transfer internal contradictions and alleviate economic and social crises. The liberalization advocated by neoliberalism is, in essence, a free economy dominated and directed by the interests of international monopoly capital, prompting the capitalist basic contradiction and crises to continuously expand and deepen on a global scale. Among these, the global technological monopoly is an important factor exacerbating this contradiction.

西方国家在全球经济体系中实施科技垄断是当代资本主义的重要特征之一。随着20世纪下半叶以来经济全球化的不断推进，通信技术与运输变革为生产过程的全球化和贸易的一体化提供了有力支撑，使跨国企业能够将生产过程分散到世界范围。同时，经济全球化的进程也为西方国家利用科技垄断在世界范围攫取超额利润提供了便利条件。极少数西方国家的高科技跨国企业与企业间战略联盟凭借对核心技术、标准等的控制，在全球经济体系中建立了全方位的控制。科技垄断表现为跨国企业与战略联盟通过垄断核心科技知识资源，控制研发、设计等全球经济活动中的关键环节，将非核心、较低技术水平的环节分散到成本更低的国家或地区进行，从加工制造等非核心环节攫取剩余价值。经济全球化为垄断资本主义国家转移内部矛盾、缓和经济和社会危机提供了一定途径。新自由主义主张的自由化，实质上是国际垄断资本利益主导和支配下的自由经济，促使资本主义基本矛盾与危机在世界层面不断扩大和加深，其中，全球范围的科技垄断是加剧这种矛盾的重要因素。

The Formation of Western Countries' Global Technological Monopoly Position in the Process of Economic Globalization

经济全球化进程中西方国家全球科技垄断地位的形成

In the first volume of *Capital*, Marx analyzed how science and technology, as social productive forces, become separated from and opposed to labor, serving as tools for capital accumulation: "The intellectual faculties of production are enlarged on one side because they vanish from many sides. What is lost by the detail laborers is concentrated in the capital that confronts them. It is a result of the division of labor in manufacture that the intellectual potentialities of the material process of production confront the laborer as the property of another and as a power that rules over him. This process of separation starts in simple cooperation, where the capitalist represents to the single workman the unity and the will of the associated body of labor. It is developed in manufacture, which mutilates the laborer, turning him into a detail laborer. It is completed in large-scale industry, which makes science a productive force independent of labor and presses it into the service of capital." The combination of science and technology with capital has different manifestations at different stages of capitalist development. Industrial capital held a decisive position during the stage of industrial capitalism; science and technology, functioning as an element within the machinery system, were subordinate to the accumulation of industrial capital. In contemporary capitalist society, the further development of the capitalization of science and technology has acquired a material and technical foundation; the combination of science and technology with capital has developed into a relatively independent capital force. Compared with tangible assets, monopolizing and controlling intangible scientific and technological knowledge assets has become an important means for multinational enterprises in developed countries to occupy a dominant position in the global economic system and extract monopoly profits, granting them the ability to dominate subordinate enterprises lacking in scientific and technological capital.

马克思在《资本论》第一卷中分析了作为社会生产力的科学技术如何同劳动相分离相对立，成为服务于资本积累的工具，“生产上的智力在一个方面扩大了它的规模，正是因为它在许多方面消失了。局部工人所失去的东西，都集中在和他们对立的资本上面了。工场手工业分工的一个产物，就是物质生产过程的智力作为他人的财产和统治工人的力量同工人相对立。这个分离过程在简单协作中开始，在工场手工业中得到发展，在大工业中完成。在简单协作中，资本家在单个工人面前代表社会劳动体的统一和意志，工场手工业使工人畸形发展，变成局部工人，大工业则把科学作为一种独立的生产能力与劳动分离开来，并迫使科学为资本服务”。科学技术与资本的结合在资本主义发展的不同阶段具有不同的表现。产业资本在工业资本主义阶段具有决定性地位，科学技术作为机器体系中的一个要素发挥作用，从属于产业资本的积累。在当代资本主义社会中，科技资本化的进一步发展获得了物质技术基础，科学技术与资本的结合发展成为相对独立的资本力量。相较于有形资产，垄断控制无形的科技知识资产成为发达国家跨国企业在全球经济体系中占据主导地位、攫取垄断利润的重要手段，使它们获得了支配缺乏科技资本的从属企业的能力。

The advancement of the industrialization process in developing countries and the new division of production on a global scale are both important factors influencing economic globalization and also provide opportunities for the formation and expansion of the technological monopoly of international capital.

发展中国家工业化进程的推进和全球范围新的生产分工既是影响经济全球化的重要因素，也为国际资本科技垄断的形成和扩张提供了契机。

(I) The Intensification of Global Manufacturing Competition Due to the Development of Industrial Capabilities in Developing Countries Prompts International Monopoly Capital to Utilize Technological Monopoly to Seek New Profit Spaces

(一)发展中国家工业能力发展加剧全球制造竞争，促使国际垄断资本利用科技垄断寻求新利润空间

An important feature of the process of economic globalization is the globalization of production and trade activities; production processes are dispersed worldwide, and this process is based on the rapid development of developing countries along the path of industrialization. In the latter half of the 20th century, the gap in industrial development between developing and developed countries narrowed to a certain extent. Giovanni Arrighi, a representative of world-systems theory, argued that from the 1960s to the end of the 1990s, the industrialization gap between First World and Third World countries showed a narrowing trend, a result of the de-industrialization of the former and the industrialization of the latter.[1]1 Rajneesh Narula, *Globalization and Technology: Interdependence, Innovation Systems and Industrial Policy* (Cambridge: Polity Press, 2003). Against this backdrop, international monopoly capital, as a driver of economic globalization, actively expanded outward, promoting global industrial transfer under its dominance. Around the 1980s, developed countries led by the United States vigorously promoted neoliberal policies. They exploited the debt crises of developing countries to induce and force them to implement economic structural reforms under their direction. Influenced by neoliberal policies, many developing countries committed to industrialization abandoned import substitution strategies and shifted to implementing export-oriented development strategies. With this shift, multinational enterprises accelerated their outsourcing strategies, transferring relatively standardized operations to regions with lower production costs. This also meant that developing countries opened up to an increasingly competitive world market, creating conditions for the free activities of the more powerful capitalist multinational enterprises of developed countries, thereby being further drawn into the global economic system dominated by the interests of international monopoly capital. As more and more countries developed industrially, global industrial competition intensified to a certain extent. Fierce competition among developing countries, with capital and resources flowing in large quantities to low-end industries causing overcapacity, led to significantly lower returns from industrial production activities than before.

经济全球化进程中的一个重要特征是生产和贸易活动的全球化，生产过程分散在世界范围内进行，而这一进程基于发展中国家在工业化道路上的迅速发展。20世纪下半叶，发展中国家与发达国家工业化发展的差距在一定程度上有所缩小。世界体系理论的代表人物乔万尼·阿瑞吉(Giovanni Arrighi)认为，从20纪60年代到90年代末，第一世界国家和第三世界国家之间的工业化差距呈缩小趋势，这种趋势是前者去工业化、后者工业化发展的结果(2)。在这一背景下，国际垄断资本作为经济全球化的推动者积极向外扩张，促进了其利益主导下的全球产业转移。20世纪80年代前后，以美国为首的发达国家力推新自由主义政策，他们利用发展中国家的债务危机，诱导、迫使发展中国家实施其主导下的经济结构改革。在新自由主义政策影响下，许多致力于工业化的发展中国家放弃了进口替代战略，转型实施出口导向的发展战略。随着这一转型，跨国企业加速推进外包战略，将相对标准化的业务转移到生产成本更低的地区进行。这也意味着发展中国家向竞争日益加剧的世界市场开放，为实力更为强大的发达国家资本主义跨国企业的自由活动创造条件，从而被进一步卷入国际垄断资本利益主导下的全球经济体系之中。由于越来越多国家在工业上的发展，在一定程度上加剧了全球范围的工业竞争。发展中国家之间展开激烈的竞争，资金资源大量流向低端产业引起过剩，工业生产活动所取得的收益比以往大幅降低。

After withdrawing from production fields with intensified competition and lower profits, multinational enterprises in developed countries gradually shifted towards activities such as technological innovation and product strategy to seek new profit spaces. The main economic rents within the production chain increasingly appeared in areas outside of manufacturing; the owners of knowledge assets benefited the most from globalized production and exchange.

发达国家跨国企业从竞争加剧、利润较低的生产领域撤出后，逐渐转向技术创新、产品战略等活动以寻求新的利润空间。生产链中主要的经济租金越来越多地出现在制造活动以外的领域，知识资产的拥有者从全球化生产和交换中获益最多。

(II) International Monopoly Capital Uses Technological Monopoly as an Important Means to Occupy a Dominant Position in the Global Division of Labor

(二)国际垄断资本将科技垄断作为在全球分工中占据主导地位的重要手段

The international division of labor has continuously deepened in the process of production and trade globalization. Different stages of production for the same product, such as R&D, design, manufacturing, and marketing, can be decomposed into several relatively independent links. Each link can be completed by enterprises dispersed in different countries or regions, allowing multiple production activities to be spatially separated and temporally parallel. Different countries and enterprises form intricate production networks in cross-border production and trade. This situation has caused a significant transformation in the traditional global division of labor. British scholar Peter Dicken pointed out that the traditional capitalist world market exhibited a simple core-periphery structure, but with the restructuring of the global economic landscape, the new structure has become highly complex, "involving the fragmentation of many production processes and their spatial reconfiguration on a global scale, which penetrates national boundaries." As the division of labor becomes increasingly fine, various countries and regions utilize their own competitive advantages to participate in globalized production, improving overall efficiency through this specialized division of labor and closer cooperation. A single country or region finds it difficult to cover all links of the entire global industrial chain.

国际分工在生产和贸易全球化的进程中不断深化。同一产品的研发、设计、制造、营销等生产的不同阶段能够被分解成相对独立的若干环节，各个环节可以由分散在不同国家或地区的企业完成，使多项生产活动能够在空间上分离、在时间上并行，不同国家和企业在跨国界生产和贸易中形成了错综复杂的生产网络。这一状况使得传统的全球劳动分工发生了重大转变。英国学者彼得·迪肯(Peter Dicken)指出，传统的资本主义世界市场表现为核心与边缘的简单结构，而随着全球经济格局的重构，新的结构变得高度复杂，“其中包含了很多生产过程的片段化以及它们在全球尺度的空间再配置，而这穿透了国家边界”。随着分工越来越细化，各国家和地区利用自身具有的竞争优势参与全球化生产，通过这种专业化分工与更为密切的合作提升总体效率，单一国家或地区难以包揽整个全球产业链的各个环节。

International monopoly capital combines the unequal division of labor model under its dominance with the new global division of labor. Large multinational enterprises in developed countries are the dominant force driving the development of the global division of labor; they possess a certain capacity to coordinate and control production and business activities dispersed globally. Multinational enterprises decompose production processes based on costs and demand, withdrawing from those production fields that are not profitable, and concentrating resources in areas that can yield greater profits. By dominating key nodes at both ends of the industrial chain, such as R&D, design, and sales, or by controlling the supply of key components, multinational enterprises can occupy a dominant position in the global division of labor system, influencing and dominating other participants to a certain extent.

国际垄断资本将其主导下的不平等分工模式与新的全球劳动分工相结合。发达国家的大型跨国企业是推动全球分工发展的主导力量，它们对分散在全球的生产和经营活动具有一定协调和控制能力。跨国企业根据成本和需求分解生产过程，撤出那些不具备盈利能力的生产领域，并将资源集中在能带来更大利润的领域中。跨国企业通过主导产业链两端的研发、设计、销售等关键节点，或是控制关键部件的供应，就能够在全球分工体系中占据主导地位，在一定程度上影响和支配着其他参与者。

When analyzing the changes in late capitalism, Ernest Mandel pointed out that “late capitalism is far from representing a ‘post-industrial society’”; in late capitalist society, all sectors of the economy are for the first time fully industrialized, and “this development simultaneously determines a general equalization of average labor in the most important spheres of production.” [1]1 Rajneesh Narula, *Globalization and Technology: Interdependence, Innovation Systems and Industrial Policy* (Cambridge: Polity Press, 2003). It is precisely under this developmental trend that the reduction of other sources of surplus profit inevitably directs capital toward the pursuit of “technological rent.” To capture the surplus profit brought by technological monopoly, capitalism generates a permanent pressure to accelerate technological invention. The formation of capitalist scientific and technological monopoly in the global economic system is the result of the contradictory movement between the development of productive forces on a global scale and the search for super-profits by international monopoly capital. International monopoly capital, on the one hand, promotes the development of productive forces on a global scale, while on the other hand, it maintains technological monopoly, channeling profits toward Western developed countries. The development of contemporary global technological monopoly is built on the basis of a high degree of socialization of production, yet it exacerbates the uneven development of the global economy and further deepens the inherent contradictions of capitalism.

厄尔奈斯特·曼德尔(Ernest Mandel)在分析晚期资本主义的变化时指出，“晚期资本主义远远不是代表一种‘工业后的社会’”,在晚期资本主义社会中，经济的一切部门第一次全部都工业化了，“这一发展同时还确定了在最重要的生产领域中平均劳动力的一般的均等化”。正是在这样的发展趋势下，其他剩余利润来源的缩减必然导向资本对“技术租金”的追逐，资本主义为获取技术垄断带来的剩余利润，出现了加速技术发明的永久压力。全球经济体系中资本主义科技垄断的形成，是生产力向全球范围发展与国际垄断资本寻求超额利润之间矛盾运动的结果。国际垄断资本一边促进生产力向全球范围的发展，一边维护科技垄断，使利润流向西方发达国家。当代全球范围内科技垄断的发展建立在生产社会化高度发展的基础之上，却加剧了全球经济的不平衡发展，促使资本主义固有的内在矛盾进一步加深。

II. The Construction Methods of Western Countries’ Global Scientific and Technological Monopoly Power

二、西方国家全球科技垄断权力的构建方式

The process by which international monopoly capital occupies a dominant position in the global economic system through technological monopoly is essentially also a process of constructing and consolidating power. By monopolizing knowledge resources centered on science and technology, transnational corporations in developed countries have seized the dominant power in global economic activities. They control the key nodes of production and circulation, exercise control and restraint over subordinate suppliers or distributors that depend on their knowledge resources, and maintain the unequal power structure they have constructed on a global scale by strengthening this dependency relationship.

国际垄断资本通过科技垄断在全球经济体系中占据主导地位的过程，实质上也是构建和巩固权力的过程。发达国家跨国企业凭借垄断以科技为核心的知识资源，掌握了全球经济活动中的主导权，它们控制着生产和流通的关键节点，对依赖于其知识资源的从属供应商或经销商实行控制和制约，并通过强化这种依赖关系来维护其在全球范围构建的不平等权力结构。

(I) Monopoly of Knowledge Resources Centered on Science and Technology as an Important Pathway to Acquire Power

(一)以科技为核心的知识资源垄断是获取权力的重要途径

The continuous expansion of technological monopoly is rooted in a capitalist global economic system that is itself unequal, and it further consolidates and intensifies unequal power relations. In the era of economic globalization dominated by the knowledge economy, monopolizing and controlling key economic resources such as technology, design, and industry standards is an important pathway for international capital to acquire power. These resources, characterized by their intangible and knowledge-intensive nature, can generate high rents for them. American scholar Gary Gereffi points out that the difference between lead firms and their followers lies in the former’s control over access to major resources (such as product design, new technology, brand names, or consumer demand), which can generate the most substantial returns in the industry. [2]2 "New type of nationwide system" (新型举国体制, xinxing juguo tizhi) refers to a mechanism that mobilizes national resources, combining state planning with market mechanisms, to achieve breakthroughs in strategically important technologies. Gereffi distinguishes between buyer-driven and producer-driven global commodity chain models. The buyer-driven model mainly appears in industries such as apparel, toys, consumer electronics, and household goods. Its characteristic is that the manufacturing stage is generally labor-intensive, the factory system is highly competitive and widely dispersed globally, and entry barriers are very low. The lead firms in this model are mainly large retailers, brand-name sellers, and trading companies. They manage production and trade networks, acting as strategic brokers to ensure that all business links form a closely coordinated whole. Lead firms control the design and sales ends of the supply chain, and their profits come from a unique combination of high-value research, design, sales, marketing, and financial services. The producer-driven model mainly appears in capital- and technology-intensive industries, such as automobiles, computers, semiconductors, aircraft, and electrical machinery. The lead firms are mainly large transnational manufacturers of advanced products. They control the core link of manufacturing advanced products. The resources crucial to lead firms are highly capitalized and technologically advanced production facilities, as well as knowledge- and technology-intensive R&D operations. [3]3 Gary Gereffi, “The Organization of Buyer-Driven Global Commodity Chains,” 97–99. Science and technology are the core elements of knowledge resources. Monopolizing these key knowledge resources enables lead firms to effectively control economic activities in non-core links. In the buyer-driven model, the power of the lead firms is reflected in their substantial control over the mode, time, and place of production, as well as the profits generated by each link in the supply chain. In the producer-driven model, the power of the lead firms is reflected in their ability to control both “backward” raw material and component suppliers and “forward” retail sectors. [4]4 Gary Gereffi, “The Organization of Buyer-Driven Global Commodity Chains,” 97–99. On the one hand, lead firms concentrate resources on acquiring these key resources, occupying the core links of production and circulation. On the other hand, they strengthen the protection of these key areas to master the dominant power in the division of labor.

科技垄断的不断扩张植根于一个本身就存在不平等的资本主义全球经济体系之中，又进一步巩固和加剧了不平等的权力关系。在以知识经济为主导的经济全球化时代，垄断和控制技术、设计和行业标准等关键经济资源是国际资本获取权力的重要途径，这些资源具有无形和知识密集的特点，能够为其带来高额租金。美国学者加里·杰里菲(Gary Gereffi)指出，主导企业与其跟随者的区别在于，它们控制着对主要资源(如产品设计、新技术、品牌名称或消费者需求)的使用权，这些资源能在行业中产生最丰厚的回报(6)。杰里菲区分了购买者驱动(buyer-driven)和生产者驱动(producer-driven)的全球商品链模式。购买者驱动模式主要出现在服装、玩具、消费电子产品、家庭用品等产业，其特点是其制造阶段一般属于劳动密集型，工厂系统竞争激烈且在全球范围内高度分散，准入门槛很低。这种模式中的主导企业主要是大型零售商、品牌销售商和贸易公司，它们管理着生产和贸易网络，扮演战略经纪人的角色，以确保所有业务环节构成密切协调的整体。主导企业控制着供应链的设计和销售两端，其利润来自高价值研究、设计、销售、市场营销和金融服务的独特组合。生产者驱动模式主要出现在资本和技术密集型产业，如汽车、计算机、半导体、飞机和电器机械等，主导企业主要是先进产品的大型跨国制造商。它们控制着先进产品的制造这一核心环节，对主导企业至关重要的资源是高度资本化和技术先进的生产设施，以及知识和技术密集型的研发业务(7)。科技是知识资源中的核心要素，垄断这些关键的知识资源，使主导企业有能力对非核心环节的经济活动实行有效控制。在购买者驱动的模式中，主导者的权力体现在它们对生产的方式、时间和地点以及对供应链各个环节产生的利润都有着实质性的控制；在生产者驱动的模式中，主导者的权力体现在它们拥有对“向后”的原材料、零部件供应商与“向前”的零售业的控制能力(8)。主导企业一方面集中资源投入于获取这些关键资源，占领生产和流通的核心环节；另一方面加强了对这些关键领域的保护，以在分工中掌握主导权。

First, lead firms concentrate their efforts on developing knowledge- and technology-intensive fields, externalizing the costs and risks brought by non-core manufacturing activities. Large transnational corporations no longer position their core advantage in traditional vertical integrated manufacturing. Instead, by decomposing the production process, they enable themselves to detach from labor-intensive manufacturing links. In the buyer-driven model, lead firms have detached themselves from the manufacturing process; they do not set up factories, only handle design and sales, and rely on a complex network of tiered contractors to complete some or all specialized tasks such as manufacturing, packaging, and transportation. [5]5 Gary Gereffi, “The Organization of Buyer-Driven Global Commodity Chains,” 98. This strategy allows lead firms to concentrate resources on investing in core areas such as R&D and product innovation. Transnational corporations monopolize core links and strengthen control over the reproduction of knowledge by establishing strategic alliances to share knowledge, utilizing the knowledge resources of global R&D innovation clusters, and acquiring or merging knowledge assets.

首先，主导企业集中力量发展知识和技术密集领域，将非核心制造活动带来的成本和风险外部化。大型跨国企业不再将核心优势定位于传统的垂直一体化制造，而是通过分解生产过程使它们能够脱离劳动力密集的制造环节。在购买者驱动模式中，主导企业脱离了制造过程，它们不设立工厂，仅负责设计和销售环节，并依赖复杂的层级承包商网络来完成部分或全部的制造、包装、运输等专业任务(9)。这一战略使主导企业能够集中资源投入研发、产品创新等核心领域。跨国企业通过建立战略联盟共享知识、利用全球研发创新集群的知识资源、收购或并购知识资产等方式垄断核心环节，加强对知识再生产的控制。

Second, lead firms strengthen the protection of knowledge assets, hindering and excluding competitors from entering core links, thereby reducing competition in these protected areas. The international intellectual property protection system dominated by developed countries enhances the strength of transnational corporations in protecting and controlling knowledge assets, supporting and reinforcing the advantageous position of lead firms in capturing rents in globalized production and exchange. The globalization of production and trade expands simultaneously with the protection of international intellectual property. On the one hand, when participating in the globalization of production, transnational corporations from developed countries usually need to ensure their intellectual property is protected. To guarantee exclusive control over intangible assets, they lobby governments to formulate stricter intellectual property laws to safeguard their own interests. On the other hand, stricter intellectual property norms also maintain the advantages of developed capitalist countries and their enterprises in intellectual property. Developed countries, led by the United States, use unilateral trade sanctions and other means to threaten and force developing countries to strengthen intellectual property protection and accept stricter international intellectual property protection standards dominated by their interests. The international intellectual property protection system essentially strengthens the monopoly control power of international capital over knowledge assets. Transnational corporations and strategic alliances holding a large number of intellectual property rights use means such as implementing standard monopolies, licensing restrictions, and refusing to deal to exclude or restrict competition, control the global market, and hinder the technological development of enterprises and countries lacking intellectual property.

其次，主导企业加强了对知识资产的保护，阻碍和排斥竞争者进入核心环节，从而降低了这些受保护领域的竞争。发达国家主导下的国际知识产权保护体系增强了跨国企业在知识资产保护和掌控上的力度，支持和强化了主导企业在全球化生产和交换中获取租金的优势地位。生产和贸易的全球化与国际知识产权保护同步扩张。一方面，发达国家的跨国企业在参与生产全球化的过程中，通常需要确保其知识产权受到保护。它们为了保障对无形资产的独占性控制，游说政府制定更为严格的知识产权法律以维护其自身利益。另一方面，更为严格的知识产权规范也维护了发达资本主义国家及其企业在知识产权方面的优势。以美国为首的发达国家通过单边贸易制裁等手段威胁、迫使发展中国家加强知识产权保护，接受其利益主导下的更为严格的国际知识产权保护标准。国际知识产权保护体系实质上强化了国际资本对知识资产的垄断控制权，拥有大量知识产权的跨国企业与战略联盟通过实施标准垄断、许可限制、拒绝交易等手段，排除或限制竞争，控制全球市场，阻碍缺乏知识产权的企业和国家的技术发展。

(II) The Strengthening of Control over Subordinate Enterprises by Technologically Monopolistic Lead Firms in the Process of Power Operation

(二)科技垄断主导企业在权力运作过程中加强对从属企业的控制

In the operation of power, the power differential brought about by a science and technology monopoly endows the dominant party with the ability to influence and control subordinates, forcing the latter to make compromises in transactions or cooperation. The dominant enterprise possesses numerous potential transaction partners, whereas subordinate enterprises, due to their dependence on relatively scarce knowledge resources such as technologies controlled and protected by the dominant party, lack alternative transaction partners. This dependency relationship grants the dominant enterprise stronger bargaining power, enabling it to use means such as threats of exit, replacing suppliers or distributors, to demand economic concessions from subordinates, thereby suppressing manufacturing costs and extracting maximum profits. While restricting competitors from entering core areas to reduce competition, the dominant enterprise also systematically seeks out and cultivates more competitive new suppliers, continuously lowering the entry barriers for low-end segments, thereby intensifying competition among enterprises in those segments. These strategies all strengthen the dominant party’s control over subordinate enterprises while simultaneously compressing the latter’s profit margins. In buyer-driven models, the dominant enterprise holds significant power over manufacturers, capable of setting parameters for the production process and dictating output prices; in producer-driven models, the dominant manufacturing enterprise typically wields higher power in its relationship with retailers and can conduct its own retailing and distribution.[10]10 The text references “buyer-driven” and “producer-driven” modes of global value chain governance, concepts elaborated by scholars such as Gary Gereffi. Subordinate enterprises in low-end segments can only subordinate themselves to the global division of labor dominated by the interests of multinational corporations from developed countries. Taking the automotive industry as an example, core design activities are primarily concentrated in design centers in developed countries; non-core component suppliers have little choice beyond producing according to the designs of the dominant enterprise or manufacturing spare parts for the aftermarket of the brand-dominant enterprise. The dominant enterprise holds the initiative in selecting suppliers and production locations; subordinate suppliers are objects that can be “sacrificed” at any time.

在权力运作上，科技垄断带来的权力差异赋予主导者影响和控制从属者的能力，迫使后者在交易或合作中作出妥协。主导企业拥有众多潜在的交易对象，而从属企业由于依赖于主导者掌握和保护的技术等较为稀缺的知识资源，缺乏可替代的交易对象。这种依赖关系使主导企业拥有更强的议价能力，利用退出威胁、更换供应商或经销商等手段，要求从属者作出经济让步，以从中压低制造成本、榨取最大收益。主导企业在限制竞争者进入核心领域以减少竞争的同时，还有计划地寻找和培养更具有竞争力的新供应商，不断降低低端环节的准入门槛，促使低端环节上企业之间的竞争加剧。这些策略都使主导者加强了对从属企业的控制，同时也压缩了后者的利润空间。在购买者驱动的模式中，主导企业拥有对制造商的强大权力，它们有能力设定生产过程的参数并支配产出价格；在生产者驱动的模式里，占主导地位的制造企业在与零售商的关系中通常握有较高的权力，它们可以自己进行零售和分销(10)。处于低端环节的从属企业只能从属于发达国家跨国企业利益主导下的全球分工。以汽车产业为例，核心的设计活动主要集中在发达国家的设计中心进行，非核心零部件供应商除了按照主导企业的设计进行生产或是为品牌主导企业的售后市场生产备件之外，几乎没有太多选择。主导企业掌握着选择供应商和生产区位的主动权，从属供应商是随时可以被“牺牲”的对象。

Controlling and monopolizing technical standards is a crucial strategy for dominant enterprises to acquire and maintain a dominant position in the global economic system. The formulation of technical standards is inseparable from long-term, substantial technological accumulation; only multinational corporations and alliances from a very few countries are capable of formulating and implementing technical standards. By seizing the power to formulate technical standards, they gain a “first-mover advantage,” enabling them to occupy the commanding heights of the global industrial chain. This not only helps lock in customer groups but also forces later competitors to pay a higher price. Dominant enterprises can not only monitor and ensure that their subordinate suppliers and customers comply with and implement relevant standards but also take sanctions when necessary. They can impose economic penalties on enterprises that fail to meet their standard requirements; in some extreme cases, they may even choose to expel these non-compliant enterprises from their supply chains. The dominant party in technical standards sets the rules of the game, influencing and integrating global production factors such as capital, resources, and talent to serve its own maximum interests.

掌控和垄断技术标准是主导企业在全球经济体系中获取和保持支配地位的重要战略。技术标准的制定离不开长期的、大量的技术积累，只有极少数国家的跨国企业和联盟有能力制定和推行技术标准。它们通过掌控技术标准的制定权，获得了“先行优势”,得以占据全球产业链的制高点，这不仅有助于锁定客户群体，还使得后来的竞争者必须付出更多代价。主导企业不仅能够监督和确保其从属供应商和客户遵守和落实相关标准，在必要的时候还会采取制裁措施。它们能够对无法达到其标准要求的企业给予经济处罚，在某些极端情况下，它们甚至会选择将这些不达标企业逐出其供应链。技术标准的主导者制订游戏规则，影响、整合全球范围的资金、资源、人才等生产要素，服务于其自身的最大利益。

(III) Western Countries’ Science and Technology Monopoly Intensifies Unequal Power Relations in the Global Economic System

(三)西方国家的科技垄断加剧全球经济体系中的不平等权力关系

The science and technology monopoly intensifies unequal power relations between enterprises and between countries within the global economic system. To seize the development opportunities brought by economic globalization, developing countries need to integrate into the globalization of production dominated by enterprises from developed countries as subordinates. In this process, developing countries often participate in the division of labor by relying on cheap resources and labor, depending on the knowledge resources controlled by the dominant enterprises of developed countries. Because the profits obtainable from engaging in low-end production segments are limited, enterprises in developing countries find it difficult to accumulate sufficient funds for innovation and R&D, which constrains the cultivation and development of their innovation capabilities in areas such as R&D and design. At the same time, as competitive pressure in low-end production segments intensifies, it may further solidify the subordinate position of developing countries in power relations, limiting their access to the key resources needed to implement long-term industrial development strategies. Although integration into the process of economic globalization can, to a certain extent, promote the participation of enterprises from developing countries in the innovation process—through cooperation with dominant enterprises, subordinate enterprises may obtain necessary knowledge and technology transfer through direct or indirect channels—such knowledge flows remain highly dependent on the strategic considerations and benefit distribution decisions of the dominant enterprises. On the one hand, when optimizing the overall operational efficiency of the global industrial chain, dominant enterprises are willing to engage in a certain degree of knowledge transfer, providing subordinate enterprises with assistance in technology and knowledge training; on the other hand, however, because segments that yield high economic rents, such as R&D and design, are highly protected by the dominant party, they will adopt corresponding measures to resist subordinates entering these areas. Enterprises in developing countries are therefore easily locked into low-end manufacturing segments of the industrial chain, falling into a “dilemma of being stuck.”

科技垄断加剧了企业之间和国家之间在全球经济体系中的不平等权力关系。发展中国家为了获取经济全球化带来的发展机会，需要以从属者的身份融入发达国家企业主导下的全球化生产。在这一过程中，发展中国家往往凭借廉价资源、劳动力参与分工，并依赖于发达国家主导企业掌握的知识资源。由于从事低端生产环节所能够获取的利润有限，使得发展中国家的企业难以积累足够的创新研发资金，制约了其在研发、设计等领域的创新能力的培育和发展。同时，随着低端生产环节竞争压力的加剧，可能会进一步固化发展中国家在权力关系中的从属地位，限制它们获取实施工业发展长期战略所需的关键资源。尽管融入经济全球化进程能够在一定程度上推动发展中国家企业参与创新进程，通过与主导企业的合作，从属企业有可能通过直接或间接渠道获取必要的知识和技术转移，然而，此类知识流动仍然高度依赖于主导企业的战略考量与利益分配决策。一方面，主导企业在优化全球产业链运行的整体效率时，有意愿进行一定程度的知识转移，为从属企业提供技术和知识培训等方面的帮助；然而另一方面，由于研发、设计等能带来高额经济租金的环节受到主导者的高度保护，它们会采取相应措施抵制从属者进入这些领域。发展中国家的企业因此易于被锁定在产业链的低端制造环节，陷入“进退两难”的困境。

At the national level, the expansion of the science and technology monopoly is inseparable from the support of state power. Due to various factors such as history and economic strength, Western countries lead developing countries in areas such as investment in science and technology R&D, professional talent reserves, and intellectual property. To maintain their science and technology monopoly position, these countries not only strengthen intellectual property protection to prevent enterprises in developing countries from utilizing and replicating their advanced technologies but also implement malicious monopolistic and sanctioning behaviors, attempting to slow down the pace of technological innovation in developing countries, solidify the latter’s position in the global industrial chain, and thereby engage in long-term exploitation of developing countries. Consequently, the contradiction between the two sides becomes increasingly prominent. Filippo Belloc and Ugo Pagano point out that over time, the inequality in patent distribution deepens both between enterprises and between countries, and the degree of polarization between countries has consistently been higher than that between enterprises.[12]12 Filippo Belloc and Ugo Pagano, “Knowledge Enclosures, Forced Specializations and Investment Crisis,” *The Economic Journal*, Vol. 119, No. 537, 2009, pp. 532-554. Overall, there is a significant gap between developing and developed countries in terms of the quantity and quality of international patent applications. Although a few monopoly capitalist countries and multinational corporations may benefit from techno-nationalism, on a global scale, the science and technology monopoly suppresses opportunities for investment, innovation, and specialized development in countries and enterprises lacking knowledge asset accumulation, continuously reproducing unequal power relations.

在国家层面，科技垄断的扩张离不开国家力量的扶持。西方国家由于历史、经济实力等多种因素，其在科技研发投入、专业人才储备、知识产权等方面都领先于发展中国家。这些国家为维护科技垄断地位，不仅通过加强知识产权保护以防止发展中国家企业利用和复制其先进技术，还实施恶意垄断和制裁行为，企图拖慢发展中国家技术创新的速度，使后者在全球产业链中的地位固化，以便对发展中国家进行长期剥削，由此一来，二者之间的矛盾日益凸显。菲利普·贝洛克(Filippo Belloc)和乌戈·帕加诺(Ugo Pagano)指出，随着时间的推移，专利分配的不平等程度在企业之间和国家之间都在加深，且国家之间的两极分化程度一直高于企业(12)。从总体上看，发展中国家与发达国家之间在国际专利申请数量与质量上存在较大差距。虽然少数垄断资本主义国家和跨国企业可能从科技保护主义中获益，但在全球范围内，科技垄断抑制了缺乏知识资产积累的国家及其企业的投资、创新与专业化发展的机会，不断再生产出不平等的权力关系。

III. Industrial Upgrading in Developing Countries and the Predicaments of the Western Global Science and Technology Monopoly System

三、发展中国家的产业升级与西方国家全球科技垄断体系的困境

Although the science and technology monopoly of Western countries has, at certain stages, erected numerous obstacles to the development of developing countries, the unequal power relations under the science and technology monopoly also compel developing countries to seek breakthroughs in key areas such as technology and manufacturing to escape their dependent position. In recent years, as the comprehensive strength of some developing countries has continuously improved, the control of the dominant parties in the science and technology monopoly over the global economic system has gradually been weakened. In this process, the contradictions inherent in the capitalist global science and technology monopoly system are becoming increasingly prominent.

尽管西方国家的科技垄断在一定阶段内为发展中国家的发展设置了重重障碍，但科技垄断下的不平等权力关系也迫使发展中国家在技术、制造等关键领域寻求突破以摆脱其依附地位。近些年来，伴随着一些发展中国家综合实力的不断提升，科技垄断主导者对全球经济体系的控制力逐渐被削弱。在这一过程中，资本主义全球科技垄断体系内在包含的矛盾日益凸显。

(I) Industrial Upgrading in Developing Countries Challenges the Existing Global Science and Technology Monopoly Structure

(一)发展中国家产业升级对既有的全球科技垄断格局形成了挑战

The development of cross-border production networks brings both challenges and opportunities for industrial upgrading to the manufacturing sectors of developing countries. Facing increasingly fierce competition and rapid technological change, some developing countries, in order to break through the situation where core technologies are monopolized and controlled by developed capitalist countries, have thrown themselves into technological catch-up and scientific and technological innovation, continuously moving out of low-tech segments and ascending to higher positions in the global industrial chain.

跨国界生产网络的发展给发展中国家的制造业带来挑战的同时，也带来了产业升级的机遇。面对日益激烈的竞争和快速的技术变化，一些发展中国家为突破由发达资本主义国家垄断控制核心技术的局面，投身于技术追赶和科技创新，不断从低技术环节中迁移出来向全球产业链中更高的地位攀升。

First, as the interdependent relationship between developed countries and developing countries within the global economic system becomes increasingly close, those enterprises with continuously enhanced competitiveness and their home countries have the opportunity to achieve an elevation in status. Some enterprises from developing countries, in the process of integrating into the division of labor in the global industrial chain, have achieved significant improvement and development in their manufacturing capabilities. The labor division model, where developed countries provide R&D and design while developing countries provide low-tech labor, has begun to become more complex. Taking the semiconductor industry in East Asia as an example, since the 1980s, some OEM enterprises within the East Asian regional production network have upgraded their technology, continuously increasing their influence in the global industrial chain. They have gradually formed a two-way dependency with their leading enterprises, gaining stronger bargaining power. Enterprises with continuously improving competitiveness in areas such as production capacity, technology, and management, along with their home countries, have the opportunity to escape their subordinate status and thus participate in the global division of labor and cooperation on a more equal footing.

首先，随着发达国家与发展中国家在全球经济体系中的相互依赖关系日趋紧密，那些不断增强内在竞争力的企业及其所在国家有机会实现地位提升。一部分发展中国家的企业在融入全球产业链分工的过程中，其制造能力获得了显著提升和发展。发达国家提供研发设计、发展中国家提供低技术劳动的劳动分工模式开始越来越复杂。以东亚地区半导体工业为例，20世纪80年代以来，东亚区域性生产网络中的一些代工企业技术得到升级，在全球产业链中的影响力不断提升，并与其主导企业之间逐渐形成双向依赖，获得了更强的议价能力。在产能、技术、管理等方面竞争力不断提升的企业及其所在国家有机会摆脱从属者地位，进而以更为平等的身份参与全球分工协作。

Second, enterprises that participate in globalized production by manufacturing low-end products, along with their home countries, actively seek technological progress to break the long-maintained state of technological monopoly by developed countries. As the scale of material production in the manufacturing sectors of developing countries continues to expand, there is an increasingly urgent need to independently master R&D and design and to enhance scientific and technological innovation capabilities. Moreover, due to competitive pressure in the low-end links of the industrial chain squeezing corporate profit margins, enterprises in developing countries are prompted to seek technological progress and climb to links in the industrial chain that yield higher profits. Taking Huawei as an example, in the early stages of integrating into the global industrial chain, Huawei was in a technologically weak position. In the process of entering the international market, it needed to obtain patent licenses for standards from the leading enterprises and competed using a low-price strategy. By transforming its process flows and continuously investing in the R&D field, Huawei gradually mastered core technologies in multiple fields such as 5G and cloud computing, successfully breaking through the "low-end lock-in" and achieving an ascent in the global industrial chain. Enterprises from late-developing countries can leverage their latecomer advantages, entering the market as technology "imitators," which is conducive to quickly bridging the technological gap with first-mover countries. The development of South Korea's semiconductor industry serves as an example. When South Korean semiconductor companies entered the semiconductor field, they were initially at the low end of the industrial chain, relying on technology provided by the US and Japan. However, by adopting a strategy of acquiring and absorbing the latest technologies, they successfully developed into top-tier semiconductor manufacturers in a relatively short period, narrowing the gap with the US and Japan.

其次，通过制造低端产品参与全球化生产的企业及其所在国家积极寻求技术进步，以打破发达国家长期维持的科技垄断的状态。随着发展中国家的制造业在物质生产规模上的不断扩大，对自主掌握研发和设计、提升科技创新能力有着越来越迫切的需求，且由于产业链低端环节竞争压力导致企业利润空间受到挤压，促使发展中国家的企业寻求技术进步，向产业链获利更高的环节攀升。以华为公司为例，华为在融入全球产业链初期在技术上处于弱势，在进入国际市场的过程中需要获得主导企业在标准上的专利授权，以低价策略参与竞争。华为通过改造工艺流程与持续投入研发领域，逐步掌握了5G、云计算等多个领域的核心技术，成功突破了“低端锁定”,实现了全球产业链的攀升。后发国家的企业可以利用其后来者优势，以技术“模仿者”的角色进入市场，有利于迅速弥补与先发国家之间的技术差距。韩国半导体产业的发展便是一个例证，韩国半导体公司在进入半导体领域时，最初处于产业链低端，依赖于美日提供的技术，但由于其采取了收购和吸收最新技术的战略，成功在较短时间内发展成为顶尖半导体制造商，缩短了与美日之间的差距。

In the process of striving to change their dependent status, developing countries will inevitably enhance their competitiveness through industrial upgrading and strive to gain greater initiative and a larger share of income distribution in the global market. The continuous advances of developing countries in the technological field pose a real or potential threat to the monopoly position of the dominant players in technological monopoly. This development trend will inevitably impact the global system of technological monopoly, causing the original power structure to shift from being singular and concentrated to becoming increasingly dispersed, and increasingly falling into an unstable state.

发展中国家在努力寻求改变其依附地位的过程中，必定会通过产业升级提升自身竞争力，并争取在全球市场中获得更大的主动权与收益分配份额。发展中国家在技术领域的不断跃进，对科技垄断主导者的垄断地位构成现实或潜在的威胁。这一发展趋势必然会对全球科技垄断体系造成冲击，促使原有的权力结构从单一、集中逐渐走向分散，日益陷入不稳定的局面。

(II) Western countries, in order to maintain their technological monopoly position, disrupt the collaborative division of labor in the global industrial chain and set obstacles for scientific and technological innovation cooperation.

(二)西方国家为维护其科技垄断地位破坏全球产业链分工协作关系，给科技创新合作设置障碍

As the power competition surrounding technological monopoly intensifies, monopoly capitalist countries, on the one hand, continue to strengthen their control over areas such as the reproduction of core scientific and technological knowledge and advanced manufacturing links; on the other hand, they use state power to implement technological containment against competitors, blocking the technological progress and industrial upgrading of developing countries. They attempt to maintain the technological gap to preserve their structural power, thereby solidifying the hierarchical relationships within the global economic system.

随着围绕科技垄断的权力竞争日趋激烈，垄断资本主义国家一方面继续加大对核心科技知识再生产和先进制造环节等领域的控制；另一方面通过国家力量对竞争者进行科技遏制，阻断发展中国家的科技进步和产业升级，企图维持科技差距来维护其结构性权力，使全球经济体系中的层级关系固化。

The United States is the dominant player in capitalist technological monopoly. The competitive rules under technological monopoly cause the US to link the maintenance of monopoly power with zero-sum thinking and technological nationalism. To maintain their leading position in technological monopoly, the US and other developed capitalist countries implement technological hegemonism, not hesitating to disrupt the collaborative division of labor in the global industrial chain and using their monopoly advantages in core technologies to suppress the industrial development of other countries. The semiconductor industry is a typical representative of power competition in the high-tech industrial chain. Due to the characteristics of the semiconductor field, such as high R&D and capital investment and complex processes, no single country can support the entire industrial chain on its own. Relevant countries and regions have established their respective comparative advantages in various areas of the industrial chain division of labor, enhancing overall production efficiency through specialized division of labor and cooperation, thereby further tightening the connections and dependencies within the global industrial chain. Although the US holds advantages in some core R&D, design links, and key manufacturing equipment, it relies on Asia for raw materials, semiconductor manufacturing (wafer fabrication, packaging, and testing). In recent years, China's semiconductor industry has risen rapidly, with a continuously strengthening demand to upgrade from the mid-to-lower reaches of the supply chain to the upper reaches, gradually becoming an important competitive force in the global semiconductor industry. To maintain its dominant position in the semiconductor industry, the US, on the one hand, provides massive subsidies through legislation, fully supports the development of its domestic industry's R&D and manufacturing capabilities, promotes the transfer of advanced semiconductor production capacity to the US, and reduces the risk of relying on Asia for semiconductor manufacturing capabilities. On the other hand, to suppress the rapidly developing Chinese semiconductor industry, it has adopted a series of measures, such as restricting enterprises funded by the US government from building or expanding advanced process semiconductor production capacity in China, and rallying allies to restrict the flow of high-end innovation elements and products, intending to keep the Chinese semiconductor industry perpetually in the low-end links of the industrial chain.

美国是资本主义科技垄断的主导者。科技垄断下的竞争规则，使美国将维护垄断权力与零和思维、技术民族主义联系在一起。以美国为首的发达资本主义国家为了维护在科技垄断上的领导地位，推行科技霸权主义，不惜破坏全球产业链的分工协作关系，利用其在核心技术上的垄断优势打压其他国家产业发展。半导体产业是高科技产业链权力竞争的典型代表。由于半导体领域具有研发和资本投入高、工艺复杂等特点，任何一个国家都不能依靠一己之力支撑整个产业链。相关国家、地区在产业链分工各领域上建立了各自的比较优势，通过专业化分工与协作提升整体生产效率，使全球产业链上的联系与依赖关系进一步紧密。美国尽管在部分核心研发、设计环节和关键制造设备领域占据优势，但是其在原材料、半导体制造(晶圆制造、封装测试)等领域依赖于亚洲。而中国半导体产业近些年来快速崛起，从供应链中下游升级到上游的需求不断加强，逐渐成为全球半导体产业中的重要竞争力量。美国为维护在半导体产业中的主导地位，一方面通过立法提供巨额补贴、全面支持本国产业的研发和制造能力发展，促使半导体先进产能向美国国内转移，减少半导体制造能力依赖于亚洲的风险；另一方面为压制近些年来快速发展的中国半导体产业，采取了限制美国政府资助的企业在中国新建或扩建先进制程半导体产能、拉拢盟友限制高端创新要素和产品流动等一系列措施，意图使中国半导体产业在产业链中始终处于低端环节。

In terms of scientific and technological cooperation, although China and the US previously maintained an important S&T cooperative partnership, the hostile attitude of US political circles towards Sino-US S&T cooperation in recent years has created resistance to bilateral cooperation. The US has not only adopted a series of measures, such as imposing restrictions on Chinese enterprises' technology investments in the US and placing some Chinese technology companies and scientific research institutions on the export control "Entity List," but has also extended this suppression to the field of academic research and educational exchanges, launching targeted investigations against Chinese-American scientific researchers. The US has also elevated the security and leak risks of its own scientific research activities to a higher level, prohibiting researchers employed by the federal government from joining foreign talent programs. China and the US each possess unique and complementary advantages in the field of science and technology. While hindering China's technological innovation, these US restrictions and suppression measures also set obstacles to bilateral S&T cooperation and exchanges, objectively erecting barriers for the US's own scientific and technological innovation system.

在科技合作方面，尽管中美此前保持着重要的科技合作伙伴关系，但是由于美国政界近些年来对中美科技合作持敌视态度，为双方科技合作带来了阻力。美国不仅采取了对中国企业赴美技术投资设限、将一些中国科技企业和科研机构列入出口管制“实体清单”等一系列措施，更是将这种打压行为延伸到了学术研究与教育交流领域，对在美华裔科研人员采取针对性调查行动。美国还将本国科研活动的安全和泄密风险提升到更高等级位置，禁止受聘于联邦政府的研究人员加入国外人才计划。中美在科技领域各自拥有独特且互补的优势，美国这些限制和打压措施在阻碍中国科技创新的同时，也对两国科技合作与交往设置了障碍，客观上为美国的科技创新系统设置藩篱。

(III) Measures taken by Western countries to maintain their technological monopoly position exacerbate the global economic predicament.

(三)西方国家维护其科技垄断地位的措施加剧了全球经济困境

The measures taken by Western countries to maintain their technological monopoly position disrupt the globalized division of labor and cooperation and the normal operation of the industrial chain. In a situation where the interdependence of global economies is deepening, overemphasizing and implementing technological monopoly through forceful measures is not only detrimental to cooperation and healthy development but may also destroy the existing system of division of labor and cooperation. For example, in the Sino-US semiconductor industrial chain dispute, the US, through state power, restricts the global production layout of the semiconductor industry, destroying the global division of labor and cooperation system of the semiconductor industry. This has a negative impact on the development and technological progress of the semiconductor industry, while also disrupting the international economic order and undermining the stability and efficiency of the semiconductor industry supply chain. China is dependent on the US in the high-end technology field, while the US relies on China's manufacturing capabilities and expanding market. The US's insistence on economic and technological "decoupling" from China will inevitably cause deep damage to the underlying interests of US and European multinational corporations and constrain their ability to optimize production layouts globally.

西方国家维护其科技垄断地位的措施，干扰了全球化分工协作与产业链正常运转。在全球各经济体相互依赖程度日益加深的状况下，过度强调并以强力措施实施科技垄断不仅不利于合作和健康发展，反而可能破坏已有的分工协作体系。如在中美半导体产业链争端中，美国通过国家力量限制半导体产业的全球生产布局，破坏了半导体产业的全球分工协作体系，对半导体产业的发展和技术进步带来负面影响，同时也扰乱了国际经济秩序，破坏了半导体产业供应链的稳定性和效率。中国在高端技术领域对美国存在依赖，而美国则倚重中国的制造能力和不断扩大的市场，美国执意与中国进行经济和技术上的“脱钩”,将不可避免地对美欧跨国企业的深层利益造成损害，并掣肘跨国企业在全球范围优化生产布局的能力。

Technological monopoly runs counter to the development trend of the internationalization of scientific and technological knowledge innovation. In the process of economic globalization, the ways in which countries produce and disseminate knowledge are also rapidly converging, continuously promoting the internationalization of technological innovation. The closer technological development gets to the frontier, the greater its uncertainty and the risks it bears, and the cost of innovation continues to rise. No single country or enterprise can master advanced technology in all fields, which forces high-tech enterprises to obtain supplementary knowledge resources from the outside. With the advancement of economic globalization, countries increasingly need to interact and cooperate with the innovation systems of other countries to enhance their own technological and competitive advantages, while closed innovation systems are dangerous. British scholar Rajneesh Narula believes that interaction within an innovation system is a self-reinforcing mechanism and may lead to a lock-in on specific technologies, specific products, or specific processes. This inertia can form either a virtuous cycle or a vicious cycle of technological accumulation. If the lock-in of the system prevents the innovation system from responding to or accepting innovations from outside the system, hindering or preventing enterprises from using the innovation systems of other countries to compensate for the deficiencies of their own system, a vicious cycle may form [1]1 Rajneesh Narula, *Globalization and Technology: Interdependence, Innovation Systems and Industrial Policy* (Cambridge: Polity Press, 2003)..

科技垄断与科技知识创新国际化的发展趋势相悖。在经济全球化的发展进程中，各国生产和传播知识的方式也在迅速融合，不断推动着科技创新的国际化。科技的发展越接近前沿，其不确定性和所承受的风险越大，创新的成本不断上升。没有任何一个国家或企业能够掌握所有领域的先进技术，这使高科技企业需要从外部获得补充性知识资源。随着经济全球化的推进，各国越来越需要通过与其他国家的创新系统进行互动合作以提升自身的技术和竞争优势，而封闭的创新系统是危险的。英国学者拉杰什·纳如拉(Rajneesh Narula)认为，创新系统内部的互动是一个自我强化的机制，并可能形成对特定技术、特定产品或特定工艺的锁定，这种惯性可能形成技术积累的良性循环，也有可能形成恶性循环。如果系统的锁定使创新系统不能对系统外的创新作出反应或予以接纳，妨碍或阻止了企业利用其他国家的创新系统来弥补本国系统的不足时，就可能会形成恶性循环(13)。

The contradiction between the socialization of production and the private appropriation of the means of production is the fundamental contradiction of capitalism. Western countries, by utilizing their monopoly on science and technology, attempt to subordinate the productive forces of globalization to the profit-seeking of monopoly capital, turning the fruits of scientific and technological progress into tools for extracting monopoly profits on a global scale. This technological monopoly intensifies the anarchy of world economic activities, destroys the relationships of global cooperation and mutual dependence, thereby causing a huge waste of resources and hindering technological progress and the development of global productive forces. The capitalist technological monopoly is plunging itself into a predicament. As the competition for power around technological monopoly among countries becomes increasingly fierce, the actions of monopoly capitalist countries to excessively maintain their technological monopoly position not only fail to resolve the inherent contradictions of technological monopoly but instead prompt developing countries to further increase their pursuit of and investment in technological autonomy, breaking free from the development predicament of relying on Western countries for core technologies.

生产社会化与生产资料私人占有之间的矛盾是资本主义的基本矛盾。西方国家利用其对于科技的垄断，试图使全球化的生产力从属于垄断资本逐利，使科学技术进步的成果成为其在全球范围攫取垄断利润的工具。这种科技垄断加剧了世界经济活动的无政府状态，破坏了全球合作和相互依赖的关系，从而造成了资源的巨大浪费，阻碍了科技进步和全球生产力的发展。资本主义科技垄断正在使其自身陷入困境。随着各国之间围绕科技垄断展开的权力竞争日渐激烈，垄断资本主义国家过度维护其科技垄断地位的行为，不仅无法解决科技垄断的内在矛盾，反而会促使发展中国家进一步加大对技术自主性的追求和投入，摆脱核心技术依赖于西方国家的发展困局。

IV. Strengthen Independent Innovation, Strive to Break Through the Technological Monopoly of Western Countries

四、加强自主创新，努力突破西方国家的科技垄断

In recent years, China has made considerable progress in scientific and technological research and development in many fields, partially breaking the technological monopoly of Western countries. The continuous improvement of independent research and development capabilities has also enabled China to move from the low end to the mid-to-high end of the global industrial chain, continuously improving its position in the global division of labor system. China's rapid development in the field of science and technology, coupled with its strong manufacturing strength, has made Western countries feel that their dominant position in technological monopoly is under real or potential threat. Therefore, since the Trump administration, some Western countries, represented by the United States, have attempted to suppress and contain China technologically, maintaining the technological monopoly position of their domestic monopoly capital groups. Faced with this situation, we must give full play to the leading role of state power in promoting the new technological revolution, leverage the positive role of science and technology as a factor of production, actively lead international scientific and technological cooperation, develop core technologies through self-reliance, and gradually break through the technological monopoly of developed countries.

近些年来，中国在许多领域的科技研发取得了长足的进步，部分地打破了西方国家的科技垄断。自主研发能力的不断提高也使得中国从全球产业链的低端向中高端迈进，在全球分工体系中的地位不断提高。中国在科技领域突飞猛进的发展与较强的制造业实力，使西方国家感到其科技垄断主导地位受到了现实或潜在的威胁。因此，自特朗普执政以来，以美国为代表的一些西方国家妄图对中国进行科技打压与遏制，维护其本国垄断资本集团的科技垄断地位。面对这种状况，我们必须发挥好国家力量在推进新科技革命中的引领作用，发挥科技作为生产要素的积极作用，并主动引领国际科技合作，通过自力更生发展核心技术，逐渐突破发达国家的科技垄断。

First, better play the role of the state in promoting scientific and technological innovation.

第一，更好发挥国家在推进科技创新中的作用。

As countries compete to occupy the technological high ground, international scientific and technological competition has surpassed the enterprise level and risen to competition between nations. China is in the stage of technological development and catch-up in the global economy, and state power is the key to achieving independent innovation and technological transcendence. In this context, it is necessary to more fully leverage the leading role of state power in promoting the new round of technological revolution, give play to institutional advantages, and use the new type of nationwide system to break through core technologies [2]2 "New type of nationwide system" (新型举国体制, xinxing juguo tizhi) refers to a mechanism that mobilizes national resources, combining state planning with market mechanisms, to achieve breakthroughs in strategically important technologies.. First, the state must make overall plans, determine the future direction and key points of technological development, cultivate cutting-edge technologies, fund basic research and applied research, support enterprise innovation, integrate innovation resources, and promote the optimal allocation of scientific and technological resources. Second, it is necessary to better play the role of state-owned enterprises as a new force in the process of independent innovation and industrial structure adjustment. State-owned enterprises should become an important reliance and core starting point for China to independently control key core technologies. Their leading and fundamental role in overcoming core technologies and achieving original technological breakthroughs should be fully utilized to compensate for the limitations of private enterprises in technological development. Third, the government, enterprises, research institutes, universities, and other innovation participants should form an effective division of labor and cooperation at different links of the innovation chain, combine their respective knowledge advantages, accelerate the transformation of knowledge into productive forces, and form a synergy in independent innovation.

随着各国为占领技术高地竞相追逐，国际科技竞争已经超出企业层面，上升为国家之间的竞争。中国在全球经济中处于技术发展和追赶的阶段，国家力量更是实现自主创新和科技超越的关键。在此背景下，必须更加充分地发挥国家力量在推进新一轮科技革命中的引领作用，发挥制度优势，以新型举国体制突破核心技术。一是国家要做好全局性规划，确定未来科技发展方向与发展重点，培育前沿科技，资助基础研究和应用研究，扶植企业创新、整合创新资源，推动科技资源的优化配置。二是要更好发挥国有企业在自主创新和产业结构调整过程中的生力军作用。国有企业理应成为我国自主掌控关键核心技术的重要依靠与核心抓手，要充分发挥国有企业在攻克核心技术、实现原创性科技突破上的主导性、基础性作用，弥补民营企业在发展技术上的局限性。三是政府与企业、科研院所与大学等创新参与者在创新链条不同环节上形成有效分工协作，将各自的知识优势相结合，加速知识向生产力的转化，在自主创新上形成合力。

Second, leverage the positive role of science and technology as a factor of production.

第二，发挥科技作为生产要素的积极作用。

Under the conditions of the socialist market economy, it is necessary to utilize and leverage the positive role of science and technology as a factor of production to accelerate the close integration of science and technology with the economy. First, increase policy support for the R&D investment of scientific and technological innovation enterprises, and encourage science and technology enterprises to increase investment in basic research and frontier field research. Guide and support science and technology enterprises to cooperate with higher education institutions and research institutes to undertake state-funded research projects, creating conditions for the sharing of research results and technological integration. Second, establish and improve a scientific, reasonable, and standardized intellectual property system to protect the enthusiasm of enterprises for innovation and promote the combination of intellectual labor achievements with the market. Protecting intellectual property rights is an important tool for China to gain a competitive advantage in global competition and resist the technological monopoly of developed countries. However, we must also be aware of the dual role of intellectual property rights and avoid the "intellectual property trap" arising from the abuse of intellectual property rights and monopoly. In the primary stage of socialism, our promotion of scientific and technological innovation is, in the final analysis, to promote the development of social productive forces and ultimately meet the people's aspirations for a better life. We improve and perfect the intellectual property protection system based on national conditions to adapt to the objective requirements of developing the socialist market economy and to fully leverage the role of scientific and technological knowledge as a new type of production factor in the development of social productive forces. This is entirely different from the purpose of Western capitalist countries using intellectual property rights to maintain the interests of monopoly capital.

在社会主义市场经济条件下，需要利用和发挥科技作为生产要素的积极作用，加速科技与经济的紧密融合。一是加大对科技创新企业研发投入的政策支持，鼓励科技企业加大对基础研究和前沿领域研究的投入。引导、支持科技企业与高等院校、科研机构共同合作承担国家资助的研究项目，为研究成果的共享与技术整合创造条件。二是建立与健全科学、合理、规范的知识产权制度，保护企业在创新上的积极性，促进智力劳动成果与市场相结合。保护知识产权是中国在全球竞争中获取竞争优势、抵制发达国家科技垄断的重要工具，但我们也要意识到知识产权的双重作用，避免知识产权滥用、垄断产生的“知识产权陷阱”。在社会主义初级阶段，我们推进科技创新归根结底是为了促进社会生产力的发展，最终满足人民群众对美好生活的愿望。我们从国情出发健全和完善知识产权保护体系，是为了适应发展社会主义市场经济的客观要求，充分发挥科技知识作为一种新型生产要素在社会生产力发展中的作用，与西方资本主义国家利用知识产权维护垄断资本利益的目的全然不同。

Third, take countermeasures against the technological sanctions of Western countries.

第三，对西方国家的科技制裁手段采取反制措施。

First, carry out reciprocal countermeasures against the technological suppression and economic sanctions from Western countries. In recent years, China has issued a series of laws and regulations, including the *Export Control Law of the People's Republic of China*, the *Catalogue of Technologies Prohibited or Restricted from Export by China*, and the *Provisions on the Unreliable Entity List*. On the basis of existing laws and regulations, implement reciprocal countermeasures against enterprises that threaten or harm China's national security and development interests, such as placing them on the "Entity List," restricting or prohibiting import, export, and investment activities, and imposing fines. Strengthen export controls on key technologies and materials, and conduct necessary security reviews of foreign investments involving key areas such as national defense. The purpose of these countermeasures is not to disrupt the order of global industrial cooperation, but to safeguard national security and interests through reciprocal countermeasures, forcing developed countries like the United States to recognize that they must pay a price for their hegemonic actions, thereby promoting the return of trade order to normalcy. Second, strengthen the anti-monopoly struggle in the field of intellectual property rights. As the innovation competition between Chinese enterprises and multinational corporations from Western countries becomes increasingly fierce, the field of intellectual property rights has become a direct battlefield for competition between enterprises. Therefore, it is necessary to pay attention to strengthening the anti-monopoly struggle in the field of intellectual property rights. On the basis of fully soliciting opinions from academia, enterprises, law enforcement departments, and other parties, further improve relevant laws and regulations according to China's actual national conditions and the requirements of practical development, and be adept at using relevant institutional rules in law enforcement practice to carry out anti-monopoly investigations against multinational corporations suspected of monopolizing and abusing intellectual property rights. Strengthen regulation and review of the patent control and monopoly of multinational corporations in key fields such as biotechnology.

一是对来自西方国家的科技打压和经济制裁开展对等反制活动。近年来，中国已经出台了《中华人民共和国出口管制法》《中国禁止出口限制出口技术目录》《不可靠实体清单规定》等一系列法规和相关规定。在现有的法律和法规基础上，对威胁、损害中国国家安全和发展利益的企业实施对等的反制措施，如列入“实体清单”、限制或禁止进出口与投资活动、罚款等。加强对关键技术和材料的出口管制，对涉及国防等关键领域的外商投资进行必要的安全检查。这些反制措施的目的不是为了破坏全球产业合作秩序，而是以对等的反制措施维护国家安全与利益，迫使美国等发达国家认识到必须为其霸权行径付出代价，以此促进贸易秩序回归正常。二是加强知识产权反垄断斗争。随着中国企业与西方国家跨国企业之间的创新竞争日趋激烈，知识产权领域成为企业间竞争的直接战场，因此有必要重视加强知识产权反垄断斗争。应在充分征求学界、企业、执法部门等多方意见的基础上，根据我国国情实际和实践发展的要求进一步完善相关法律法规，并善于在执法实践中利用相关制度规则，对涉嫌垄断、滥用知识产权的跨国企业开展反垄断调查。对跨国公司在生物技术等关键领域的专利控制和垄断加强管制和审查。

Fourth, actively lead international cooperation in the field of science and technology.

第四，主动引领国际科学技术领域的合作。

China must fully recognize and utilize the internationalization trend of scientific and technological innovation and seize new development opportunities. General Secretary Xi Jinping pointed out: “The more we face blockade and suppression, the less we should engage in self-isolation and self-seclusion; instead, we should implement a more open, inclusive, mutually beneficial, and shared international science and technology cooperation strategy.”(14) While relying on self-reliance to develop core technologies, we should actively explore and utilize the knowledge resources of other countries to form complementary advantages with our own knowledge resources and capabilities. We should shift from passively integrating into the global scientific and technological innovation network dominated by developed countries to actively aggregating global innovation resources and building a mutually beneficial and win-win international innovation system. First, build globally influential scientific and technological innovation centers to promote the orderly flow of scientific and technological innovation factors. Second, improve the international science and technology cooperation mechanism featuring open collaboration and shared outcomes. Promote international science and technology cooperation relations through various forms such as strengthening international science and technology cooperation platforms, initiating the establishment of science and technology cooperation organizations, forming cooperation alliances, and establishing international academic groups. Third, deepen science and technology cooperation with countries along the Belt and Road Initiative. Since the Belt and Road Initiative was proposed, China has actively promoted actions in scientific and technological personnel exchanges, joint laboratory construction, science and technology park cooperation, and technology transfer center construction. On this basis, science and technology cooperation should be further deepened in light of the technological and market needs of countries along the Belt and Road Initiative. Fourth, create a favorable environment and provide platform support for enterprises to carry out international science and technology cooperation, strengthen support for “standard innovation consortia,” and promote Chinese standards “going global.” Fifth, strive to promote cooperation in global science and technology governance. Take the lead in initiating international science and technology cooperation initiatives, encourage and support scientists from various countries in relevant fields to participate in cooperation, and mobilize all parties to jointly address the challenges brought by global science and technology governance. Sixth, actively participate in the formulation of international rules and work with other countries to jointly resist scientific and technological hegemony.

中国要充分认识和利用科学技术创新国际化的发展趋势，把握新的发展机遇。习近平总书记指出：“越是面临封锁打压，越不能搞自我封闭、自我隔绝，而是要实施更加开放包容、互惠共享的国际科技合作战略。”(14)我们在坚持依靠自力更生发展核心科技的同时，要积极发掘和利用其他国家的知识资源，与本国的知识资源、能力形成优势互补。从被动融入发达国家主导下的全球科技创新网络，转向主动集聚全球创新资源、构建互利共赢的国际创新体系。一是建设具有全球影响力的科技创新中心，促进科技创新要素的有序流动。二是完善开放协作、成果共享的国际科技合作机制。通过加强国际科技合作平台、发起成立科技合作组织、组建合作联盟、成立国际性学术团体等多种形式促进国际科技合作关系。三是深化与“一带一路”沿线国家的科技合作。自“一带一路”倡议提出以来，我国积极推进科技人文交流、联合实验室共建、科技园区合作和技术转移中心建设行动。在此基础上，应结合“一带一路”沿线国家的技术和市场需求进一步深化科技合作。四是为企业开展国际科技合作营造有利环境、提供平台支撑，加强对“标准创新联合体”的支持，推动中国标准“走出去”。五是努力推进全球科技治理方面的合作。牵头发起国际科技合作倡议，鼓励和支持相关领域的各国科学家参与合作，调动各方力量共同应对全球科技治理带来的挑战。六是积极参与国际规则制定，并会同其他国家共同抵制科技霸权。

Online Editor: Paul

网络编辑：保罗