大国科技竞争中，外国对华技术锁定策略导致中国企业长期陷入技术被动逆向锁定状态，威胁知识产权领域国家安全。厘清技术锁定机制有助化解关键产业核心技术“卡脖子”危机。采用系统性文献综述法述评141篇技术锁定文献，分析技术锁定的研究趋势、理论视角及研究方法，探索技术锁定的形成机制、创新效应和解锁路径以构建技术锁定知识框架。研究发现，技术锁定的形成主要涉及企业初始技术选择与自我强化两个阶段，初始技术选择存在外部偶然事件与内部战略行为两类情形，技术自我强化包括协调效应、规模效应、学习效应、预期效应四种子机制。技术锁定将负面影响企业创新并传导至区域或产业层面。提高研发投入水平、促进跨界技术搜索、优化研发合作结构是维持企业技术多样性并实现技术解锁的核心机制。最后，从理论视角、研究主题、研究方法三个维度提出未来研究方向。研究结论对厘清技术内部锁定与外部锁定关系、发展路径依赖理论并推进中国技术锁定本土化研究有边际贡献。
Abstract
The continuous upgrading of great power competition in science and technology has led to foreign entities′ technology blockade policies or lock-in strategies, causing long-term passive and reverse technology lock-in for Chinese enterprises. It threatens national economic and S&T security. As a core issue of intellectual property security, clarifying the formation and breakthrough mechanism of technological lock-in helps resolve the "neck-jamming" crisis of core technology in critical industries. This paper explores the formation path, innovation effect, and unlocking path of enterprise technological lock-in. Three research questions are provided: (1) how do enterprises form technological path dependence and lead to technological lock-in? (2) How will technological lock-in impact the innovation of enterprises, regions, or industries? (3) How can enterprises break through technological lock-in and create new technological paths?
Our research originality and contribution lie in taking an international perspective on technological competition and differentiating technological locking effects into internal lock-ins and external lock-outs. We also have constructed a knowledge framework on technology lock-in to enrich the theoretical understanding and mechanism. It provides theoretical and practical support for Chinese companies to deal with foreign technology lock-in strategies.
A systematic literature review on technology lock-in provides a critical and structured analysis of the literature. The research design includes defining technology lock-in and its key constructs, setting search terms and exclusion criteria, using the PRISMA framework, and screening 141 relevant papers from the Web of Science and CNKI databases. The study sample covers 74 journals, with a relatively balanced distribution between Chinese and English literature.
The study finds that technological lock-in research has grown over the past 40 years and is increasingly diversified in perspectives and methods. From a theoretical perspective, research on technological lock-in is mainly conducted from three perspectives: path dependence, path creation, and path construction theory. Empirical studies use quantitative and qualitative methods such as statistical and case studies, while theoretical studies mainly use normative analysis, mathematical modeling, and literature research methods.
The knowledge framework of technological lock-in is constructed, consisting of six modules: enterprise technology selection, self-reinforcing mechanism, enterprise knowledge and capability, innovation effect, driving factors of technological unlock, and path breakthrough of technological lock-in. The formation of technology lock-in involves two processes: initial technology adoption and the self-reinforcing mechanism of enterprises. Accidental events from external sources or strategic technology choices from within the enterprise trigger the enterprise to enter path dependence. Influenced by four sub-mechanisms, the coordination effect, the scale effect, the learning effect, expected effect, the enterprise will deepen the degree of technological path dependence and fall into a state of technological lock-in. Technological lock-in′s impact on innovation will first improve and then weaken, affecting regional or industrial innovation and cooperation. External shocks and internal behaviors can trigger breakthroughs in technological lock-in, and enterprises can improve their technological diversity by increasing R&D investment intensity and scope, improving cross-border technology search levels, and optimizing cooperative R&D project structures.
The paper presents research shortcomings and prospects from the three dimensions of the research theme, theoretical perspective, and research methods. Regarding theoretical development, we should expand the research on the mechanism of enterprise technological lock-in from the strategic or organizational management perspective. It helps construct the theoretical interactions among technological, organizational, and enterprise resource path dependence. Regarding research topics, it is necessary to explore the unique technological (un)lock-in mechanism in combination with the Chinese context and develop a new path of technology unlocking from the perspectives of patent portfolio and technology fusion. The extension of research methods emphasizes the introduction of a process research paradigm into the qualitative research of technological lock-in. It should construct a new measurement index based on the relationship between technological standards and lock-in.
关键词
技术锁定 /
路径依赖 /
专利布局 /
自我强化机制 /
技术多样性
Key words
technological lock-in /
path dependence /
patent portfolio /
self-reinforcing mechanism /
technological diversity
{{custom_sec.title}}
{{custom_sec.title}}
{{custom_sec.content}}
参考文献
[1] 张军，陈劲. 破局“卡脖子”技术突破的战略与路径[M]. 科学出版社，2022：13-14.
ZHANG Jun, CHEN Jin. The strategy and path of breaking the "Neck-Jamming" technology[M]. Beijing: Science Publishing, 2022:13-14.
[2] SCHILLING M A. Technological lockout: An integrative model of the economic and strategic factors driving technology success and failure[J]. Academy of Management Review, 1998, 23(2): 267-284.
[3] 任静，刘丽军，宋敏. 跨国公司在我国农业领域的技术锁定策略与对策研究[J].中国软科学，2012，1：39-46.
REN Jing, LIU Lijun, Song Min. Technology locking strategy of transnational corporation in China’s agriculture and China’s countermeasures[J]. China Soft Science Magazine, 2012,1:39-46.
[4] 杨武，陈培，David G. 专利引证视角下技术轨道演化与技术锁定识别——以光刻技术为例[J].科学学研究，2022，40(02)：209-219.
YANG Wu, CHEN Pei, DAVID G. Research on technology trajectories evolution and technological lock-in identification: A case study of semiconductor photolithography industry[J]. Studies in Science of Science, 2022, 40(02): 209-219.
[5] 杨武，孙世强. TEL视角下专利密集型产业技术锁定测度研究.经济体制改革[J]，2022(02)：174-179.
YANG Wu, SUN Shiqiang. Research on the measurement of patent-intensive industry technology lock-in from the perspective of TEL[J]. Reform of Economic System, 2022(02)：174-179.
[6] 杨武，陈培，David G.，等. 技术轨道延伸与破解技术路径锁定研究—以光刻产业为例[J]. 科学学研究，网络首发：[2021-11-20].
YANG Wu, CHEN Pei, DAVID G, et. al. Research on extending technological trajectories and breaking out technology path lock-in: A case study of lithography industry[J]. Studies in Science of Science, Online publishing: [2021-11-20].
[7] 谭劲松，宋娟，王可欣，等. 创新生态系统视角下核心企业突破关键核心技术“卡脖子”——以中国高速列车牵引系统为例[J]. 南开管理评论，网络首发：[2022-10-16].
TAN Jinsong, SONG Juan, WANG Kexin, et. al. Breakthrough of key core technology “Neck-Jamming” by focal firm from innovation ecosystem perspective: A case study of Chinese high-speed train traction system[J]. Nankai Business Review, Online publishing:[2022-10-16].
[8] 贺远琼，刘路明，田志龙，等. 政产学用如何驱动“卡脖子”技术的双核创新？——基于华中数控的纵向案例研究[J]. 南开管理评论，网络首发：[2022-09-09].
HE Yuanqiong, LIU Luming, TIAN Zhilong, et. al. How does “Government-Industry-Univer
-sity-User” drive the dual-core innovation of “Stuck Neck” technology?[J]. Nankai Business Review, Online publishing:[2022-09-09].
[9] 张珍，喻金田，何伟，等. 路径依赖与锁定研究的发展脉络分析——基于科学知识图谱视角. 科研管理，2020，41(8)：39-48.
ZHANG Zhen, YU Jintian, HE Wei, et. al. An analysis of the development process of path dependence and path lock-in based on mapping knowledge domains[J]. Science Research Management.2020,41(8):39-48.
[10] DOBUSCH L, SCHU?LER E. Theorizing path dependence: A review of positive feedback mechanisms in technology markets, regional clusters, and organizations[J]. Industrial and Corporate Change, 2013, 22(3): 617-647.
[11] CECERE G, CORROCHER N, GOSSART C, et. al. Lock-in and path dependence: An evolutionary approach to eco-innovations[J], Journal of Evolutionary Economics 2014, 24(5): 1037-1065.
[12] DAVID P A. Path dependence: A foundational concept for historical social science[J]. Cliometrica, 2007, 1(2): 91-114.
[13] ARTHUR W B. Competing technologies, increasing returns and lock-in by history events[J]. Economic Journal, 1989, 99(394): 116-131.
[14] VERGNE J P, DURAND R. The missing link between the theory and empirics of path dependence: Conceptual clarification, testability issue, and methodological implications[J]. Journal of Management Studies, 2010, 47(4): 736-759.
[15]杨武，孙世强，陈培. 技术锁定视角下的专利价值影响因素分析[J].科学学研究，2020，40(06)：1024-1033.
YANG Wu, SUN Shiqiang, CHEN Pei. Analysis of influencing factors of patent value from the perspective of technology locking[J]. Studies in Science of Science. 2020, 40(06):1024-1033.
[16] ZHAO L, XIANG Y, YI Q L. Fuzzy front end patent management and innovation performance mediating role of patent commercialization and moderating effect of technological lock-in[J]. Management Decision, 2017, 55: 1143-1162.
[17] ZHAO L, SUN J X, ZHANG L, et. al. Effects of technology lock-in on enterprise innovation performance[J]. European Journal of Innovation Management, 2020, 24: 1782-1805.
[18] SIMMIE J. Path dependence and new technological path creation in the Danish wind power industry[J]. European Planning Studies, 2012, 20(5): 753-772.
[19] REINSTALLER A, HOLZL W. Big causes and small events: QWERTY and the mechanization of office work[J]. Industrial and Corporate Change, 2009, 18(5): 999-1031.
[20] 陶爱萍，张丹丹. 技术标准锁定，创新惰性和技术创新[J]. 中国科技论坛，2013，1(3): 11-16.
TAO Aiping, ZHANG Dandan. Technical standard lock-in and innovation inertia and technology innovation[J]. Forum on Science and Technology in China, 2013,1(3): 11-16.
[21] 李维安，孟乾坤. 高技术产业技术锁定及其升级路径——基于多元治理的视角[J]. 科学学与科学技术管理，2021，42(06)：114-140.
LI Weian, MENG Qiankun. Technology lock-in and breakthrough path of high-tech industry: From the perspective of Pluralistic governance[J].Science of Science and Management of S&T, 2021, 42(06):114-140.
[22] COWAN R, GUNBY P. Sprayed to death: Path dependence, lock-in and pest control strategies[J], The Economic Journal, 1996, 106(436): 521-542.
[23] COWAN R, HULTEN S. Escaping lock-in: The case of the electric vehicle[J]. Technological Forecasting and Social Change, 1996, 53(1): 61-79.
[24] MARTIN R, SUNLEY P. Path dependence and regional economic evolution[J], 2006, 6(4): 395-437.
[25] 黎开颜，陈飞翔. 深化开放中的锁定效应与技术依赖[J]. 数量经济技术经济研究, 2008, 25(11): 56-70.
LI Kaiyan, CHEN Feixing, Lock-in effect and technology dependence during China’s opening up[J].The Journal of Quantitative & Technical Economics, 2008, 25(11): 56-70.
[26] SINGH R, MATHIASSEN L, MISHR A. Organizational path constitution in technological innovation[J]. Mis Quarterly, 2015, 39(3): 643-666.
[27] SYDOW J, SCHREYOGG G, KOCH J. On the theory of organizational path dependence: Clarifications, replies to objections, and extensions[J]. Academy of Management Review, 2020, 45(4): 717-734.
[28] GARUD R, KUMARASWAMY A, KARNOE P. Path dependence or path creation?[J]. Journal of Management Studies, 2010, 47(4): 760-774.
[29] WANG L L, JIANG S, ZHANG S Y. Mapping technological trajectories and exploring knowledge sources: A case study of 3D printing technologies[J]. Technological Forecasting and Social Change, 2020, 161: 120251.
[30] ONUFREY K, BERGEK A. Self-reinforcing mechanisms in a multi-technology industry: Understanding sustained technological variety in a context of path dependency[J]. Industry and Innovation, 2015, 22(6): 523-551.
[31] VALORINTA M, SCHILDT H, LAMBERG J A. Path dependence of power relations, path-breaking change and technological adaptation[J]. Industry and Innovation, 2011, 18(8): 765-790.
[32] 杨震宁，李东红，马振中. 关系资本, 锁定效应与中国制造业企业创新[J]. 科研管理，2013， 34(11): 42-52.
YANG Zhenning, LI Donghong, MA Zhenzhong. Relational Capital, Lock-in effectiveness and enterprise innovation in the Chinese manufacturing industry[J]. Science Research Management, 2013, 34(11): 42-52.
[33] 李刚，马羽洁，牛冲槐. 煤炭资源型地区技术锁定效应测度研究[J]. 运筹与管理，2020， 29(12): 147-153.
LI Gang, MA Yujie, NIU Chonghuai. Study on Technology lock-in effect in coal resource-based areas[J]. Operations Research and Management Science. 2020, 29(12): 147-153.
[34] 赵莉，俞学燕，易邱璐. 后发企业技术创新路径被动锁定成因与应对策略研究. 科技进步与对策，2016，33(11)：68-72.
ZHAO Li, YU Xueyan, YI Qiulu. A study on the cause of technological innovation path locked in of latecomer firms and coping strategies[J]. Science & Technology Progress and Policy.2016, 33(11): 68-72.
[35] 冯科，曾德明. 技术标准的路径依赖和路径突破：产业创新网络结构嵌入性的TES作用机制. 系统工程，2016，34(11)：73-80.
FENG Ke, ZENG Deming. Path dependence and break-out of technical standards: The TES impact mechanism of the embeddedness of industrial innovation networks[J]. Systems Engineering, 2016, 34(11): 73-80.
[36] 韦骁勇，沈蕾. “满意”还是“锁定”：理解技术创新路径依赖下的消费者持续使用[J].系统管理学报，2018，27(04)：608-617.
WEI Xiaoyong, SHEN Lei. “Satisfaction” or “Lock-in”: Understanding consumer continuance under the path of dependence of technological innovation[J]. Journal of Systems & Management, 2018, 27(04): 608-617.
[37] TALAT N, BHADURI S. Incremental innovations, information contagion, and path dependence: The case of drinking water purification technologies in urban India[J]. Industrial and Corporate Change, 2017, 26(6): 1089-1108.
[38] AGHION P, DECHEZLEPRETRE A, HEMOUS D, et. al. Carbon taxes, path dependency, and directed technical change: Evidence from the auto industry[J]. Journal of Political Economy, 2016, 124(1): 1-51.
[39] CHEN K H, GUAN C J. Mapping the innovation production process from accumulative advantage to economic outcomes: A path modeling approach[J]. Technovation, 2011, 31(7): 336-346.
[40] 贾军，张伟. 绿色技术创新中路径依赖及环境规制影响分析[J]. 科学学与科学技术管理，2014，35(5)：44-52.
JIA Jun, ZHANG Wei. The Path dependency of green technology innovation and environmental regulation analysis[J]. Science of Science and Management of S&T, 2014, 35(5): 44-52.
[41] BATTKE B, SCHMIDT T S, STOLLENWERK S, et. al. Internal or external spillovers: Which kind of knowledge is more likely to flow within or across technologies[J]. Research policy, 2016, 45(1): 27-41.
[42] THRANE S, BLAABJERG S, MOLLER R H. Innovative path dependence: Making sense of product and service innovation in path dependent innovation processes[J]. Research Policy, 2010, 39(7): 932-944.
[43] JIANG Z, LIU Z. Policies and exploitative and exploratory innovations of the wind power industry in China: The role of technological path dependence[J]. Technological Forecasting and Social Change, 2022, 177: 121519.
[44] 谭云清，李元旭，翟森竞. 锁定效应，跨界搜索对国际代工企业创新的影响[J]. 研究与发展管理，2017，29(2)：52-60.
TAN Yunqing, LI Yuanxu, ZHAI Shenjing. Lock-in effect, Boundary-spanning search and international subcontracting firm’s innovation[J]. R&D Management, 2017, 29(2): 52-60.
[45] 易邱璐，赵莉. 技术路径被动锁定与技术创新绩效——技术创新能力的中介作用[J]. 中国科技论坛，2017 (11)：36-44.
YI Qiulu, ZHAO Li. The passive locking degree of technical path and technology innovation performance: A mediation role of innovation ability[J]. Forum on Science and Technology in China, 2017 (11): 36-44.
[46] KIM C, SONG J. Creating new technology through alliances: An empirical investigation of joint patents[J]. Technovation, 2007, 27(8): 461-470.
[47] LANDINI F, LEE K, MALERBA F. A history-friendly model of the successive changes in industrial leadership and the catch-up by latecomers[J]. Research Policy, 2017, 46(2): 431-446.
[48] LI D Y, HEIMERIKS G, ALKEMADE F. Recombinant invention in solar photovoltaic technology: Can geographical proximity bridge technological distance?[J]. Regional Studies, 2021, 55(4): 605-616.
[49] BONDAREV A, GREINER A. Global warming and technical change: Multiple steady-states and policy options[J]. China Economic Review, 2020, 62: 101511.
[50] ONUFREY K. Endogenous sources of path generation in a path dependent industry[J]. Technology Analysis & Strategic Management, 2017, 29(9): 1062-1075.
[51] SCHUBERT C, SYDOW J, WINDELER A. The means of managing momentum: Bridging technological paths and organisational fields[J]. Research Policy, 2013, 42(8): 1389-1405.
[52] VAN RIJNSOEVER F J, VAN DEN BERG J, KOCH J, et. al. Smart innovation policy: How network position and project composition affect the diversity of an emerging technology[J].
Research Policy, 2015, 44(5): 1094-1107.
[53] PAEZ-AVILES C, VAN RIJNSOEVER F J. JUANOLA-FELIU E, et. al. Multi-disciplinarity breeds diversity: The influence of innovation project characteristics on diversity creation in nanotechnology[J]. The Journal of Technology Transfer, 2018, 43(2): 458-481.
[54] FRENKEN K, HEKKERT M, GODFROIJ P. R&D portfolios in environmentally friendly automotive propulsion: Variety, competition and policy implications[J]. Technological Forecasting and Social Change, 2004, 71(5): 485-507.
[55] CHEN J Y, SHAO D N, FAN S K. Destabilization and consolidation: Conceptualizing, measuring, and validating the dual characteristics of technology[J]. Research Policy, 2021, 50(1): 104115.
基金
国家社会科学基金重大项目：“国家重大科技产业项目知识产权安全风险监测预警与防控体系”(19ZDA102,2020.01—2023.12)。
PDF(724 KB)
