技术锁定述评:知识框架与未来展望  

A literature review of technological lock-in:The knowledge framework and future prospects

作　　者：蒋启蒙 朱雪忠 滕子优 Jiang Qimeng;Zhu Xuezhong;Teng Ziyou(Shanghai International College of Intellectual Property,Tongji University,Shanghai 200092,China)

机构地区：[1]同济大学上海国际知识产权学院,上海200092

出　　处：《科研管理》2023年第6期17-28,共12页Science Research Management

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)。

摘　　要：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。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 main

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 

分 类 号：F062.4[经济管理—政治经济学] F273.1