技术锁定对创新绩效的影响：创新模式的调节作用

创新是引领发展的第一动力，当前我国经济发展已从创新数量转移到创新质量上来。聚焦技术创新过程中形成的技术锁定效应，运用DEA-SBM测度技术锁定效应并分析其发展趋势，检验技术锁定效应对创新绩效的影响，并寻找解锁技术锁定负效应的调节机制。研究发现：技术锁定效应显著抑制创新绩效提升，在经过一系列稳健性检验后结论依然成立。技术创新模式中的技术引进和自主创新对技术锁定负效应具有显著正向调节作用，且自主创新投入可以深度缓解技术锁定对创新绩效的消极影响；消化吸收能力在技术引进与自主创新之间发挥创新路径枢纽作用，表现为创新模式一体化的调节作用可以显著缓解技术锁定负效应。另外，异质性检验结果发现，创新能力不同未造成明显的技术锁定效应差异。研究结论对于积极调控我国技术锁定效应、推动创新驱动发展战略实施、促进经济高质量发展具有重要意义。

The Impact of Technology Lock-in on Innovation Performance: The Moderating Role of Innovation Models

With the introduction of advanced technology from overseas, China has achieved economic growth and technology catch-up. But the heavy dependence on external imports has led to core technology bottlenecks. In the government work report in 2021, Premier Li Keqiang proposed "relying on innovation to promote the high-quality development of the real economy, cultivate and expand new momentum, promote the deep integration of scientific and technological innovation and the real economy, and give better play to the role of innovation driven development". In order to promote high-quality innovation and prevent major technological risks, it is essential to effectively identify the existence of technology lock-in effect and master its development and evolution process ; it is also of great guiding significance for the sound operation of technology market and high-quality economic development. To this end the following questions are raised: what effect will technology lock-in have at the macro level? How shoud we do to adjust the negative effect of technology lock-in? Is the technology lock-in effect various for different innovation subjects? By answering these questions, it is of great significance for the correct understanding of the effects of technology lock-in, the further regulation through the mechanism of technological innovation model and the improvement of innovation policies, as well as the further implementation of China's innovation driven development strategy.#br#The existing research mainly focuses on the negative impact of technology lock-in on industrial innovation performance and the theory teself. Among them, the empirical research mainly focuses on China's industries, including high-tech industries, international OEM enterprises, wine industry and carbon locking. It fails to deeply explore the relationship and unlocking mechanism between technology lock-in effect and innovation performance in China's provinces, and there are few empirical studies on unlocking technology locking effect at the macro level.#br#The conclusion of this paper supports the view that technology lock-in effect inhibits innovation performance. According to the adjustment mechanism test, it is found that foreign technology introduction and independent innovation investment in various provinces of China have played a substantive role, that is, technology introduction and independent innovation have significantly positive regulation of the negative effect of technology lock-in effect on innovation performance. In contrast, independent innovation can deeply alleviate the negative effect of technology lock-in. Fund digestion and absorption play a key pivotal role between technology introduction and independent innovation. The three innovation modes form an integrated innovation path and significantly positively regulate the inhibitory effect of technology lock-in on innovation performance. By giving play to the advantages of innovation mode integration, it actively unlocks the negative effect of technology lock-in. Based on the heterogeneity test, it is proved that there is no significant difference in the negative effects of technology lock-in for different subjects of innovation ability, and innovation ability does not significantly affect the inhibitory effect of technology lock-in on innovation performance.#br#By combing and summarizing the relevant literature, this paper finds that existing scholars generally believe that technology lock-in leads to low innovation efficiency. In addition, the existing literature lacks macro data in measuring the technology lock-in indicators of various provinces in China, and it can not reflect the overall technology lock-in effect in China. In contrast this paper makes innovation as follows. It firstly combines with China Statistical Yearbook and China Science and technology statistical yearbook from 2006 to 2019. By calculating the technology inefficiency rate of each province, it describes the technology locking effect of each province in China, and finds that the overall technology locking effect in China has been declining in recent years. Secondly based on the patent data of various provinces in China from 2005 to 2019, this paper examines the impact of technology locking effect on innovation performance of various provinces, and comes to the conclusion that technology locking effect will inhibit innovation performance. The main logic is consistent with the classical literature. Thirdly this paper further tests the technology lock-in heterogeneity effect of different innovation capabilities. Lastly based on the scholars' theoretical analysis of the technology lock-in and unlock mechanism, this paper introduces the technology lock-in adjustment mechanism of innovation mode to test the adjustment effects of technology introduction, digestion and absorption, independent innovation and their comprehensive indicators on the negative effects of technology lock-in.#br#