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

Research on technology trajectories evolution and technological lock-in identification:A case study of semiconductor photolithography industry

本研究结合技术轨道特性界定了技术锁定的内涵与特征,提出一种识别技术锁定的新方法。以光刻技术为例,通过构建专利引文网络识别技术主路径,描绘其技术轨道的动态演化,追溯了不同技术来源在不同阶段的技术贡献,并从技术和地域不同层面分析了技术多样性。研究结果表明:从1980-2010年,光刻技术长期处在锁定状态,然而从2010年之后,技术呈现出多样化的发展方向。光刻技术早期被美国、德国和日本控制,近些年随着技术多样性指数上升,后发国家或地区逐渐兴起,韩国和中国台湾对近期的光刻技术贡献较大,主要集中在光刻胶技术上。中国的光刻技术与发达国家有较大的差距,尚未出现在技术发展主路径中,技术类别涉及范围有限,技术贡献较小。本研究对于探索技术锁定形成,识别技术机会,破解我国“技术锁定”困局具有重大启示。

This study aims to define the connotation and characteristics of technological lock-in through the characteristics of technological trajectories and suggests a comprehensive method to identify the main path and technology lock-in.Taking the photolithography industry as a case study,we identify the main path through the patent citation network.Depict the dynamic evolution of technological trajectories,trace the technological contributions of different core technologies at different stages,and describe photolithography's technological diversity from a geographical and technological perspective.The results show that from 1980-2010,photolithography was in a lock-in state;however,since 2010,we have observed more diverse technological paths.We found that the photolithography industry was dominated by the US,Germany,and Japan core technologies in the early stages.The technology diversity index has gradually increased in recent years,with Korea and Chinese Taiwan contributing more to the current lithography technology,mainly focusing on photoresist technology.China's photolithography technology has a large gap compared to developed countries and has not yet appeared in the technological main path trajectories,and only involves a few technology categories.Thus,this study offers significant contributions and implications for exploring technology lock-in,identifying technological opportunities,and suggesting lock-out,China's"technology lock-in"dilemma.