技术断供与自主创新激励:纵向结构的视角  

Technology Blockade and Indigenous Innovation Incentives:A Vertical Structure Perspective

作　　者：寇宗来[1] 孙瑞 KOU Zonglai;SUN Rui(China Center for Economic Studies,Fudan University)

机构地区：[1]复旦大学中国社会主义市场经济研究中心,200433

出　　处：《经济研究》2023年第2期57-73,共17页Economic Research Journal

基　　金：国家哲学社会科学重点项目(22AZD031);国家自然科学基金一般项目(71973032);国家自然科学基金重大项目(72192845);国家自然科学基金创新研究群体项目(72121002)的资助。

摘　　要：参照芯片断供的现实背景,本文在“制造商—零售商”纵向结构框架下考察了技术断供对自主创新激励的影响。技术断供意味着,技术领先的上游国外制造商不能向某个下游零售商提供中间品。分析表明,技术断供前,技术落后的上游本地制造商缺乏自主创新激励的重要原因是创新的“货币外部性”:尽管其技术追赶可以通过压缩国外制造商的抽租能力而让下游厂商获益,但其本身却无法通过赢得下游市场并从中获利。技术断供后,被断供下游零售商只能从本地制造商采购中间品,这种“绑定效应”部分内化了本地制造商的货币外部性,进而会提高其自主创新激励;但与此同时,技术断供也会提高外国制造商为阻止本地制造商技术追赶而实施人才圈定策略的激励和能力。所以,为破解外国制造商的“人才圈定”策略,需要以政府采购等方式对本地制造商进行有相当力度且有持续性的创新政策支持。Since the beginning of the trade friction between China and the United States in 2018,the United States has imposed technology blockade on several Chinese companies in core areas such as chips,advanced materials and equipment,systems,and specialized software.This paper explores the impact of the technology blockade,using the case of Huawei's chip cut off,on the incentive for indigenous innovation within the context of a manufacturer-retailer vertical structure.Our analysis shows that prior to the technology blockade,the lack of motivation for indigenous innovation among underdeveloped local upstream manufacturers was caused by the pecuniary externality of innovation.This externality occurs when a local manufacturer makes efforts to catch up technologically beneficial retailers by reducing the foreign manufacturer's rent-extracting ability,but the local manufacturer cannot reap the profits from winning downstream markets.The technology blockade partially internalizes this externality by forcing the blockaded retailer to purchase intermediate products from the local manufacturer.However,the technology blockade also raises the foreign manufacturer's incentives and ability to implement a talent foreclosure strategy to prevent the local manufacturer from catching up.To address this challenge,the paper recommends providing local manufacturers with substantial and sustained innovation policy support in the form of government procurement.We build a vertical structure in which a local upstream manufacturer and a foreign upstream manufacturer compete for the downstream retailers through secret contracts.The local manufacturer is assumed to fall behind the foreign manufacturer technologically and cannot quickly catch up.The government is also capable of encouraging local manufacturer's innovation through procurement.In the first stage,if talents are not scarce,the local manufacturer decides whether to hire them.If talents are scarce,the local manufacturer and the foreign manufacturer offer salaries simultaneously,and talent

关 键 词：技术断供 自主创新 货币外部性 创新政策 

分 类 号：F273.1[经济管理—企业管理] F426.63[经济管理—国民经济]