美国对华出口管制对中国企业创新的影响与应对——基于全球创新网络的视角  

Export Control and Enterprise Innovation--From the Perspective of Global Innovation Network

作　　者：干越倩 王佳希 Gan Yueqian;Wang Jiaxi

机构地区：[1]约翰霍普金斯大学 [2]上海社会科学院应用经济研究所,上海市200020

出　　处：《南方经济》2023年第9期140-160,共21页South China Journal of Economics

基　　金：国家社会科学基金重大项目“以全球城市为核心的巨型城市群引领双循环发展研究”,(批准号:22&ZD067)资助。

摘　　要：文章基于全球创新活动网络化特征凸显的现实背景,以2010—2020年A股上市企业为样本,利用美国商务部实体清单、美国专利商标局(USPTO)专利文本以及国泰安(CSMAR)上市企业数据库,考察美国出口管制体系中实体清单对中国企业创新的影响及作用机制。研究发现:第一,出口管制通过阻碍知识在全球创新网络中流入中国企业抑制企业创新。但出口管制对创新的抑制更多体现为降低产出数量而非破坏产出质量;第二,区分企业异质性特征后,出口管制时创新的抑制效应主要发生在产业链上游企业、融资约束水平高的企业以及有海外业务布局的企业;第三,企业自身提升研发投入强度以及加强与国内企业间的创新协同,政府对企业发放研发补贴,都是缓解出口管制对企业创新抑制作用的有效措施。该研究一方面进一步深化了出口管制领域文献的研究内容,从全球创新网络参与这一视角考察了出口管制对企业创新的作用机制。另一方面,研究结论的政策内涵丰富,对进一步提升我国科技创新领域自立自强能力、构建具有全球竞争力的开放生态等具有重要现实价值。Currently,China has been playing a more important role in global innovation network.The technological gap be⁃tween China and the United States has been greatly narrowed.In order to constrain China’s development in innovation fields,the United States continuously upgrades export control measures against China.China is facing greater challenges in further enhancing its position in global innovation network.Based on the perspective of global innovation network,this paper takes the A-share listed enterprises from 2010 to 2020 as research sample,uses the entity list of the United States Department of Commerce,the patent text of the U.S.Patent and Trademark Office(USPTO),and the database of listed enterprises of CSMAR to investigate the impact of the entity list control on Chinese enterprise innovation and its working-mechanism.The research finds that:Firstly,export control significantly inhibits enterprise innovation,which is achieved through hindering the flow of knowledge into Chinese enterprises in the global innovation network.However,the inhibitory effect is reflected in the quantity of innovation rather than the quality of innovation;Secondly,after distinguishing the heterogeneity characteristics of enterprises,export control significantly inhibits the innovation of upstream enterprises in the industrial chain and the innovation of enterprises facing tight financing constraints.Enterprises with overseas operations need to be more vigilant about export control;Thirdly,enterprises can effectively alleviate the inhibitory effect of export control by in⁃creasing the intensity of R&D investment and strengthening domestic innovation synergy.Issuing R&D subsidies is an effec⁃tive method that the government can take to help the affected enterprises.On the one hand,this study further deepens the research content of literature in the field of export control.Previous liter⁃ature on export control related fields has not yet focused on the networked characteristics of global innovation activities.On the other hand,

关 键 词：出口管制 全球创新网络 企业创新 

分 类 号：F752.7[经济管理—国际贸易]