美国高技术出口管制与中国企业创新绩效研究——以2018—2022年33家被管制上市企业为例  

Research on US high-tech export controls and innovation performance of China’s enterprises——Taking 33 regulated listed companies from 2018 to 2022 as an example

作　　者：龙婷 姜辉 LONG Ting;JIANG Hui(College of Economics and Management,China Jiliang University,Hangzhou,Zhejiang 310018)

机构地区：[1]中国计量大学经济与管理学院,浙江杭州310018

出　　处：《价格月刊》2024年第10期48-58,共11页

基　　金：国家社会科学基金项目“美国出口管制与我国企业海外经营的合规风险研究”(编号:19BGJ029)。

摘　　要：以2018—2022年美国出口管制实体清单中涉及高技术的上市公司为实验组,以2016—2022年中国制造业上市企业为对照组,分析美国高技术出口管制对中国被管制企业创新绩效的影响。结果表明:美国高技术出口管制会显著提高中国被管制企业的创新产出质量和创新产出效率,该结论通过了多重稳健性检验;考虑企业的异质性发现,美国高技术出口管制对被管制企业创新绩效的促进作用在大型规模企业、国有企业的影响更加显著;检验倒逼效应的差异性发现,美国高技术出口管制对中国被管制企业创新绩效的倒逼效应体现在具有“突破式创新”的创新质量上,而不是体现在具有“渐进式创新”的创新数量上。根据研究结论,提出了相关对策建议。This paper takes high-tech listed companies on the US export control entity list from 2018 to 2022 as the experimental group,and China’s manufacturing listed companies from 2016 to 2022 as the control group,to analyze the impact of US high-tech export controls on the innovation performance of China’s controlled enterprises.The results indicate that US high-tech export controls can significantly improve the quality and efficiency of innovation output of China’s controlled firms,and the conclusion passes the multiple robustness tests;Considering the heterogeneity of enterprises,it is found that the effect of US high-tech export control on the innovation performance of controlled enterprises is more significant in large-scale enterprises and state-owned enterprises;By examining the differences of the anti-driving effect,it is found that the anti-driving effect of US high-tech export control on the innovation performance of China’s regulated firms is reflected in the quality of innovation with“breakthrough innovation”rather than the quantity of innovation with“progressive innovation”.Based on the research findings,this paper puts forward the relevant countermeasures and suggestions.

关 键 词：出口管制 高技术产品 技术创新 实体清单 创新绩效 

分 类 号：F752[经济管理—国际贸易]