美国出口管制对中国企业创新的影响  

The Impact of U.S.Export Controls on Chinese Enterprise Innovation

作　　者：孙妹 孟猛[1] Sun Mei;Meng Meng(School of economics,Tianjin Normal University,Tianjin,300382,China)

机构地区：[1]天津师范大学经济学院,天津300387

出　　处：《上海经济》2024年第5期36-55,共20页Shanghai Economy

摘　　要：出口管制是美国对华技术打压的重要手段之一。本文以中国1360家A股上市公司2012—2022年的面板数据为样本,运用零膨胀负二项模型,实证检验美国对华出口管制对中国企业创新的影响,并在进一步分析中从政府扶持和人才战略角度验证了研发补贴和研发人员素质对该影响的调节效应。研究发现:出口管制对我国企业技术创新存在显著的正向影响,在一系列稳健性检验之后结论仍成立。研发补贴和研发人员素质强化了出口管制和企业创新的上述关系;且在异质性分析中发现,研发补贴对非国有企业、高科技行业的创新活动有正向调节作用,研发人员素质对非国有企业具有正向调节作用,对行业之间的调节作用差异不大。本文的研究结论拓展了出口管制对我国技术创新影响的认识,也为我国摆脱技术受限困境提供有益参考。Export control is one of the important tools of U.S.technological suppression against China,this paper takes the panel data of 1360 A-share listed companies in China from 2012 to 2022 as a sample,and applies the zero-inflated negative binomial model to empirically test the impact of U.S.export control on Chinese corporate innovation,then verifies the moderating effect of R&D subsidies and quality of R&D personnel on this from the perspectives of governmental support and human resource strategy in the further analysis.The study finds that export control has a significant positive impact on technological innovation of Chinese enterprises,and the conclusion still holds after a series of robustness tests.R&D subsidies and the quality of R&D personnel strengthen the above relationship between export control and enterprise innovation;and in the heterogeneity analysis,it is found that R&D subsidies have a positive moderating effect on the innovation activities of non-state-owned enterprises and high-tech industries,and the quality of R&D personnel has a positive moderating effect on non-state-owned enterprises,but the moderating effect does not differ much between industries.The findings of this paper expand the understanding of the impact of export control on Chinese technological innovation,and also provide a useful reference for China to get rid of the dilemma of technological restriction.

关 键 词：出口管制 企业创新 研发补贴 研发人员素质 

分 类 号：F11[经济管理—国际贸易]