摘要：The export control regimes, imposed via the Commercial Control List (CCL) by the US government, are meant to ''promote continued U
人大国发院“理论与政策”研讨会
（第209期）
US export Controls and Corporate Innovation: Evidence from China
美国出口管制与企业创新：来自中国的证据
主 讲：梁友莎（浙江大学经济学院）
主 持：秦 聪（中国人民大学国家发展与战略研究院）
时 间：2025年5月23日（星期五）15:30-17:00
地 点：立德教学楼11层1133会议室
报告摘要：
The export control regimes, imposed via the Commercial Control List (CCL) by the US government, are meant to ''promote continued US strategic technology leadership''. In practice, the regimes limit Chinese firms' ability to acquire cutting-edge products and advanced technologies that are crucial for innovation. Using detailed information from the CCL, this paper analyzes the impact of US export controls on the innovation performance of Chinese manufacturing firms. We find that the US export controls significantly reduce the innovation quality, while they exert insignificant impacts on innovation quantity. We decompose these effects into imported input variety (imperfect substitution) and quality channels, showing that controls on critical varieties—particularly those with low substitution elasticities—and high-quality imports significantly hinder innovation. However, we find no evidence that export controls impede knowledge flows from the US. Additionally, we observe asymmetric effects through the supplier-customer networks: export controls on customers promote innovation quality, while those on suppliers have the opposite effect.
美国政府通过《商业管制清单》（CCL）实施的出口管制制度旨在 “促进美国继续保持战略技术领先地位”。实际上，这些制度限制了中国企业获取对创新至关重要的尖端产品和先进技术的能力。本文利用 CCL 的详细信息，分析了美国出口管制对中国制造业企业创新绩效的影响。我们发现，美国的出口管制显著降低了企业创新质量，而对创新数量的影响却不明显。 我们将这些影响分解为进口投入品种类（不完全替代效应）和进口投入品质量两个渠道，结果表明，对关键种类的进口品（尤其是替代弹性较低的品种）和高质量进口品的管制极大地阻碍了创新。然而，我们没有发现出口管制阻碍来自美国的知识流动的证据。此外，我们通过供应商-客户网络观察到了不对称效应：对客户的出口管制促进了上游供应商的创新质量，而对供应商的出口管制则产生了相反的效果。
报告人简介：
梁友莎，浙江大学经济学院副教授，主要研究方向为国际经济学、创新经济学、产业经济学。研究成果发表在Journal of International Economics, Journal of Comparative Economics, World Economy, Journal of International Money and Finance, China Economic Review等国际学术期刊上。主持国家自科基金青年项目等科研项目。
审核：秦聪
文章来源：人大国发院
来源：人大国发院一点号
