Study On The Technology Innovation Effects Of U.S. Export Control To High-tech Industry In China

Export control,as one of the important trade protection measures,is included in the economy regulation of government control.Since 1949,China has suffered high-tech export control by the United States.In recent years,the United States adjusted and revised the National Defense Authorization Act,the Strategic Trade License,the Export Facilitation Draft and the International Relations Authorization Act,and excluded China from the countries lists benefiting from trade facilitation and strategic license.Despite suffered strict high-tech export control by the United States,outstanding innovation breakthroughs have been made in the field of high-tech industries in China.How does the U.S.strict export control influence the technology innovation of high-tech industries in China?Many scholars made systematic introduction and analysis on the export control system,and researched relations between export control and balance of trade,effects of export control on technical leading advantage,and dilemma between export control and free trade advocated by WTO.Although some scholars studied the positive and negative effects of export control on technology innovation,there is still a lack of systematic and clear cognition about the effects of U.S.export control on technology innovation of Chinese high-tech industries.Therefore,in order to enrich and expand theory research boundary of export control effects on technology innovation,improve the China's countermeasure to the U.S.export control,and enhance technology innovation capability and international competitiveness,it is very necessary and helpful to discover the relations between the China's high-tech innovation and U.S.export control.Based on the review of relevant literatures,this paper focused on the study of technology innovation of export control,and divided the technology innovation effects of export control into forward effects to controlled countries,backward effects to implemented countries and lateral effects to the third countries.On the basis of ensuring the availability of data,this paper selected aerospace,pharmaceutical and other high-tech industries as the analysis samples,sorted out the evolution process of U.S.export control policies over the past years,divided the U.S.export control policy into three types,namely comprehensive,country and enterprise discrimination,then discussed how different types of export control affect the technology innovation of high-tech industries in China.The theory research contents are as follows:1.Combined the relevant theory about technology innovation effects of export control,explained the necessity of export control as per theory of market failure,analyzed the relationship between export control and technology innovation based on the Potter hypothesis and the theory of institutional economics.2.Cited dynamic game model and analyzed the evolution of American export control intensity and innovation capability of high-tech industries in China.The Nash equilibrium solution of dynamic game shows that both strict and loose export control may encourage China to increase investment in independent research and development.3.Divided export control into comprehensive,country discrimination and enterprise discrimination.The comprehensive export control policy affects the choice of technology innovation model.The export control of country discrimination affects the technology import path of related industries.The export control of enterprise discrimination greatly affects the allocation of innovation resources.The empirical research results are as follows:1.Collected relevant data of the UN commodity trade database and China high-tech industry statistical yearbook,selected data of five typical high-tech industries from 1995 to 2016 as research samples which were classified into comprehensive control group and non-comprehensive control group.The proportion of U.S.exports to China,which accounts for the world's total exports,was used as a proxy variable for export control intensity,and then empirically studied the innovation model selection effects of export control.2.A comparative study was conducted to disvover the technology import paths difference between free trade and export control.Carded the United States' discriminatory laws and regulations on export control.In particular,sorted out the process of U.S.discriminatory export control against China.Depicted the evolution path of technology import,studied the influence mechanism of export control on the path of technology import,constructed the complexity and variability index of technology import path,then took the typical control cases,and statistically tested the technology import path selection effects of export control.3.Based on the United States' extraterritorial control system and enterprises discrimination,referenced to the export control policy in 1997 and 2009,compared the resource allocation difference among different kind enterprises,and empirically tested innovation resource allocation effects of export control based on incremental and stock substitution.The main findings of this study are as follows:1.The U.S.comprehensive export control has shocked the choice of technology innovation model of high-tech industries in China.The controlled industries preferred to internal dependence model in technology innovation.The efficiency of internal and external dependence technology innovation model are different.2.American country-discriminatory export control distorted the technology import path of high-tech industries in China.The adjustment of the U.S.export control intensity to China has resulted in a great adjustment of China's technology import path.In recent years,with the gradual strengthening of the U.S.export control discrimination against China,China's technology import path has become increasingly complex and diverse.3.American enterprise-discriminatory export control has changed the allocation structure of technology innovation resources of related enterprises in China.From the way of resource allocation,the joint venture or wholly foreign invested enterprises in China tended to use more innovative resources from home countries,while state-owned enterprises or domestic enterprises preferred technological transformation when allocating innovative resources.From the resource configuration structure both domestic and foreign enterprises tended to invest in industries with relatively loose export control.The academic contributions of this study are as follows:1.Defined the classification of export control effects,which included technology and non-technology effects from the macro level,and included forward,backward and lateral effects from the controlled objects,and were composed of positive,negative and zero effect from the implementation results.2.Clarified the influence path of export control on technology innovation,namely,the U.S.export control hindered China's technology innovation capability by impacting the model selection of technology innovation,complicating import path of technology and distorting resources allocation of related controlled industries.3.Constructed an export control intensity index based on reference and improvement of the index of trade freedom,which provides new quantitative tool for empirical research.4.Setted up breadth and skewness index of technology import path as per Herfindahl-Hirschman index,and provided a new measurement mean for measuring the diversity-and drift degree of technology import path.