全球供应链风险、国产替代进口与上游供应商创新

Global Supply Chain Risks, Domestic Substitution for Imports, and Innovation among Upstream Suppliers

盛斌,郝夏珍,张露文

2026 第 52 卷 第 08 期 页码 4-19

DOI: 10.16538/j.cnki.jfe.20260611.201

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摘要

在全球生产分工深化与进口中间品供给波动的背景下,文章基于FactSet Revere全球供应链数据库、中国海关进口数据库与IncoPat专利数据库,构建“下游客户—上游供应商—年份”层面的三维面板数据,考察下游客户所面临的全球供应链风险对国内上游供应商创新的影响效应与作用机制。研究结果表明:下游客户所面临的全球供应链风险会促使其将中间品采购由进口转向国内市场,进而提升上游供应商的创新产出,从而证实风险传导中存在“倒逼创新”效应;机制分析表明,本土市场需求扩张、产业链协同创新与政府政策扶持共同驱动上游供应商创新水平的提升,而企业研发人员动态配置与海外知识产权保护则形成内外部双轮驱动,共同激励上游供应商的创新水平提升;异质性分析结果表明,该“倒逼”效应在外资企业、一般贸易企业与高技术水平及高价值链地位行业中更为显著;由外部风险驱动的上游供应商创新效应对其下游客户创新水平并不存在逆向溢出效应,但会沿供应链网络向上扩散,显著推动二级与三级供应商的创新水平提升,从而揭示了超越直接关联的网络化创新溢出效应。文章从供应链视角深化了外部冲击与企业创新的相关研究,并为在复杂外部环境下通过需求侧政策、链上协同与人才配置来激活上游创新、实现高质量发展提供了理论依据与政策参考。

Against the backdrop of rising global protectionism and increasingly stringent export controls on critical technologies, downstream firms in China face heightened risks of disruptions in the supply of key intermediate inputs and breakdowns in production chains. To enhance the resilience and security of industrial and supply chains, the Chinese government has continuously promoted the domestic substitution of critical core technologies and key inputs. These policies encourage downstream firms to redirect part of their procurement demand toward domestic upstream suppliers, thereby generating demand-side incentives for upstream technological upgrading.

Using data from the FactSet Revere global supply chain database, China Customs import records, and IncoPat patent data, this paper constructs a panel dataset of downstream customer–upstream supplier–year to investigate the impact of downstream customers’ global supply chain risks on innovation by upstream suppliers. The results show that global supply chain risks significantly promote innovation by upstream suppliers. Mechanism testing indicates that this effect operates primarily through expanded domestic market demand, enhanced customer–supplier collaborative innovation, and government support. The effect is stronger for foreign-invested firms, general-trade firms, high-tech firms, and firms occupying relatively advanced positions in global value chains. Further analysis shows that the innovation response does not significantly affect downstream customers themselves, but diffuses along the supply chain to second- and third-tier suppliers, generating multi-tier innovation spillovers.

This paper makes the following contributions: First, drawing on micro-level matched data, it develops measurements of innovation by upstream suppliers and downstream customers’ exposure to global supply chain risks. Second, it incorporates global supply chain risks into the analysis of innovation by upstream suppliers, demonstrating how external supply shocks are transmitted through demand-side channels within domestic production networks and subsequently shape upstream innovation. Third, it empirically examines the roles of domestic market demand, collaborative innovation, and government support, while further exploring the effects of the dynamic allocation of R&D personnel and the strength of overseas intellectual property protection. This paper provides policy implications for stimulating upstream innovation and promoting high-quality development through demand inducement, supply-chain collaboration, and talent allocation in an increasingly complex external environment.

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