政策工具视角下发达国家技术出口管制政策研究——基于184份政策文本分析

A Study of Developed Countries’ Technology Export Control Policies from the Perspective of Policy Instruments—Based on the Analysis of 184 Policy Texts

摘要: 全球科技比较发达的国家都十分重视对技术的出口管制，通过对技术及其产品的出口管制，防止本国发达技术外流而丧失国际竞争优势。本文从政策工具的角度出发，选取发达国家发布的184篇相关政策文本，构建“政策工具–政策目标”二维分析框架，并利用Nvivo软件进行文本编码。结果表明：政策文本呈现效力位阶高、发布主体多元的特征；政策工具以权威型工具为主导，能力建设工具为辅助，系统性工具、劝告性工具和激励性工具为补充，同时工具内部结构失衡问题日益突出。政策目标围绕安全优先、发展从属的逻辑演进，且安全目标呈现泛化与强化趋势。本文进一步分析了政策工具选择背后的动因，最后从搭建政策跟踪与应对平台、强化核心技术的自主创新、优化产业与政策协同体系、推进多边合作与规则参与、平衡短期应急与长期发展等方面提出应对建议。

Abstract: Developed countries worldwide attach great importance to technology export control, preventing the outflow of advanced domestic technologies and the loss of international competitive advantages through the control of technology and its related products. This paper, from the perspective of policy instruments, selects 184 relevant policy texts published by developed countries, constructs a two-dimensional “policy instrument-policy objective” analytical framework, and uses NVivo software for text coding. The results show that the policy texts exhibit characteristics of high effectiveness and diverse issuing bodies; the policy instruments are dominated by authoritative instruments, supplemented by capacity-building instruments, and further complemented by systemic instruments, persuasive instruments, and incentive instruments. However, the internal structure of the instruments shows increasing imbalances. Policy objectives evolve around the logic of security priority and development subordination, with security objectives showing a trend of generalization and strengthening. This paper further analyzes the motivations behind the selection of policy instruments and finally proposes countermeasures from the aspects of building a policy tracking and response platform, strengthening independent innovation of core technologies, optimizing the industrial and policy coordination system, promoting multilateral cooperation and rule participation, and balancing short-term emergency response and long-term development.