Working Paper·I·May 2026·Researcher Restrictions·v0·30 May 2026

Which Chinese AI researchers face restriction in the next twelve months?

A forward-looking risk index on Chinese AI researchers, scored monthly against the public restriction record — with the prior, the features, the five v0 profiles, and the Brier of three baselines all visible.


TaskPer-researcher probability of explicit restriction within 12 months
Corpus17 documented §1 events 17 documented §1 events · 8 hand-curated profilesmiddot; 5 hand-curated profiles
CadenceMonthly re-rank
Statusv0 live5 profiles · 17 events backfilled
I.   Why this exists

The signal is in the specification. The surprise is a reading failure.

Chinese AI researcher restrictions ran through three waves between 2020 and 2026. The first wave — Entity List actions in 2020 and 2021 — targeted Huawei, supercomputing centers, and quantum-AI institutes, with researcher-level effects concentrated in joint US–PRC programs. The second wave landed October 7, 2022: a US-persons restriction that drove low-hundreds of US-passport engineers out of YMTC, CXMT, SMIC, and the chip-design houses around them. The third wave — the one most recently legible — runs in the other direction: passport custody and pre-travel review extending from state labs into DeepSeek, Moonshot, Zhipu, Alibaba DAMO and Tongyi, with the May 2026 Bloomberg dispatch and a same-week Tech Times confirmation as the founding press citations.1

The historical work exists in slices. MacroPolo's AI Talent Tracker mapped stocks and flows from 2020 through its 2024 discontinuation. CSET tracks aggregate inflows and outflows. Stratfor and Recorded Future publish episodic risk briefings on named individuals from behind subscription walls. None of these is a dated, public, per-researcher forward score. None is Brier-scored.2

Forward Indicators ships the per-researcher score: prior public, features versioned, three baselines run on the same scoreboard with Brier reported, and the editorial guardrails in §VIII binding on every published number. v0 is five profiles. v0.1 ships at twenty-five. The point of v0 is not the prediction — the point of v0 is that the prediction now exists in a form that can be wrong in public.

II.   The restriction record
17 events · 2020 → May 2026

Every dated event the v0 prior is conditioned on.

Table 1 · Chinese AI / chips / robotics researcher restrictions, 2020–2026
DateInstitutionRestriction type# affected (est.)Primary source
2020-05-15Huawei / HiSilicon§1.1.1 · verifiedForeign Direct Product Rule[unverified, source pending]BIS press release 2020-05-15
2020-08-17Huawei + 38 affiliates (21 countries)§1.1.2 · verifiedEntity List addition[unverified, source pending]Fed Reg 2020-18213
2020-Q4Huawei 2012 Lab senior R&D§1.1.3 · reportedInternal travel freeze[unverified, source pending]Reuters Q3-Q4 2020
2021-04-08Sugon + NSC Wuxi + NSC Jinan + 4 affiliates§1.2.1 · verifiedEntity List addition[unverified, source pending]Fed Reg 2021-07400
2021-06Wuhan Institute of Virology§1.2.2 · multi-sourceInternal travel freeze[unverified, source pending]NYT / WSJ / WaPo Jun-Aug 2021
2021-11-24Hefei National Lab + CAS quantum affiliates§1.2.3 · verifiedEntity List addition[unverified, source pending]BIS press release 2021-11-24
2022-10-07PRC advanced-semi supply chain (broad)§1.3.1 · verifiedUS export control rule[unverified, source pending]Fed Reg 87 FR 62186
2022-10-16YMTC US-passport engineers§1.3.2 · multi-sourceUS-persons compliance departure≈ 80 (FT)Financial Times 2022-10-16
2022-10-18CXMT US-passport engineers§1.3.2 · multi-sourceUS-persons compliance departure≈ 40 (Bloomberg)Bloomberg 2022-10-18
2022-12-15YMTC + 21 PRC entities§1.3.3 · verifiedEntity List addition[unverified, source pending]Fed Reg 2022-27450
2023-10-17PRC advanced AI-chip supply chain (rule update)§1.4.1 · verifiedUS export control rule update[unverified, source pending]Fed Reg 2023-23055
2023-11CAS-affiliated AI/chips researchers§1.4.2 · reportedPre-travel review tightening[unverified, source pending]Bloomberg Nov 2023
2024-11MacroPolo AI Talent Tracker (counter-flow date-anchor)§1.5.1 · verifiedCounter-flow inflection (reference)MacroPolo final ed. 2024
2025-Q1DeepSeek senior research staff§1.6.2 · multi-sourcePassport custody + pre-approval[unverified, source pending]Bloomberg Mar 2025 (date pending) [URL pending]
2025-Q4Moonshot + Zhipu senior research staff§1.6.3 · reportedPre-travel review (extension)[unverified, source pending]Bloomberg late 2025 (date pending) [URL pending]
2026-05Alibaba DAMO + Tongyi + Moonshot + Zhipu senior researchers§1.7.1 · reportedPassport custody + pre-approval (formalized)[unverified, source pending]Bloomberg May 2026 (founding citation; URL pending) [URL pending]
2026-05-28Alibaba + DeepSeek private-sector researchers§1.7.1 · multi-sourcePre-travel Beijing approval (multi-source confirmation)[unverified, source pending]Tech Times 2026-05-28

Sources per row above. Single-source claims are flagged in the confidence column.[unverified, source pending] in the «# affected» column denotes events where no specific numeric count was reported in the public record. Full dossier in projects/restrictions/RESEARCH.md.

III.   Feature analysis
Six hand-engineered features · v0.1.0

What the v0 prior is conditioned on, and how strongly.

Each feature is derived inductively from the §1 record. Strength bands weak / moderate / strong are the qualitative marginal-effect estimates from RESEARCH.md §2. Two further features — stated geopolitical alignment and mentor lineage — are earmarked for the LLM-extractor lane in v0.2.0 and are not shown here.

F.01

Institutional tier

State labs absorbed the 2020–2023 US-side wave; private frontier labs absorbed the 2025–2026 PRC-side wave.

Cases · §1.1.2 · §1.7.1

Effectstrong
F.02

Research area

Chips / EDA carried the early US restrictions; foundation models inherited the PRC-side curve after DeepSeek-V3 made private frontier labs legible to Beijing.

Cases · §1.3.1 · §1.6.2

Effectstrong
F.03

US co-authorship density

Sign-flips across the October 2022 boundary: protective before, exposure-raising after, with magnitude conditional on tier and area.

Cases · §1.3.2 · §1.6.2

Effectmoderate
F.04

Citizenship & visa status

US-persons restrictions bind directly on US-passport holders at PRC chip labs; for PRC citizens, US visa-renewal posture is the dominant adjacent signal.

Cases · §1.3.2

Effectstrong
F.05

CCP-affiliation signals

NSFC PI, Thousand Talents, MOST programs raise US-side legibility and, post-2025, raise PRC-side strategic-asset legibility in parallel.

Cases · §1.2.3 · §1.7.1

Effectmoderate
F.06

Recent mobility

Conference no-shows are the strongest individual signal in the §1 record; lab switches are weak-to-moderate and correlate with the counter-flow rather than restriction directly.

Cases · §1.4.2 · §2.6

Effectstrong
IV.   The v0 scoreboard
5 profiles · ranked 30 May 2026 · resolve-by 30 May 2027

Five pseudonymized profiles. Logistic regression on the hand-engineered features.

Table 2 · v0 scoreboard, ranked by P(restriction within 12 months)
RankProfileAffiliationAreaP90% CITop features
1Researcher CCAS · Institute of MicroelectronicsChips / EDA0.80[0.73, 0.87]mobility · tier · area
2Researcher DAlibaba DAMO AcademyRobotics0.43[0.31, 0.55]mobility · tier
3Researcher ADeepSeek, BeijingFoundation models0.12[0.00, 0.28]tier · area
4Researcher EPKU · Center for Computational GenomicsBCI0.02[0.00, 0.16](low signal — wide CI)
5Researcher BTsinghua · AI LabFoundation models0.02[0.00, 0.16](low signal — wide CI)

Scores clamped at the v0 editorial guardrail ceiling of 0.80; no published score may exceed that bar without a per-profile supporting evidence pack. All profile names are pseudonyms — v0 ships zero real-name case studiesper RESEARCH.md §3. Cohort expansion ongoing.

0230.0–0.20.2–0.40.4–0.60.6–0.80.8–1.0P(RESTRICTION)N
FIG. 1 · RISK DISTRIBUTION · v0 (n=8)METHOD § V
0.000.000.250.250.500.500.750.751.001.00PREDICTEDOBSERVED
FIG. 2 · CALIBRATION REFERENCE · v0BIN ACCURACY: AWAITING Q1 RESOLUTIONS
Table 3 · Backtest Brier scores on a held-out 25% split (n_test = 256)
BaselineBrier (lower better)AUC-ROC
Random (p=0.20)0.17130.500
Last-observed base rate0.17090.500
Logistic on hand-engineered features0.08800.908

Train/test split is stratified on label; positive class rate 21.7% in train, 21.9% in test. Source: data/restrictions/backtest_v0.json.

V.   Methodology

Five moving parts. Each is versioned. Each ships.

The pipeline implements the Forward Indicators spine on a single corpus: a public-source profile for each researcher, labelled against the six-year restriction record, scored by a logistic baseline, and reviewed against two trivial baselines on every release.

I.

Features

Six hand-engineered features — institutional tier, research area, US co-authorship density, citizenship-and-visa status, CCP-affiliation signals, and recent mobility — all derived from public lab pages, arXiv, conference proceedings, or announced funding rosters. Each feature carries an empirical band drawn from a specific §1 case. Two further features (stated geopolitical alignment, mentor lineage) are scoped for the v0.2.0 LLM-extractor lane and are not in the v0 scorer.

II.

Labels

Seventeen primary restriction events from RESEARCH.md §1 plus a long tail of inductive instances expanded from the same §1 patterns into an event-cluster corpus. Positive instances are synthesized populations affected by each event (e.g., “YMTC US-passport engineers”); negative instances are peer researchers at the same labs in the same time windows who do not appear in restriction reporting. Total labeled n = 1,022 with a 22% positive rate.

III.

Model

A logistic regression on the standardized hand-engineered features is the v0 scorer. Coefficients are stable in sign across reseeds: mobility loads heaviest (+1.68), area and tier moderately positive (+0.68, +0.48), US density mildly protective at this point in the regime cycle (−0.18), CCP-signal count mildly negative (−0.26) once tier and area are controlled for. Calibration is approximate; the headline metric is Brier, not point accuracy.

IV.

Baselines

Three baselines run alongside on every release: a constant predictor at p = 0.20, the last-observed positive rate from training, and the production logistic regression. The logistic lifts Brier by roughly half versus the trivial baselines on the held-out split (0.088 vs ~0.171), and AUC from 0.50 to 0.91. Both metrics are stamped to backtest_v0.json on every pipeline run.

V.

Metrics

Brier score is the headline. Alongside: AUC-ROC, calibration curve (reliability diagram), precision @ top-20 and top-100, and lift over each baseline. The reliability diagram — not point accuracy — is the chart on the scoreboard.

VI.   Editorial guardrails

What we will and will not publish.

Public profiles only. Every input field is recoverable from a public lab page, arXiv, conference proceedings, or an announced funding roster. No private personal information enters the pipeline.

Pseudonyms by default in v0.Real names enter the registry only after (a) a documented restriction event is available as a citable anchor for the named individual, or (b) an external advisor review explicitly approves a named profile on the basis of the researcher's own publicly-stated positions. v0 ships with zero real-name case studies.

No published score above 0.80 without a supporting evidence pack. The v0 scorer clamps at 0.80 by construction; this guardrail will remain in force through v0 and v0.5.

Right to correction. Researchers may request data corrections at any time. Corrected records carry a versioned diff; the prior version remains visible in the append-only log. To request a correction, write to corrections@forward-indicators.org.

Single-source claims marked. Every fact that rests on a single press source is marked on the row. Every fact for which a specific URL or document identifier is not yet pinned down is flagged [unverified, source pending] and resolved on the punch list before the next release.

VII.   Open questions
From RESEARCH.md §4.4 · PI to decide before v0 ship

What v0 deliberately leaves unresolved.

  1. Open question 01Bloomberg May 2026 source pinning. The founding press citation for the index. We have the claim (corroborated by Tech Times on 28 May 2026); we need the specific dispatch with date, byline, URL, and a second tier-1 confirmation before v0 publishes named restriction probabilities.
  2. Open question 02Named profiles in v1.Does the lab ship v0.5 and v1 with zero real-name case studies and add named profiles only as documented restriction events accumulate? Or commission an external advisor review now to approve a small set of named profiles on the basis of those researchers' own publicly-stated positions? Both options are consistent with the guardrails; the choice is a judgment call.
  3. Open question 03The 2022 sign flip on US co-authorship density.Encode the boundary explicitly (recommended), or attempt to learn a single coefficient across the full 2020–2026 window? The v0 logistic learns the latter; v0.5 should adopt the former with a documented break-point.
  4. Open question 04Mentor-lineage in v0.2.0. Ship the feature given the public-data quality issues, or defer to v0.3.0? Editorial guardrails would support deferral. Lineage may inform the prior but not, by itself, push a published score above 0.50 without an additional corroborating feature.
  5. Open question 05Coverage gaps from RESEARCH.md §1.8.Three honest gaps: chip-design firms outside SMIC's orbit (Cambricon, Biren, Moore Threads); academic-tier restrictions at Tsinghua, PKU, USTC, Fudan; BCI as a category. Close any of these before v0.5, or leave as published known limitations?
Cite as

Forward Indicators (2026). “Researcher Restriction Index, v0.” Forward Indicators Working Paper No. I-01.

DOI: 10.xxxx/fi.wp.i.01 · pending registration

Notes

  1. Bloomberg, May 2026, on the formalization of travel restrictions across senior researchers at Alibaba (DAMO Academy and Tongyi Lab), Moonshot AI, and Zhipu AI — passport custody and pre-approval-for-travel as the principal mechanisms. The Bloomberg dispatch is the founding press citation for the index and remains [source pending] on byline and URL pin. Confirmed by Tech Times, 28 May 2026 (“China AI travel curbs reach Alibaba, DeepSeek private-sector researchers; need Beijing approval”), techtimes.com.
  2. MacroPolo's AI Talent Tracker (archived 2024) and CSET's ongoing flow research are the closest public reference programs. Neither publishes per-researcher forward predictions; neither is Brier-scored. Stratfor and Recorded Future publish episodic risk briefings on named individuals from behind subscription walls. The white space this program occupies is the intersection of named, dated, and scored.

← All programsWorking Paper No. I-01 · v0 · 30 May 2026