城市企业创新发展模式与瓶颈分析——基于谱聚类与随机森林模型的实证研究  

Analysis of Urban Innovation Development Patterns and Bottlenecks:Based on Spectral Clustering and Random Forest

作　　者：吴翌琳 张旻[2] 于鸿君 Wu Yilin;Zhang Min;Yu Hongjun

机构地区：[1]中国人民大学应用统计科学研究中心 [2]中国人民大学统计学院 [3]北京大学光华管理学院

出　　处：《统计研究》2023年第9期149-160,共12页Statistical Research

基　　金：北京市习近平新时代中国特色社会主义思想研究中心重大项目“新时代创新型国家建设统计监测研究”(22LLYJA022)。

摘　　要：城市创新是创新驱动发展的空间支点,是构建新发展格局的重要支撑。作为城市创新的主体,企业创新活动分为技术创新和非技术创新,由此形成城市创新发展道路的异质性。本文基于2014年与2020年全国企业创新调查的地级市数据,利用谱聚类从创新活跃度与创新结构两大维度归纳城市企业创新发展模式,并利用随机森林与SHAP算法识别各模式的发展瓶颈。研究表明:城市企业创新发展模式可归纳为活跃度高-技术创新主导、活跃度高-非技术创新主导、活跃度低-技术创新主导、活跃度低-非技术创新主导4类;2014—2020年多数城市实现企业创新发展模式的转型升级,且地区间发展不平衡;技术创新主导的城市对人才和技术信息的需求强烈,非技术创新主导的城市往往缺乏资金和合作伙伴,活跃度高的城市亟需提高知识产权保护力度,活跃度低的城市多缺乏创新的内生动力。本文从实证层面充实了区域创新与非技术创新的理论,提出把握城市企业创新发展模式的差异性、健全知识产权保护政策、完善人才培养机制等政策建议。Urban innovation is the spatial fulcrum of innovation-driven development and an important support for building a new development pattern.As the main body of urban innovation,the innovation activities of enterprises are divided into technological innovation and non-technological innovation,which results in the heterogeneity of urban innovation development paths.Based on the data from Chinese enterprise innovation survey in 2014 and 2020,we use spectral clustering to classify the innovation development patterns of urban enterprises in terms of innovation activity and innovation structure.Moreover,random forest and SHAP algorithm are used to identify the bottleneck of each pattern.The results show that the innovation development patterns of urban enterprises can be grouped into four categories:high activity&technological innovation-led,high activity&non-technological innovation-led,low activity&technological innovation-led,and low activity&non-technological innovation-led.Innovation patterns have been upgraded in most cities from 2014 to 2020,accompanied by uneven development between regions.Enterprises in technological innovation-led cities have a strong demand for talents and technological information,while enterprises in non-technological innovation-led cities have a strong demand for funding and partners.It is necessary for cities with high levels of activity to improve the protection of intellectual property rights,while enterprises in cities with low levels of activity are lacking the endogenous motivation to innovate.This paper enriches the theory of regional innovation and non-technological innovation at the empirical level and puts forward policy recommendations such as grasping the differences in innovation development patterns of urban enterprises,improving intellectual property protection policies,and perfecting talent cultivation mechanisms.

关 键 词：企业创新发展模式 技术创新 非技术创新 区域创新 区域创新模式 

分 类 号：F293[经济管理—国民经济]