基于专利分类号和文本相似度的双元创新识别及测度方法研究

Research on Identification and Measurement Methods of Ambidextrous Innovation Based on Patent Classification Codes and Text Similarity

摘要:

学术界关于如何准确、有效地识别与测度双元创新尚未达成一致定论。通过明晰双元创新概念的内涵与外延，认为双元创新理论关注的是企业相对自身既有技术能力的创新行为，这是进行识别与测度方法设计的逻辑起点，因此在传统专利方法的基础上，引入技术内容相关性维度，对探索式创新进行解构，构建识别与测度企业双元创新的新方法。利用中国人工智能领域188家上市企业的98 534件发明专利，借助Python编程工具，以及余弦相似度算法，对设计的识别与测度方法进行实现与检验。结果显示：大部分人工智能企业仍以利用式创新为主，在探索式创新中也更倾向于开展探索性较弱的创新活动；人工智能技术作为渗透能力较强的通用性技术，大幅拓展企业探索式创新空间；双元创新是一个相对概念，利用式创新和探索式创新间的均衡程度决定测度得分的高低。基于此，从政府、企业、社会机构3个方面提出管理启示。

Abstract:

The accurate identification and measurement of ambidextrous innovation (exploitative innovation and exploratory innovation) remain unresolved in academic research. This paper clarifies the connotation and extension of the ambidextrous innovation concept, emphasizing that ambidextrous innovation focuses on enterprises' innovative behaviors relative to their existing technological capabilities. Building on traditional patent analysis methods, we introduce the dimension of technical content relevance to deconstruct exploratory innovation, thereby constructing a new method for identifying and measuring ambidextrous innovation in enterprises. Using 98 534 invention patent applications from 188 listed companies in the field of artificial intelligence (AI) in China, we implemented and tested the proposed method with the aid of Python programming tools and cosine similarity algorithms. The empirical results reveal that: (1)Exploitative innovation dominates. Most AI enterprises still primarily rely on exploitative innovation, with exploratory innovation accounting for only 14.10% of total patents. Among exploratory innovations, Type Ⅲ (the most exploratory) has the lowest proportion (2.12%), indicating that enterprises are more inclined to engage in less risky and less exploratory innovation activities. (2)AI technology broadens the horizons of exploratory innovation. As a universal technology with strong penetration capabilities, AI significantly broadens the exploratory innovation space for enterprises, empowering them to pursue new technological trajectories. (3)Ambidextrous innovation is a relative concept. The balance between exploitative and exploratory innovation determines the measurement scores, highlighting the importance of maintaining a strategic equilibrium between the two types of innovation. Based on these findings, this paper proposes management implications from the perspectives of government, enterprises, and social institutions. For policymakers, it is crucial to consider the dual dimensions of innovation when designing support policies. Enterprises should strategically balance exploitative and exploratory innovation to ensure both short-term profitability and long-term sustainability. Social institutions should pay more attention to enterprises' ambidextrous innovation capabilities when evaluating their innovation performance.