基于美国实体清单分析的中国卡脖子企业画像构建

Constructing China's Bottleneck Enterprise Profiles by Analyzing the U.S.Entity List

[研究目的]利用画像技术从多方面刻画受到美国制裁的中国企业的共性特征,以期推动美国实体清单研究从国家、产业层面向微观企业层面的深入,并为卡脖子企业可持续发展提供参考建议。[研究方法]提出卡脖子企业画像研究框架,首先从基本属性、创新竞争力、经营活跃性、受限根本原因、受限属性5个维度建立卡脖子企业画像指标体系;接下来,融合多源数据对企业画像信息进行采集;最后,采用K-Prototype算法对卡脖子企业进行聚类和画像。从2018-2021年实体清单新增中国内地企业中筛选出华为和35家上市企业为分析对象,利用上述研究框架对其画像。[研究结论]发现存在制造业骨干企业、高研发驱动企业、规模领先企业3类卡脖子企业画像。制造业骨干企业的共性特征是投入平平和产出偏低;高研发驱动企业尚未将研发投入转化为创新和市场优势;规模领先企业代表中国在相关领域的最高水平。受此启发,还应高度关注尚未列入实体清单的高风险实体,如行业标杆、卡脖子企业控制的上市公司等。

[Research purpose]The study depicts the common characteristics of Chinese enterprises sanctioned by the United States from several aspects by enterprise profiles,in order to deepen the relevant research on the Entity List of the U.S.from the nation or industry level to the enterprise level as well as put forward some reasonable suggestions for bottleneck enterprises in the sustainable development way.[Research method]A research framework is constructed from three steps.Firstly,the index system of bottleneck enterprise profile is established from five dimensions,including basic attributes,innovative competitiveness,operational activity,root cause of limitation and restricted attributes.Secondly,information of enterprise profile is collected from multiple sources.Finally,K-Prototype algorithm is used to cluster and sketch the enterprises profile.An empirical study is presented on Huawei and 35 listed companies selected from Chinese mainland enterprises sanctioned by the Entity List from 2018 to 2021.[Research conclusion]Three representative profiles of bottleneck enterprises are discovered by the research framework.They are backbone enterprise in manufacturing,R&D-driven enterprises,and leading-scale enterprise.Backbone enterprises in manufacturing have common characteristics in average input and low output.R&D-driven enterprises have not yet transformed R&D investment into innovation and market advantages.Leading-scale enterprises represent the highest level of China in related fields.Therefore,intensive attention should be paid to some high-risk entities that have not been included in the Entities List,such as industry benchmarks and listed companies controlled by the bottleneck enterprises.