【作者】 李利；

【导师】 徐向艺；

【作者基本信息】 山东大学 ， 企业管理， 2012， 博士

【摘要】 论文以专利技术成果产业化的现状分析为起点,围绕虚拟耦合平台(Virtual Coupling Platform,简称VCP)和甚短距离通讯技术(Very Short Reach,简称VSR)两个重要概念的解析,全面论述了VCP的研究背景、核心架构和建设路径,分析了VCP建设的理论价值和实践意义。论文除第1章绪论、第2章相关文献综述和第9章研究结论与展望外,核心内容可划分为三个层次：第一层次由VCP的系统构成(第3章)和VCP的基础架构(第4章)组成,主要从技术层面论述实现专利技术产业化路径创新的基本要求和基于VCP的工作环境；第二层次由VCP的角色设计(第5章)、VCP的需求调查(第6章)和VCP的满意度评价(第7章)组成,主要从社会层面论述专利技术产业化的主体行为、创新需求和满意度评价,揭示了各类角色迷失的表现及生成原因,提供了满足VCP建设的需求信息,并探讨了运用支持向量机对其工作效能进行评价的方式；第三层次是VCP推进计划(第8章),分别对VCP愿景规划、政企学研金模式、企业级Wiki和VOIP的应用、虚拟化与管理变革、VCP建设中的公众参与、VCP运行的软环境等进行了讨论。论文与以往的研究相比有四点不同：一是探讨了将VSR原理、云计算和WebServices技术应用于专利技术产业化服务领域的可行性,提出了通过VCP建设,开展面向全流程的创新需求服务,来解决专利成果转化难题的新思想；二是综合运用虚拟化背景下管理思想和管理手段创新的成果,阐述了VCP的构成要素、运行机制、工作原理、建设方式和管理模式,提供了VCP建设的系统思路；三是根据VCP的“二维”属性,设置了兼顾公益性和竞争性两重需求的评价模型,并使用支持向量机(Support Vector Machine简称SVM)这一具有国际先进水平的优秀学习和评价工具,进行了VCP的满意度评价；四是基于角色契合的判断,对专利技术产业化过程中各类行为主体的角色迷失现象进行了多视角剖析,并在此基础上,给出了关于角色契合度评价的指标体系和评价模型,揭示了虚拟耦合平台建设在推动创新组织演化方面的意义。概括论文的核心思想,主要有以下几个方面：第一,VCP系统构成。根据VCP构成要素的解析,提出了分层设计工作平台的思想；依据松耦合和紧耦合机理的差异,提出了运用拆偶技术增加系统可扩展性和灵活性的设想；依据全流程创新活动的需求,对VCP的系统进行了设置。包括：用户分级分类管理系统——旨在实现各方相互独立无干扰的参与功能；人机之间开放式交互系统——旨在扩大创新参与范围及创新活动的频度与效度；无障碍点对点对话机制——旨在推动创新资源组织和分配机制变革；任务发布型信息系统——旨在满足VCP参与者对创新需求、成果转让、合作意向搜寻、整合等方面的需求；外部耦合与内部竞价系统——旨在发现更多潜在用户、保障不同行为主体之间的有序竞争；第三方信用系统建设——旨在满足VCP所希冀的创新成果虚拟交易需求。此外,论文还就如何带动电子科技网格和电子社区建设等问题提出了若干构想。第二,VCP基础架构。基础架构是为解决Internet环境下业务集成服务需求,通过连接实现一系列特定任务的功能实体而集合的软件系统。VCP的基础架构将按展示层、逻辑层和数据层框架设计。其中,展示层承担的是界面如何组织、功能模块如何集成及操作流程如何安排等任务；逻辑层关注的是业务规则制定、业务流程实现等与业务需求相关联的工作任务；数据层履行数据存储和数据服务两种功能,承担数据存取、管理和调用等重要任务,是后台架构当中保障业务逻辑层与数据库连接的桥梁。与一般业务集成服务系统不同的是,VCP基础架构的建设过程同时还蕴含着制度变革理念、文化目标设计、运行机制改造、交互环境保障,以及新技术手段整合、网站服务器配置和网络终端链接等要求。第三,VCP角色选择。论文认为,各类行为主体的角色在专利技术产业进程中是动态的,企业、高校和科研机构、中介组织、乃至政府主管部门和若干社会组织,不仅过去、现在和未来承担的角色有异,而且在专利技术产业化前、过程中、专利技术产业化后的不同阶段,角色也在不断变化。面对VCP建设对角色定位、角色修正的迫切需求,我们需摆脱了将创新评价活动寓于专利品质甄别的局限性,从“面向效果的契合评价”和“面向角色的契合评价”两个角度,对各类行为主体的“角色表现”给予重新评价,并设计了相应的评价体系和测度模型。第四,VCP需求调查。论文指出,创新领域的不足有三：一是创新组织孤立运行和创新要素分隔,限制了重大技术联合攻关等R&D活动的开展；二是创新成果转化的保障体系不健全,资金供给渠道狭窄、信息获取成本偏高、创新服务满意度低、创新者之间交流渠道不畅；三是创新组织和创新平台建设滞后,现代信息技术对相关服务的支持作用尚未得到充分开发。论文认为,解决上述问题,应从三个方面入手：(1)打破行政隶属关系束缚,创立科技资源共享和科技组织开放机制、使有限创新资源充分释放自身能量。(2)采取“共享”、“共赢”机制,激励各类创新主体积极参与覆盖全社会各个领域的创新活动。(3)摆脱传统思维定势和工作模式束缚,更多借鉴现代信息技术提供的空间和便利,在创立基于专利技术产业化的VCP方面进行大胆尝试第五,VCP满意度评价。论文兼顾VCP公益性和竞争性二维属性评价的不同需求,建立了基于创新平台服务质量评价的SERVICE指标体系,解决了评价指标体系与支持向量机的对接问题,并借助相关对象的数据资料进行了案例检验,为实现VCP建设的目标提供了信息和指导,使关于VCP满意度评价的研究工作显现出双重优势：一是将满意度评价思想成功应用于公共服务项目评价,设置了兼顾公益性和竞争性需求的评价模型,并采用技术手段把非线性空间转换为线性空间,降低了算法复杂度；二是依据支持向量机泛化能力强、易推广等特征,发挥其处理小样本问题时具有的训练时间短,评价结果准确率高、几何解释直观便利,避免了经典学习方法中的“过学习”问题,规避了满意度评价常遇到的介于满意与不满意之间的困窘,为创新平台评价提供了高效率评价手段。第六,VCP推进计划。论文认为,愿景目标的规划和实施是VCP推进计划的核心内容；建立“政企学研金”新合作模式,是VCP推进计划的内生要素；放开对Wiki等技术手段管制,有利于为VCP提供知识共创、分享、互换的跨时空协同场所；虚拟化不仅是削减成本的技术手段,也是实现管理变革和创新机制耦合的重要路径：创造政府为主、多方参与的建设布局和有利于VCP成长的软环境,对完善VCP的社会参与机制有积极推动作用。综合上述研究成果,论文形成以下几个重要结论：结论一：VCP的研究有重要意义。VCP作为激励和促进创新活动的新服务模式和管理系统,拥有不受行政边界限制的良好创新扩展机制、突破中间控制部门掣肘的“广播——响应机制”、促进知识交流和合作链条培育的内生型创新机制、满足跨领域信息交互和创新服务需求等方面的优势,深入研究其内在生长机理,对寻求提升创新活动质量的新路径有重要意义。结论二：VCP的建设将带动创新模式变革。VCP利用VSR等先进技术手段,实现了不同信息节点的高速无障碍互联互通,创造了全新的系统架构和工作环境。依据这一架构和环境,不仅可跨越地域和部门障碍,实现研发者之间、研发者和用户之间的无障碍沟通,而且可借助虚拟化等技术手段,拓展Web的服务功能和领域,为用户提供前所未有的低成本和自由交互优势,给创新活动管理带来脱胎换骨的变革。结论三：将VCP付诸实践是可行的。关于EL—-MBA的实验表明,将Web2.0思想应用于VCP建设,对推动专利技术产业化和激励创新成果应用有积极促进作用；关于知识产权公共服务平台创建实验表明,即使一个有明显政务网站痕迹的平台,只要对其系统功能和基础架构施加相应的改造,就可在一定程度上反映创新收益分享和创新活动自组织的雏形；甚至引入一个类似Kickstarter的自由结合、互动性的网站(一方是有渴望进行创作和创造的人,另一方是愿意出资金协助创意变现的人),亦将对现行的商业模式变革产生重要影响。关于VCP的研究反映了一种新思想、新路线、新气息,但就整个研究工作的进展而言,目前尚处在探索阶段,许多理论和实践问题还有待深入研究。其中,需特别关注的有：(1)VCP建设的特殊规律。由于专利信息利用与其他商品交易信息的交流和共享具有不同属性,因而,基于专利技术产业化的VCP建设不仅需围绕相关网络和信息技术展开,而且必须突出专利技术产业化特征和需求,反映创新服务平台运行的特殊规律。此方面的研究显然还有待继续深入。(2)VCP蕴含的理论创新。如果说VCP本身是一个新的“科学共同体”,那么,这个“共同体”内部的管理及与外部的联系如何实现。本论文已阐述了虚拟化和解耦技术对企业模块化管理的新要求,提出了培育“政企学研金”新合作模式的构想,但组织创新、机制创新的研究还任务艰巨。(3)VCP的操作设计。关于VCP功能设置和基础架构的设计虽给出了VCP的核心框架,但其总体研究深度还很不够。依据现行设计可进行有限实验,但难以全面实施。完成此项工作,不仅期待新的理论突破,同时,还需将环境改造和制度创新纳入研究视野,并尽快提供更具操作性的行动方案。(4)企业层面的VCP研究。论文对企业层级的Web2.0方案、Wiki和VOIP应用前景、虚拟化与业务变革进行了阐述,并就企业的三重角色进行了专门分析,但与其他研究相比,企业层面的研究还比较薄弱。如何使企业终端与VCP顺畅衔接,保障企业参与VCP建设的积极性还需进行深入研究。(5)国内外类似标志物比较。目前,国内外通过网络渠道设立的信息平台琳琅满目,但以专利技术产业化为主题的服务平台尚无成功模式,以VSR、虚拟化、云计算等现代信息技术对服务平台进行设计的成果尚未见诸报导。但各类信息平台运行的经验,国内外却多有借鉴,它对深化本论文的研究有积极意义。鉴于上述不足,未来研究将重点开展如下工作：VCP设立的依据及建立VCP这一“科学共同体”所蕴含的理论贡献；将共享资源库嵌入VCP系统,挖掘支持VCP建设的有关模块,并推动VCP更大范围的应用；研究VCP与多类公共服务平台的对接问题,并正确估计可能遇到的挑战与困难、基于Web Service的投资回报、通过普通Web服务器的同步或异步响应支持客户请求的可能性；研究将专利等无形资产纳入VCP支持的虚拟交易领域时,如何防止网络欺诈和诚信缺失等问题。更多还原

【Abstract】 This dissertation is based on the current situation of patent technology industrialization, and centers on the concepts of Virtual Coupling Platform (VCP) and Very Short Reach (VSR). It discusses the research background, the core framework and the construction route of VCP and it also analyzes the theoretical value and practical significance of VCP.Excepting the introduction (Chapter1), the summary of literatures (Chapter2), and the research conclusion and prospect (Chapter9), there are three main sections of this dissertation:the first section contains the system components (Chapter3) and the infrastructures (Chapter4) of VCP, it mainly discusses the basic requirement on how to realize patent technology industrialization creatively from the aspects of technology and work environment based on VCP. The second part is composed by character design of VCP (Chapter5), needs survey of VCP (Chapter6) and evaluation of satisfaction of VCP (Chapter7), it mainly analyzes the behavior, creation need and evaluation of satisfaction from society view and discloses the performance and reasons of all kinds of character losing. Meanwhile, it also supplies the demand information to satisfy the construction of VCP, and discuss the estimated methods of work efficiency by using support vector machine (SVM). The third one is the impellent plan of VCP(Chapter8), it discusses the future plans of VCP, the cooperation model including government, enterprises, universities, research organizations and financial organizations(GEURF), the enterprise-level application of Wiki and VOIP, the virtualization and revolution of management, public participation of VCP construction and the operational environment of VCP etc.There are four different points compared to former research as follows:1. It discusses the feasibility of applying VSR, cloud computing and Web Services in the field of paten technology industrialization. It proposes the new solvent of patent transform problems by constructing VCP in order to supply the service of full process oriented creation demand.2. It analyzes the components, process, working principle, developing pattern and management modes of VCP, and it supplies the systematic design of VCP construction by using the achievement of management theories and methods under the virtual background comprehensively.3. According to two-dimension character of VCP, it sets a kind of evaluation model, which could balance public benefit and competitiveness. Meanwhile, it also uses support vector machine to make a survey of satisfaction evaluation of VCP, which is the international advanced tool of research and evaluation.4. It proposed the judgment based on the role fit. It mainly analyzes the maze of role phenomenon of various behavior-subjects during the process of industrialization of patented technologies. And on this basis, it establishes the evaluation index system and evaluation model of role fit, and reveals the significance in the promotion of innovation microstructure evolution by the construction of virtual coupling platform.We summarize the key viewpoints as follows:1. System components of VCP. According to the analyses of the components of VCP, it puts forward the idea of hierarchy design. According to the mechanism differences between loose coupling and tight coupling, it proposes the prediction of using even split technology to raise the expansibility and flexibility of system. According to the need of whole-process innovation, it sets the system of VCP. These functions are:the management system of user’s classification-to realize the independent participation without any interference; the opening system of interactive mode-to increase the frequentness and validity of innovation and participation scale; point to point dialogue mechanism with no obstacle-to promote the revolution of innovation resource and allocation; mission-broadcast information system-to meet the satisfaction of innovation, results transferring, cooperation search, integration and etc; the system of outside coupling and inside bid-to explore more potential users and guarantee the orderly competition between different groups; credit system construction of the third party-to meet the virtual transaction of innovation. Besides, it also proposes several predictions of how to develop electronic technology website and electronic community.2. Basic framework of VCP. In order to satisfy the demand of integrated business service on internet, the basic framework of VCP plays a function as an integration system to realize a serious of special mission by connection. The basic framework of VCP consists of presentation layer, logic layer and database layer. The presentation layer will function on how to organize the system interface, how to integrate different function models and how to arrange operation process, etc. The logic layer focus on the mission of drawing up business rules, realizing business process, etc. The database layer is the carrier of database store and service, plays the function of reading, writing, management, and saving, which is the bridge to connect logic layer and database. Different from normal integration service system, during the process of construction, the basic framework of VCP also contains the concept of institution revolution, the design of culture target, the reform of operation mechanism, and guarantee interact environment, meanwhile, it also satisfies the demand of the integration of new technology and methods, configuration of website server and the connection of web terminal.3. Character definition of VCP. This dissertation considers that the character of each group is dynamic in patent industrialization. The corporations, universities, institutions, medium organization, government and social organization, all of them play various roles in the past and future. And these roles are also changing in different phases of patent industrialization. With the urgent need of role location and modification, people should get rid of the limitation of patent products identification. To give a new comment to all kinds of behavior subjects from "effect oriented fit evaluation" and "character oriented fit evaluation", and designs corresponding evaluate system and measure mode.4. Survey of needs of VCP. According to the survey, there are three shortcomings in the innovation field as follow:a. The innovation organizations run in an isolated way and innovation elements are separated, which sets a limit to develop R&D activities in the fields of important technology union;b. The guarantee system of innovate achievements transforming is not well organized, fund supply is limited and information acquisition is relatively expensive, innovate service satisfaction is low and the channel of communication among innovators are not well;c. The construction of innovate organization and platform is stagnant, modern information technology isn’t explored very well to make a strong support for the relative service.There are three solutions to solve the above problems:a. To breaks the system of administrative management, share the technology resources and unlock the technology organization, fully use limited innovate resources;b. To utilize the mechanism of "share and win-win", encourage all the innovate subjects to participate the innovate activities from all the fields;c. To get rid of traditional thinking pattern and working mode, in terms of taking advantage of the room and convenience by modern information technology to attempt boldly on patent industrialization based VCP.5. Satisfaction evaluation of VCP. In order to meet different requirements of public benefit and competitiveness, this dissertation founds the SERVICE index system of quality evaluation based on PZB mode and solves how to connect evaluation index system and SVM. It tests the cases by using the relevant data and supplies information and guidance to achieve the aims of VCP construction.The research of satisfaction evaluation of VCP shows double superiorities.Firstly, it applies the concept of satisfaction evaluation successfully to the evaluation of public service project, structures the evaluation model to meet different requirements of public benefit and competitiveness, and switches the nonlinear space into linear space that lessens the complexity of calculation by technical methods.Secondly, according to the strong capability and popularization character of SVM, it shows advantages to solve small-sample problems, such as train-time-saving, high accuracy rate of the evaluation result and visual geometric interpretation, which overcomes the problem of "over-study" in the traditional study methods, meanwhile, also resolve embarrassment of satisfaction between Yes and No. This becomes the effective method of innovation platform evaluation.6. Boost plan of VCP. The key content of boost plan is the programing and implementation of the vision target of company; the inner element of boost plan is to establish the new cooperation pattern of government, enterprises, universities, research organizations and financial organizations (GEURF).If we cancel the limitation on technology like wiki, it will supply the cross-time and collaborative chance of knowledge-create, knowledge-share, and exchange for VCP. The virtualization is not only the technological methods to reduce cost, but also the important path to realize management revolution and coupling of innovation mechanism. To create government-leading and multi-participation layout and a comfortable soft-environment will play a positive role of perfecting social participation mechanism of VCP.Consequently, combined with the above research findings, here are three important conclusions.1. The research of VCP has an important significance. As the new service model and management system to inspire and promote innovation activities, VCP has four advantages, that is, the excellent innovation extending mechanism without limitation of administrative boundaries, the "broadcast-respond" mechanism without the limitation of middle controlling department, the inner innovation mechanism to promote knowledge exchange and cultivate cooperation chain, the demand satisfaction of interdisciplinary information exchange and innovation service. It will have a great significance for pursuing the new path of upgrading the quality of innovation activities by deepen research on inner development mechanism.2. The construction of VCP will bring the revolution of innovation model. By using advanced technologies like VSR, it will connect different information points in a very high speed without any obstacles, create an absolutely new system framework and work environment. According to this framework and environment, it not only break the obstacles between department and area, but also realize free communication between researchers-researchers and researchers-clients. Meanwhile, by using virtual technologies, it will extend the service function and fields of web, supply advantages of lowest cost and freest exchange, and bring the thorough and all-round revolution of the management of innovation activities.3. The construction and application of VCP is feasible. The EL-MBA experiment indicated that the application of Web2.0in the construction of VCP did play an active role in promoting patent technology industrialization and stimulating the application of innovation achievements. On the other hand, the experiment of intellectual property rights public service platform showed that, even if a government website has obvious traces, we could rebuild the system function and basic framework, and reflect the rudiment of innovation benefit share and self-organization in a way. More than the above, we could also import a free-incorporation and interact website like Kickstarter (one side there is one who is eager to create and innovate, on the other side there is one who would like to sponsor innovators), which will bring a very important influence to the revolution of business model today.Research of VCP shows a new concept, a new path, and a new model, however, for the whole research duty, it’s still on the exploring stage, and there are still lots of topics need to study. Among them are the ones that need to pay special attention.1. The special rules in VCP construction. Because the use of patent information has its special properties and it is different from other commodities in terms of exchanging and sharing of the information. The VCP construction of patent technology industrialization not only need to revolve around the related network and information technology, but also it must highlight its features and demand as well as reflect the special rules in running the innovative service platform. Studies of this aspect apparently need to be continued.2. Theoretical innovation in VCP. If the VCP itself is regarded as a new "scientific community", how to establish the connection between the internal management and external contacts of this "community" will need to be studied. This dissertation have elaborated on the new requirements of virtualization and decoupling technology and proposed the new concept of cooperation model of government, enterprises, universities, research organizations and financial organizations (GEURF). However, the innovation research of organization and mechanism is still a tough task.3. Operation design in VCP. With regard to design of VCP’s features setup and infrastructure, it gives the core framework. However, the deepness of the study is not enough. In the light of the current design, some limited experiments need to be conducted. Nevertheless, it is difficult to make full implementation. In order to complete this task, we look forward to new theoretical breakthrough as well as environmental reform and institutional innovation. The operational plans are need to provide as soon as possible.4. The VCP research in enterprise level. This dissertation stresses the applicable prospects of Web2.0plan, Wiki and VOIP, virtualization and business transformation in enterprise-level. Except for that, it also analyses the three characters of the enterprise. However, compared with other studies, the study in enterprise level is relatively weak. How to connect enterprise terminals with VCP and vitalize the motivation of enterprise’s participation in constructing VCP is still need to conduct an in-depth research.5. The comparison of similar markers between home and abroad. At present, the information platforms established based on the network at home and abroad are of variety. However, the service platform which subject is patent technology industrialization has not had a success formula yet. The modern information technology including VSR, virtualization, clouding computing etc, which is designed for service platform, have not been reported. While the experience of various types of information platforms that can learn from home and abroad has a positive significance in deepening the research of the dissertation.In view of the above limitations, the future research will focus on the following: First, it needs to find out the basis for establishing VCP and its theoretical contributions of "scientific community". Second, the way that embedded the shared libraries into VCP system will detect the relevant modules that give supports in constructing VCP and promote its wider range of application. Third, it needs to study the docking problem between VCP and other current public service platforms and evaluate the potential challenges and difficulties. In addition, the investment return that based on the Web Service and the possibility that by synchronous or asynchronous Web server to support the requests of the users are still need to be taken into research. The last but not the least part is how to prevent online fraud and lack of credibility when it brings the intangible assets into VCP-supported virtual transaction space.更多还原