【作者】 孔祥纬；

【导师】 张明玉；

【作者基本信息】 北京交通大学 ， 企业管理， 2009， 博士

【摘要】 随着科学技术的日新月异和经济全球化步伐的加快,企业创新能力成为发展中国家调整经济结构和提高国家竞争力的中心环节,日益受到发展中国家的重视。当前,我国正处在全面建设小康社会、走新型工业化道路、建立创新型国家的关键时期,加快企业的创新步伐,提升企业的创新能力已经引起政府、产业界和理论界的高度重视。对企业创新能力的测度与评价是人们认识与把握这种创造性活动的本质与规律、系统总结创新经验的主要手段,对于正确制订创新政策、提高企业创新水平、不断提高企业核心能力具有重要意义。本文在介绍了国内外学者关于创新能力研究成果和我国家电行业的发展现状后,在大量实地调研和访谈并借鉴国内外学者关于创新能力研究成果的基础上,围绕客观、公正对家电企业的创新能力进行测度和评价,以促进家电企业创新能力的提升这一主线。根据我国家行业的实际情况,从系统观点出发,运用企业能力、技术创新、管理创新、文化创新、系统工程和运筹学最优化等方面的理论,从创新硬实力、创新软实力和创新执行力的角度,构建了家电企业的创新能力评价模型。以家电企业的实际经营数据为基础,采用无监督支持向量机构建算法对指标进行特征选择,建立了客观的评价指标体系并赋予指标权重。本文的研究内容和创新点包括:1、本文总结了企业创新能力的定义:企业创新能力是由观念创新引导的,技术创新、管理创新、市场创新和文化创新组成的。不同种类的创新都是有层次的,各层次的具体创新对企业的功能和作用是不同的,高层次的创新给企业带来的效益或领先优势要远远大于低层次的创新。根据经验的总结,本文得出技术创新中的专利和国际标准,以及文化创新中的创新文化处于最高层,它们所形成的创新壁垒或领先年限最大。2、本文在借鉴前人对创新能力的研究成果的基础上,通过企业创新能力的性质、组成、层次和作用揭示了企业创新能力的本质和内涵。首次定性和定量总结了各种创新所形成的创新壁垒,即创新所取得的领先优势,为企业创新能力的评价打下了坚实的基础。对现有的创新能力评价指标体系和评价方法进行了分析和比较。3、本文对现行主要创新能力评价方法进行了研究比较,分析了各种方法的特点及用于评价企业创新能力的局限性。同时,对前人所建立的创新能力评价指标体系进行了比较研究,分析了各种评价指标体系的优点和局限性,为本文评价模型的建立和指标体系方法的选择打下了坚实的基础。4、本文系统回顾了我国家电行业的发展历史,深入分析了我国家电行业的现状和行业特征,总结了我国家电行业特有的创新路径,指出我国家电企业创新能力薄弱的原因。根据我国家电企业的特征,创新能力的功能和作用,首次建立了“创新投入层”、“企业层”和“创新产出层”三层创新能力评价模型,该模型通过“创新硬实力”、“创新软实力”和“创新执行力”综合评价家电企业的创新能力。该评价模型是企业创新能力评价的一次创新,对同类评价有较大的借鉴意义。5、为了消除创新能力评价中人为因素的干扰,本文首次将无监督支持向量机引入创新能力评价这一研究领域。在借鉴前人研究成果的基础上,本文对无监督支持向量机进行算法改进,建立了FS-primal-SVM模型。该模型直接针对家电企业的实际经营数据进行评价,无需像传统评价方法那样建立评判集,因而最大限度地消除了人为因素的干扰。运用该模型对家电企业的实际经营数据进行特征选择,去除数据中多余的指标,同时给选中的指标赋权重,从而最终计算出每个企业的创新能力指数。6、在实际中,任何数据的获得都可能带有试验或者统计误差,因此对扰动数据的处理是一个重要问题。本文针对家电企业的实际经营数据中可能存在的误差,以无监督标准支持向量分类机为基础,创建了数据在多面体扰动的情况下鲁棒无监督标准支持向量分类机,建立了FS-Robust-primal-SVM模型,并由此模型对数据进行处理得到稳健的家电企业创新能力的评价指标体系和综合评价函数。更多还原

【Abstract】 With the continuous development of science and technology and the acceleration of the world economic globalization, the innovation capability of enterprise receive great attention in developing country and gradually becomes the central link in the adjustment of economic structure and the elevation of country competence. Nowadays, our country just stay in the crucial period of comprehensive constructing well-off society, taking the new-type industrialized road and establishing the innovative country, therefore, accelerating the innovation step of enterprise, advancing innovation capacity of enterprise have absorbed high attention in government, industry and theory fields. The measurement and evaluation of enterprise innovation capability is the main measure for people to understand and grasp the essence and rule of thess innovation activities, and to systemically summarize innovation experience. It provides important significance in drawing innovation policy, elevating enterprise innovation level, and continuously advancing enterprise competence.Based on summarizing study achievement of related Innovation capability and introducing the develop situation of our household appliances industry, through plentiful survey on the spot and interview, this paper encloses the measurement and evaluation of household appliances enterprise innovation capability on object and justice in order to advance the innovation capability in household appliances enterprises. Following the fact of our household appliances industry, setting out with system view, using the theory of enterprise ability, technology innovation, management innovation, culture innovation, system engineering and optimization, establish the evaluation system model of household appliances enterprise innovation capability with hard strength, soft strength and executive strength. Based on the practice business data of house electronic appliance industry, this paper applies unsupervised support vector machines for feature selection, so as to construct objective index system with weights and evaluation function.The main study content and innovative points of the dissertation are as follows:1、Summarizing the concept of enterprise innovation capability: guided by concept innovation, enterprise innovation capability consist with technology innovation, management innovation, marketing innovation and culture innovation. Each innovation have it’s arrangement, and each layer have different function and effect to enterprise. High layer innovation provide far more benefits and advantages than low layer. Based on the experience, this dissertation educe that patent and national standard in technology innovation, innovation culture present the tiptop, which providing the highest innovation barrier and longest leading period.2、Based on summarizing previous study achievement of related Innovation capability, this paper disclose the essence and intension of innovation capability through analyzing it’s character, constitution, arrangement and function. First qualitatively andquantitatively summarize the innovation barrier——pioneering advantages, induced byall kinds of innovation. This provides stability groundwork for evaluation enterprise innovation capability. Then analyze and compare the existing evaluation indexes and evaluation measures of innovation capability.3、Through comparative research, this paper analyzes the character and limitation of all kinds of existing evaluation measure about innovation capability. Meanwhile, analyzes the virtue and limitation about evaluation index of innovation capability funded by previous scholar. This affords massiness base on establishing evaluation model and choosing evaluation measure.4、This paper systematically reviews development history of our household appliances industry, thoroughly analyzes actuality and character, summarizes innovation paths, and indicates the reason of unsubstantial innovation capability. Accounting the character of our household appliances industry and function of innovation capability, this paper firstly establish innovation capability model based on "innovation investment layer", "enterprise layer" and "innovation outcome layer", through "innovation hard ability", "innovation soft ability" and "innovation executive ability" to comprehensively evaluate. This evaluation model is an innovation on innovation capability evaluation,providing some reference meaning on other evaluation fields.5、In order to eliminate the artificial interference on evaluation innovationcapability, this paper first inducts unsupervised support vector machines into this study field. Based on the previous study achievement, this paper ameliorates arithmetic, and funds FS-primal-SVM model. This model evaluates directly on the practice business data of house electronic appliance enterprise, therefore eliminates the artificial interference farthest since it need no judgement sets like tradition evaluation measure. Apply this model for feature selection, wipe off redundant targets, endow target weights, and figure out innovation capability exponent of each enterprise. 6、In fact, every data may take statistical discrepancy or trail error, therefore it’s a main matter to treat noisy data. Focusing on the probability discrepancy of practice business data, based on unsupervised support vector machines, this paper establish robust unsupervised support vector machines under polyhedral disturbance, the FS-Robust-primal-SVM model. Through this model to process data, acquiredovish innovation evaluation index and comprehensive evaluation function.更多还原