【作者】 杨国忠；

【导师】 游达明；

【作者基本信息】 中南大学 ， 管理科学与工程， 2007， 博士

【摘要】 创新是企业增强竞争力与可持续发展的重要手段,也是一个国家经济增长与持续发展的动力源泉。因此,企业创新战略的正确的制定与成功的实施显得非常重要。事实证明,自主创新战略是我国企业必然选择。企业一经选择并制定自主创新战略,如何选择适合自己的创新模式以及怎样正确进行投资决策显得尤为重要。本文以企业为研究对象。在技术创新理论的基础上,将自主创新理论与高标准定位理论相结合,探讨企业自主技术创新战略的定位与创新模式的选择。运用现代投资理论,研究企业如何为自主技术创新进行科学投资决策。本文首先对技术创新以及投资决策等相关文献进行了综述。创新理论十分丰富,理论的应用非常广泛。自主创新是多种创新中难度最大的一种,是我国学者根据中国实际情况提出的一种新的创新模式。在分析传统投资决策方法的局限性与不足的基础上,对现代投资决策理论与方法的最新发展——实物期权理论与方法,进行了系统阐述。同时,对高标准定位理论与方法进行了较为详细的论述。在论述自主创新战略的内涵及基本特性、利弊以及实施条件的基础上,提出企业自主技术创新实施良性高标准定位的观点,并进一步论述了企业运用良性高标准定位理论实施自主技术创新战略的必要性和可行性、实施过程以及实施策略。系统分析了企业自主技术创新的原始创新、集成创新与引进创新等三种典型的创新模式。基于各种创新模式利弊、企业创新能力强弱和创新项目难易程度的差异,提出了企业选择创新模式时需遵循的基本原则,对企业如何正确地选择适合自己的自主技术创新模式进行了详细的论述,并探讨了企业选择集成创新模式后怎样正确选择集成创新主体。通过运用实物期权理论与方法,构建了相应的投资决策数学模型。着重分析了企业单一创新项目情况下,在原始创新、引进创新和集成创新等三种创新模式中如何正确选择最佳投资时机。由于企业资源的限制以及创新项目的多样性,对于企业多项目自主技术创新的情形也进行了必要的定量分析。根据本文提出的实证研究对象选择准则,论文选择了中国工程机械产业为研究对象,对其概况、存在的问题和自主技术创新情况等进行了分析。论文选择中国工程机械产业中国营企业代表——徐工集团和民营企业的代表——三一重工以及中小企业的代表——鞍山海虹为对象,对三者的自主技术创新模式和创新成果等内容进行详细论述。将前文构建的投资决策模型进行应用研究。本文为企业实施自主技术创新战略,特别是自主技术创新模式的选择和自主技术创新项目的投资决策提供了一种新的理论与应用框架。这对企业自主技术创新和投资项目的决策与管理具有重要的理论意义与实用价值。更多还原

【Abstract】 The innovation is the important means to strengthen competition ability and to keep on the development for enterprises, is also the motive force and source of a national economy growth with keeping on development. Therefore, it is very important to work out rightly and successfully implement the innovation strategy. The facts prove, in our country, independent innovation strategy is the certain choice of business enterprises. How to choose the innovation modes and how to make the investment decision seems be very important.This paper regards enterprises as its object of study. On the base of technology innovation theory, combining independent innovation with benchmarking theory, the paper inquires into the strategic positioning of enterprises’ independent technologic innovation and the choosing of innovation modes. Adopting modern investment theories, this paper studies how enterprises decide to invest for independent technologic innovation projects.This paper carries out the overview and summaries to the related preferences. The innovation theories are plentiful and its application is widespread. The independent innovation is the difficult mode of various creative modes, which is put forward by Chinese scholars according to Chinese actual circumstance. On the base of analyzing the shortages of the traditional investment and decision-making methods, the author elaborates real option theory and method, which is the latest development of modern investment and decision-making theories. At the same time, the benchmarking theory and method are detailed expounded.After discussing the content and basic characteristic of independent technologic innovation and studying the strategic position of enterprises’ independent technologic innovation, the paper puts forward that enterprises should implement the good benchmarking for independent technologic innovation, and discussess the necessity and possibility and the path and the tactics the business enterprises carry out the independent technologic innovation to make use of good benchmarking theory.The paper systernly analyzes the modes of enterprises’ independent technologic innovation, including the original innovation, integrative innovation and innovation based on technology-introduction. Because various modes have various advantages and disadvantages, and various enterprises’ innovation capitability are different, and the extent of diffculty of various innovation projects are different, the paper puts forward some principle for choosing innovation modes and discusses how to choose proper mode to fitted the different enterprises. The paper also studies how to choose the parties of integrative innovation after the independent innovation mode has been chosen.By making use of real option theory and method, some homologous mathematics models for investment and decision-making are built up. The paper analyzes, if only one item, how business enterprises choose the investment opportunity according to the innovation mode chosen by enterprises, which is the original innovation or integrative innovation or innovation based on technology-introduction. At the same time, because of the restriction of the resources and the variety of the innovation items, the quantitative analyses of investment and decision-making for various items are discussed.According to the codes of choosing study object for empirical study, this paper chooses Chinese constuction machinery industry as the object of study and analyzes its survey and problems and present situation of independent technologic innovation. Then, this paper chooses Xuzhou Construction Machinery Group Co., Ltd. (XCMG) and SANY Hearvy Industry (SHI) and Anshan Haihong Construction Machinery Group Co., Ltd. (AHMG), which XCMG is the representive enterprise of state-operated enterprises and SHI is the representative enterprise of private enterprises and AHMG is the representative enterprise of medium and small enterprises in Chinese constuction machinery industry, and studies their independent technologic innovation modes and achievements, and applies investment and decising-making models built up in front of the paper to practice.This paper provides a kind of new theory and application frame for enterprises to carry out the independent technologic innovation strategy and to choose the innovation mode and to make investment decision-making of the independent technologic innovation items. The results have theoretical significance and practical value for enterprises to decide and manage independent technologic innovation and the investment.更多还原