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1、南京航空航天大学硕士学位论文 i摘 要 当今时代，科学技术已成为经济社会发展的决定性力量，综合国力竞争的核心就是自主创新能力的竞争。把自主创新作为国民经济发展的基点，是增强我国企业乃至国家核心竞争力的必由之路。提升国家的自主创新能力，发挥高科技成果对经济发展的推动作用，必须通过高科技的产业化来实现。高科技企业作为创新成果的生产和商品化应用主体， 自主创新是其本质属性和内在要求，是维持其生存和不断发展的唯一途径，这就决定了高科技企业必然成为构建创新型国家进程中的中坚力量。提升我国高科技企业的自主创新能力，已经成为我国经济发展的迫切要求。 高科技企业自主创新活动的融资特点， 决定了仅靠传统融资手段
2、是不可能满足其资金需求的，必须挖掘新的融资途径来满足创新活动对资金的大量需求。风险投资作为一种创新型融资方式，可以弥补传统融资的巨大缺口，承担起推动自主创新、孵化高科技企业的重任。从实践看，风险投资在促进高科技企业自主创新、进而带动高科技产业发展上发挥了重要作用。研究高科技企业自主创新与风险投资的作用机制，对于推动我国高科技企业自主创新活动的顺利进行、提高我国自主创新能力具有重要意义。 本文首先在自主创新理论和自组织理论的基础上， 对高科技企业自主创新系统的自组织特性进行分析,并构建了高科技企业自组织创新系统模型；其次，研究了高科技企业自主创新的融资障碍， 并对融资障碍的形成原因进行了深入地分
3、析；同时，分析了风险投资对高科技企业自主创新项目的投资倾向性，在此基础上，分析了高科技企业自主创新与风险投资实现自组织的内在机理；然后，分别从协同和竞争两个方面研究了二者协同进化的动力学机制问题， 并指出了对二者自组织过程进行有效控制的一系列契约安排；接着，选择金蝶公司成功引入风险投资这一成功案例，分析了金蝶公司与风险投资机构 IDG 的自组织过程以及双方的协同竞争机制；最后，指出政府应该遵循自组织规律，通过向创新系统输入宏观政策变量推动自主创新系统的演化，并提出了具体的政策建议。 关键词：关键词：自主创新，风险投资，自组织，协同竞争 基于自组织的高科技企业自主创新与风险投资机制研究 ii A
4、bstract In current era, science and technology has already become decisive strength of development of economy and society. The competition of comprehensive national strength is the competition of self-innovation ability .Regarding self-innovation as the basement of national economic development is t
5、he only way to strength the competition of enterprises and our country. It must be realized by industrialization of high-tech to promote the self-innovation ability of our country and exert the impetus of high-tech results to economic development. The high-tech enterprise is the subject of productio
6、n and commoditization of innovation. Self-innovation is its essential attribute and inherent desire. It also is the only way to keep high-tech enterprise surviving and developing. These determine that high-tech enterprise must be the core force in construction of innovative nation. Promoting the sel
7、f-innovation ability of high-tech enterprise has already become the urgent requirement for economic development of our country. The financing characteristic of the innovative activity of high-tech enterprise determines that it is impossible to meet the fund demand only by traditional financing means
8、. It must find new financing way to meet the abundant demand of innovative activity. As an innovative financing way, venture capital can remedy the enormous gap of traditional financing means and bear the important task of promoting innovation and hatching high-tech enterprise. Venture capital has p
9、layed an important role in promoting self-innovation of high-tech enterprise and developing high-tech industry. Researching the mechanism of self-innovation of high-tech enterprise and venture capital is significant for promoting self-innovative activity of high-tech enterprise and improving the sel
10、f-innovative ability of our country. On the foundation of the theory of self-innovation and self-organization , this text analyzes the self-organizative characteristics of high-tech enterprises innovative system and constructs the self-organizing innovative system model of high-tech enterprise first
11、ly; Secondly, this text studies the financing obstacle of self-innovation of high-tech enterprise and analyzes the reasons of formatting financial obstacle deeply. At the same time, this text analyses the investment tendentiousness of venture capital to innovative activity of high-tech enterprise. O
12、n this basis, the text analyzes the self-organizative mechanism of high-tech enterprise and venture capital; Then, it studies the coevolutionary dynamics mechanism of high-tech enterprise and 南京航空航天大学硕士学位论文 iiiventure capital from the two areas of coordination and competition. It points out a series
13、 of contractual arrangements to control the self-organization process effectively. Then, this text analyzes the self-organization process and the mechanism of coordination and competition of Kingdee enterprise and venture capital institution IDG from analyzing the case of Kingdee and venture capital
14、 joined successfully. Finally, this text points out that government should follow the law of self-organization and inputs the macroeconomic policies variables to promote the evolution of self-innovation system. It also proposes specific policy recommenda- tions. Key words: self-innovation; venture c
15、apital; self-organization; coordination and competition 基于自组织的高科技企业自主创新与风险投资机制研究 vi 图表清单 图清单： 图 2.1 高科技企业自组织创新系统模型. 22 图 3.1 风险投资运作流程图. 28 图 3.2 高科技企业自主创新路径. 29 图 3.3 技术创新风险示意图. 30 图 3.4 自主创新与风险投资组织过程. 37 图 3.5 自主创新与风险投资的自组织机理模型. 37 图 4.1 自主创新系统自组织进化过程. 42 图 5.1 金蝶公司与 IDG 的自组织机理. 50 图 5.2 金蝶公司自主创新系统自组织进化. 53 表清单： 表 3.1 2002 年四川省 3 个城市中小企业的资金来源结构. 32 表 3.2 2001-2004 年加拿大风险投
