在国家大力倡导“创新创业创造”的浓厚氛围下，企业创新意识不断提升， 日益成为创新活动的推动者、践行者。尤其对高技术民营企业而言，创新更是成 为其持续发展、转型升级、应对复杂变 化的重要驱动力，因而有关企业创新的问 题得到了学者们的大量研究。但是，基于前人的研究成果我们发现：首先，有关 创新的相关研究聚焦于企业创新投入或创新产出某一单一领域，忽视了高效的创 新投入产出转化关系 对企业不竭发展的重要作用；此外，有关创新投入产出转化 过程中何种因素会进一步形成深刻作用的研究尚有不足。因此，为了深化企业创 新决策与能力的研究，亟需对企业创新投入产出转化过程的相关影响因素及其不 同 影响机理有一个透彻的理解。 企业“家族化”作为一种重要且特别的组织形式，对我国企业创新发展有着 深远的影响，其组织结构、治理能力和创新行为均表现出较大的异质性；同时， 以 CEO 为代表的高管人员作为技术 创新政策的制定者和执行者，其个人特征显 著影响了企业的管理模式和创新水平。因此，本文聚焦于不同层面的情境因素对 企业创新投入产出转化过程的作用机制，通过对比研究进一步解释不同情境因素 对企业创新投入产 出关系所形成的促进作用或抑制作用，以期更好地指导企业实 践。 通过对 115 家中国高技术民营企业 2013-2016 年的样本数据进行实证分析， 本文进一步得到了以下研究结论：（1）创新投入对创新产出、激进式创新产 出和 渐进式创新产出都具有显著的正向影响；（2）家族化程度较高时，企业的创新投 入与创新产出的转化率较低，创新投入与激进式创新产出的转化率也较低，而家 族化程度对企业创新投入与渐进式创新产出的调节作用 并不显著；（3）CEO 预 期任期对企业创新投入与创新产出、激进式创新产出、渐进式创新产出均具有正 向的调节作用。基于上述分析与结果，我们总结了以下指导企业实践的相关建议： 第一，积极吸纳经验丰富的管理人 才，提升合理配置有限创新资源的能力。第二， 改善家族企业治理结构，在家族控制的基础上降低家族化程度，适当“放权”， 寻求内外部人力资本的平衡与协调。第三，完善公司考评制度，在充分考察高管 背景特征的基 础上，建立合理的聘任考评制度以及创新绩效评估指标。 关键词：CEO 预期任期；家族化程度；创新投入产出II Abstract Under the strong atmosphere of the country's vigorous promotion of “innovation 、 entrepreneurship and creation”, the company's awareness of innovation has been continuously improved, and it has increasingly become a promoter and practitioner of innovation activities. Especially for high-tech private enterprises, innovation is an important driving force for its sustainable development, transformation and upgrading, and dealing with complex changes. Therefore, the problem of enterprise innovation has been extensively studied by scholars. However, based on the previous research results, we find that relevant research on innovation focuses on a single field of enterprise innovation inputs or outputs, ignoring the important role of efficient innovation input- output transformation relationship for the inexhaustible development of enterprises. In addition, there are still insufficient studies on which factors in the process of innovation input-output transformation will further form a profound role. Therefore, in order to deepen the research of enterprise innovation decision-making and ability, it is urgent to have a thorough understanding of the relevant influencing factors and different influence mechanisms of enterprise innovation input-output transformation process. As an important and special organizational form, the family of enterprises has far-reaching influence on the innovation and development of Chinese enterprises. Its organizational structure, governance ability and innovative behavior all show greater heterogeneity; at the same time, as the formulator and executor of technological innovation policy, the personal characteristics of senior executives represented by CEO have a significant impact on the management model and innovation level of enterprises. Therefore, this paper focuses on the effect mechanism of different contextual factors on the transformation process of enterprise innovation input and output, and further explains the promotion or inhibition of different contextual factors on the transfor- mation relationship of enterprise input and output through comparative research, in order to better guide enterprise practice. Through empirical analysis of the sample data of 115 Chinese high-tech private enterprises from 2013 to 2016, the paper further obtains the following research conclusions: (1) there is a significant positive impact between innovation input and innovation output、radical innovation output、incremental innovation output; (2) higher degree of family will make the transformation efficiency of innovation input-output is lower, the transformation efficiency of innovation input and radical innovation outputIII is also lower, and the degree of family is not significant for the moderating effect of enterprise innovation input and incremental innovation output. (3) CEO's expected tenure has a positive moderating effect on enterprise innovation input and innovation output, radical innovation output, and incremental innovation output. Based on the above analysis and results, we summarize the following recommendations to guide business practices: First, actively absorb experienced management talents and enhance the ability to rationally allocate limited innovation resources. Second, improve the family business governance structure, reduce the degree of family on the basis of family control, appropriately “decentralization”, and seek the balance and coordination of internal and external human capital. Third, improve the company's evaluation system, and establish a reasonable employment evaluation system and innovation performance evaluation indicators on the basis of fully examining the background characteristics of senior management. Key Words: CEO Expected Tenure; Family Degree; Innovation Input and OutputIV 目 录 第 1 章 绪论.........................................................1 1.1 研究背景及意义................................................1 1.1.1 研究背景..................................................1 1.1.2 研究意义..................................................2 1.2 文献综 述......................................................3 1.2.1 企业创新投入与产出的相关研究..............................3 1.2.2 家族企业创新的相关研究....................................4 1.2.3 管理者任期与企业创新的相关研究............................5 1.2.4 文献述评..................................................7 1.3 研究内容与方法................................................8 1.3.1 研究内容..................................................8 1.3.2 研究方法..................................................8 1.4 论文研究框 架..................................................9 1.5 论文创新点....................................................9 1.6 本章小结.....................................................10 第 2 章 相关概念与理论基础..........................................11 2.1 相关概念界定.................................................11 2.1.1 CEO 及其预期任期概念界定 .................................11 2.1.2 家族化程度概念界定.......................................11 2.1.3 企业创新概念界定.........................................12 2.2 相关理论基 础.................................................13 2.2.1 职业生涯关注理论.........................................13 2.2.2 社会情感财富理论.........................................14 2.2.3 资源 配置理论.............................................15 第 3 章 研究假设与模型..............................................16 3.1 研究假设.....................................................16 3.1.1 企业创新投入与创新产出...................................16 3.1.2 家族化程度的调节作用.....................................17 3.1.3 CEO 预期任期的调节作用 ...................................19 3.2 研究模型.....................................................21V 3.3 本章小结.....................................................21 第 4 章 研究设 计....................................................23 4.1 样本选择和数据来源..................