创新作为一种长期行为，既可在宏观层面促进社会持续进步，也可在微观层面帮 助企业获得长期竞争优势。企业要获得长期生存与蓬勃发展，进行创新投资成为企业 实现目标的重要途径。家族企业是家族单位和企业单位的结合体，其创新绩效的影响 因素不同于普通的民营企业。从企业的创新理论角度看，家族企业的创新绩效是受到 企业的创新行为的影响的，而企业的创新行为又受到家族企业的结构影响。基于此， 本文研究家族涉入与企业创新绩效的关系，探究家族涉入对企业创新绩效的影响机 制。 通过对国内外相关文献的梳理，首先，本文对家族涉入、创新绩效进行有关维度 的界定以及文献综述，为后面的研究提供理论支撑。其次，根据分析家族涉入、研发 投入和企业创新绩效之间的关系，提出本文的研究假设，为研究假设的提出打下坚实 的理论基础。再次，提出本文的研究假设，进行模型构建，并确定各个变量的指标； 然后，利用SPSS20.0软件对样本进行描述性统计、相关性分析和回归分析，验证本 文所提出的假设。最后，提出本论文的研究结论、主要创新点和对未来的展望。 通过理论分析与实证分析，本文构建了家族涉入对企业创新绩效的影响机制，即 家族涉入通过影响企业的研发投入进而影响企业创新绩效。研究表明：家族所有权涉 入与企业创新绩效之间的关系不显著，家族管理权涉入与企业创新绩效呈显著正相关 关系，代际传承涉入与企业创新绩效呈显著正相关关系；家族所有权涉入负向影响企 业研发投入，家族管理权涉入正向影响企业研发投入，代际传承涉入正向影响企业研 发投入；研发投入在家族管理权涉入和企业创新绩效之间起到中介作用，在代际传承 涉入与企业创新绩效的关系中，研发投入的中介效应显著。 关键词：家族涉入；研发投入；创新绩效 II Abstract As a long-term behavior, innovation can not only promote social continuous progress at the macro level, but also help enterprises gain long-term competitive advantages at the micro level. In order to achieve long-term survival and vigorous development, innovative investment has become an important way for enterprises to achieve their goals. Family business is a combination of family unit and enterprise unit. The influencing factors of its innovation performance are different from ordinary private enterprise. From the perspective of enterprise innovation theory, the innovation performance of family enterprises is influenced by the innovation behavior of enterprises, and is also influenced by the structure of family enterprises. Based on these, this paper research on the relationship between family involvement and enterprise innovation performance, and explores the influence mechanism of family involvement on enterprise innovation performance. Firstly, this paper defines the dimensions of family involvement and innovation performance as well as literature review, providing theoretical support for the following studies. Secondly, based on the family involvement, R&D investment and enterprise innovation performance, this paper proposes the research hypothesis, building the model and determines the indicators of each variable. Thirdly, SPSS20.0 software was used to carry out descriptive statistics, correlation analysis and regression analysis to verify the hypothesis proposed in this paper. Finally, the research conclusion is main innovation points and future prospects of this paper are presented. Through theoretical and empirical analysis, this paper constructs the influencing mechanism of family involvement on business innovation performance, in another words, family involvement affects enterprise innovation performance through the research and development investment. The research shows that there is no significant relationship between family ownership involvement and enterprise innovation performance. There is a significant positive correlation between the involvement of family management rights and enterprise innovation performance. There is a significant positive correlation between intergenerational involvement and enterprise innovation performance. Family ownership has a negative impact on enterprise R&D investment. family management rights have a positive impact on enterprise R&D investment and intergenerational inheritance has a positive impact on enterprise R&D investment. R&D investment plays an intermediary role between the involvement of family management rights and enterprise innovation performance. In the relationship between intergenerational transmission and enterprise innovation performance, the intermediary effect of R&D investment is significant. Key words: Family involvement; R&D investment; Innovation performance III 目 录 摘要 ................................................................................................................................. I Abstract ................................................................................................................................ III 第一章 绪论 .................................................................................................................... - 1 - 1.1 研究背景 ................................................................................................................... - 1 - 1.2 研究意义 ................................................................................................................... - 2 - 1.3 研究内容与方法 ....................................................................................................... - 2 - 1.3.1 研究内容 .......................................................................................................... - 2 - 1.3.2 技术路线图 ...................................................................................................... - 3 - 1.3.3 研究方法 .......................................................................................................... - 4 - 第二章 相关概念界定及研究综述 ................................................................................ - 7 - 2.1 家族涉入的内涵与界定 ........................................................................................... - 7 - 2.2 企业创新绩效的概念与测量 ................................................................................... - 9 - 2.2.1 企业创新绩效的概念 ...................................................................................... - 9 - 2.2.2 企业创新绩效的测量 ...................................................................................... - 9 - 2.3 家族涉入、研发投入与企业创新绩效的相关研究综述 ..................................... - 11 - 2.3.1 家族涉入与企业创新绩效的研究综述 ........................................................ - 11 - 2.3.2 家族涉入与企业研发投入的研究综述 ........................................................ - 12 - 2.3.3 研发投入与企业创新绩效的研究综述 ........................................................ - 13 - 2.4现有文献评述 .......................................................................................................... - 14 - 第三章 研究假设与关联模型 ...................................................................................... - 17 - 3.1 家族涉入对企业创新绩效的影响假设 ................................................................. - 17 - 3.2 家族涉入对研发投入的影响假设 ......................................................................... - 19 - 3.3 研发投入对企业创新绩效的影响假设 ................................................................. - 21 - 3.4 研发投入的中介作用 ............................................................................................. - 22 - 3.5 家族涉入、研发投入与企业创新绩效关联模型构建 ......................................... - 23 - 3.6 本章小结 ................................................................................................................. - 23 - 第四章 研究设计 .......................................................................................................... - 25 - 4.1 样本选取与数据来源 ............................................................................................. - 25 - 4.2 变量的选择及度量 ................................................................................................. - 25 - 4.2.1 自变量 ............................................................................................................ - 25 - 4.2.2 因变量 .............