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家族企业创新研发的影响因素及能力测评研究

发布时间:2019-06-14 20:47
【摘要】:家族企业是中国经济中的一支重要力量,而创新已成为家族企业乃至整个国家转型升级的必由之路。当前,我国正处于转型升级的关键期,家族企业作为中国经济的重要支撑力量,努力实现自身创新发展、推动国家转型升级,重任在肩。在对国内外文献大量细致的研究基础上,论文重点就家族企业创新研发影响因素及能力测评展开研究。首先,对家族企业创新研发影响因素进行研究,从家族企业治理结构、社会情感财富(SEW)意图角度探究主客观因素对家族企业创新研发的影响,并在两大影响因素基础上建立创新研发策略框架,从风险取向、创新目标、知识多样化角度进一步探讨创新策略对家族企业创新研发的影响机制。同时,论文创新性的将测评研究引入家族企业创新研发领域,尝试性的探讨家族企业创新研发能力的量化测评。本文提出以下4个问题:(1)在代理理论和管家理论框架下,从家族治理结构和所有制性质出发研究企业内部客观因素对家族企业创新研发的影响;(2)在社会情感财富框架下,对家族非经济目标进行异质性研究,并探讨其对家族企业创新研发的影响;(3)将家族治理结构与社会情感财富(SEW)意愿相结合,通过多维配置建立家族企业创新研发策略框架,进一步阐明家族企业创新策略和及影响机理,并综合各影响因素进行案例分析,具体化和丰富化相关理论研究;(4)将创新研发各影响因素及文献中已验证的相关创新测评指标相结合,以创新研发各影响因素体现家族企业特质性,以文献中已验证的相关指标体现创新能力测评的普适性,尝试性的创建家族企业创新研发能力测评指标并进行量化测评,以期在家族企业创新研发能力的测评领域有所突破。经过论证,论文得出以下结论:(1)家族企业创新研发与治理结构关系研究结论。根据家族涉入异质性,从家族股权涉入、董事会涉入、管理涉入三个方面进行实证研究,并引入企业所有制性质验证其调节作用。研究显示,不同家族治理结构对创新研发强度具有不同影响。家族股权涉入程度对创新研发有消极影响,家族董事会涉入程度则对创新研发具有积极影响,而家族管理涉入对创新研发的消极影响虽不显著,但家族成员进入管理层往往会出现任人唯亲和裙带关系现象,对创新研发起阻碍作用,职业经理人模式能一定程度上缓解此类现象。同时,企业所有制性质对家族涉入与家族企业创新研发关系具有调节作用;(2)家族企业创新研发与社会情感财富(SEW)关系研究结论。家族社会情感财富(SEW)具有异质性,代表不同社会情感财富(SEW)意愿的家族控制意愿和家族传承意愿对企业创新研发强度具有不同影响,家族控制意愿与企业创新研发强度呈负相关关系,而家族传承意愿对企业创新研发强度有积极影响。同时,雄厚的社会资本和良好的创新环境则为家族企业提供必要的政策支持和完善的体系保障,有效调节社会情感财富(sew)意愿与家族企业创新研发的关系;(3)家族企业创新策略框架及综合影响因素研究结论。按治理结构和社会情感财富两大维度,建立创新策略框架并将家族企业进行分类,持有不同创新策略的四类家族企业各具特点,且受各影响因素影响,不同类型家族企业的创新研发强度有所差异。有限创新型家族企业具有高程度家族涉入和约束型社会情感财富(sew)意愿,家族控制意愿强烈且规避创新所带来的短期家族社会情感财富(sew)损失,对创新研发持消极抑制态度,其创新研发强度在四类企业中最低;意图创新型和潜在创新型家族企业持有适度创新策略,具有适度创新研发强度;积极创新型家族企业关注长期创新效益,创新风险容忍度高,倾向于实行创新策略,创新研发强度最高。综合各影响因素,比亚迪的案例分析从实践角度证实前文分析的主客观影响因素对家族企业创新研发具有重要影响;(4)将前文验证的创新研发各影响因素及文献中已验证的相关创新测评指标相结合,构建家族企业创新研发能力测评指标。以创新研发各影响因素体现家族企业特质性,以文献中已验证的相关指标体现创新能力测评的普适性,兼顾全面性和重要性原则,系统性的整合和构建家族企业创新研发能力测评指标,建立一套由3个层次5个方面23个变量组成的家族企业创新研发测评指标,从创新研发投入能力、产出能力、企业家特质和企业创新倾向、企业内部环境及企业外部环境对家族企业创新研发综合能力进行测评。同时甄选模糊层次主成分分析模型,选取10家家族企业作为样本进行数据验证。从测评结果来看,10家家族企业创新研发能力的模糊等级评价分明,排序性强,能清晰的反映家族企业创新研发综合能力,证明家族企业创新研发能力测评指标的构建及模型选取是成功的。回顾研究内容,论文经过理论推演、实证分析、案例分析和测评指标创建,对理论体系进行了突破和创新。研究内容方面,进一步完善了家族企业创新研发影响因素体系的研究;研究角度方面,创新性的将能力测评纳入家族企业创新研发领域。同时,实证研究的数据覆盖方面也做了新的尝试。首先,论文系统性的就家族企业创新研发影响因素进行综合性研究,对理论体系进行了补充和完善;其次,论文尝试性的引入企业所有制性质变量,并在社会情感财富(sew)意愿的异质性分析及变量赋值上有所创新;再次,建立的家族企业创新研发策略框架,超越了当前家族企业的单维异质性研究,通过多维配置进一步阐明家族企业创新策略及其影响机理;最后,创建家族企业创新研发能力测评指标,实现了对家族企业创新研发综合能力的量化测评,进一步丰富了家族企业创新的理论研究。论文的研究有利于认清推动家族企业创新研发的关键节点,完善家族治理结构、培养企业家精神、优化创新决策体制并进一步完善创新环境建设。同时,创新测评指标的构建对企业自评、政府部门测评某区域、某部门、某企业创新水平推行创新激励政策提供重要量化支持,为家族企业代际长青、建立长效发展机制、推动创新战略发展并最终完成转型升级做出贡献。
[Abstract]:Family business is an important force in the Chinese economy, and innovation has become the only way for family business and the whole country to transform and upgrade. At present, our country is in the key period of the transformation and upgrading, and the family business, as the important supporting force of the Chinese economy, tries to make efforts to develop its own innovation, to promote the transformation and upgrade of the state, and to be on the shoulder again. On the basis of a lot of detailed research on the domestic and foreign literature, the thesis focuses on the research of the influence factors and the ability assessment of the family business innovation R & D. First of all, the research on the influencing factors of the innovation and development of the family business is to explore the influence of the subjective and objective factors on the innovation and development of the family business from the perspective of the corporate governance structure and the social emotional wealth (SEW), and to establish an innovative R & D policy framework based on the two main factors. From the point of risk orientation, innovation goal and knowledge diversification, this paper further discusses the influence mechanism of innovation strategy on the innovation and development of family business. At the same time, the paper introduces the evaluation and research into the field of the innovation and development of the family business, and tries to explore the quantitative evaluation of the innovation and development ability of the family business. In this paper, the following four questions are put forward: (1) In the framework of the theory of agency and the theory of the butler, the influence of the internal objective factors on the innovation and development of the family business is studied from the family governance structure and the property of ownership; and (2) under the framework of social emotional wealth, This paper studies the heterogeneity of the family's non-economic targets and discusses its influence on the innovation and development of the family business. (3) The family governance structure and the social emotional wealth (SEW) will be combined, and the innovation and development strategy framework of the family business is established through the multi-dimensional configuration. The innovation strategy and the influence mechanism of the family business are further clarified, and the case analysis, concretization and richness related theory research are carried out on the basis of all the influencing factors; and (4) the influence factors of the innovation and R & D and the relevant innovative evaluation indexes which have been verified in the literature are combined, In this paper, the characteristics of the family business are reflected in the innovation and development of the influencing factors, and the relevant indicators that have been verified in the literature reflect the universality of the evaluation of the innovation ability, and the evaluation index of the innovation and development ability of the family business is tested and the quantitative evaluation is carried out. So as to make a breakthrough in the field of the evaluation of the innovation and development capability of the family business. After the demonstration, the paper draws the following conclusions: (1) the research conclusion of the relationship between the innovation and development of the family business and the governance structure. According to the heterogeneity of the family, the empirical study is carried out from the involvement of the family stock, the involvement of the board of directors and the management involvement, and the regulation effect of the ownership of the enterprise is introduced. The research shows that different family governance structures have different effects on the innovation R & D strength. The extent of the family equity involvement has a negative impact on the innovation R & D, and the degree of involvement of the family board has a positive effect on the innovation R & D, while the negative effect of the family management involvement on the innovation R & D is not significant, but the family member's entry into the management often leads to the phenomenon of nepotism and nepotism. The role of innovation and development is an obstacle to innovation and development, and the mode of professional manager can alleviate such phenomena to a certain extent. At the same time, the nature of the ownership of the enterprise has a regulating effect on the relationship between the family involvement and the innovation and development of the family business; (2) the research conclusion of the relationship between the innovation and development of the family business and the social emotional wealth (SEW). The family's social and emotional wealth (SEW) is heterogeneous, and the family control will and the family's inheritance will have different influences on the innovation and development strength of the enterprise, and the family control will have a negative correlation with the R & D strength of the enterprise. The will of the family's inheritance will have a positive effect on the strength of the innovation and development of the enterprise. At the same time, the strong social capital and the good innovation environment provide the necessary policy support and perfect system guarantee for the family business, and effectively adjust the relationship between the willingness of social emotional wealth (sew) and the innovation and development of the family business; (3) The research conclusion of the innovation strategy framework and the comprehensive influencing factors of the family business. According to the two dimensions of the governance structure and the social emotional wealth, the innovation policy framework is established and the family business is classified, and the four types of family enterprises with different innovation strategies have the characteristics, and the innovation and development strength of the different types of family enterprises is different by the influence factors. The limited and innovative family business has a high degree of family-related and constrained social emotional wealth (sew) will, the family's willingness to control is strong and the short-term family social emotional wealth (sew) caused by innovation is avoided, and the negative inhibition attitude to the innovation and development is held. The innovation and development intensity of the enterprise is the lowest among the four types of enterprises; the intention to innovate and the potential innovative family business has a moderate innovation strategy and has a moderate and innovative R & D strength; the active and innovative family business is concerned with the long-term innovation benefit, the innovation risk tolerance is high, and the innovation strategy is preferred; The innovation and development strength is the highest. Comprehensive influence factors, BYD's case analysis, from the practical point of view, confirm that the main objective impact factor of the above analysis has an important influence on the innovation and development of the family business; (4) combine the above-mentioned innovative R & D impact factors and the relevant innovative evaluation index that has been verified in the literature, To build the evaluation index of the innovation and development ability of the family business. In order to reflect the characteristics of the family business in the aspects of innovation and development, the relevant indicators that have been verified in the literature reflect the universality of the evaluation of the innovation ability, the comprehensive and the importance principle, the systematic integration and the construction of the evaluation index of the innovation and development ability of the family business, An innovative R & D evaluation index of family enterprises, which is composed of 23 variables in three levels, is set up, from the innovation R & D input ability, the output ability, the entrepreneur's characteristics and the enterprise innovation tendency, The internal environment of the enterprise and the external environment of the enterprise are to evaluate the comprehensive ability of the innovation and development of the family business. At the same time, the main component analysis model of the fuzzy hierarchy was selected, and 10 family enterprises were selected as samples for data verification. From the results of the evaluation, the fuzzy grade of the innovation and development ability of the 10 family enterprises is clear, the ranking is strong, the comprehensive ability of the family business innovation and development can be clearly reflected, and the construction of the evaluation index of the innovation and development ability of the family business and the selection of the model are successful. This paper reviews the content of the research, and through the theoretical deduction, the empirical analysis, the case analysis and the evaluation index creation, the theoretical system is broken through and the innovation is made. In the aspect of research, the research of the influence factor system of the innovation and development of the family business is further improved; the research angle and the innovative ability evaluation are included in the research and development of the family business. At the same time, the data coverage of the empirical research has also made a new attempt. First of all, the paper makes a comprehensive study on the influencing factors of the innovation and development of the family business, and complements and perfect the theoretical system; and then, the paper tries to introduce the variable of the ownership property of the enterprise. In addition, the establishment of the new R & D strategy framework of the family business goes beyond the single-dimensional heterogeneity of the current family business. Through the multi-dimensional configuration, the innovation strategy and the influence mechanism of the family business are further elaborated; and finally, the evaluation index of the innovation and development ability of the family business is created, and the quantitative evaluation of the comprehensive ability of the innovation and development of the family business is realized, and the theoretical research on the innovation of the family business is further enriched. The research of the paper is helpful to recognize the key nodes that promote the innovation and development of the family business, to perfect the family governance structure, to train the entrepreneurship, to optimize the innovative decision-making system and to further improve the innovation environment construction. At the same time, the construction of the innovation assessment index provides important quantitative support to the enterprise self-assessment, the evaluation of a certain region, a certain department and a certain enterprise innovation level by the government department, and provides a long-term development mechanism for the generation of the family enterprises, To promote the development of the innovation strategy and to finally make a contribution to the transformation and upgrading.
【学位授予单位】:对外经济贸易大学
【学位级别】:博士
【学位授予年份】:2017
【分类号】:F276.5;F273.1

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