【作者】 曾少军；

【导师】 郑海航；

【作者基本信息】 首都经济贸易大学 ， 劳动经济学， 2007， 博士

【摘要】 在现实经济生活中,以家族企业为主体的中国民营企业,已经成为与国企、外企并驾齐驱的国民经济“三驾马车”之一,但是企业理论对中国家族企业这一私有企业主体关注却不够充分。另一方面,不确定性环境下的中国家族企业的战略转型和可持续发展亟需进行组织创新,然而关于中国家族企业组织创新的相关研究将企业组织视为给定的对象,对管理组织“本身”的研究重视不够。因此,本文的研究将在一定程度上深化对中国家族企业管理组织的研究,从私营企业主体的角度丰富中国企业理论的视角;本研究还将为中国家族企业组织创新实践提供理论借鉴,并在某种程度上为政府的私有经济管理提供理论参考。因而本研究具有一定的理论和实践意义。本文综合运用经济学、管理学、社会学和心理学等多学科知识,将企业理论、组织理论、创新理论作为研究的理论基础,从“理论、问题和对策”的路径,主要回答为什么要创新、创新什么、如何创新、创新得怎么样。实质上是对中国家族企业组织创新的创新源、创新内容、创新过程控制、创新评价和创新系统进行全方位的研究,以期形成中国家族企业组织创新研究理论的初步体系,为后起研究者作好铺垫。本文主要内容可分为三大部分:第一部分为理论研究,包括第一、二章;第二部分为现状和问题分析,主要是第三章,以及第一章和后续各章中关于现状和问题的阐述;第三部分为对策建议,范围则包括第四至第十章。全篇重点研究的主要问题如下:1.构建中国家族企业组织创新理论模式新框架。本文从探讨家族企业组织创新的结构、流程和文化等核心要素及其相互关系出发,构建了由创新源、创新内容、创新过程控制、创新评价和创新系统等体系组成的中国家族企业组织创新理论模式分析新框架。从一定程度上深化了中国家族企业组织创新研究对管理组织本身的探讨,也从私有企业主体的角度部分地充实了中国企业理论的研究内涵。2.研究中国家族企业“平行组织结构”特点对组织创新的影响和对策。本文借鉴家族企业战略研究中的“平行计划流程”理论,提出了中国家族企业存在由“家族企业”和“企业家族”所组成的“平行组织结构”的观点。家族企业组织目标的一致性、强大凝聚力和良好的合作意愿与信息交流机会,使家族企业能够成为组织效能极高的组织;但家族成员之间利益冲突、违规行为和内讧就会导致家族企业比其他组织更加无效。本文较为深入地分析中国家族企业组织结构设计理念、规模、领导、层次、职能和形态等方面存在的问题,并针对性地提出平衡家族与企业组织结构之间的关系、构建相互依赖的团队式组织结构体系、运用权变理论指导家族企业组织结构创新等相关对策建议。3.拓展中国家族企业组织流程创新的分析视角。本文从流程理念、生产流程和管理流程、信息系统开发流程等方面拓展中国家族企业组织流程创新的分析视角,并提出了推动中国家族企业组织流程持续改善、用信息化促进生产与管理流程之间和谐关系的建立等相关对策,在一定程度上弥补了中国家族企业组织流程研究的不足。4.探究中国家族企业组织文化的特点与问题对策。本文由利他主义、传统家族等级文化因子、现代管家理论效应和家族企业家心智模式与对外利己本性等企业文化特点出发,从理念、制度、机制和习规等企业文化视角,对中国家族企业文化的优势、问题及其根源进行系统、理性和客观的分析,并从家族企业家的培养、企业伦理观的树立、企业文化路径的设计和中西方优秀企业文化的融合等方面提出了创新对策,从某种程度上丰富了中国家族企业文化研究的内容。5.提出由驱动和认同双向过程组成的和谐组织过程模式。本文借鉴力场理论构建的和谐组织过程模式认为,组织过程包括驱动和认同两个同时存在的对立统一过程。前者主要从组织主体的角度,研究组织创新的征兆识别、组织诊断及创新活动的设计、实施、评估和后续行动等显性的逻辑程序;后者则主要从组织成员的角度,研究对组织创新的接触震动、抵制性冲突到接受认同的隐性的逻辑程序。和谐组织的形成就是这两种对立过程相互作用的结果,组织创新过程控制就是要运用时机选择、方式设计、进程安排和阻力管理等策略,以达到驱动过程和认同过程的对立统一,促成组织过程的和谐。其中,标准化驱动过程模式的运用应遵循非线性和动态化原则、系统化原则和权变化原则,以保证实施的效果和针对性。6.分析中国家族企业组织创新系统的宏观风险并提出政策建议。从创新系统分析的框架出发,中国家族企业未来的组织创新要密切关注宏观风险,包括法律、市场准入、服务歧视和中介滞后等。这就需要政府管理部门从创新环境、结构创新、流程创新和文化创新方面来发挥宏观指导、推动和支持作用,促进中国家族企业为建设和谐社会、实现共同富裕做贡献。从这个角度而言,中国家族企业组织创新研究,也是一件事关中国经济理论创新和中华民族复兴的重要事情。三个案例的研究为本文增加了理论相关性的实证说服力,也可以为中国家族企业实际操作提供参考。更多还原

【Abstract】 In the reality of economic life,China’s private sector,mainly presented in the form of family businesses,has grown into one of the three driving forces of the national economy development together with foreign-invested and state-owned economy.However,in contract to the attractive role family businesses play in the development of Chinese market economy system and harmonic society,firm theory pays inadequate attention to China’s Family Business(CFB) which is presented as the main body of private economy.On the other hand,under uncertain enviroment, organizational innovation is strongly needed for CFB to conduct strategic transformation and sustainable development.Unfortunately,the sporadic study on the organizational innovation of CFB deems corporate organization as targeted object and ignores the study on the management organization itself.Therefore,this article is to deepen the study on the managing organization of CFB,and enrich Chinese firm theories and extend the visual angle of Chinese economics innovation from the perspective of regarding private economy as study object.This article also provides theoretical guidance for the organizational innovation practice of CFB and for the government’s private economy management and harmonic society building. Therefore,this article is of theoretical and practical importance.By taking overall advantage of knowledge from various subjects including economics,management science,sociology and psychology,this article,on the basis of firm theory,organizational theory,innovation theory and family business theory, and connecting normative and positive researches,model demonstration and logic reasoning,micro and macro,history and reality,conducts comparison analysis,case study and further brings up proposals and suggestions,and mainly responses to questions such as "why innovate" "Innovate what How innovate" and "Innovation progress",through the approaches of "theory-question-solution".Substantially,it is making an overall study on the innovation source,innovation conten,innovation process,innovation resistance,innovation valuation and innovation system of organizational innovation of CFB and its aim is to form a basic system on the study theory of organization innovation of CFB as to set a favorable basis for following researchers.This article can be divided into three parts.PartⅠ,theory study,includes chapter one to chapter two.PartⅡ,current situation and difficulties analysis,is mainly including the chapter three and some contents in chapter one and other chapters.PartⅢ,solutions and proposals,is including chapter four to chapter ten.The following important results can be derived from this article’ theory study.Establish a new framework for the organizational innovation theory model analysis of CFB This article starts from the structure,process,culture and other core dements of organizational innovation of CFB and their relations,and then establishes a new framework for the organizational innovation theory model analysis of CFB.This framework is composed of innovation source,innovation content, innovation process control,innovation evaluation,and innovation system.In some degree,this article deepens the study theory from the organizational innovation of CFB on the managing organization itself,and partially enriches China’s firm theory study from the perspective of private sector as a main body.Conduct a study on the impacts caused by the Parallel Organizational Structure (POS) characteristics of CFB,and put forward according proposals This article adopts the Parallel Planning Process theory in the business strategic study for reference to bring up the POS characteristics composed of Family Business and Business Family existing in CFB.The consistency on the organizational objective, benevolent cooperative willingness and adequate communication opportunities enable the family business an organization with high efficiency.However,in the event of interest conflicts,regulation violation behaviors or internal contradiction occurring among family members,family businesses are more inefficient than other organizations.This article thoroughly analyses the existing problems in the designing concept,scale,leadership,layer,function and form of the organizational structure in CFB,and then puts forward the proposals and suggestions to balance the relations between family and corporate organizational structure,establish an interdependent team pattern organizational structure system and utilize contingency idea to guide the CFB’s organizational structure innovation.Extend the analysis angle of CFB’s organizational process innovation This article extends the analysis angle of CFB’s organizational process innovation from process theory,production process,management process and information technology system development process,and raises proposals to promote the consistent improvement of CFB’s organizational process innovation,and to establish the harmonic relations between production and management processes by use of information technology.Therefore,the shortage of the CFB’s organizational process study is in certain degree compensated.Study the characteristics of and proposals for the problems of CFB’s organizational culture Starting from altruism,traditional stratum culture,modern stewardship theory,leadership mental model,selfishness and other corporate culture characteristics,this article conducts a systematic,rational and objective analysis for the characteristics,advantages,problems and sources of China’s family business culture from the concept,institution,mechanism and customs and regulations and other corporate culture perspectives.Subsequently,it brings up innovation solutions from the nourishment of family business entrepreneurs,establishment of corporate ethic,design of corporate culture development route and Chinese and western outstanding corporate culture fusion.CFB’s culture study contents are in some extent enriched.Put forward the Harmony Organizational Process Model(HOPM) organized by the driving and recognizing two-way process This article takes the HOPM based on the field theory for reference and comes to a conclusion that organizational process comprises of two contradicted and simultaneous processes,i.e. driving and recognizing processes.The former,from the perspective of organizational body,makes researches on the sign recognizing and organizational diagnosis of the organizational innovation,and on the design,implementation, valuation and subsequent activities and other explicit logical procedures.On the other hand,the latter,from the organizational members,conducts studies on the implicit logical procedures of organizational innovation from contact trembling to resistant conflict to acceptance and recognizing.The harmonic organization is formed by the interplay of the above two contradicted processes.In the meantime, the organizational innovation process control is going to adopt opportunity pick-up, method design,progress arrangement and resistance management to realize the unity of driving and recognizing processes and the harmony of the organization.Besides, the adoption of standardized driving process model should abide non-lineal and dynamic principles,systematic principles,and contingency principles to ensure the implementation effect and pertinence.Analyze the macro-risks of CFB’s organizational innovation system and raise proposals Based on the framework of innovation system analysis,the future CFB’s organizational innovation requires close focus on macro-risks,including legal, market access,service discrimination and agency lagging behind etc.In this case,the encouragement,guidance and support from the government are needed.The government should enhance its role in macro-guidance,promotion and support of innovation environment,structural innovation,process innovation and cultural innovation,and pilot CFB to make contribution for the building of harmonic society and achievement of common prosperity.In this sense,the study on the organizational innovation of family businesses is highly concern with Chinese economic theory innovation,and even the Chinese national revitalization.Three cases provide solid evidence for this article and enable it more convincing,and also can be used as reference for CFB’s practice.更多还原