【作者】 刘难；

【导师】 王忠贤；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2008， 博士

【摘要】 中国在从计划经济体制向市场经济体制变迁的过程中,一个显著的特征就是家族企业的崛起。许多研究表明,家族企业的持续和快速发展是中国经济保持不断增长的重要动力之一。事实证明,哪个地区的民营经济发展得快,那个地区的经济就越发达。目前,处于创业和成长阶段的中国家族企业大都采取所有权与经营权合一的古典式家族企业组织形式。但由于特定的历史和文化因素的影响,我国现代意义上的家族企业的发展历史不长,规模不大,技术落后,“富不过三代”,平均寿命短等现象表现得格外突出,尤其是加入WTO给家族企业带来更为严峻的竞争态势。家族企业由于其自身的特定条件,生存遇到很多的困惑,壮大有着很多的“瓶颈”,发展面临众多的矛盾,它们期待着理论上的探讨、解答和指导。随着中国社会主义市场经济体制的建立和逐步完善,随着家族企业的发展,对处在不同阶段的家族企业,其匹配的组织形式如何?组织发展和变迁的路径怎样?中国家族企业是否还应继续存在等中国家族企业问题,是一个急待研究的课题,具有重要的理论意义和现实意义。本文认为,现实中的家族企业是处在不同发展水平的企业个体,发展程度不同,选择的组织形式应该有所差异,根本不存在某一种企业组织形式会适合于所有的家族企业。文章在考察中国家族企业组织内部和外部现状的基础上,结合我国的历史和文化特点,借鉴市场经济发达国家家族企业发展的经验,总结中国东部地区家族企业发展的经验及教训,研究对处在不同阶段的中国家族企业所匹配的企业组织形式及其变迁的路径问题,探讨影响家族企业组织变迁的因素,特别是中国家族企业组织从古典式向现代企业制度变迁及集群化成长过程中的各种影响因素,寻求适宜中国家族企业持续发展壮大的企业组织创新思路,并为进一步推动中国家族企业健康成长提供实践指导,为政府决策提供参考。为此,本文主要做了以下几个方面的工作:第一,剖析了中国家族企业的发展和变迁的现状。(1)对中国家族企业的历史沿革、发展现状、主要类型、发展和变迁的基本特征进行了纵向分析。明确了中国家族企业的发展经历了三个阶段,存在着三种主要类型,家族企业以两权合一的古典式家族企业组织形式居多,但是部分家族企业的公司化行为已开始起步,部分家族企业通过与其它企业的网络联系形成家族企业集群也获得发展。(2)通过横向分析并与西方市场经济发达国家(英、美、日)家族企业的横向比较,明确了中国家族企业存在的主要问题是:企业竞争力不足、规模不大,平均寿命短暂及组织创新机制受到约束等;影响中国家族企业组织变迁的基本因素是企业所处的外部市场和社会信任环境以及企业内部的制度、技术和管理能力等。第二,系统地探讨了影响中国家族企业组织变迁的基本因素、条件和方式。(1)针对家族企业公司化变迁路径,分析了企业规模、外部市场(包括劳动力市场、产品市场、资本市场)、社会资本(包括信任、企业家网络)以及成本与效益等对家族企业组织变迁的影响。其中,劳动力市场的分析侧重于研究职业经理人市场对家族企业雇佣职业经理人员以实现企业两权分离的影响,产品市场的分析侧重于研究制度性产业进入壁垒对家族企业两权分离的影响,资本市场的分析侧重于研究资本市场的发展对家族企业上市的影响;社会资本的分析侧重于研究信任和企业家网络对家族企业组织变迁的影响。(2)针对家族企业集群化变迁路径,重点分析了社会资本(包括信任、企业家网络)以及专业化分工对家族企业组织集群化变迁的影响。(3)提出了多步到位的微调式的家族企业组织变迁方式,和组织刚性下的家族企业组织变迁方式。第三,运用数理技术给出了家族度、家族控制权度、合作伙伴的弹性管理、家族企业变迁的临界点等数学模型等,对相关问题进行了定量化研究,争强了相关结论的可信度和说服力。第四,通过对四川新希望集团、茂隆公司、正泰集团及长春汽车企业集群等个案分析,使本文的研究具体化和实证化。第五,通过对处在初创期、合作期、发展期等不同阶段的十二个家族企业的调查,针对中国家族企业成长所面临的外部市场不发达、社会信任水平较低、产权明晰度低、管理社会化步伐较慢以及企业内部治理结构不完善等实际状况,提出了进一步建立与完善促进我国家族企业健康成长的社会环境、外部市场(包括劳动力市场、产品市场、资本市场)环境、社会信任环境和企业内部治理结构(包括经营者的选择和激励约束机制、企业家精神培育)、实施集群化成长模式为依托的中国家族企业发展战略等政策建议。更多还原

【Abstract】 A remarkable characteristic of economics is the maturing of the family business in the present-day from a planed economic system to a market economic system in China. Much researche indicates that the sustained and rapid development of the family business is one of the important drives ensuring the economy’s sustained increase in China. At present,the classical framework characterized by ownership and control is mainly adopted by the family business in the start up and maturing phases in China. Researches into development and evolution of the classical family business shows the imminent problems with the socialist market economic system as it is established and perfected.The topic of the dissertation is to study the organizational evolution of family business during the economic transition in China,discuss the affecting factors of the organizational evolution of family business,so as to supply the theoretic support for the transformation of modern enterprise and networking to prompt family business in China,and then propose the policies and advice to ensure the healthy development of the family business in China. The researches are as follows:Firstly,the development and evolution of family business during the economic transition in China are analyzed including:①The history of development,main types and the basic characteristics of development and evolution of the family business during the economic transition in China are analyzed. The development of the family business undergoing three phases,including three main types and the family business mainly adopting a classic framework characterized by ownership and control are elucidated. But the transformation of modern enterprise and networking during the economic transition are emerging in some family businesses.②The history analysis of the family business during the economic transition and the comparison of the family business with that in the developed market economy country (US)are made,and some problems on family business,including competition deficiency and a restricted innovation system are elucidated. Besides,the basic affecting factors of the organizational evolutionof the family business during the economic transition,including the external market,social trust,institution,technology and management capability within the family business are elucidated. Secondly,the basic affecting factors of the organizational evolution of the family busines during the economic transition are analyzed.①Based on the path of the corporate institution,the effects of politics and legal institutions,external market (including the labor market,product market and capital market)and social capital (including trust and entrepreneur networking)are analyzed. The labor market emphasizing particularly the role of professional managers market in employing managers and realizing the separation of ownership and control is analyzed. The product market emphasizing particularly the effect of institutional barriers to entry is analyzed. The capital market emphasizing particularly the effect of the family business going public is analyzed. The social capital emphasizing particularly the effects of trust and entrepreneur network is analyzed.②Based on the path of networking,the effects of trust,entrepreneur networking and specialization division on the evolution of organization of the family business network are analyzed.Thirdly,DL groups and Liushi low-voltage component enterprise clusters in Wenzhou are analyzed,which makes the study more concrete and verifies the theoretical problems.Fourthly,based on the underdeveloped external market,social trust and the internal governance,some policies and advice ensuring the healthy development of the family business during the economic transition in China are proposed. The contents of the policies and advice cover standardizing government conduct,establishing and consummating the external market (including the labor market,product market and capital market),social trust and internal governance (including the mechanism of choice,inspiration and restriction on managers,and entrepreneurship cultivation),and implementing the networking (especially clustering)strategy on the family business in China.更多还原