晚清汉冶萍公司体制变迁研究（1889-1911）

【作者】 李玉勤；

【导师】 朱荫贵；

【作者基本信息】 复旦大学 ， 中国近现代史， 2008， 博士

【摘要】 鸦片战争以后,伴随着西方列强侵华步伐和西学东渐局面的形成,西方先进的股份制企业制度也开始引入中国,促使中国原有的企业制度与股份制接轨融合、并逐步向股份制转轨。然而,晚清时代企业制度转轨中存在很多问题,转轨企业的经营成效并未有所改观。19世纪晚期开始创办的汉冶萍公司,其体制变迁序列经历了从官办到官督商办、再到股份制完全商办的转轨发展过程,在当时颇为完整。同时,汉冶萍公司属于重工业,投资大,技术要求高,是晚清规模最大的企业,其体制转轨中存在的问题同样具有典型性。笔者试图通过本文对决策者采用和改变体制的原因及其经营管理中的代表性案例的考察,找到汉冶萍转轨中存在的主要问题和失败的决定性原因,并为晚清企业转轨的失败找到具有普遍性的深层原因。本文除导言和结语部分外,另有四章。第一章考察19世纪七八十年代办理湖北煤铁矿务时的体制及其相关问题,主要涉及到李鸿章、盛宣怀所依凭的政治人脉关系、选择和改变体制的原因和湖北煤铁事业夭折原因等。通过考察发现,李、盛决策时的价值观和经营理念没有超脱当时中国封建传统的儒家伦理和官僚心态,将经济事业的湖北矿务视为其政治事业的一部分,体制的选择和改变是从个人的政治私利出发。第二章考察1889-1895年间的官办体制及其相关问题,主要涉及:张之洞选择官办及原因,张之洞与李鸿章、盛宣怀对铁厂体制的多次争议及实质,张之洞对铁厂的经营运作等。通过考察认识到,无论是张之洞选择官办、选址和人事任用,还是张与李、盛的体制争议,都从多侧面展示出封建儒家伦理的支配、清政府“扬张抑李”政策的权谋、官场私利和争斗的搏弈等等。体制的选择和改变,是多种政治因素综合作用结果。第三章考察1896—1907年间的官督商办体制及相关问题,主要内容包括:甲午战争从外部推动铁厂改制、张之洞、盛宣怀的政治交易与改制、从铁厂招商章程和人事任用透视官督商办的运作、从19世纪术20世纪初盛宣怀人生大发迹与铁厂经营亏损的对比透视铁厂改制的实质、20世纪初的盛袁争夺及对铁厂体制和前途的影响等。通过研究发现,铁厂改制的真实意义在于张盛以改制为契机形成新的政治组合,从而造就了盛宣怀官商两界的飞黄腾达。盛袁争夺对铁厂造成的危害从反面再次印证了这一结论。第四章考察1908-1911年的股份制体制及相关问题,主要研究:盛宣怀合并商办理由分析及其采用政治手段促成这一目标的过程、盛宣怀操纵下的股份制运作及晚清末年企业经营的表面繁荣和隐忧。股份制运作的特征是分权制衡。一般情况下,实行股份制是为了利用其分权制衡的运作模式来提高企业的经营效益。然而,通过考察发现,盛宣怀要求完全商办的目的是为了加强自身对企业的控制,构建的股份制仍然是服务于这一目标的。所谓的股份制不过是一张粉饰现代意义的招牌,本质上和官办、官督商办没有区别。通过对四个历史阶段的考察,揭示出这样一个史实:晚清末年,汉冶萍公司的企业制度尽管发生了适应历史潮流的变化,但这主要是形式上的,张之洞、盛宣怀采用和改变体制的动机主要是为了加强个人政治资本以捞取个人私利。而这正是汉冶萍公司乃至晚清多数类似企业体制转轨失败的根本原因所在。更多还原

【Abstract】 With the pace of Western Powers’ encroachment and formation of western learning spreading to the east situation, the joint stock system that is western advanced enterprise system began to be introduced into China after the Opium War. So the enterprise system of China at that time was forced to merge with it, even to convert to it gradually. But there were many problems in enterprise system changing that resulted in little profit to changing enterprises during Qing Dynasty period. Hanyeping Company founded at the end of the 19^th century experienced three system format successively at Late Qing Dynasty period: the first was government-run format, the second was merchant-run under official supervision format, the last was complete merchant-run format（i.e: joint stock system）. And this evolution order was of completeness. Moreover, Hanyeping Company belonged to heavy industry which needed huge investment and high technology. So it was the largest scale enterprise at Late Qing Dynasty period, and its problems in system changing were also typical. In this dissertation, the author tries to review the reasons that decision-makers adopted or changed certain system and some typical cases that happened in managements, then to find the main problems in system changing and crucial failure causes. In the end, to try to conclude the common deep-seated reasons for system changing enterprises of Late Qing Dynasty.The dissertation includes four chapters, in addition to introduction and conclusion. ChapterⅠis investigation on system and correlative questions happened during managing Hubei Coal and Iron Causes at 1870s and 1880s. It refers to political human relations that Lihongzhang and Shengxuanhuai depended on, the reasons that Lihongzhang and Shengxuanhuai adopted or changed certain system, the abortion reasons of Hubei Coal and Iron Cause, and so on. The author argues that the Lihongzhang and Shengxuanhuai’s value and managing idea did not get rid of the traditional feudal Confucianism and bureaucrat feeling. They regarded Hubei Coal and Iron Cause as a part of their political lives, then made decision in choosing and changing system from personal benefit view.ChapterⅡis investigation on governmeng-run system and correlative questions from 1889 to 1896. It refers to Zhangzhidong’s choice of governmeng-run system and reasons, several disputions on Hanyang Ironworks system between Zhangzhidong and Lihongzhang, Shengxuanhuai and its essence, and Zhangzhidong’s managing under governmeng-run system. The author argues that the facts listed above show from several side feudal Confucianism domination, Qing goverement’s tactics of supporting Zhang and controlling Li policy and combat of self-interest from officialdom. So choice or change on system was the synthetical outcome of several political factors.ChapterⅢ, about merchant-run under official supervision system and its correlative questions between 1896 and 1907, includes contents as follows: the Sino-Japanese War of 1894-95 impelled Hanyang Ironworks to change its system from exterior; Zhangzhidong made political deal with Shengxuanhuai so that Hanyang Ironworks’ system was altered successfully; merchant-run under official supervision system worked by surveying Recruiting Merchant Rule and appointing managers; scan the essence of Ironworks’ changing system through comparing Shengxuanhuai’s political success with Ironwork’s loss from the end of 19^th century to the beginning of 20^th century; the combat between Shengxuanhuai and Yuanshikai in the beginning of 20^th century influenced Ironworks’ system and future. The author argues that the true meaning of Ironworks’ changing system is that Zhangzhidong and Shengxuanhuai formed new political clique so that Sheng came into his kingdom in officialdom and business circles. The fact that the combat between Shengxuanhuai and Yuanshikai did harm to Ironworks further confirmed this conclusion from another side.ChapterⅣis investigation on joint-stock system and correlative questions from 1908 to 1911. The main parts are as follows: the analysis on Shengxuanhuai’s reasons that he combined Hanyang Ironworks and Pingxiang Coal Mine and made them turn to complete merchant-run format; the course that he achieved the goal through political means; joint stock system run under Shengxuanhuai’s manipulation; skin-deep prosperity and hidden trouble of Hanyeping Company at the end of Late Qing Dynasty. Genearlly, adopting joint stock system is to use its run model of restriction through power-sharing to boost enterprise benefit. But, the author find that it is to strengthen Shengxuanhuai’s control on Hanyeping Company for him to combine Hanyang Ironworks and Pingxiang Coal Mine and make them under joint stock system. So joint stock system is nothing but a signboard that prettifies Hanyeping Company modern sense, and has no difference from government-run and merchant-run under official supervision format in essence. In a word, the dissertation opens out that the system change of Hanyeping Company was only form transformation though it kept pace with the history trend of enterprise system change. The motive of Zhangzhidong and Shengxuanhuai adopting and changing system was to enhance their political capital and personal self-interest. So it is the real source that Hanyeping Company and many enterprises such as Hanyeping Company failed to change its system.更多还原