部门创新体系建设中的永利模式

【作者】 李健英；

【导师】 赵津；

【作者基本信息】 南开大学 ， 经济史， 2009， 博士

【摘要】 20世纪是化学工业的时代,酸碱更被喻为工业之母。为中国工业着想,范旭东开始了苏尔维法制碱的征途。技术的制约是巨大的,但是范旭东回避了国内创新资源不完整的障碍,引入海外创新资源的构想改变了落后国家创新资源短缺的弱势。在制碱设计引进后的一系列动作中,黄海社从附属于久大到独立运营标志着集团创新平台建设的开始。随着创新复杂性的增加,范旭东建构的集团创新平台内部进行了明确的分工。如果说黄海社主要由科学家组成,解决的是学术性、研究性的课题,那么永利的技术部门则主要由工程师组成,解决的是工程上的难题。技术创新产业化离不开设备的支持,铁工房即是承担设备制造的部门,完整创新平台的建立使永久黄集团成了新产业扩展的基础平台,永久黄集团成了从里到外都与国外创新资源接轨的企业集团。这是围绕着创新能力的转移而建立的汲取国外创新资源的体系,这样的技术创新道路从某种意义上说是国外创新体系在国内的成功延伸。部门创新体系雏形初现即带来了永利早期的辉煌,也向世界证明了中国企业的能力。出版《制碱》一书、侯氏碱法的发明、支援巴西政府和印度达达公司等成就是对部门创新体系作用的最好评价。但襁褓阶段的创新体系仍然存在诸多隐忧,还有一些环节需要范旭东细细揣摩。这不简单是一个技术创新的时代,也是资本制胜的时代。传统的也是占据社会主流和主体位置的政府都还没有参与进来,资金链时时面临断裂的危险。第二次工业革命后,重化工业相继成为世界大国重点发展的新产业。重化工业是典型的资金、技术密集型产业,商业企业很难同时获得新产业发展所需的资金、技术以及国家保护性政策的扶持,新产业的发展离不开国家的干预和作用,国民政府时期的统制思想同样体现了国内主导产业的变迁和时代的发展内涵。铔厂工程的背后已经有政府推动的痕迹,这一点颇为耐人寻味。政府对永利的影响变得明显,大企业和国家逐渐走到了一起。银团优厚的借款条件背后是政府对金融界资金流动方向的影响,政府、金融界和大企业开始紧密地联系在一起,逐渐形成了系统完整的部门创新体系。在统制盛行的年代里,将明显带有军工性质的制酸工业交由永利承办,这是由政府主导的体系向大企业为中心的体系转变的征兆。此后,政府推动永利成为化工领域资源整合者的迹象更为明显。在某种语境里,这是关于统制经济和大企业为中心的部门创新体系之间孰优孰劣的一次对决,这也是中国化工产业发展道路的抉择,它意味着大企业为中心的市场模式和政府主导的统制经济的较量,意味着重整统制经济时代的生产关系。永利身上浓缩和记录了国民政府时期政府主导产业发展政策变迁的脉络,它超出了简单意义上的政府态度变化,记录了一场模式的转变。永利兴起的年代正是统制经济兴盛的时期,在利用了政府提供的资源之后,随之而来的是各种各样的责任,大企业与中小企业的相融共生在这个重化工业成为主导产业的时代是一种义务。政府与永利之间存在未言明的契约:政府为永利提供政策优惠和各项便利,永利则接受政府的指导,并实现国家的意志(即由永利向社会扩散技术,为国内产业提供基础和优势,而政府通过支持大企业的方式间接地支持国家的工业,从而完成新产业的布局)。这是一种层级性极为明晰的体系,它将政府处于调节和控制的最高环节。范旭东拓展了部门创新体系的内涵,以大企业的身份设计和描绘部门创新体系的全貌,由多面结构组成的部门创新体系逐渐浮现出来。在这个更大型的体系架构中,大企业的责任、战略家的眼光、大企业与政府之间未言明的契约尽在于此。由大企业承担扩散中心的角色保证了结构升级的有效性,永利作为一股不可小觑的“中国力量”的悄然崛起,为技术创新、工业发展、实业救国层面的众多探索实现了从理论到实践的升华。抗战时期,永利面对的是独一无二的局面。从进入技术创新前沿到满足国家战略需求,永利首屈一指的地位促使政府将更多的资源投入其中,战略性产业的介入和扶持更为成熟。酸碱工业与中国经济的命脉紧紧相连,作为酸碱工业的领头羊,永利展示了其日盛的影响力,从某种意义上讲它已经成为超出商业企业之外能够影响国家工业发展的实体。川厂时期,侯氏制碱法的成功代表了部门创新体系的至高成就,但限于关键设备的短缺,永利的川厂计划始终未能顺利完成。国外创新资源作为不可分割的一部分融入永利的体系之中,这给本土企业技术创新的前景带来了一丝隐忧。范旭东的去世就像一个隐喻,暗示着那些曾经坚守的理念和公司发展战略的终结。大而无当的战后发展计划表明后继者不再延续范旭东时代的战略和理念,商业化蜕变成为永利沉沦过程中重要的转变环节,战略裂痕的出现意味着部门创新体系瓦解的开始。大量冗余人员的进入和职员的“身份意识”催生了一张含混不明的私人关系网,庞大而复杂的关系网络很快将永利内部的团体和权力划分问题凸显出来。集团内部的突然裂变隐含着躁动的过去,技术和事务部门之间的裂痕出人意料但长期存在。决策的基础建立在创业者身上,过度依赖范旭东的永久黄集团存在着演进轨迹锁定的危险,这使得永久黄事业发展的可持续性受到严重的挑战。一些不经意或刻意的安排、所有微不足道或重大的变化互相交织,范旭东陷入自己精心营造的迷宫中难以自拔,创新者不小心将自己设计成宏大的部门创新体系不可分割的一部份。企业家才能的稀缺性成为这个体系最不安定的因素,部门创新体系存在着与生俱来的缺陷。永利内部还在继续着平庸,但历史已经走到了转折点上。侯德榜接手的是永利的庞大产业和一个未卜的将来,在新时期的社会资源重新配置过程中,政府占据了主导地位。新中国政府寻求建立一个更严格的规范体系,企业发展必须的资源都已经为国家所掌控。糟糕的市场环境、内部管理问题同步袭来,永利已经无法再正常运营下去,公司面临着转型和寻找新定位的巨大压力。经过漫长的谈判,1952年6月,永利正式宣布合营。走过衰败的边缘,摆脱了过去的混乱,永利重获生机。在新中国的发展体系下,永利完成了最后一程荣耀之旅。公有制所产生的意义是有目共睹的,集中力量办大事的优势结合永利过去积累的技术优势,使永利的酸碱产量迅速接近其历史最高水平。国家的作用和力量在公有制模式中得到更好的体现,计划经济时代的落后终究还是无法抹杀该模式在新产业扩展上蕴藏的巨大能量。新体系在大规模扩产之后再次陷入长期停滞的境地,我们很难在“技术孤岛”中实现自主创新。新的发展模式在技术创新领域的弱势逐步体现出来,此后,永利并没有取得举世瞩目的重大进步,技术创新的表现略显沉寂。创新活力兴衰强弱的脉动展示了落后国家工业发展和经济增长的秘密。饱受诟病的技术引进经常用于反证自主创新的优越性,然而,落后国家在自主创新领域的成功案例却更不多见。更多还原

【Abstract】 The breakthrough of manufacture of soda was a huge challenge for modern Chinese who still lacked sufficient technical experience in the building of large-scale industries. In view of the lack of innovation resources in modern China, Yunli attempted to use overseas equipments and personnels to fullfill the needs of new industry. Fan Xudong Conglomerate embarked on the road of international cooperation which combined overseas innovation resources and domestic resources to complete the manufacture of soda. Yungli’s primary task was to finish the design of factory before the purchase of equipment abroad.Fan Xudong paid unprecedented attention to the technological innovation and scientific research. After the introduction of design of soda factory, Fan Xudong constructed the Golden Sea which was intented to realize the technological innovation in modern China. With the increasing complexity of innovation, Fan Xudong Conglomerate carried out a clear internal division of innovation. The Golden Sea’s aim was to complete the study of research problems, while Yungli was to solve the engineering problems. The differents between researchers and technicians from Yungli realized the division of academic and engineering.Domestic manufacturers couldn’t afford to provide key equipments required for new industries and the communication barriers associated with high transaction costs were obstacles for corporations such as Yungli which bought a large number of equipments abroad. At the same time, the industrialization of technological innovation couldn’t be separated from the support of equipments. In view of the importance of the equipments manufacturing, Fan Xudong built the ironwork which was attented to provide the equipment needed both by Yungli and the Golden Sea. Fan Xudong gradually sketched the outline of sectoral innovation system.During the design of chemical plants, the designers must attach importance to the analysis of raw materials. Duval took into account the localization problems in his design process, he also took into account the speciality which was particular in modem China. But Yungli changed its plan and asked for Monnt to redesign the factory. When the design work finally finished, some unexpected defects appeared. Fan Xudong apparently underestimated the difficulties which his staffs would face. In 1924, the factory couldn’t produce high-quality soda ash. Afterwards, Fan Xudong and the engineers were confronted with endless accusations, as well as the severe crisis of confidence from the stockholders. In order to solve the engineering problems, the researchers from the Golden Sea and technicians from Yungli worked together. In the localization process, foreign technical experts and local R&D forces played their respective roles. Localization extended the innovation capability of Fan Xudong Conglomerate.The success of Yungli set a rare example of technological innovation in moder China. The sector innovation system and it’s performance proved the ability of Chinese enterprises. However, there are still many problems in the innovation system which was still in it’s infancy. The outbreak of new industry was incredibly difficult, Yungli faced the technology, capital, personnel and other challenges. Sector innovation system couldn’t be separated from the participation of financial institutions and the importance of capital is no less than that of technological innovation. The chemical industry was a typical capital, technology-intensive industry, enterprises which were dedicated to fullfill their tasks needed necessary capital, technology and national policies of protection. When the manufacture of soda was finally succeeded, Fan Xudong had a strong desire to expand the factory’s production to meet the needs of the emerging domestic market demand. But the traditional society and the Government hadn’t provided enough capital and Yungli often lacked necessary liquidity to complete the manufacture of soda. After the historical success of manufacture of soda, Yungli was still subject to capital constraints.Yungli were still unable to face the challenges of ICI, it’s market experience and advanced technology were the best learning object for Yungli. The cooperation could remove the tremendous threat from ICI and reduce the risk of fierce market competition. Fan Xudong’s attention shifted from the public stock to using foreign capital. But the use of foreign capital did not succeed, Fan Xudong must find new sources of funding.The conduct of the government almost became the largest background to the development of new industries. China’s commercial enterprises had to consider factors other than market competition. The public shares greatly enhanced the legitimacy of the public policies which were essential to commercial enterprises. During the construction of acid factory, the Government provided all the necessary resources which offered massive covinience to Yungli. The joint of government and the financial sector made the sector innovation system integrity.When Yungli obtained a lot of resources which were provided by government, Fan Xudong must take all kinds of duties. Fan Xudong Conglomerate spreaded it’s technolgy pridominents to the domestic chemical industry, and a large number of small and medium-size enterprises benefited from the innovation system.The basic and core industry is the key to the development of new industries, all of the efforts of Fan Xudong were based on the unique logic. However, due to the outbreak of Chinese-Japanese War, all of the plans were forced to terminate. In 1943, Fan Xudong formed a more radical plan which was to complete the unfinished path of Alkali and Acid Industry Independence. In view of the industry security, the significance of the Alkali and Acid Industry Independence to the development of Chemical Industry in moder times is obvious. During the Chinese-Japanese War, Yungli faced a unique situation, the Government decided to provided more resources to a commercial enterprise. The support had become more sophisticated, Yungli showed the influence of their increasing prevalence and it’s power to change the velocity of development of modern China’s new industries.Unfortunately, Fan Xudong died at the end of the war. His death suggested the end of Yungli’s development strategy. During the post-war periods, Yungli recuited a large number of redundant personnels and staffs, the diverge between technology group and management group was obvious. The problem of management made the sustainability of the development of Fan Xudong Conglomerate under serious challenge.In the new period, the government sought to establish a more stringent regulatory system. The poor market conditions and internal management problems forced Yungli rushly seeking for its destination. Public-private partnerships was inevitable. After the large-scale expansion, the new development system entered a long-term stagnation. We often criticize the introduction of technology, but self-innovation actually face the same problem. The sector innovation system which merged the advantage of the introduction of technology and technological innovation represents the hope of industrial progress.更多还原