信任与家族企业代际传承关系研究：国际比较与历史经验

【作者】 姚清铁；

【导师】 张忠民；

【作者基本信息】 上海社会科学院 ， 政治经济学， 2010， 博士

【摘要】 家族企业作为一种古老的组织方式,至今仍然广泛地存在于世界各地。但是对家族企业的研究,尤其是家族企业代际传承的研究却一直没有深入进行。来自管理学的讨论做了一些前沿性的研究,但从经济学层面讨论信任对家族企业代际传承影响的研究却还不多。基于这一考虑,文章利用经济学的委托代理模型,以嵌入为切入点,分析信任与家族企业代际传承之间的关系。结合经济学、经济史学和社会学的研究,讨论信任及其它与信任相关的因素对中国、美国及日本家族企业代际传承路径的影响。以日、美家族经济组织传承制度的演变路径作为参照,与中国家族企业的演进路径进行比较,试图得出一些一般性的结论。文章共分六个部分:错误!未找到引用源。,错误!未找到引用源。。本章首先介绍选题的背景,介绍家族企业国际和国内的发展现状,突出了代际传承在家族企业发展中的重要性;然后阐述选题的理论意义和现实意义,研究对象地界定,并提出问题:为什么在中国家族企业更多地体现出“富不过三代”的特征?进而介绍文章所采用的研究方法、创新点及研究思路。错误!未找到引用源。,错误!未找到引用源。。本章首先回顾了国内、外学者对家族企业代际传承的研究情况,继而将其延伸到社会网络理论中的嵌入问题,在对嵌入理论发展的理论梳理中,得出在低信任国家,强关系重要;而高信任国家弱关系显得更重要。并由此引出信任的重要性,进一步说明了以下几个问题:信任为什么是重要的?信任的定义和家族企业的信任特征。错误!未找到引用源。,错误!未找到引用源。。本章首先对相关文献进行述评,继而在Chami(1999)模型的基础上给出基本的信任模型;然后分析讨论相互信任情况下分析代理人最优的努力水平和委托人提供的最优工资合约,单方面信任的情况,并与相互信任情况下的最优解进行比较,并将这一分析结论延伸到家族企业情形下,不同的信任条件对家族企业传承的影响。错误!未找到引用源。,错误!未找到引用源。。本章着重从历史维度上分析了日本和美国家族企业传承制度的演进。日本早期家族经济组织传承制度为诸子析产制,但后来却转型为家督制,并发展出另一个有特色的番头制度;明治时代,转入支薪经理人阶段;二战之后在美国的强压下,家族企业逐渐转为公共公司。日本的分析,重点关注其家督制与番头制度里独特的信任形成及其对家族继承的影响。而美国,殖民地时期的长子传承制在独立革命后被废除,代之以“遗嘱自由”基础上的平等继承,随后的麻州信托兴起,分化了美国由于家族平等继承带来的继承压力。经济的发展,很快使得美国走入职业经理人社会,并转由社会制度信任来影响家族企业的传承。在对美国家族企业传承模式的演变路径梳理中,重点分析信托(基金会)以及职业经理人所带来的制度信任对家族企业继承的影响。错误!未找到引用源。,错误!未找到引用源。。通过回顾我国传统社会诸子析产制的产生和演化历程,指了在历史上中国传承制度发生的变迁及其对家族经济组织(企业)持续发展所产生的作用。然后通过同仁堂乐氏、荣氏、刘氏及恒丰纱厂聂氏的案例的比较分析,来进一步讨论由于不同的信任状况所带来的不同的家族企业继承困境。错误!未找到引用源。,错误!未找到引用源。。本章通过进一步分析家族企业的信任,讨论信任的分类及影响信任的若干因素,进而分析影响家族企业代际传承成功与否的因素。同时,就中国社会对强关系的依赖,进一步分析了家族企业在代际传承过程中,如何进行“强关系”传递对其关键点作逐一分析。最后,对文章进行总结并得出最终结论。更多还原

【Abstract】 The theory of family business has long been ignored, although family business itself can be easily found in reality, not to mention the theory on family business from the perspective of history. Meanwhile, the succession of family busiess from generation to generation is important to many firms and countries, although it is also very hard to carry out the study, or to solve the problem in a systematical way. Research from the field of management has provided some fruitful solutions to it so far, although economics did limitedly on it to explore the reasons behind the relationship between trust and family business succession.For this reason, this dissertation, with the help of principal-agent theory, focuses on the relationship between trust and family business succession from the perspective of embededdness. By combining tools of economics, business history and sociology, the papertries to find out the ways of family business succession in different countries, including USA, Japan and China. Also, the author tries to find out the influence of trust behind succession in these countries. The comparison among these countries provides some general solutions to family business succesion.The dissertation has six chapters, they are:Chapter I, Introduction. By introducing the background of the topic of the dissertation, the chapter then displays the latest research in this field, defines key concepts of the dissertation. Then the author asks the key question that arises the discussion in this article, why it is hard for Chinese faily businesses to be succeeded from generation to generation, why it is hard they them to last long? Later, the author introduces key research tools in this paper and the author’s innovation.Chapter II, Review on Family Business Succession. In this chapter, the author first makes a review on latest research on family business succession, both at home and abroad. Then, by introducing embededdness, a key concept in social networking theory, the authory tries to find the clue of development of relation between trust and strong ties/weak ties. Based on this, then the author furthers to the development of trust, and tries to define trust and its possible influences to family business succession.Chapter III, Trust, Principal-agent and Family Business Succession, an Economics Model. Based on Chami’s principal-agent model, the author adjusts it to explain the relationship between trust and family business succession. The author first verfies bilateral trust of human resources in firms, and then tries to explore different trust, namely, symmetrical trust, assymmetrical trust, perfect trust and perfect distrust, and their influences on the firm’s output, and the cost for the principal.Chapter IV, Changes of Family Business Succession in USA and Japan. This chapter focuses on the institutional changes of family business succession in Japan and USA. For Japan, the autor focuses on its unique Primogenitre System and Banto system. For USA, the autor attaches a lot of attention on the trust system which is based on Machussessute Trust, and professional managers and their function in the history.Chapter V, Review on Chiness Family Business Succession. Traditional China has long been characterized for its average distribution of heritage among inheritors. This chapter, however, focuses on the different succession ways from four different typical Chinese family businesses, namely, Le’s Family, Rong’s Family, Lieu’s Family and Nie’s Family in modern China. Cases studies from these failies and the comparison among them provides interesting connection between trust and family business succession which might be beneficial for this dissertations’s study.Chapter VI, Trust, Succession of Strong Ties and Family Business. By furthering the analysis on the relationship between trust and family business succession, this chapter focuses on the possible reason behind the formation of trust. Then the author furtheres to explore the succession of strong ties in family businesses and tries to find out the key points of the process.更多还原