【作者】 张丹；

【导师】 张明玉；

【作者基本信息】 北京交通大学 ， 企业管理， 2007， 博士

【摘要】 家族企业是商品生产中出现最早的一种企业形式，它的数量最多、内部结构和关系最为复杂、规模差异也最为显著。美国福特、杜邦等大型跨国公司都是从家族企业逐步发展壮大起来的。目前在全世界的企业中，由家族所有或经营的企业最保守的估计在65-80％之间。中国转型期家族企业经过20多年的快速发展，已经成为推动中国经济增长和结构调整的重要力量之一。目前，处于创业和成长阶段的家族企业大多采用所有权与经营权两权合一的古典式家族企业组织形式，随着社会主义市场经济的逐步建立和完善，家族企业接下来该如何发展和演进，则是一个急待研究的课题。本文的研究目的是以家族企业为研究对象，通过构建家族企业轨迹交叉-社会化演进模型，来探讨家族企业的演进趋势及其动力，使人们加深对家族企业组织形式本身及其与社会经济制度环境之间的互动变迁关系的认识，以期为进一步推动中国转型期家族企业的社会化进程奠定基础。本文的主要研究内容包括：1、从家族企业在世界范围内大量存在的事实出发，阐述目前家族企业研究的特殊理论和实践意义，并根据文献归纳的结果，指出以往研究的不足，在此基础上，提出本研究所聚焦的问题及其现实意义。2、概括了当前关于家族企业的几种主要定义，在此基础上提出了本文关于家族企业的界定，然后总结了家族企业的特点、类型、及效率，并分析了家族企业的生命周期，最后分析了我国转型期家族企业的发展演进。3、分析西方发达国家和地区尤其是美国、德国、意大利、日本、及东南亚各国家族企业发展历程、成功经验及演进特点，从而获得启示。4、明确提出了家族企业社会化的概念，以及“轨迹交叉”一词的由来：分别从人力资本、物质资本、管理模式、企业文化四个方面揭示家族企业演进过程中存在的社会化趋势及其内在规律，通过构建家族企业轨迹交叉-社会化演进模型，论证了人力资本轨迹交叉、物质资本轨迹交叉、管理模式轨迹交叉和企业文化轨迹交叉是推动家族企业社会化进程的源动力。5、推导出人力资本社会化指数、物质资本社会化指数、管理模式社会化指数和家族企业社会化综合指数测算公式，并进行实证检测，从而为家族企业的社会化水平定量测定提供依据。并分析了家族企业社会化演进的制约因素、提出相关建议。本文主要创新点包括：1、创造性的将家族企业的社会化演进过程称为“轨迹交叉”，并构建了“轨迹交叉-社会化演进模型”；分别从人力资本、物质资本、管理模式、企业文化四个方面揭示家族企业演进过程中存在的社会化趋势及其内在规律，指出人力资本轨迹交叉、物质资本轨迹交叉、管理模式轨迹交叉和企业文化轨迹交叉是推动家族企业社会化进程的源动力，家族企业的永续发展只有在不断的轨迹交叉中才能够实现。2、构建人力资本轨迹交叉与控制权转移互动模型，通过对各个时期人力资本轨迹交叉与控制权的转移以及企业的成长速度三者之间关系的论述，得出人力资本的轨迹交叉是家族企业成长的关键。3、构建管理模式轨迹交叉模型，指出家族企业发展演变的四个阶段，就是家族企业向现代企业转化的四级阶梯，家族企业每一级阶梯的跨越，必然是两种轨迹的交叉融合；原有轨迹的突破，新轨迹的形成过程，也是家族企业管理模式的变迁过程。4、构建轨迹交叉三维模型，指出家族企业治理结构的演进是不断随人力资本轨迹交叉和物质资本轨迹交叉的变化而发展演化的过程。人力资本轨迹交叉和物质资本轨迹交叉的不断变化是家族企业治理结构演进的源动力，最终推动家族企业向社会化的方向演进。5、推导出人力资本社会化指数、物质资本社会化指数、管理模式社会化指数和家族企业社会化综合指数测算公式，并进行实证检测，从而为家族企业的社会化水平定量测定提供依据。更多还原

【Abstract】 Family business, as emerged in the process of commodity production, is the earliest form of enterprise as well as the largest number, most complicated inner structure, and the biggest differences in scale. Large-scale multinational corporations such as Ford and Du Pont are all developed from the family business step by step. At present the amount of family business is about 65-80% in the whole world.In the twenty years after the reform and opening-up policy, Chinese family business of the period of transition which has become the most active and important part of Chinese economy, has got its sustainable development. At present, the classical frame work characterizing with ownership and control is mainly adopted by family business in the phases of throwing in and growing up in China. The researches in to development and evolution of classical family business are the imminent problems along with the socialism market economic system is establishing and perfect.This article is to take family business as object of research, and comes to discussion evolution tendency of the family business and their motive force by carrying out family business Track Crossing- Socialization Evolution Model. It make people deepen the understanding of the interaction between the organizational form of family business and the social environment of economic institution, for expecting to laid a foundation for driving the process of socialization about Chinese family business of the period of transition.The main content are as follows:1. According to the fact that family business existed in a great quantity inside of world scope, this article elaborated special theories and practical significance about the research of family business. Then indicate the deficiency, and practical significance of this article.2. First summarized several kinds of main definition about family business, and bring forward the definition in this article. Then generalized the features、types、and efficiency about it. Last it analyzed the life cycle and evolution about Chinese family business of the period of transition.3. Analyzed the evolution and successful experience of family business in western developed countries and region, especially America、German、Italy、Japan、southeast asia. And we got revelation from it.4. Definitely brought forward the concept about "Family Business Socialization" and "Track Crossing. Revealed the tendency from four aspects such as human capital、material capital、 management pattern and business culture. Through the foundation of family business "Track Crossing- Socialization Evolution Model", it indicated human capital Track Crossing、material capital Track Crossing、 management pattern Track Crossing and business culture Track Crossing are the motive force for driving the process of socialization.5. Deduced out the human capital socialization exponent, the material capital socialization exponent, the management pattern socialization exponent, business culture socialization exponent and calculation formula of socialization integration exponent, and did discriminatory analysis. So it provided the base for socialization calculation.The main novelties are as follows:1. This article named the process of socialization evolution about family business as "Track Crossing" for the first time, and carried out family business "Track Crossing-Socialization Evolution Model". It Revealed the tendency from four aspects such as human capital、material capital、 management pattern and business culture. And indicated human capital Track Crossing、material capital Track Crossing、 management pattern Track Crossing and business culture Track Crossing are the motive force for driving the process of socialization. The sustained development would be achieved during the "Track Crossing".2. This article carried out the interaction model between human capital Track Crossing and Control right transferring. The model discussed the relations among the three concepts: human capital Track Crossing, Control right transferring and growth speed of family business, and drew a conclusion that human capital Track Crossing is the key to the growth.3. This article carried out the management pattern Track Crossing model. It pointed out that the four stages on the development of family business are the four ladders to be modern enterprise. When family business leapfrogging one ladder, it must be the fusion of two tracks, that is the evolution of management pattern.4. This article carried out the Track Crossing 3DM. It pointed out that the evolution administration structure is the proceeding of changing with human capital Track Crossing、material capital Track Crossing. They are also the motive force, and driving the process of socialization. 5. This article deduced out the human capital socialization exponent, the material capital socialization exponent, the management pattern socialization exponent, business culture socialization exponent and calculation formula of socialization integration exponent, and did discriminatory analysis. So it provided the base for socialization calculation.更多还原