家族企业代际传承中企业家默会知识和关系网络的传承机理研究

【作者】 窦军生；

【导师】 贾生华；

【作者基本信息】 浙江大学 ， 企业管理， 2008， 博士

【摘要】 作为一种古老的企业组织形式,家族企业在世界各地都大量存在和发展着,并对各国的经济发展和社会进步做出了卓越的贡献。然而,它们的持续成长却面临着代际传承的严峻挑战。据估计,只有30%的家族企业能够延续到第二代,能够将接力棒顺利传到第三代家族成员手中的仅为10-15%。目前,我国改革开放初期创业的第一代企业家普遍到了退休的节骨眼上,全国性的家族企业“接班时代”已经悄然到来。如何实现这些家族企业的顺畅传承,进而推动它们的持续成长,成为我国经济社会发展过程中亟待解决的一项紧迫课题。近年来,国内学者对该课题的研究虽日渐活跃,但仍明显落后于家族企业的传承实践。在此背景下,笔者选择了家族企业代际传承作为本研究的核心议题。通过对国内外家族企业代际传承理论研究脉络的梳理和前沿动态的追踪,笔者认为,家族企业代际传承是指一系列要素在代际间的传递或转移。除人们日常关注的所有权和管理权外,企业家默会知识和关系网络等也可能是需要传承的重要要素。可是,目前这些要素的体系还不够明确,不同要素间的相对重要性也尚未厘清,各要素在代际间传递或转移的过程机理更是没有得到深入研究。这些问题已经成为家族企业代际传承理论研究提升过程中的瓶颈性问题。为此,本研究分别在第三至第五章中,对这些问题做出了尝试性的回答。第三章对企业家个体层面的家族企业代际传承要素进行了系统识别。通过对41则媒体报道资料的结构化分析和对来自60家面临传承问题的家族企业调查数据的统计分析发现:企业家默会知识、企业家关系网络和企业家精神是家族企业代际传承过程中企业家个体层面需要传承的三大类要素,且企业家默会知识和企业家关系网络较企业家精神在传承中显得更为重要。在对三类要素内部诸成分相对重要性的判断上,企业家和企业家子女表现出了一定的差异。具体来讲,在企业家默会知识方面,企业家子女较为看重诀窍知识,尤其是管理经验类知识,而企业家对诀窍知识和心智模式重要性的判断则较为平衡。在企业家关系网络方面,企业家对其关系网络重要性的判断明显高于企业家子女,但他们都认为外部关系网络要比内部关系网络更需要传承。在企业家精神的诸维度中,企业家和企业家子女较为看重的是敬业精神和开拓精神,其它维度没有得到一致的认可。第四章重点研究了企业家默会知识代际转移的影响因素及其作用机理。在对知识管理领域关于知识转移影响因素的研究进行梳理的基础上,结合家族企业的特点,重点探讨了家族关系对企业家默会知识代际转移的影响。现有研究认为,家族关系可以从家族凝聚力和家族适应性两个维度进行刻画,而企业家默会知识的代际转移则可以从获取知识所有权和对知识的承诺两个维度进行测量。在本研究中,对一手经验数据的分析结果表明:家族凝聚力可以细分为家族亲密度和家族集体倾向两个子维度,获取知识所有权可以细分为诀窍知识获取和心智模式领悟两个子维度,而对知识的承诺则可以细分为诀窍知识承诺和心智模式承诺两个子维度。对来自中国96家样本企业经验数据的统计分析发现:家族亲密度对企业家默会知识代际转移的四个维度都具有显著或非常显著的正向影响,家族适应性仅对心智模式领悟维度有着显著的正向影响,而家族集体倾向对四个维度的影响均不显著。此外,对中介变量中介效应的检验结果显示,在任者-继承人关系对家族亲密度和企业家默会知识代际转移之诀窍知识获取维度存在完全中介效应,对家族亲密度和企业家默会知识代际转移之诀窍知识承诺维度存在不完全中介效应;家族成员的个人角色认同对家族亲密度和企业家默会知识代际转移之心智模式领悟维度存在完全中介效应,对家族适应性和企业家默会知识代际转移之心智模式领悟维度也存在完全中介效应。第五章着重对企业家关系网络代际传承的过程进行了分析。在对13家处于不同传承阶段的家族企业的创始人和/或继承人进行深度访谈的基础上,借鉴内容分析法的基本分析流程,笔者同另外两位编码员一起对访谈资料进行了结构化分析。主要研究发现可以归结为以下四点。首先,企业家关系网络的代际传承具有过程性、引导性、不完全复制性、重构性等四大特征。其次,在企业创始人和继承人看来,最需要传承的外部关系网络节点是政府,接下来是客户、银行和供应商,最需要传承的内部关系网络节点主要是由包括创业元老在内的核心技术人员和管理人员组成的团队。再次,对“自然”传承的家族企业而言,企业家关系网络的代际传承过程大致可以划分为五个阶段,分别是:传授关系理念,做好传承准备;梳理网络结构,明确节点关系;引入父辈圈子,传递交接信号;父辈逐步淡出,节点代际过渡;拓展关系节点,重组网络结构。最后,从总体上看,企业家关系网络的代际传承过程遵循着“先内后外,逐步推进”的规律。在内部关系的代际传承过程中,家族企业通常会让继承人从自己的优势点或易出成绩的点切入,尽快做出成绩,靠成绩赢得大家的认同和接受;在外部关系的代际传承过程中,大多数企业都会选择从偏重“经济”的商业关系(比如供应商和客户等)着手,逐步向偏重“人情”的社会关系(最为典型的当属政府)推进。论文的创新点主要集中在以下三个方面:(1)系统识别了企业家个体层面的代际传承要素。识别家族企业成功传承的影响因素,进而促进它们的顺畅传承,是该领域理论研究的首要目标。要想实现该目标,首先必须对传承的结果作出科学的评价。家族企业的代际传承意味着一系列要素在代际间的传递或转移,因而对传承结果的评价也应该从多个角度针对不同的要素分别展开。但是,现有研究基本上都是在将管理权和所有权的代际延续“锚定”为家族企业成功传承的结果表征的前提下进行的。由于缺乏对家族企业代际传承要素的系统认识,研究成果还显得比较零散,不同研究之间的可比性和继承性不高。本研究通过理论分析和实证检验,以传承的主要当事人(创始人和继承人)为核心,系统识别了企业家个体层面的代际传承要素,有助于提高研究者们对家族企业代际传承现象的全面认识,提升研究的系统性和成果的继承性,并有助于该领域研究从“组织”向“个体”的延伸与深化。(2)理论分析并实证检验了家族关系对企业家默会知识代际转移的影响机理。企业家所拥有的默会知识是家族企业竞争优势的重要来源,能否实现这些知识的代际转移,对家族企业代际传承的成败至关重要。可是,当前家族企业代际传承研究主要还是关注了物质资本,对知识资本的研究明显不足。本研究在识别出企业家默会知识所需传承成分的基础上,分析了家族关系对企业家默会知识代际转移的影响机理,丰富了家族企业代际传承研究的理论视角。同时,本研究对家族关系、家族成员对企业的承诺、家族成员的个人角色认同等家族企业领域特有变量的深入考察,也在一定程度上改善了家族企业研究“借用”其他领域理论框架的局限性,有利于家族企业代际传承研究的知识积累,并能够在一定程度上推动家族企业代际传承理论从“背景”走向“内容”。(3)通过案例研究剖析了企业家关系网络的代际传承过程。企业家关系网络的重要性已获得共识,但是西方关于社会网络的研究较多的关注网络的内容和结构、结网过程、以及社会网络的前因和后果;而有关华人社会网络和“关系”的研究则主要沿着关系网和关系的分类与解释系统两个方向展开。目前,关于企业家关系网络和“关系”传承过程及路径的研究几乎还是一个“盲点”。本研究在对国内外有关社会资本、社会网络和“关系”研究文献进行梳理的基础上,以13家面临传承问题的中国家族企业为对象,通过案例研究对企业家关系网络代际传承的内涵及特征做出了明确的界定,识别了需要传承的关系网络节点,分析了它们在代际间传承的过程,有利于提高人们对企业家关系网络代际传承“质”的认识,并在一定程度上促进家族企业代际传承研究从“事件观”向“过程观”演进的实质性进展。家族企业代际传承研究在国内还比较年轻,本文也仅仅是对其中几个相对比较重要的问题作了初步的探索,未来研究还需要从多方面去提升家族企业代际传承的理论研究水平和完善家族企业代际传承理论体系。其中,对组织层面家族企业代际传承要素的识别、对不同要素之间关系的分析、以及对不同要素代际传承实现方式或途径的归纳等,都是值得进一步深入探讨的重要研究议题。更多还原

【Abstract】 Family businesses have been part of the business world from the beginning, and made an important contribution to the economic and social well-being throughout the world. However, they are not always smoothly sailing. It has been estimated that, internationally, only 30 percent of family businesses survive to the second generation, while approximately 10 percent to 15 percent make it beyond the third generation. In China, most of the first-generation family firms throughout the economy were founded after the Reform and Opening Up, and today their founders are confronting the realities of succession and retirement. Hence, it is quite clear how important it is to find measures to make their successions more efficient, so as to realize their continuing growth. In recent years, although great research efforts have been devoted to this topic and the research interest is increasing rapidly, it is still insignificant comparing to the sheer number of family firms in China and the number of owner-managers who are leaving leadership positions. Against this background, family business intergenerational succession is selected as the core subject of this research.In Chapter 2, a comprehensive literature study was conducted to gain deeper insights into the phenomenon of succession. By doing so, we found that family business succession should be a multi-dimensional phenomenon. Its success not only means the continuity of ownership and management, but also implies the preservation of one or more essential and unique core elements. However, although a number of elements have been suggested, this body of work is still highly fragmented and the relative importance of each of these elements as well as their transition process is still indistinct. This status seriously impedes the progress of the field of family business succession study. In this research, the succession elements will be systematically identified and their transition processes will be uncovered so as to bridge the gaps in the body of knowledge in this area.In Chapter 3, we systematically identify the succession elements at individual level of entrepreneurs. First, a brief literature review was conducted. Then, 41 media reports were structurally analyzed and data collected from 60 family firms facing succession issues were statistically analyzed. The empirical results indicate that the entrepreneurial tacit knowledge, the entrepreneurial network, and the entrepreneurial spirit are three kinds of important elements that need to be transferred besides wealth and power. In the entrepreneurial tacit knowledge transfer process, the predecessors usually regard the know-how as important as mental models, while the successors pay more attention to the know-how especially the managerial experience. About the entrepreneurial network, compared with their children, entrepreneurs rate the entrepreneurial network higher in the rating of succession elements, but they both consider that external networks are more important than internal networks. Results also show that both entrepreneurs and their children recognize diligent and exploitation need to be transferred, while other dimensions of entrepreneurial spirit have not been unanimously approved.In Chapter 4, we mainly explored the influencing factors of the entrepreneurial tacit knowledge intergenerational transfer performance as well as their functional mechanism. Draw on the literatures of influencing factors of knowledge transfer and the influence of family relationships on family business succession process, the influence of family relationships on the entrepreneurial tacit knowledge intergenerational transfer was tested. In our conceptual model, family relationships were measured by two specific variables namely family cohesion and family adaptability, while the intergenerational transfer performance of entrepreneurial tacit knowledge by two dimensions called knowledge ownership obtaining and commitment to the knowledge. However, the first-hand data showed that the variables of family cohesion, knowledge ownership obtaining and commitment to the knowledge can be further broken down, respectively, into another two dimensions: family cohesion by family familiarity and family collectiveness, knowledge ownership obtaining by know-how obtaining and mental models apperceiving, commitment to knowledge by commitment to know-how and commitment to mental models. In this chapter, all of the hypotheses were tested using data collected from successors in 96 Chinese family firms facing succession issues by survey questionnaire. The results show that family familiarity positively influences all of the four dimensions of the intergenerational transfer of entrepreneurial tacit knowledge, family adaptability merely influences the mental mode apperceiving dimension, while family collectiveness completely has no influence on each of the four dimensions. Incumbent-successor relationship has a complete mediating effect on family familiarity and know-how knowledge obtaining dimension, and has an incomplete mediating effect on family familiarity and commitment to know-how dimension. The mediating effects of the variable of family members’ mutual acceptance of individual roles on both family familiarity and family adaptability and mental models apperceiving were also supported.In Chapter 5, the intergenerational transfer process of the entrepreneurial network was analyzed. By in-depth interview with 3 incumbents and 11 successors in 13 family firms, we collected abundant data and conducted a structured content analysis. The main findings are as follows: Firstly, the major characteristics of the intergenerational transfer of the entrepreneurial network can be generalized into four aspects: "processness", "guideness", incompletely "copiness", and "reconstructive-ness". Secondly, government, in the eyes of founders and their successors, is the most important external network tie that needs to be transferred, followed by customers, banks and suppliers. While the team composed of core technical staffs and managers, including veterans who have worked with the founder from the start of the firm, is the most important internal network tie that needs to be transferred. Thirdly, for those natural successions, the intergenerational transfer process of the entrepreneurial network can be divided into five distinct but interdependent stages: inculcating concept of guanxi and preparing for the succession; deciphering network structures and clarifying relationships among ties; introducing next-generation into the existing network and sending signals of succession to network players; diminishing founders’ involvement and transferring relationships to successors gradually; expanding network scope and reconstructing network structures. Finally, the network ties are gradually transferred from internal ones to external ones. In the transfer process of internal ties, successors often start from departments where they have professional advantages or positions where it is easier to achieve success. While the external ties, start with commercial relationships emphasizing economy, then the social relationships which emphasize renqing.Compare with previous studies, the following aspects are unique points of this research:(1) Identification of the factors influencing family business succession has always been a hot topic in the literature, a number of "mature" variables were repeatedly verified by studies from different countries and regions, meanwhile some "strange" variables have also begun to arouse the scholars’ attentions. However, majority of the previous studies were conducted in a precondition that successful succession means the continuity of management and ownership. As there is a lack of systematic identification of succession elements, the influential factors identified remain highly fragmented, making it difficult to draw firm conclusions. This dissertation systematically identified the succession elements on the individual level of entrepreneurs by integrating the normative and empirical analysis processes, which can help to promote the progress of theoretical research of family business succession fundamentally.(2) The intergenerational transfer of entrepreneurial tacit knowledge, which is one of the most important sources of family firms’ competitive advantages, is a major challenge facing the family firms’ continuity. However, most of the current family business succession studies paid their attentions to the physical capital. In this dissertation, the elements of entrepreneurial tacit knowledge need to be transferred were identified, and the influencing mechanism of family relationships on the entrepreneurial tacit knowledge intergenerational transfer performance was studied through theoretical analysis and empirical testing. This will be helpful to enrich the perspective of family business succession research. Furthermore, variables unique to the field of family business study such as family relationships, family members’ commitment to the firm, and mutual acceptance of individual roles, were also investigated, which can help to improve the embarrassed status in family business study of borrowing theoretical framework from other fields. All these will be helpful to accelerate the knowledge accumulation in this field and to impulse the family business succession study from "context" to "content" in certain extent.(3) A broad consensus has emerged among scholars that entrepreneurial networks play a central role in successful firm emergence and growth. So far, social network researchers have been devoting most efforts into such topics as network contents and structures, process of social networking, antecedents and consequences, and the Chinese guanxi researchers have been paying more attention to the description of the situation of guanxi network and the classification and its explanation systems. While there has been relatively little attention devoted to the succession of entrepreneurial network within family firms. Draw on theories of social capital, social network, and guanxi, the dissertation explicitly defined the meanings and characteristics of entrepreneurial network succession, identified the network ties that need to be transferred, and analyzed their intergenerational succession process using data collected from 13 Chinese family firms facing succession issues. The results provide a powerful tool for understanding the nature of entrepreneurial network succession within the family business, and impulse the family business succession study from "incident view" to "process view" in certain extent. The field of family business succession study is still very young in China, and only a few relatively important issues were studied in this dissertation. The improvement of the theoretical research quality and the systematization of the family business succession theory still need more scientific research from a number of different perspectives. In future research, the identification of succession elements at organizational level, the analysis of the relationships between different elements, and the clarification of the means and modes in which the entrepreneurial network is transferred, are all interesting topics that require in-depth study.更多还原