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温州民营企业发展的调查与思考
——以嵌入结构视角研究社会资本
在中国民营企业 发展中的作用
INVESTIGATIONS
& THOUGHTS ABOUT THE DEVELOPMENT OF
WENZHOU PRIVATE ENTERPRISES
——Studying the effect of social capital on the development
of
China’s private enterprises from an embedded structural
perspective
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| [Extract]:
Both the social capital and the development of China’s private
enterprises are hot issues at present. As a new concept, the
former, social capital is enthusiastically and widely applied,
but is also widely misunderstood. The development of China’s
private enterprises, the later, has aroused the attention
from academic circles because of China’s reform and opening
up to the outside world, and its rapid development and growth
in Wenzhou area, the investigation target of this paper, in
particular, was given the title of “Wenzhou Mode” due to
its legendary uprising. Starting from the social capital concept
based on Thomas Ford Brown’s “systemism” (a three dimensional
analysis to define social capital at micro, meso and macro
levels), the paper proposes a theoretical assumption: the
prerequisite of acquiring of social capital, that is, getting
resources for the development of private enterprises, is an
individual ego’s embeddedness in a social capital network
to this network’s structure, the author proved his assumption
by citing evidence from the S district in Wenzhou area. |
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| [内容简介]：社会资本和中国民营企业的发展都是目前颇受关注的问题。前者，社会资本，作为一个新概念，在被广泛而热情的运用的同时，也在被普遍的误解；后者，中国民营企业的发展由于中国的改革开放和自身的迅速壮大而获得了学术界的注意，尤其是本文的调查对象——温州地区，更是因其“传奇式”的崛起而被称为“温州模式”。本文试图从对社会资本的概念的探讨开始，以托马斯?福特?布朗教授的“系统主义”的社会资本概念为基础（从微观、中观和宏观三维角度去定义），提出了一个理论假设——社会资本的获取，即为民营企业的发展获取资源的前提条件是社会资本网络中的“自我”与这一网络结构的契合，并且通过我从温州S地区调查所获得的资料作为论据，证明了我的假设。 |
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| Twenty
years after China’s reform and opening up to the outside
world, Wenzhou has made outstanding achievement in economic
development due to a large extent to the rapid development
and growth of its private enterprises. Wenzhou is different
from most other areas in China in that, over 80 percent of
Wenzhou’s industrial output comes from private enterprises.
This special development mode of Wenzhou has aroused a wide
spread attention in the society and is called “Wenzhou Mode”.
During recent years, however, weaknesses of this Wenzhou mode
has exposed, and scholars started to criticize the mode. What
on earth is the exact “Wenzhou Mode”? What is its significance
to the development of China’s private enterprises? In this
article, I probe into the nature of this mode with the concept
and theory of social capital. |
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改革开放二十年来，温州经济发展取得了令人瞩目的成就。而这些成就，在很大程度上得益于民营企业的迅猛发展和壮大。与中国的大部分地区不同，温州的工业产值有80%以上是来自于民营企业。温州这种特殊的发展模式，引起了社会的广泛关注，并被人们称为“温州模式”。但近几年来，随着“温州模式”弊端的暴露，又有很多学者开始批评它的不足。那么到底何为“温州模式”？它对中国民营企业的发展带来了什么?在这篇文章中，我准备运用社会资本的概念和理论探讨这种模式的本质。
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I.
THEORIES REVIEW AND THOUGHTS
As a relatively young concept, social capital has been actively
used by scholars from various circles and it is widely applied
to studying various social problems. Researches done on the
enterprise developments in commercial enclaves of ethnic minorities
and other little environments in foreign countries conclude
that social network has played an important role in the development
of social capital. “An Enclave is a highly concentrated area
of immigrant or ethnic minority enterprises, these enterprises
employ to a great part people of their won ethnic roots, and
they form a distinct presence in cities. Research on Chinatown
(Zhou 1992), on Little Havana in Miami (Portes 1987, Portes
& Stepock 1992, Perez 1992) and on the Koreatown in Los
Angeles (Light & Bonacich 1988, Nee et al 1994) has emphasized
that social networks there provide these enterprises with
crucial resources, these resources include but not limited
to the startup capital, commercial opportunities, market access
and cheap labors.” (Portes Alejandro) |
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一、理论回顾与思考
社会资本目前还是一个比较年轻的概念，各界的学者运用它的热情都很高，因此，它被广泛的应用在各种社会问题研究。在国外，与企业发展有关的有对少数民族的商业飞地和小环境的研究，其结论是：社会网络对起发展有重要作用。“飞地是移民的企业或者少数民族的企业高度密集的地区，它们雇佣的劳动力很大部分是同种族的，而且在城市中形成了自己的明显物质存在。对纽约唐人街的研究（Zhou
1992），对迈阿密的小哈瓦那的研究（Portes 1987,Portes&Stepock 1992,Perez
1992），对洛杉矶的高丽城的研究（Light&Bonacich 1988,Nee et al 1994）一直强调社群网络给那里的少数民族企业提供了关键的资源。这些资源包括，但不限于启动时的资本、商业机会的提供、市场进入以及廉价的劳动力。”（亚历山德罗?波茨） |
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| Because
of the special characteristics of the development of China’s
private enterprises, few foreign scholars has used the social
capital theory to study the development of China’s private
enterprises, and studies on China’s private enterprises with
network theories are mainly limited to overseas Chinese that
live outside the mainland, such as Mike Huff’s study on small
enterprises run by Chinese in Singapore, and East Asian Research
group’s study on Asian Chinese enterprise network. Researches
on the mainland with a social network approach are done mostly
by Wald and Lin Nan. “By interviewing Mainland Chinese in
Hong Kong, Wald has studied state-owned enterprises of China
before reform and opening up and proposed that there was principled
specialism in China’s state owned enterprises. Professor
Lin Nan of the University of Chicago, in one of his studies
on Daqiu village, put forward the concept of local market
network, and considered the structural changes after reform
and opening up as the formation of a local market network.”
(Zhang Qizi, 1999) |
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| 由于中国民营企业发展的特殊性，运用社会资本理论研究中国民营企业发展的国外学者很少，只有一些运用网络理论的实证研究涉及到企业方面的，但重点是大陆以外的华人。如迈克豪夫对新加坡华人小企业的研究和东亚研究小组关于亚洲华人企业网络的研究。而运用社会网络方法直接针对大陆的研究主要有沃尔德和林南。“沃尔德通过对到香港的大陆居民的访谈，研究了改革开放前我国的国有企业，提出了我国国有企业中存在着有原则的特殊主义的观点。美国芝加哥大学的林南教授，在他所做的一项关于大邱庄问题的研究中，提出了地方性市场网络的概念，把改革开放后的结构性变化概述为地方性市场网络的形成。”（张其仔，1999） |
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| In
China, theories on the relationship between social capital
and the development of China’s private enterprises are scarce
with Li Lulu’s research on social capital and private entrepreneurs
being the most representative. (Li Lulu, 1995) By analyzing
a national sample survey done in 1993 on private enterprises,
Li Lulu pointed out that:” Private entrepreneurs’ relations
with their relatives and friends, and with their professional
and power status in particular, are very important for them
to access the private economic filed, get the needed resources
and develop their private enterprises. In my opinion, there
are two problems in Li’s use of social capital theory. First,
in terms of social capital concept, he identifies social capital
with social relations. “The social capital of entrepreneur,
that is, what kind of social relations does he have, is shown
in two indicators, his closest friend or relative he chose
to associate with, and the difference of social capital, marked
by his friend or relative’s position or status in his work
and in the state administrative power system.” In fact, social
relation is only part of social capital, not the whole of
it. Second, Li Lulu’s research is done at meso level and
is static, ignoring the proactive and particular ego in the
social capital network. Li Lulu’s purpose was to “ascertain
the effects of various factors on the transformation of China’s
social structure and the extents of these effects, to understand
the special characteristics of China’s social structural
transition to a market economy system by analyzing the effect
of social capital and enrich our theories about social structural
changes.” Because of this aim, his research is done at meso
and macro levels, he is concerned with the specific ways the
resources flow in a particular social network structure, to
him, every network nodes are identical and static. Therefore,
in his assumption “China’s private entrepreneurs are the
outcome of changes in China’s structural system, the effects
of social capital on social status and allocation of resources
should be more pronounced on them.”, private entrepreneurs
are only the manifestations of the effects of social capital,
they’re not regarded as proactive users. |
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| 在国内，研究社会资本与中国私营企业发展关系的相关理论也不多见。其中较有代表性的有李路路对社会资本与私营企业家的研究。（李路路,1995）李路路通过对1993年私营企业所作的全国性抽样调查资料的分析指出“私营企业家与他的亲戚和朋友的关系，特别是这些亲戚和朋友的职业地位和权利地位，对他们进入私营经济领域、获得资源和私营企业的发展等方面，都有重要作用。”我认为,
在这篇论文中, 李对社会资本理论的运用主要存在两方面的问题: 首先, 在社会资本的概念上, 李路路把社会资本等同于社会关系——“企业家的社会资本、即企业家拥有社么样的社会关系，主要由两个指标来表示，即企业家本人所选择的、与他来往最密切的一个亲戚和朋友；社会资本的差异，用这个亲戚和朋友的职业地位和在国家行政权力系统中的职务地位来标志。”但实际上，社会关系只是社会资本的一种表现形式，而不是社会资本全部内容。其次,
李路路的研究是中观意义上的和静态的, 而忽略了社会资本网络中的“自我”的能动性与特殊性. 李路路的出发点是“确定各种不同因素在中国社会结构转变过程中的作用，以及作用的程度，通过分析社会资本的作用及作用程度，去认识中国社会结构变迁和向市场经济体制过度的特点，丰富我们关于社会结构变迁的理论”。这样一个出发点使得李路路的研究是中、宏观意义上的——他关注的是特定的社会网络结构下，资源在其中流动的特殊方式，每一个网络结点在这里是无差异的和静态的。因此，李的假设是“中国的私营企业家是体制变革的产物，社会资本在决定社会地位、影响资源分配等方面的作用，在他们身上表现得应该更为明显。”在这一假设中,
私营企业家，是社会资本发挥作用的表现，而不是能动的使用者。 |
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| Besides
Li Lulu, Zhang Qizi, Bian Yanjie and other scholars has also
studied the relations between social capital and the enterprise
development from different angles. In general, they all stress
or ignore certain respect of the social capital concept.
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| 除了李路路,
张其仔、边燕杰等人也都从不同的角度探讨了社会资本与企业发展的关系。但是，总的来说，他们的大都是对社会资本概念某一方面的强调和忽视。 |
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| In
face of this research status about the relations of social
capital and private enterprises development, I will start
with the definition of the social capital concept, propose
a dynamic approach in social capital researches and give sufficient
attention to the proactive ego in a network structure.
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| 针对社会资本与私营企业发展关系的研究现状，我准备从对“社会资本”的概念的定义开始，提出动态的研究社会资本的方法，并在讨论中，充分重视网络结构中的“自我”的能动性。 |
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| Different
scholars have given the social capital concept different definitions
to serve their own research needs in their respective fields
and research targets. American professor Thomas Ford Brown’s
“Systemism” is my favorite definition of the concept. “Social
capital is a processual system for allocating resources across
a social network according to the pattern of relations among
the individual egos that comprise the network.” The individual
egos, pattern of relationship ties among the egos and the
greater social ecology are the micro, meso and macro levels
of the system, they’re the components (individual egos),
structure (pattern of relationship ties among the egos), and
environment (greater social ecology) of the social capital
system. |
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| 关于社会资本的概念，不同的学者从各自的研究领域和研究对象出发，给予了不同的界定。我比较偏向与美国的托马斯?福特?布朗教授的“系统主义”——“
社会资本是按照构成社会网络的个体自我间的关系类型在社会网络中分配资源的过程的系统。”其中，个体自我、联结自我的关系类型和社会大生态，分别属于微观、中观、宏观三个层面，他们是社会资本系统中的要素（个体自我）、结构（联结自我的关系类型）和环境（社会大生态）。
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| The
merits of Thomas Ford Brown’s definition are: (1) Systemism
implies a three-dimensional analysis that integrates well
the individual egos in a network with the network structure,
taking into considerations each proactive egos as well as
the characteristics and influence of the whole network; (2)
He emphasized that this is a processual system that indicates
the interactive relations between components, structure and
environment, giving the system a dynamic feature. |
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| （托马斯?福特?布朗）这一定义的优点是：（1）因为采取了三维的分析方法，他把网络中的自我和网络结构很好的包容在一起，这样既可以考虑到每一个自我的能动性，又能关注到整个网络的特点和影响；（2）他强调这是一个过程的系统，也就是指出要素、构成和环境三者之间的互动关系，使得整个理论呈动态特征。 |
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| Professor
Brown further explained this three-dimensional analysis:”
The micro level of social capital analysis I call the embedded
ego perspective. At this level, we are considering an individual
ego's potential to mobilize resources through the social network
in which the ego is embedded. Here, our focus is on individual
nodal outcomes, but considered within the context of a particular
social structure. The meso level of social capital analysis
I call the structural perspective. At this level, we are considering
the structuration of a specific network of social capital,
the patterning of ties between egos in that network, and the
ways that resources flow through the network as a consequence
of its particular structure. Here, our focus is on the process
of network structuration and its distributional implications,
rather than on the individual egos that comprise the network.
The macro level of social capital analysis I call the embedded
structure perspective. At this level, we are considering the
ways that a particular network of social capital is embedded
in a system of political economy, and embedded in greater
cultural or normative systems. Here, our focus is on "external"
cultural, political, and macroeconomic influences on the nature
of social ties in a network, influences on the structure of
the network, and influences on the dynamics of the network's
construction, change, and devolution.” (Thomas Ford Brown)
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| 布朗教授进一步解释了他的三维分析法：“我把微观层面的社会资本的分析称之为嵌入自我的观点。在这个层面上，我们将讨论个体自我通过社会网络（自我包括在内）调动资源的潜力。我们这里关注的是个人的结果，不过是在特定社会结构的情境中来考虑。我把中观层面的社会资本分析称之为结构的观点。在这个层面上，我们将讨论社会资本特定网络的结构化，该网络中的自我之间联系的定型，以及资源因其特殊结构而通过该网络流动的方式。我们这里关注的是网络结构化的过程及其分布的影响，而不是构成网络的个体自我。我把宏观层面的社会资本分析称之为包含结构的观点。在这个层面上，我们将讨论特定社会资本网络包含在政治经济体系中的方式，以及包含在更大的文化或规范体系中的方式。我们这里关注的是‘外在’文化、政治和宏观经济对网络中的社会联系的性质的影响，对网络结构的影响，以及对网络构建、变化和转移的动力的影响。”（托马斯?福特?布朗） |
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| Based
on this theory and taking into consideration of the specific
circumstances of the S district of Wenzhou area, I classified
the ideal ego into the following two types: (1) Traditional
type, represented by special trusts among individuals that
have mutual blood, emotional and regional ties, and an “inborn”
repulsion towards people outside their circle; (2) Modern
type, kinship is not used as the only or main criteria for
judging people’s trustworthiness, they’re more willing to
see if others are trustworthy through long term cooperation
and they don’t keep their doors shut to strangers. |
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| 根据这一理论，结合温州S地区的具体情况，我把自我的理想类型分为以下两种：（1）传统型，表现为对于和自己有血缘关系和以此类推的情缘、地缘关系的人具有特别的信任，而对于此圈以外的人则具有“天生的”排斥心理。（2）现代型，指不以血缘关系作为衡量他人是否可信的唯一，甚至是主要的标准，他们更愿意通过长期的合作，来判断别人的可信度，不排斥陌生人。 |
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| I
classify the structure, the pattern of relationship ties,
of social capital into the following two ideal types: (1)
The traditional encapsulated type, a community bonded by close
blood, emotional and regional ties, people inside the community
have a high mutual trust toward each other, and discriminate
against those outside the circle. The closer one is to the
center of the relation, the more trust he can get, and therefore
more economic resources. (2) Modern open type, not restricted
by the blood, emotional and territorial ties, common bonds
are formed by long term mutual beneficial cooperation, in
this type of community, people associate with each other for
the purpose of maximum individual gains. |
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| 我把社会资本的结构——自我的关系类型划分为以下两种理想类型：（1）传统封闭型，是指以血缘、情缘、地缘为纽带联系起来的一个共同体内，共同体内部具有高度的信任度，对于共同体外的人具有排斥性。离关系中心的自我越近，越可能被信任并获取经济资源。（2）现代开放型，指不受“三缘”关系的限制，经过长期的互惠互利的合作后形成认同关系，在这个共同体内，自我以追求利益最大化为目的而进行交往。 |
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| The
ideal individual ego types are classified on the micro level
while the structural ideal types are classified on the meso
level. The effect of macro environment is materialized in:
when the environment changes, the structure of social capital
will change accordingly, and the changing trend is: when the
society opens up gradually, market economy becomes more salient,
and traditional culture is being shocked by plural cultures,
the social capital structure will shift from traditional closed
type to modern open type. During the course of this structural
shift, the individual egos that embed in the structure must
also make appropriate transformations to the form and scale
of their social network as well as their concept of value,
morality, belief and other thing behind the network. If they
fail to make the transformation, they will not be able to
set up new social capital when they has run out of their former
social capital, and the development of their enterprise will
be affected. Therefore, the assumption of our theory is: when
an individual ego type fits well the structure type of social
capital, it will be able to mobilize resources across the
social network to facilitate its economic development, and
conversely, if the individual ego cannot fit in with the structure
of social capital, it will lose the ability to mobilize resources
and its economic development will be hindered. I will use
the following case studies to prove my assumption.
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| 自我的理想类型是微观层次上的划分；社会资本结构的理想类型则是中观意义上的；而宏观环境的影响则体现在：当环境改变时，社会资本的结构会随着改变，其趋势是：当社会逐渐开放，市场经济的地位越来越显著，传统的文化被多元的文化所冲击时，社会资本的结构就从传统封闭型向现代开放型转变。在这种结构的转变中，嵌入其中的自我也必须转变其社会网络的形态和规模，以及与这种形态规模相适应的价值观念、道德、信仰等网络背后所积淀下来的东西。如果，这种转变失败，那么自我在以前的社会资本被消耗殆尽时就无法建立起新的社会资本，企业的发展将被牵制。因此我们的理论假设就是：当自我类型与社会资本的结构类型相适应时就可以调动资源以利于经济发展；相反当自我类型与社会资本结构类型相左时，个人就会丧失这种能力，甚至会阻碍自身的经济发展。下面我将用对温州民营企业的调查结果分析来证明我假设。 |
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II
CASE STUDIES
My investigation targets are two private companies in the
S district of Wenzhou city, these two companies has grown
into two large business groups, H group and Z group. I will
prove my above theoretical assumption with the materials I
collected from the following three respects: (1) Success of
traditional ego type in traditional closed structural type
of social capital; (2) Failure of traditional ego type in
modern open structural type of social capital; (3) Success
of modern type of ego in modern open structural type social
capital. |
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二、案例分析
我这次调查的主要对象是温州市S地区的两个民营公司，现在都已发展为规模较大的集团——H集团和Z集团。对于上文提出的理论假设，我将利用搜集的资料，从：（1）传统类型的自我在传统封闭型的社会资本的结构中的成功；（2）传统类型的自我在现代开放型社会资本结构中的失败；（3）和现代类型的自我在现代开放型的社会资本结构中的成功三个方面去证明。 |
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| (a)
Successful Acquirement of Traditional Closed Type of Social
Capital------Effect of Blood, Emotional and Territorial Ties.
|
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| （一）、传统封闭型社会资本的成功获取——血缘、情缘、地缘关系的作用 |
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| In
the early stage of China’s reform and opening up, the “household
factories” had grown so fast in the countryside that a large
economic colony was soon emerged, and the central party committee
and the state council stunned. What power causes a poor region
with lots of surplus labor, little state investment, very
poor transportation facilities and infrastructure to grow
in a short time into a wealthy region with 130,000 household
factories whose industrial output accounts for nearly 60 percent
of the city’s total? (Fei Xiaotong). After interviewing and
investigating several large enterprise groups in the S district
of Wenzhou city, I found out their successes was due to a
large part to their blood, emotional and territorial ties
in their social networks, which enable them to get all the
elements necessary to their enterprise development at a very
low cost. And this is the essence of the commonly noted “Wenzhou
Mode”. |
| |
| 中国的改革开放之初，温州农村的“家庭工厂”迅速崛起，并迅猛发展为规模宏阔的一个经济群体，直至惊动了党中央、国务院。是什么力量使一个剩余劳动力很多，国家投资很少，交通资源基础设施又很差的地区的“家庭工业户达到13万户，产值占了全市农村工业总产值近60%”？（费孝通）在我对温州市S地区的几家规模较大的集团的访谈与调查中发现，他们成功的创业，在很大程度上都归功于他们可以利用社会网络中的血缘、情缘、地缘关系，低成本的获得企业发展的各种关键要素。这也就是人们常讲的“温州模式”的本质所在。 |
| |
| Case
Study 1: L is the chairman of H group in S district of Wenzhou
city, his group now boasts of 380 million yuan of actual assets,
but he started the enterprise with only 20,000 to 30,000 yuan.
L personally told me his getting-rich history. With only junior
middle school education and handicraft learnt from employment,
L set up a household workshop at the end of eighties All the
labors in the workshop was himself, his younger sister and
three for four employees with about six to seven hundred yuan
assets 50 percent of which are borrowed from friends. The
workshop had run well and later he and one of his friends
each invest over 10,000 yuan and founded a transformer factory.
The products were mainly sold by: 1. Sell the product in the
brand name of a well-known state-owned enterprise; 2. Most
importantly sell the product to professional salesmen, the
so-called “Sales Army” that sell products all over the country,
they’re mostly relatives, friends, relatives of relatives
or friends of friends, and L got his information mostly from
them; 3. Retails, purchasers were mostly state owed enterprises.
L told me that because there were complete varieties of products
in S district, so lots of retailers came to area for purchases. |
| |
| 案例1：L
是温州市S地区的H集团的董事长，他的集团现实际资产约3.8亿元，但L 创业初期的总资本只有2到3万。L向我口述了他的发家史：凭借初中文化水平和打工学到的手艺，L在80年代末，办起了家庭作坊，当时的所有劳动力就是他、妹妹和3、4个雇佣工，资金有6、7百，50%来自朋友的帮助。后来生意做大后，与其好友个出1万多的资金，成立变压器厂。销售上，一是借靠当时小有名气的一家国营企业的牌子；第二，也是最主要的，是卖给当时专门在外面跑销售的人（被人们称为“销售大军”），而这些人大多为亲戚、朋友，或亲戚的亲戚、朋友的朋友，信息的获得也大多从此而来；第三就是在当地做零售业，买主大多为国企的采购员。L说，由于品种S地区的品种齐全，吸引了不少零售商。 |
| |
| Here,
the startup capital was helped by friends and relatives, the
sales of products, acquiring of commercial information and
the purchasing of raw materials has relied on relatives and
friends, the advantageous territorial relation and the special
division of labors in the region. The “Regional Economy”
in the whole region was benefited from social division of
labors. “The rise and development of household industries
in Wenzhou was composed of three major parts: (1) household
workshops; (2) specialized township markets; (3) 100,000 purchase
and sales army.” (Zhang Gensheng). If household workshop
was considered as individual ego’s utilization of relatives
and friends, the internal social relation network, then the
specialized market and purchase and sales personnel would
be the utilization of countrymen, the external social relation
network, these two are not entirely different, they overlap
under many circumstances. Therefore, we can see that the social
relation network constructed with blood, emotional and territorial
ties, and the mutual beneficial cooperative relations base
on it have provided the individual ego with lots of resources
and spared it lots of costs, they’re the key for the success
of farmer entrepreneurs. |
| |
| 在这里，企业的启动资本是靠朋友、亲戚的帮助；销售的途径、商业信息的获得以及原材料的购进既是依靠了亲戚和朋友，也是利用了有利的地缘关系和特殊的分工局面；整个地区的“区域经济”则是得益与当地人们的社会化大协作的局面。“温州家庭工业的兴起和发展，是由三个主要部分组成的：（1）家庭工业；（2）依托集镇的专业市场；（3）十万大军的购销员。”（张根生）如果把家庭工业看作是自我对于其内部社会关系网络——“亲戚、朋友”的利用，那么专业市场和购销员，则是外部社会关系网络——“同乡”的利用，当然这两者的并非泾渭分明的，他们有很多情况下是互相重合的。由此可见，以血缘、情缘、地缘为纽带构建的社会关系网络，以及基于此的互惠互利的合作关系为处于中心的自我提供了很多资源和节约了交易成本，它们是农民企业家的创业得以成功的关键。 |
| |
| (b)
Changes in Modern Open Type Social Capital-------Plight of
Family Type Management Mode |
| （二）现代开放型社会资本的转变——家族式管理模式的困境 |
| |
| At
the end of nineties, the invisible hand of market economy
has gain more and more controls over commercial competition,
at the same time, the former family factories has gradually
become limited liabilities companies to suit the needs of
new economy, politics and their own development. I’ll still
take L as an example, after ten years of development, L set
up H group in 1996 after taking in enterprises from his relatives
and friends. The group’s development accelerated two years
after it was founded, and the State Industrial and Commercial
Administration has approved the group to remove the regional
restriction from its name. In order to suit the development
need of the enterprise, the group has reformed its ownership
system in 1999 and set up H Group Co Ltd to become formally
a shareholding company. At present, H Group Co Ltd has a total
of 18 shareholders, chairman L has about 65 percent of the
total shares, and the rest shareholders take about one to
five percent stakes in the company. The company now has grown
large in scale; it ranks the 6th to 8th place among similar
enterprises in the area, and is one of the top 30 enterprises
in Wenzhou city. However, the setting up of Co Ltd didn’t
offer the enterprise a sustainable development, problems concerning
the separation of rights of ownership and management, allocation
of responsibilities, modernization of management and qualification
of employees are yet to be solved, and these problems has
become handicaps to the company’s development. |
| |
| 90年代末期，市场经济那只看不见的手，在越来越大的程度上影响着商业竞争，与此同时，温州原有的家庭工业也都渐渐的转变为“有限责任公司”以适应新的经济、政治形式和企业自身发展的需要。仍以L为例，经十年的创业发展于1996年创建了H集团，吸纳了亲戚、朋友的一些企业加盟。组建集团两年后，发展加快，于1998年经国家工商总局批准更名为无区域的H集团。1999年为适应企业发展的需要，对产权制度进行改革，组建了H集团有限公司，正式实施行股份制。目前，H集团有限公司共有股东18名，公司董事长L占总股本的65%，其余各股东所占股份为1%——5%不等。公司目前已形成了较大的规模。在当地23个同类企业中的排名为6到8名，在温州百强企业中排20多位。但是，“股份有限公司”的成立并没有带来长久持续的发展，两权的分离、责权的分配、管理的现代化、人员素质等问题并没有真正解决，他们成为制约公司发展的因素。 |
| |
1.
In terms of the company’s organizational structure, the enterprise’s
individual ego type is still a traditional one.
Table 1 H Group Share Holders
Relatives Friends Other
Number of Shareholders 8 5 5
Shares (%) 20 11.3 3.7
Note: L takes a 65 percent stake in the group. |
| |
1、从企业的组织结构来看，企业的自我类型仍是传统型的。
表1 H集团股东组成表：
亲戚 朋友 其他
股东（个） 8 5 5
股份（%） 20 11．3 3．7
注：L个人持65%的股份 |
| |
| Table
2 H Group Shareholders with Management Roles:
(Senior
Managers)
President, Vice President (Medium Level Managers) Department
Managers (Ordinary Managers)
Office Personnel
Number of Shareholders 4 6 5
Note: The group has a total of 18 shareholders.
Table
3 H Group Board of Directors:
Total Number Relatives Friends
Number of Directors 13 9 3
|
| |
| 表2
H集团股东参与经营情况表：
（高层以管理人员）
总裁、副总裁 （中层管理人员）
部门经理 （一般管理人员）
办公室人员
股东（个） 4 6 5
注：共有股东18个
表3 H集团董事会的组成表：
总 数 亲 戚 熟 人
董事会成员（个） 13 9 3
|
| |
| Tables
1 through 3 indicate that a majority of investors and managers
have blood, emotional and territorial relations with L. We
had discussed that the social relations network has provided
the individual ego embedded in the network with economic benefits,
but with the development and growth of the enterprises, and
after a family workshop has become a Co Ltd, this blood, emotional
and territorial ties are still the dominate force in L’s
enterprise, and they become barriers to the enterprise’s
development, because: |
| |
| 由表1到表3可见，企业的投资者和经营者大都与L有“三缘关系”。在前文中，我们曾指出了，由亲朋为纽带构成的社会关系网络帮助了处于其中的自我获取经济利益。但是当企业的规模壮大，家庭工业转变为有限公司后，L企业的内部的这种血缘关系、情缘关系和地缘关系仍然在企业内部占主要地位的状况，就阻碍了企业的发展，主要表现在： |
| |
1)
Disputes between family members can have negative effects
on the company’s normal operation.
For example, L’s wife’s brother has quarreled with L’s
brother, and both of them threatened to withdraw their shares
from the company, and they asked L to be the judge. |
| |
（1）家属之间的矛盾影响公司的正常运做。
如：L的小舅子和哥哥闹矛盾，双方都以退股相要挟，请L主持公道。 |
| |
(2)
Distrust of outsiders suppress employee’s
For example, H Group’s office director has under his leadership
four employees, but two of them are under the direct control
of L, and they don’t report to A. The result: A works passively
in the company and thinks of quitting the job. The problem
has occurred many times before, during the four years since
the group’s foundation, the office director has changed five
times mainly because of L or L’s wife’s direct interference
in the office work. |
| |
（2）对外人的不信任，影响了员工的积极性。
如：H集团办公室主任A的手下有4名员工，其中2人直接听从L的安排，做事不向A汇报。结果：A以消极的态度对待公司的工作，并且有离开的念头。而A所遇的问题在以前已经多次发生：集团从建立到现在的4年内，已经换了5人，原因都与L和L妻子直接插手办公室的工作有关。 |
| |
(3)
Poor education level of employees affects standard management.
For example, according to H group’s August attendance check
record in 2001, 49 person-times were late for work, of which
33 were managers at senior or medium levels, and 31 were relatives. |
| |
（3）低文化素质影响企业的规范化管理。
如：A、H集团2001年8月份的出勤考核纪录，共迟到49人次，中高层33人次，有31人次为亲戚。 |
| |
| Another
example, L always holds meetings after work. Once the president
B, employed from the outside, had held a meeting 30 minutes
before off-hour, and was criticized by L, B finally left the
company due to his discordance with L. |
| |
| B、L总是利用下班时间开会。曾经有一位外聘总裁B，因为在下班前30分钟开会，遭到L的批评，最终因为两人关系不和而导致B的离开。 |
| |
| 2.
In terms of Entrepreneur’s individual social relation network,
L’ trust in others is still in the “Difference Sequence
Pattern” stage (see Table 4). |
| |
| 2、从企业主的个人社会关系网络看，L
对别人的信任仍停留在“差序格局” 阶段（见表2） |
| |
| In
the early stage of enterprise development, the closer L’s
connection with his relatives and friends, the easier he can
get from them economic resources, but in today’s enterprise
development, L’s connection with these relatives and friends
has hindered the improvement of his personal qualifications
and the incoming of foreign components in this social relation
network. |
| |
| 在企业发展初期，L与亲戚、朋友的联系越紧密，越能从他们那里获得经济资源，但是，在今天的企业发展中，L与这些亲戚、朋友的联系阻碍了他个人素质的提高和社会关系网络中异质因素的介入。 |
| |
(1)
Affect on personal qualification
Table 4 L’s personal social relations:
Association Group Friends and Relatives Local Enterprises
Bureau Directors
Governmental Officials Industrial & Commercial Departments
Association Time Normal Days Normal Days Holidays Holidays
Association Content Play Cards, Drink Wines and Chat Play
Cards and Chat Participating in their family events, gifts
giving Participating in their family events, gifts giving
|
| |
（1）素质影响：
L 个人社会关系表：
交往群体 亲朋 当地企业 局级副局级
政府官员 工商机关
交往时间 平日 平日 事假日 事假日
交往内容 打牌、喝酒、聊天 打牌、聊天 参与子女喜事、礼尚往来 同前
关系程度 好 面子上的关系 有事相托 同前
文化程度 低 较低 中 中 |
| |
Degree
of Connection Good Superficial Asking for Favor Asking for
Favor
Education Level Low Low Medium Medium |
| |
表4
由表4可见，L平日的大部分时间是与自己的朋友和其他企业的老板在一起的。 |
| |
| We
can see from the Table 4 that L spends a large part of his
time with his friends and other entrepreneurs that are poorly
educated, and such affects the improvement of his personal
qualifications and eventually encumber the enterprise development
with the following consequences: |
| |
| 和这些文化水平不高的人在一起，限制了L个人素质的影响，最终阻碍了企业的发展。表现在： |
| |
| A.
Lack of strategic vision
a. Without
a long term planning, solve problems only when problems
occur.
b. Unwilling
to invest in advertisement and technical innovations.
c. Concerned
only with the increase of profits, but they’re wrong in
calculating their profits, they didn’t deduct the added
costs spend in advertisement and technologies.
|
A、缺乏战略眼光。
a、无长远规划，想到什么问题就解决什么问题。
b、不愿意增加广告和科技创新的资金投入。
c、只关心利润的增长，但是其利润的算法是不科学的——没有扣除在广告和技术等方面的投资所增加的产品的成本。
|
| |
| B.
Narrow minded: spoil
the ship for a halfpennyworth of tar |
| B、小生产者意识：因小聪明，失大机会。 |
| |
| For
example: When the group was founded, it relied on sales companies
and member enterprises for its purchasing and sales, and the
three parties involved should stand on equal footings. But
because of the group’s big size and strength, L had made
unfair rules, if the group purchased goods from member enterprises,
and cannot take back money spent on the good, the member enterprises
should shoulder the loses; and if it was profitable, then
it would be counted as the profit of the group. This unfair
practice had caused discontent among member enterprises, and
the long-term development of the group was affected. |
| |
| 如：集团成立后，销售和进货主要依赖销售公司和成员企业，这三者的关系应该是平等与公平的合作。但是，L依靠集团的强大实力，制定了不平等的规则——集团购买了成员企业的货物后，如果货款无法收回，损失由成员企业承担；如果赢利了，算做总公司的利润。这种做法造成成员企业的不满，影响集团的长久发展。 |
| |
| (2)
Blocking the incoming of new components: His relation network
is based on the blood, emotional and territorial ties, in
other words, it is based on his old friends and partners.
They have negative effects not only on the entrepreneur’s
personal qualifications, but also on the incoming of new components
into the group due to their deeply rooted trust pattern, this
is shown in: |
| |
| （2）阻碍新因素的进入：原有建立在血缘、情缘、地缘基础上的关系网络，换句话说，原来的那一帮朋友与伙伴，对企业的负面影响不仅体现在对业主个人素质的影响上，还体现在其背后积淀的信任格局排斥了新的因素的进入，这主要表现在： |
| |
| A.
Difficulties in introducing talented people：L’s long term
close relationship with his relatives and friends have made
him stay put in his old trust pattern, affecting the inflow
of talented personnel into the group. |
| |
| A、人才引进的困难：L长期和亲戚朋友的紧密联系使其仍然局限与下的信任格局，这就阻碍了人才向企业的流动。 |
| |
| Case
Study 2: The standing vice president of the group had been
a factory director for over 20 years in state owned enterprises,
and three enterprises under his leadership had turned from
losses to being profitable, he’s really a very capable person.
L has promised to let him take the position of the group’s
president when he was employing him, and allow him to do whatever
he likes in the daily management work. But when C came to
the company, he was afraid that other shareholders might not
accept him, so he gave him the position of vice president
without giving him clear rights and responsibilities, this
greatly affected C’s enthusiasm, in less than a year’s time,
he thought about leaving the company. |
| |
| 案例2：常务副总C，他曾在国企中做了20多年的厂长，先后领导了三个企业的扭亏转盈，是一个不可多得的人才。L聘用他时的许诺条件之一是让其做总裁，并把公司的日常管理工作完全放手让C做，但C到公司后，他又因怕其他股东不认可，把C安排在副总裁的位子，并且没有清晰的权利与责任，大大影响了C的积极性——不到一年，C已经有离开的打算。 |
| |
| B.
Loss of opportunities: Since L hasn’t set up a close relation
network with senior governmental departments, especially with
those that have close relations with his industries, he did
not take on a timely fashion commercial opportunities related
with policies, such as the restructuring of China’s rural
network, L missed this great chance because he didn’t get
the information in time. Compared with other enterprises,
other enterprises that have close connection with the governments
always have the chance to show themselves in public occasions,
and their enterprises’ images are improved. In addition,
having no friends in some influential media is another major
weakness of H group. |
| |
| B、机遇的丧失：L没有和上层的政府，尤其是与自己行业息息相关的高层政府部门建立密切的关系网络，这样有很多与政策相关的商业机遇就没能即时把握，例如中国农网改造的大机遇，L就因为信息掌握不及时而错失良机。这种机遇丧失还体现在与其他企业的比较中：一些与政府联系紧密的企业总是能够参加一些“抛头露面”的场合，这就在无形中宣传了企业的形象。另外，缺乏具有一定影响力的媒介中的朋友，也是H集团的一大弱点。
|
| |
| Through
the above case studies, we conclude that with the changes
in enterprise’s scale and system as well as the external
environment, the entrepreneur has used up his potential for
getting resources from the traditional social network. If
he does not actively interact with the new environment, making
modifications to his social relation network and various beliefs
in value and trust pattern, he will found that not only his
former social capital disappeared and the development of his
enterprises will run into difficulties. |
| |
| 通过上面的案例和分析我们得出了这样的结论：企业自身的规模和制度改变了，企业外部的环境也改变了，企业主原来适应传统型社会网络结构的获取资源的潜力已经被消耗殆尽。如果企业主不主动的与环境形成互动，——改变自己的社会关系网络以及网络背后的种种价值理念和信任格局，那么原来的社会资本不仅会消失，而且会阻碍企业的发展。
|
| |
(C)
Re-Acquiring of Social Capital in a Modern Open Type Network---The
Successful Transformation of Individual Ego Type
In our investigation on the private enterprises in Wenzhou,
we discovered Z group; it by far leads other similar enterprises.
After further investigation, we found out the difference of
its social relation network with that in other enterprises,
and the tremendous social capital it gets from the network
that greatly facilitates the development of the enterprise.
|
| |
（三）现代开放型社会资本的重新获得--自我类型的成功转变
在对温州民营企业的调查中，我们发现了Z集团，它在同类产品中的遥遥领先引起了我们的兴趣。通过进一步的了解，我们发现了其社会关系网络与其他企业的不同之处，以及由此而获得的大量社会资本对企业发展的帮助。 |
| |
| We
will analyze the Z group in comparison with H group here.
|
| 在这里我们将采用与H集团对比的方式对Z进行分析。 |
| |
| N
is the chairman of Z group. N has set up this Z group in February
1994, the first enterprise group in the industry in Wenzhou
area. He also set up a Z Co Ltd, in July 1997, the first limited
company in the group. According to a survey done by the National
Federation of Industry and Commerce in July 1999, Z group
was ranked the eighth place among China’s top 100 private
enterprises by its overall strength. The industrial output
of the group totaled 4.2 billion yuan last year, with 505
million yuan in taxes, and US$28 million in export.
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| N为Z集团的董事长。早在1994年2月，N组建温州地区同行业第一家企业集团——Z集团；1997年7月，组建ZT集团第一家股份制企业——Z股份有限公司；1999年7月，全国工商联公布会员企业调查结果，Z集团综合实力名列全国百强民营企业的第8名；去年，Z的工业产值为42亿，利税5.05亿，出口2800万美元。 |
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1.
N’s personal social relation network:
Table 5: N’s Social Relations
Associating Groups Friends and relatives Officials from the
Central government Administrative departments of the State
Media Experts and Scholars
Identity Ordinary people Central governmental level Departmental
Level Businessmen and Intellectuals Intellectuals
Education Low High High High High
Associating time Holidays Events and Special Occasions Normal
days Normal days Normal days |
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1、N的个人社会关系网络：
N社会关系表
交往群体 亲朋 中央级领导 国家有关主管部门 媒介 专家、学者
身份 一般百姓 中央级 厅级 商家、知识分子 知识分子
学历 较低 高 高 高 高
交往时间 节假日 重大事件、特殊时间 平日 平日 平日
表5 |
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Compare
with L:
A. N’s association circles are much higher than L, covering:
top central governmental officials (visited Z many times);
administrative departments in the state ministry of machinery,
Economic Daily, CCTV and other media, experts and scholars
both at home and abroad. |
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与L形成对比的是：
A、N现在的社交圈的层次明显高于L：来往较多的有：中央级领导（多次来到Z）；国家机械主管部门；《经济日报》、中央电视台等大媒体；专家学者（国内外的） |
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| B.
N spends a majority of his time outside Wenzhou, even in foreign
countries.
Such
a relations network has broken away from the original little
circle of friends and relatives, though he may lose the
benefit of his former relations network, he gets lots more
valuable information and opportunities
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| B、N的工作时间大部分在温州以外，甚至是在国外。
这样的一个关系网络显然是脱离了原有的亲朋的小圈子内，虽然这没有原来那样的强网的效应，但是却得到了很多新的有价值的信息和机遇：
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| （1）
Government: Firstly, Governmental attentions paid to Z have
aroused wide social interest to the company, the best advertisement
for this enterprise; Secondly, governments often invite N
to attend certain high level commercial and political meetings,
N himself is a representative of the People’s Congress. For
example, he was chosen as the only representative for China’s
private enterprises to take part in the Sino-European Enterprises
Conference held in Xiamen last year, his fame was greatly
increased both domestically and internationally by the meeting. |
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| （1）政府方面的：首先政府对Z的关注带动了社会对他的关注，这是对企业最好的广告；其次，政府经常邀请N出席一些高层商业会议，和政治会议（N本人就是全国人大代表），比如：去年在厦门召开的中欧企业的一个讨论会，Z作为中方民营企业的唯一代表的身份出席了这次会议，大大提高了他的国内和国际知名度。 |
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| （2）
Media: Media and advertisement is closely correlated, nurturing
a close relationship with media is not only good for the company’s
image, but can also enable it to spend the least money but
get the best result (Z publicity section chief), saving transaction
cost for the enterprise |
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| （2）媒介方面：媒介与广告宣传效应是息息相关的，与媒介人物的来往不仅有利于企业形象的宣传而且帮助企业“用最少的钱，办最好的事”（Z宣传处处长语），为企业节省了交易成本。 |
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| (3)
Experts and Scholars: The biggest benefit is indicated in
the improvement of N’s personal qualifications. N started
with the same education background with that of other entrepreneurs,
but now he gives lectures in Peking University. Another very
direct benefit is that they offer N advices and suggestions.
When the enterprise was undergoing shareholding reforms, N
has followed the advice from these experts. It took him two
years in persuading the shareholders to accept the new system,
for shareholders that are less capable, he gave them money
(keep their shares), but wouldn’t let them to take positions
in the company, for those capable shareholders, he lets them
take appropriate positions, and such removed future troubles
, unlike other enterprises that as they grow in size, the
weakness of family style management and nepotism will gradually
show themselves. |
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| （3）专家学者的联系：最大的好处体现在对N个人素质的提高上。N在起步时与其他企业主的学历都差不多，现在却可以在北京大学讲课。另外一个非常直接的作用体现在他们帮助N出谋划策，比如在企业进行股份制改革时，由于N听从了专家的建议，用了两年的时间做好了股东的思想工作，没有本事的给他们钱（保留股份）但不让他们在企业任职，有一些本领的就把他安排在相称的职位上，这样就为企业以后的发展扫除了后患
，而不象其他企业，随着企业的规模的扩大，内部的家族管理和任人唯亲的局面所带来的负面影响逐渐暴露了出来。
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| 2.
I’ll emphasize here the effect of this social relations network
on N’s individual human resources capital in the following
three respects: (1) transcending the Difference Sequence trust
pattern, from appointing people by favoritism to appointing
people on their merits; (2) being conscious and capable of
standard and modern management; (3) having strategic vision.
The human resources capital N gets from his social relations
network has promoted his enterprises development in the two
following aspects: |
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| 2、这里我要强调这一社会关系网络对N个人人力资本的影响，主要体现在三个方面：（1）超越差序格局的信任格局，由任人唯亲到任人唯贤；（2）具有建立规范化和现代化管理的意识与能力；（3）具有战略性的眼光。N从他的社会关系网络中获得的这些人力资本表现在企业中，就是对现代企业发展的很好的促进作用，具体表现在两个方面： |
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(1)
Standardized enterprise management:
A. We will use two indicators for the measurement; the first
indicator is the proportion of investors and managers that
have blood or emotional ties with N, the second indicator
is whether they exercise standard management in the company.
Z has about 107 shareholders in the following three categories:
original shareholders from the N family now account for less
than one third of total shares, N himself has about 20 percent
of the total shares; shareholders from other enterprises bought
and acquired by the company account for about two third of
total shares; factor shareholders account for one to two percent
of total shares. Of the seven senior managers in the company,
there are one president, four vice presidents and two assistant
presidents. The president is the younger brother of the chairman,
and two others are relatives, one is friend. Five of them
are local people, and one is from outside the province, he
came to the company in 1990, and his position is the highest
among outsiders. Of the medium managers, outsiders and those
with ties each account for about 50 percent of the total.
Compared with H Group, Z has made remarkable progress in the
separation of ownership rights and management rights. |
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（1）
规范化的企业管理：
A、我们以和N有血缘和情缘关系的人在企业的投资者和经营者中所占的比例，以及这些人在公司的经营模式是否规范这两个指标来衡量。
Z共有107位股东，主要由三类人构成：N家族的原始股东小于1/3，N个人占20%；兼并组合其他小企业的股东占2/3；要素股东1-2%。其高层管理人员共7人：总裁、4个副总、两个总裁助理，其中，总裁为董事长弟弟，其余有两人为亲戚，一人为朋友。5人是当地人，一人为外省的，90年就来到正泰，是外聘人员中职位最高的。中层管理人员：外聘的与有关系的各占一半。与H集团相比，Z的两权分离已经有了不少的进步。 |
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| B.
On the other hand, negative effects of blood and emotional
ties are not only restricted to the occupying of positions
by relatives and friends in the enterprises, more importantly,
if there is nepotism among managers at various levels, in
other words, if they allocate benefits or give punishments
in accordance with closeness of their relations. During our
investigation, we found out that Z group treats shareholders
equally with ordinary employees, for example, one week before
our interview, the group had just punished one of N’s relatives. |
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| B、另一方面，血缘关系和情缘关系对企业的影响不仅仅是在亲戚或朋友直接占据企业的职务上的一些不良影响，更本质的是看企业的大小管理者是否有“裙带意识”，也就是说，他们是否根据关系的疏远决定利益的分配、惩罚的处理方式等本应客观处理的问题。在我们的调查中发现，Z集团对股东的处理态度基本上是与一般员工一致的，如在我们访谈的前一个星期，Z集团刚刚处理了N的一名亲戚。 |
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| C.
In addition, N fully recognizes the importance of modern management
and he therefore has been active in promoting the standardization
process. Compared with the chairman L of H group, N consciously
tries to avoid unauthorized management practice. For example,
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