2798.B家族企业人才流失问题分析与对策外文参考文献译文及原文doc.doc

本科毕业设计（论文）外文参考文献译文及原文 学 院 经济管理学院 专 业 工商管理 年级班别 学 号 学生姓名 指导教师 年 月 日目 录1 原文：家族企业发展与人力资源管理11 家族企业发展阶段及其特征11.1 原始家族企业阶段11.2 纯粹家族企业阶段11.3 泛家族企业阶段21.4 现代家族企业阶段22 家族企业面临人力资源的发展瓶颈.32.1 继承人的挑战32.2 引进职业经理人的挑战32.3 人才危机的挑战33 家族企业人力资源管理策略.53.1 进行组织再造与业务流程重组53.2 明晰家族产权,加大激励与约束机制的制度创新力度.53.3 培养继承人53.4 建立家族企业成员的退出机制63.5 引进职业经理人62 译文 ：The Development of Family Businesses and Management of Human Resource .81 A family business and its stage of development81.1 The original family business stage.81.2 Purely family business stage.91.3 The Pan-Family Enterprises stage.9 1.4 Modern Family Enterprises stage.102 And the family enterprises are facing the development of human resources bottleneck.112.1 The challenges successor.112.2 The introduction of professional managers challenges11 2.3 The challenges personnel crisis .123 And the family enterprise human resource management strategies.133.1 Recycling organizations and business process reengineering .133.2 Clarifying the family property.143.3 Train successors.143.4 Establishment of members of the family enterprises withdrawal mechanism.153.5 The introduction of professional managers .15译文：家族企业发展与人力资源管理摘 要从家族企业发展特征来看,家族企业面临着人力资源发展瓶颈,主要表现为培养继承人挑战、引进职业经理人以及建立人才激励约束机制的挑战。为此,家族企业需要进行人力资源治理结构的变迁,以推动家族企业的快速成长。关键词：家族企业，人力资源，管理1 家族企业发展阶段及其特征所谓家族企业,是指由家族创业,并且这个家族成员对企业的财产所有权拥有主导作用,对经营决策权拥有重要影响的企业组织。从家族企业的总体发展趋势上进行研究,中国家族企业的发展大致经历了四个阶段。1.1 原始家族企业阶段中国大部分家族企业处于该阶段,其表现形式多为“夫妻店”,实际上可以称之为“家庭企业”。该阶段家族企业规模一般不大,以小工厂居多,人员几乎来自同一家族。但由于市场定位准确、经营决策灵活、管理高效,业务发展速度很快。这一阶段的特征是企业的所有权、经营权、管理权高度统一,企业的组织机构简单,没有正规的人力资源部门,家族企业主和家族成员依靠经验就可以应付所有的企业事务。1.2 纯粹家族企业阶段随着业务量的不断扩大、资本积累增多,家族企业开始寻求组织规模的扩大,这一类企业主要采用人治管理方式,由创业者掌管大权,次要职位则由其家族成员担当。这一阶段的特征则表现为所有权与经营权的统一,但管理权部分分离,生产权则完全分离。有职能部门,其中人力资源部门的作用日渐重要。由于企业的健康成长,家族企业主为了延续企业的发展,开始着手考虑继承人的问题并由人力资源职能部门有计划地培训继承人,有些创业元老和家族的知识已经跟不上组织的发展,有引进职业经理人的要求。1.3 泛家族企业阶段其表现形式为管理团队由家族成员加职业经理人构成。所谓泛家族化,是指家族企业通过结亲、结友、带徒等方式将参与长期交易的部分成员尤其是优秀人才纳入其家族或“准家族”网络,在伦理、情感以及回报等原则上施以与家族成员相同或相似的行为原则。这一阶段的家族企业的形态是从人治过渡到法治,从不规范的情感管理过渡到规范的规章制度管理,科学的制度建设成为其重要特征;在企业制度上则表现为对所有权的绝对控制,经营权与管理权的部分外化,生产权的彻底分离。企业建立了完善的组织结构,继承人顺利接管企业,企业中家族经理和外部职业经理共存,家族成员对企业实行控股,决策体现家族意愿,但企业按照现代公司要求制定管理制度,将内部管理纳入到规范化、程序化、科学化轨道。1.4 现代家族企业阶段是家族股份较多但股权比较分散,同时经营权与所有权相分离的现代家族企业阶段。家族企业发展到这一阶段,就面临选择经营者和建立员工股权激励制度的问题,而股权激励客观上会造成股权分散化。这一阶段的特征表现为所有权与经营权分离,所有权为家族控制和相对控制,但经营权为非家族成员支配,如福特公司。这一阶段,职业经理人、创业元老都有可能与创业家族分享剩余索取权,外部资本也有进入,企业产权由原来集中在家族内部向家族外分散。因中国改革开放才20多年,家族企业脱去“红帽”也才不久的时期,因此,中国家族企业大多应该还处于初级阶段和中级阶段,完全过渡到现代家族企业还需时间。从家族企业发展阶段可以概括出家族企业的规律性特点,即成员的外化、社会化的程度或者说企业职位的开放度提高缓慢。纵观中国家族企业的发展,能够进入泛家族企业阶段的企业屈指可数,很多企业在前两个阶段就消亡了。从表面上看,技术、财务和市场等问题是导致企业扩大失败的原因,但从深层次的人力资源观点来探究,我们会发现这些企业在持续成长的过程中面临的人力资源的挑战超过了企业主决策能力所能控制的范围。2 家族企业面临人力资源的发展瓶颈当家族企业成功地度过初建期即原始家族企业阶段,企业通常处于一个良好的发展阶段。从美国学者克林.盖尔克西的企业发展轴观点看,纯粹家族企业阶段处于扩展期,中国处在这一阶段企业面临三大人力资源挑战:培养继承人的挑战、引进职业经理人的挑战、面临人才危机的挑战。这三大人力资源挑战是家族企业发展的瓶颈,处理的好坏,关系到家族企业能否健康发展。从家族企业实践来看,许多家族企业苦心经营了很多年,但最后还是长不大反而逐渐衰弱,与其没有很好地突破人力资源瓶颈有很大关系。2.1 继承人的挑战继承人接班是大多数家族企业最致命的地方。事实上,有证据表明,只有30%的西方家族企业顺利传入第二代,顺利传入第三代只有15%。这说明家族企业准备将权力从一代传给下一代之嫌,正是其最容易受伤之时,交接班进程一旦出现失误,往往会导致家族失去其对公司的控制权,严重的可能会使家族企业分崩离析。家族企业面对的危机有内耗危机和分裂危机。2.2 引进职业经理人的挑战家族成员的退出往往同时伴随职业经理人的引进,引进外部真正的高级人才,是家族企业做大做强的必由之路。家族企业规模扩大后,必须引进一定数量的外部管理人员,特别是有实践经验的、高层次的管理人才承担企业主要管理岗位的职责,改变主要是家庭成员或家族成员构成企业的经营管理队伍的局面,这也是克服家族经营决策思维和行为惯性的有效办法。目前看来,有两方面的原因使得引进职业经理成为家族企业继续发展面临的挑战:一方面在家族成员来看,职业经理人的到来会威胁其地位,因此,家族成员或多或少地对职业经理有一种抵触情绪;另一方面,由于中国的信用制度还不完善且职业经理人市场不健全,经理人容易产生败德行为,这也成为引进职业经理人的障碍。2.3 人才危机的挑战人力资源作为企业中最重要的资源已被实践所证明,为数不少的民营企业存在年年招同样岗位的管理和技术人员却年年流走的现象。更为严重的是,随着掌握核心技术和商业秘密的员工离去,甚至跳槽到竞争对手企业或另起炉灶,使一些家族企业的生产活动遭受极大困难,有些企业从此一蹶不振。总之,许多家族企业就是处在这种一方面非常需要人,另一方面又招不到人、留不住人的困境中。3 家族企业人力资源管理策略随着知识经济时代的到来,生产力的提高越发依赖于脑力劳动和知识,人力资源已成为企业获得竞争优势的关键性资源。因此在家族企业研究企业目标和战略时,应同步思考未来人力资源的配置,并从战略发展角度来研究人力资源的开发、培训和使用,使人力资源成为企业的核心资源。通过对这种核心资源的动态经营和开发,实现人力资源管理的价值创造功能,以此强化企业的人力资源竞争力。3.1 进行组织再造与业务流程重组进行组织再造与业务流程重组提升人力资源管理的内部环境。企业的目标、战略、员工背景和外部环境等都在随时变化,组织结构也必须不断更新,以适应人尽其才、物尽其用的需要,进而维护组织与环境的和谐关系。根据研究,当组织规模增大、环境变动性和复杂性较高时,低集权而高参与的扁平型或网络型组织更加具有适应性,富有生产效率;同时组织成员由于拥有更大的控制权,更广泛的信息和密切的互动,导致了员工工作满意度和多样化技能的提高。高层管理者由于授权下属可以节省时间进行全局的战略管理,减少多余的内部监督,致力于监督外界的变化,有助于提高战略管理的有效性。业务流程重组是对相关业务的一体化或市场化,这种有机组织对新思想和错误有更大的容忍力,适于共担风险、相互支持与信任的企业文化的生长,同样为业务流程重组提供了推动力。3.2 明晰家族产权,加大激励与约束机制的制度创新力度随着家族的繁衍和家族成员价值观的冲突,家族集体产权的性质会成为家族冲突的根源,做到“亲兄弟、明算账”,可以确保产权的激励与约束作用不会随时间而流失。员工激励根据对象不同区别对待。对于一般员工,自由竞岗与逐级聘用,根据劳动合同制实施办法,落实上岗聘用制。提倡自由竞岗,将合适的人员流动到合适的岗位。对高层管理人员,由于被激励者的个人特点与面临的社会环境不同,所以激励模式有别于针对普通员工的模式,采用年薪制、股票期权激励制度,重视企业战略优势的建设,把实现自身利益最大化与企业股东以及其它相关者利益最大化行为统一起来。3.3 培养继承人家族企业要延续,必须有一个强有力的组织。继承人的选择方式一般有以下三种：血缘关系、亲缘关系和建立现代企业继承人制度。为了家族企业的延续,家族企业主及家族确定1-4名优秀的家族候选继承人,人力资源部门根据候选继承人的兴趣、爱好、个性等安排他们合适的专业学习;为候选继承人设定一个岗位,几名高层经理轮流对候选人进行培训;人力资源部门应当不断地将候选人的学习、工作状况等不断地反馈给企业决策者。经过一段时期的考察后,人力资源部门对继承人在考察期内的绩效做出报告给企业决策者,由企业决策者综合人力资源部门及参考高层管理者的意见确定家族继承人。同时,对于落选者,如果其能力较强,同时愿意留在企业中,就培养成为家族经理;如果不愿意留在企业,就退出,这也是后面的家族成员退出机制中所采用的方法。3.4 建立家族企业成员的退出机制家族成员从企业经营决策中陆续退出,事实上是家族企业由业主制这样一种简单组织形式向现代企业制度转化的过程,也是企业在全社会范围内整合资源,利用资源能力不断提高的过程。从世界范围来看,已有不少的家族企业顺利地转变为以契约和财产为基础的社会企业,退出机制建立的越早,转型的阻力就越小。对于那些在知识和能力上跟不上企业新业务发展需要的家族成员和创业元老,要做到妥善分流。对于个人发展后继乏力的创业元老,可以考虑让他们担当督导工作,给他们较高的待遇,慢慢地使他们从家族企业中淡出;对年轻的家族成员,鼓励他们进一步学习深造,或是安排他们去别的公司,尤其是知名的公众公司工作,以提高个人素质和实际工作能力;对于能力较强,有创业冲动的家族成员也可另设一笔资金,让他们自己投资经营,自己发展。3.5 引进职业经理人家族企业发展到一定阶段,就必须考虑建立领导团队的问题了。对于家族企业来说,进入纯粹家族企业发展阶段后,就可以考虑引进职业经理,注重通过“泛家族化”等关系治理的方式培育职业经理对企业的诚信,逐步建立起合理的授权结构和契约治理机制。1、招聘经理人。在家族企业中,管理专业化的重要标志就是非家族成员也能胜任公司的高级职位,并得到一定的信任。但是,家族企业引进外部人才不能过于冒进。目前,中国的私有产权的法律保护制度、商业机密保护制度、职业经理人市场制度和职业操守制度、合伙企业制度等并未健全。出于企业安全经营的现实考虑,事实上,企业主管是首先将机密程度较低的生产技术部门和例行公事管理的经理岗位对外开放。“用人不疑”也并非随便对谁都“不疑”,而是提倡先“知”后“用”。这里的“知”主要是考察外来经理人道德水准如何,这一点十分重要。在录用后,企业可以将各个不同的管理岗位按资源和信息的机密程度进行排序,可以先在机密程度较低的岗位上安排外来的经理,对其进行观察、考核、培养、合适的再予以进一步重用。引进职业经理人的工作有两种方式。如果家族企业人力资源部门有能力独立做好挑选经理人的工作,可以自己操作。另外,也可以外包给专业的“猎头”公司去做。2、激励外聘经理人员。在招聘到了合适的经理人以后,家族企业就要特别考虑如何激励经理人员了。可以用以下几个方法。首先,授权与精神激励。这种方法是企业对经理人充分信任的表现。事实上,企业对外来的经理人的信任应与对家族内成员的信任一致,在某种程度上还应超过对家族成员的信任,这样才能消除家族企业内外有别的心理隔膜。这是经理人成为管理者的最大向往。权力下放让他们看到施展才华的希望。也可以考虑以婚姻的方式使之成为家族成员。尽管这种方式比较少见,但对家族企业而言非常重要。因为中国传统文化特别重视家,重视亲情关系,对家族以外的成员,特别是那些与家族利益相关的非家族成员,习惯于用泛化的规则去同化他,由此才会给非家族成员以充分的信任。而非家族成员一旦进入这种规则中,就有知遇之恩的感受,此时会产生非常大的激励作用。另一种方法就是利用股票期权。这种方法最能打动经理人,特别是核心经理人员。通过股票期权,企业成为“人人有份”的利益共同体,经理人成为企业的主人,能够分享企业长远利益。家族企业的“股权激励”的设计可以参考和借鉴中国一些成功企业(包括国有企业)的经验。通常企业一般采取干股的做法,即实行分红权激励,员工离开公司后股权一般不能带走,不能转让。“股权激励”不仅为家族企业吸引和留住大批高科技人才,也为企业的成长和快速扩张创造了条件。Rutherford M W. Human Resource Management Problems J. Human Resource Management.2003, 42(4A):303-320.原文： The Development of Family Businesses and Management of Human ResourceAbstractShortages of high-quality human resources are the main bottleneck in the development of the family firm of China at present, including the challenges of training the inheritors, and the challenges of establishing the exiting system for family members and bringing in professional managers and setting up the stimulation and restriction system of human behaviors. Therefore, the reorganization of the human resources and creativity are the necessary means for family firms to improve the competitive power of the enterprises.Key words: Family business，Human resource，Management1 A family business and its stage of developmentThe so-called family business is by the family enterprise, and the family members of the business and property ownership have a leading role, right decision right have a major impact on the organization. Family Enterprises from the overall trend of development research, the development of family enterprises generally has gone through four stages. 1.1 The original family business stage Most of the Chinese family business at that stage, its manifestations as "family-run shop," actually be called the "family enterprises.” In this stage, the scale of the family enterprises are always small, and the staffs almost from the same family. However, as market positioning accurate, flexible decision-making, efficient management, and business development speed. This phase is characterized by the ownership of the business, management, management of highly integrated, enterprise organizations simple. No formal human resources department, and family business owners and members of the family can rely on the experience to cope with all the Corporate Affairs. 1.2 Purely family business stage As business continues to expand, increasing capital accumulation and the family enterprise began to seek the expansion of the scale of organizations, these enterprises, mainly in man management, by the entrepreneurs in charge of power, and secondary jobs from their family members play. This phase of the characteristics of the performance of the ownership and management of reunification, but the management of separation, production rights were completely separated. Human Resources Department makes more and more important role in the functional department. With the healthy growth of the family business, the owners began to consider the issue and to a planned training successors by the heirs of human resources functions. Some veteran entrepreneurship and the family has failed to keep pace with knowledge of the development and introduction of professional managers requirements.1.3 The Pan-Family Enterprises stageThe form of the management team make up by the family members and the professional manager. The so-called Pan-family, family business is through marry, companionship, followers with such means of participation in long-term transactions in particular, some members of the talents into their family or "quasi-family" network, In ethics, emotion and the return of the principles imposed on the members of the family with the same or similar acts in principle. This phase of the family enterprise from the pattern is the rule of man transition to the rule of law, Emotion never standardized management of the transition to a standardized management systems, scientific systems become important characteristics; in the enterprise system, it was manifested as the absolute right of ownership control, the right to operate with the management of the component, production of the complete separation. Enterprises to establish a sound organizational structure, heirs take over smoothly enterprise, the family enterprise managers and external professional manager coexistence, Family members of the business holding, Decision-Making and family wishes, but in accordance with the modern enterprise company called management system, internal management into a standardized, procedures and scientific track. 1.4 Modern Family Enterprises stageThe modern family business stage is the family ownership of shares but more scattered, ownership and operation of separating. The problems of this stage are facing the choice of managers and staff to establish equity incentive system, and objective equity incentive shares will be decentralized. In this phase, the performance characteristics of ownership and management are separation of ownership and control of the family relative control, and the right to operate as non-family members disclaimer, such as Ford. In this phase, the professional managers, venture veterans may share with the family venture residual rights, external capital has entered, enterprise property rights from the original focus on the family and outside the family house to spread. China's reform and opening up for 20 years before the family business to take off his "Little Red Riding Hood" is the period shortly before and therefore, Most of China's family enterprises should still at the primary and secondary stages, the transition to a fully modern family enterprises need time. From the family enterprise development stage can be summed up in the family business out regular feature is that members of the foreign, the degree of social or corporate positions open to the world has slowed down. Taking an overview of the development of family enterprises to enter the stage of the Pan-family business only a handful of enterprises, Many enterprises on the first two stages of extinction. On the surface, technical, financial and marketing problems of enterprises to expand their lead to the cause of failure However, in a deeper perspective of human resources to explore, We will find these enterprises continued to grow in the process of facing the challenges of human resources over the enterprise decision-making abilities control. 2 And the family enterprises are facing the development of human resources bottleneckAs the family business managed to overcome the period of original stage, the company usually will get to a good stage of development. According Pickering scholars Gaierkexi axis of enterprise development point of view, who from the United States. He maintains that purely family business stage in the expansion phase, China is at this stage enterprises are facing three major challenges of human resources: the challenge of training successors, and the introduction of professional managers challenges, personnel crisis facing the challenges. These three major a human resource challenges is the family enterprise development bottleneck, handling is related to the family business can develop healthily. From the family business practice, many family business built up over many years, but finally unable to grow any larger but weaker, and not good with a breakthrough human resource bottleneck is still unknown. 2.1 The challenges successorSuccession is the most heirs family business most deadly place. Indeed, evidence shows that only 30% of the West family business smoothly into the second generation, smooth introduction of the third generation of 15%. This shows that family enterprises preparing to power from one generation to the next missing is the most vulnerable to injuries when Once the process of the succession of mistakes, and often lead to the family losing its control of the company, serious family business may fall to pieces. Family enterprises face a crisis of internal friction crisis and separatist crisis. 2.2 The introduction of professional managers challenges Family members are often the withdrawal accompanied by professional