民族的企业家阶层与民族的认同意识：中国凉山自治州彝族（诺苏）的个案研究
Ethnic Entrepreneurship and Ethnic Identity:
A Case Study among the Liangshan Yi (Nuosu) in China

　　Institute of East Asian Studies, University of Duisburg-Essen, Germany
　　德国杜伊斯堡─埃森大学东亚研究所

　　【摘要】本文将对企业家阶层与民族的认同意识之间的关联进行分析。提出两个中心论点：首先，市场力量和私有经济的发展使得家支对诺苏彝族企业家的影响逐渐减小。尽管在新的企业的起步阶段，家支可以履行重要的功能，它却有成为成功企业的负担的趋向。与此同时，超越家支的机构正在出现。其次，企业家在他们一方面作为传统的传承者、另一方面又作为现代性的先锋的角色之间摇摆。另外笔者认为，在诺苏彝族与汉族企业家之间划分界线是民族认同意识的一种具有重要意义的表达方式。认同意识不仅仅是一种个体间的，而且还是一种集体间的过程。因而只有在与其它群体（汉族）进行交互作用时，企业家阶层对认同意识产生的影响才能发生。当在企业家中间以及在其他彝族人之间存在着一种强烈的文化的民族主义的时候，诺苏彝族企业家的民族意识得到发展。他们的目标是渴望在中华民族的国家内部得到尊重，这点可以靠企业家阶层和经济上的发展获得。

　　关键词：民族企业 社会变迁

　　Abstract

　　In this article the connection between entrepreneurship and ethnic identity will be examined. Two central arguments are put forward: First, market forces and private sector development are diminishing the influence of the clan on Nuosu-Yi entrepreneurs. Although the clan can fulfill important functions in the start-up of new ventures, it also tends to become a burden on successful enterprises. Concurrently, clan-transcending institutions are emerging. Secondly, entrepreneurs oscillate between their role as bearers of tradition on the one side and harbingers of modernity on the other. Furthermore I argue that the drawing of borders between Nuosu-Yi and Han entrepreneurs is a significant expression of ethnic identity. Identity is not just an individual process but also a collective one. Consequently the identity-giving impact of entrepreneurship can take place only in interaction with other groups (Han). Nuosu-Yi entrepreneurs develop ethnic consciousness as there exists a strong cultural nationalism among entrepreneurs as well as among other Yi. Their goal is a desire for respect within the Chinese nation state that could be obtained by means of entrepreneurship and economic development.

　　Keywords: Ethnic Entrepreneurs─Social change

　　作者简介：
　　托马斯·海贝勒是德国杜伊斯堡-埃森大学政治学和东亚学的教授。曾在中国工作和生活多年，现在还经常定期到中国进行田野调查。发表了大量关于中国的社会变迁和政治变化、民族问题、农村发展、彝族发展和凉山地区发展、腐败、私营经济发展等各种问题的出版物。1981年就开始了在凉山地区的第一次田野调查，是在德国特里尔举办的第二届国际彝族学术会议的组织者。近期出版的书籍中，有一本已由北京中央编译出版社于2003年译成中文出版：《作为战略群体的企业家──中国私营企业家的社会与政治功能研究》。

　　About the Author
　　Thomas Heberer is a Professor of Political Science and East Asian Studies at the University of Duisburg-Essen/Germany. He has worked and lived in China for many years and conducts regularly field work in China. He has published extensively on various issues of social and political change in China, rural development, nationalities issues, on various aspects of the Yi and development of Liangshan, on corruption, private sector development, etc. He conducted his first field study in Liangshan in 1981 and was organizer of the 2nd International Conference on Yi Studies in Trier/Germany. Among his recent works, one book has been published in Chinese (Entrepreneurs as Strategic Groups: On the Social and Political Function of Private Entrepreneurship in China, Beijing 2003).