制度距离、进入模式与跨国企业合法化战略选择研究

发布时间：2018-01-29 14:01

  本文关键词： 制度距离 进入模式 内 外部合法性 合法化战略 战略选择　出处：《吉林大学》2016年博士论文　论文类型：学位论文

【摘要】：前人有关跨国企业的研究在先后经历了资源视角与战略视角的研究热潮后,学者们逐渐认识到,制度的因素越来越多的成为理解和分析跨国企业行为的关键。新制度学派认为,制度不仅仅是企业所处的外部环境要素,同时也是企业战略行为的诱因和与之互动的结果。现有大量研究表明,跨国企业在进行海外运营时要面临来自东道国与母公司的“双重”制度压力,跨国情境下制度因素为企业带来机遇的同时,也成为企业诸多问题的来源和面临的最大挑战。一方面,由制度距离引发的合法性障碍成为制约跨国企业发展的首要问题之一。另一方面,跨国企业的合法性约束与其进入东道国的模式密切相关。因此,本文将制度距离、进入模式视为构成跨国企业所处制度情境的重要因素,探讨了二者对跨国企业带来的制度性障碍。合法性作为制度理论中最重要的概念之一,越来越多的成为理解和诠释上述相关问题的工具和手段。合法性理论认为,跨国企业在东道国开展经营时,争取必要的合法性是其生存的先决条件。然而,不同的制度距离与进入模式带来了不同的制度压力和合法性障碍。一方面,制度距离不仅在宏观层面影响了跨国企业被东道国受众接受和认同的难度,同时组织层面的制度距离影响跨国企业母公司对其内部合法性的授予,以及跨国企业自身内部合法性的获取。另一方面,跨国企业的合法性状态与其进入东道国的模式密切相关,不同进入模式下跨国企业的合法性基础、获取路径、获取方式以及面临的合法性约束也不尽相同。本文的研究探讨了制度距离、进入模式对跨国企业合法化战略选择的影响。首先,本文在梳理、总结与提炼合法性理论、制度距离理论与企业进入模式相关研究成果的基础上,将制度距离、进入模式视为构成跨国企业合法性门槛的重要因素,分别就制度距离(正式/非正式制度距离)单因素、进入模式(并购/新建模式)单因素,以及制度距离与进入模式“双因素”导致的跨国企业合法性“门槛”进行了深入地研究与论述,并进一步提出了不同制度距离与进入模式情境下的四种合法性门槛类型,即1高制度距离与并购模式下的“敌对-多元”型合法性门槛;2低制度距离与并购模式下的“宽松-多元”型合法性门槛;3高制度距离与新建模式下的“敌对-单元”型合法性门槛;以及4低制度距离与新建模式的“宽松-单元”型合法性门槛。其次,本文在理论推演的基础上,结合对跨国企业的实地走访,构建了跨国II企业应对合法性门槛可以采取的内、外部合法化战略及其战略组合。本文提出,跨国企业可以采取“依从”或“操纵”两种战略应对外部合法性门槛;采取“同构”或“异构”两种战略应对内部合法性门槛。进一步地,本文在探讨内、外部合法性获取相关关系的基础上,构建了内、外部合法化战略组合的理论模型。本文认为,跨国企业在应对合法性门槛约束时,可以采取四种合法化战略组合:即1“依从”与“异构”战略下的“稳妥型”战略组合;2“操纵”与“异构”战略下“风险型”战略组合;3“操纵”与“同构”战略下的“积极型”战略组合;4“依从”与“同构”战略下的“保守型”战略组合。最后,本文探讨了不同合法性门槛约束下的跨国企业战略选择问题。提出了跨国企业合法化战略选择的依据和原则,并在此基础上,分别就制度距离单因素、进入模式单因素,以及制度距离与进入模式“双因素”下的合法化战略选择进行深入地研究与论述。本文的研究试图回答以下三个问题:(1)制度距离、进入模式二者对跨国企业合法性产生了怎样的影响,由此导致了怎样的合法性门槛,其影响作用的机理又是什么;(2)跨国企业为应对和克服合法性门槛能够采用的内、外部合法化战略及其战略组合都有哪些,分别有何特征;(3)跨国企业如何在不同的合法性门槛约束下开展合法化战略选择,选择依据和原则是什么,不同的合法化战略选择对企业绩效产生何种影响。本文共收集了306份中国跨国企业的有效样本,通过实证研究,对提出的理论假设进行验证,主要得到以下几点结论:(1)制度距离、进入模式均导致了不同程度的合法性获取障碍。制度距离越大,跨国企业面临的内、外部合法性门槛越高;并购模式下跨国企业面临的内部合法性门槛较高,而新建模式下跨国企业面临的外部合法性门槛较高。(2)制度距离的不同属性影响了跨国企业合法化战略的选择。当东道国正式制度优于母国时,跨国企业倾向于采取依从战略克服外部合法性门槛。而非正式制度距离越大,跨国企业越倾向于采取依从战略克服外部合法性门槛,反之,则倾向于采取操纵战略。制度距离越大,跨国企业越倾向于采取异构战略克服内部合法性门槛,反之,则倾向于采取同构战略。(3)进入模式对跨国企业内部合法化战略选择产生重要的影响作用。并购模式下,跨国企业倾向于采取异构战略克服内部合法性门槛,而在新建模式下,跨国企业倾向于采取同构战略克服内部合法性门槛。(4)制度距离与进入模式“双因素”情境下的跨国企业合法化战略选择并非两种因素影响的简单叠加,而是应当是在充分分析情境特征、识别主要合法性约束的基础上,灵活运用权变的思想,将战略选择与所处合法性门槛约束的类型进行有效匹配,当二者匹配度较高时,跨国企业能够获得更好的绩效表现。本文的研究,进一步整合了制度距离、进入模式两个重要的制度要素,系统地刻画了二者构成的合法性门槛约束,以及跨国企业如何应对合法性门槛的战略选择过程,从理论层面揭示了二者对合法性的影响及其作用机理。同时,现有大量对合法性的探讨多集中于外部合法性,侧重肯定外部合法性的重要作用,但忽略了内部合法性的意义。本研究试图将内、外部合法性“捆绑”在一起,从内、外部两个方面,对跨国企业面临的内、外部合法性障碍及其合法化战略选择问题进行了深入地探讨。本文的研究进一步实现了跨国情境下内、外部合法性研究的融合。进一步地,本文提出了内部合法化战略的两种模式,即同构与异构战略,本文的相关研究一定程度上拓展了现有合法性理论。最后,本文对制度距离的属性进行了更深层次地挖掘和探索。本文的研究表明,不仅制度距离的大小,制度的相对优劣同样能够影响跨国企业对合法化战略的选择,即东道国与母国制度环境的相对优劣能够显著地影响跨国企业合法化战略的选择倾向性。
[Abstract]:Previous research on multinational enterprises has experienced the upsurge of research resources perspective and strategic perspective, scholars gradually realize that the system more and more factors become the key to understand and analyze the behavior of multinational corporations. New institutional economics believes that the system is not only the external environment factors of enterprise incentive and enterprise strategic behavior and the result of the interaction. The existing research shows that a large number of multinational companies in overseas operations will face from the host country and the parent company of the "dual" system pressure, under the situation of transnational institutional factors brings opportunities for the enterprise, also become the source of the problems and the biggest challenge. On the one hand, legitimacy obstacles caused by institutional distance has become one of the most important problem restricting the development of multinational enterprises. On the other hand, the legitimacy of multinational enterprises and constraints into the East Road in China The model is closely related. Therefore, the system of distance, entry mode as an important factor in enterprises in the situation of institution, discusses the institutional barriers brought two of multinational enterprises. As one of the most important legal system in the theory of concept, more and more become the understanding and interpretation of the related problems of tools and that means the legitimacy theory, multinational companies in the host country to carry out business, for the legitimacy of its existence is necessary prerequisite. However, institutional distance and different modes of entry brings different institutional pressure and legitimacy barriers. On the one hand, the system of distance not only in the macro level of Multinational Enterprises by the host country the audience accepted and recognized the difficulty, and the level of organization system from the impact of Multinational Parent Company to its internal legitimacy granted, and transnational enterprise internal legitimacy The acquisition. On the other hand, the legitimacy of the state and its multinational entry mode is closely related to the different entry mode under the foundation of legitimacy, multinational acquisition path, access and legitimacy constraints faced are not the same. This study explores the system of distance, entry mode of multinational enterprise legal the strategic choice. First of all, based on combing, summarizing and refining the theory of legitimacy based institutional distance theory and enterprises to enter the mode of the relevant research results, the institutional distance, entry mode as an important factor in multinational enterprises legitimacy threshold, respectively from the system (formal / informal institutional distance) single factor the entry mode, (M / new mode) single factor, and institutional distance and entry mode of "double factors" caused by multinational enterprises legitimacy "threshold" and makes a deep research and discussion, And further put forward the different institutional distance and entry mode in the context of the four kinds of legitimacy threshold type, namely the 1 high system "hostile - multiple" distance and acquisition mode under the threshold of legitimacy; 2 low institutional distance and merger under the mode of "loose - multiple" legitimacy threshold "hostile unit"; 3 high and new institutional distance under the mode of legitimacy threshold; and 4 low institutional distance and the new model of "loose - unit" legitimacy threshold. Secondly, based on the theoretical deduction, the combination of multinational field visits, was constructed to deal with the legitimacy of the threshold of multinational II companies can take in, external legitimation strategy and strategic combination. In this paper, the multinational enterprises can take the "compliance" or "control" two strategies to cope with external legitimacy threshold; take "isomorphism" or "heterogeneous" two kinds of strategy to deal with the internal legal Threshold. Further, in this paper, based on external legitimatizing correlation, constructs the theoretical model, the external legal strategy combination. This paper argues that the multinational enterprises in dealing with legal threshold constraints, can adopt four kinds of legal strategy combination: 1 "compliance" and "heterogeneous" strategy "and" strategic combination; 2 "manipulation" and "heterogeneous" strategy under the "risk" strategy; 3 "manipulation" and "isomorphism" under the strategy of "positive" strategy; 4 "compliance" and "isomorphism" strategy under the "conservative" strategy. Finally, this paper discusses the problems of strategic choice of different threshold of legitimacy under the constraint of multinational enterprises. Put forward the basis and principle of the strategic choice of transnational enterprise legalization, and on this basis, both single factor of institutional distance, entry mode and system from the single factor 绂讳笌杩涘叆妯″紡鈥滃弻鍥犵礌鈥濅笅鐨勫悎娉曞寲鎴樼暐閫夋嫨杩涜�屾繁鍏ュ湴鐮旂┒涓庤�鸿堪.鏈�鏂囩殑鐮旂┒璇曞浘鍥炵瓟浠ヤ笅涓変釜闂�棰，

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