本文關(guān)鍵詞： 制度距離 進(jìn)入模式 內(nèi) 外部合法性 合法化戰(zhàn)略 戰(zhàn)略選擇　出處：《吉林大學(xué)》2016年博士論文　論文類型：學(xué)位論文

【摘要】：前人有關(guān)跨國企業(yè)的研究在先后經(jīng)歷了資源視角與戰(zhàn)略視角的研究熱潮后,學(xué)者們逐漸認(rèn)識(shí)到,制度的因素越來越多的成為理解和分析跨國企業(yè)行為的關(guān)鍵。新制度學(xué)派認(rèn)為,制度不僅僅是企業(yè)所處的外部環(huán)境要素,同時(shí)也是企業(yè)戰(zhàn)略行為的誘因和與之互動(dòng)的結(jié)果�，F(xiàn)有大量研究表明,跨國企業(yè)在進(jìn)行海外運(yùn)營時(shí)要面臨來自東道國與母公司的“雙重”制度壓力,跨國情境下制度因素為企業(yè)帶來機(jī)遇的同時(shí),也成為企業(yè)諸多問題的來源和面臨的最大挑戰(zhàn)。一方面,由制度距離引發(fā)的合法性障礙成為制約跨國企業(yè)發(fā)展的首要問題之一。另一方面,跨國企業(yè)的合法性約束與其進(jìn)入東道國的模式密切相關(guān)。因此,本文將制度距離、進(jìn)入模式視為構(gòu)成跨國企業(yè)所處制度情境的重要因素,探討了二者對(duì)跨國企業(yè)帶來的制度性障礙。合法性作為制度理論中最重要的概念之一,越來越多的成為理解和詮釋上述相關(guān)問題的工具和手段。合法性理論認(rèn)為,跨國企業(yè)在東道國開展經(jīng)營時(shí),爭取必要的合法性是其生存的先決條件。然而,不同的制度距離與進(jìn)入模式帶來了不同的制度壓力和合法性障礙。一方面,制度距離不僅在宏觀層面影響了跨國企業(yè)被東道國受眾接受和認(rèn)同的難度,同時(shí)組織層面的制度距離影響跨國企業(yè)母公司對(duì)其內(nèi)部合法性的授予,以及跨國企業(yè)自身內(nèi)部合法性的獲取。另一方面,跨國企業(yè)的合法性狀態(tài)與其進(jìn)入東道國的模式密切相關(guān),不同進(jìn)入模式下跨國企業(yè)的合法性基礎(chǔ)、獲取路徑、獲取方式以及面臨的合法性約束也不盡相同。本文的研究探討了制度距離、進(jìn)入模式對(duì)跨國企業(yè)合法化戰(zhàn)略選擇的影響。首先,本文在梳理、總結(jié)與提煉合法性理論、制度距離理論與企業(yè)進(jìn)入模式相關(guān)研究成果的基礎(chǔ)上,將制度距離、進(jìn)入模式視為構(gòu)成跨國企業(yè)合法性門檻的重要因素,分別就制度距離(正式/非正式制度距離)單因素、進(jìn)入模式(并購/新建模式)單因素,以及制度距離與進(jìn)入模式“雙因素”導(dǎo)致的跨國企業(yè)合法性“門檻”進(jìn)行了深入地研究與論述,并進(jìn)一步提出了不同制度距離與進(jìn)入模式情境下的四種合法性門檻類型,即1高制度距離與并購模式下的“敵對(duì)-多元”型合法性門檻;2低制度距離與并購模式下的“寬松-多元”型合法性門檻;3高制度距離與新建模式下的“敵對(duì)-單元”型合法性門檻;以及4低制度距離與新建模式的“寬松-單元”型合法性門檻。其次,本文在理論推演的基礎(chǔ)上,結(jié)合對(duì)跨國企業(yè)的實(shí)地走訪,構(gòu)建了跨國II企業(yè)應(yīng)對(duì)合法性門檻可以采取的內(nèi)、外部合法化戰(zhàn)略及其戰(zhàn)略組合。本文提出,跨國企業(yè)可以采取“依從”或“操縱”兩種戰(zhàn)略應(yīng)對(duì)外部合法性門檻;采取“同構(gòu)”或“異構(gòu)”兩種戰(zhàn)略應(yīng)對(duì)內(nèi)部合法性門檻。進(jìn)一步地,本文在探討內(nèi)、外部合法性獲取相關(guān)關(guān)系的基礎(chǔ)上,構(gòu)建了內(nèi)、外部合法化戰(zhàn)略組合的理論模型。本文認(rèn)為,跨國企業(yè)在應(yīng)對(duì)合法性門檻約束時(shí),可以采取四種合法化戰(zhàn)略組合:即1“依從”與“異構(gòu)”戰(zhàn)略下的“穩(wěn)妥型”戰(zhàn)略組合;2“操縱”與“異構(gòu)”戰(zhàn)略下“風(fēng)險(xiǎn)型”戰(zhàn)略組合;3“操縱”與“同構(gòu)”戰(zhàn)略下的“積極型”戰(zhàn)略組合;4“依從”與“同構(gòu)”戰(zhàn)略下的“保守型”戰(zhàn)略組合。最后,本文探討了不同合法性門檻約束下的跨國企業(yè)戰(zhàn)略選擇問題。提出了跨國企業(yè)合法化戰(zhàn)略選擇的依據(jù)和原則,并在此基礎(chǔ)上,分別就制度距離單因素、進(jìn)入模式單因素,以及制度距離與進(jìn)入模式“雙因素”下的合法化戰(zhàn)略選擇進(jìn)行深入地研究與論述。本文的研究試圖回答以下三個(gè)問題:(1)制度距離、進(jìn)入模式二者對(duì)跨國企業(yè)合法性產(chǎn)生了怎樣的影響,由此導(dǎo)致了怎樣的合法性門檻,其影響作用的機(jī)理又是什么;(2)跨國企業(yè)為應(yīng)對(duì)和克服合法性門檻能夠采用的內(nèi)、外部合法化戰(zhàn)略及其戰(zhàn)略組合都有哪些,分別有何特征;(3)跨國企業(yè)如何在不同的合法性門檻約束下開展合法化戰(zhàn)略選擇,選擇依據(jù)和原則是什么,不同的合法化戰(zhàn)略選擇對(duì)企業(yè)績效產(chǎn)生何種影響。本文共收集了306份中國跨國企業(yè)的有效樣本,通過實(shí)證研究,對(duì)提出的理論假設(shè)進(jìn)行驗(yàn)證,主要得到以下幾點(diǎn)結(jié)論:(1)制度距離、進(jìn)入模式均導(dǎo)致了不同程度的合法性獲取障礙。制度距離越大,跨國企業(yè)面臨的內(nèi)、外部合法性門檻越高;并購模式下跨國企業(yè)面臨的內(nèi)部合法性門檻較高,而新建模式下跨國企業(yè)面臨的外部合法性門檻較高。(2)制度距離的不同屬性影響了跨國企業(yè)合法化戰(zhàn)略的選擇。當(dāng)東道國正式制度優(yōu)于母國時(shí),跨國企業(yè)傾向于采取依從戰(zhàn)略克服外部合法性門檻。而非正式制度距離越大,跨國企業(yè)越傾向于采取依從戰(zhàn)略克服外部合法性門檻,反之,則傾向于采取操縱戰(zhàn)略。制度距離越大,跨國企業(yè)越傾向于采取異構(gòu)戰(zhàn)略克服內(nèi)部合法性門檻,反之,則傾向于采取同構(gòu)戰(zhàn)略。(3)進(jìn)入模式對(duì)跨國企業(yè)內(nèi)部合法化戰(zhàn)略選擇產(chǎn)生重要的影響作用。并購模式下,跨國企業(yè)傾向于采取異構(gòu)戰(zhàn)略克服內(nèi)部合法性門檻,而在新建模式下,跨國企業(yè)傾向于采取同構(gòu)戰(zhàn)略克服內(nèi)部合法性門檻。(4)制度距離與進(jìn)入模式“雙因素”情境下的跨國企業(yè)合法化戰(zhàn)略選擇并非兩種因素影響的簡單疊加,而是應(yīng)當(dāng)是在充分分析情境特征、識(shí)別主要合法性約束的基礎(chǔ)上,靈活運(yùn)用權(quán)變的思想,將戰(zhàn)略選擇與所處合法性門檻約束的類型進(jìn)行有效匹配,當(dāng)二者匹配度較高時(shí),跨國企業(yè)能夠獲得更好的績效表現(xiàn)。本文的研究,進(jìn)一步整合了制度距離、進(jìn)入模式兩個(gè)重要的制度要素,系統(tǒng)地刻畫了二者構(gòu)成的合法性門檻約束,以及跨國企業(yè)如何應(yīng)對(duì)合法性門檻的戰(zhàn)略選擇過程,從理論層面揭示了二者對(duì)合法性的影響及其作用機(jī)理。同時(shí),現(xiàn)有大量對(duì)合法性的探討多集中于外部合法性,側(cè)重肯定外部合法性的重要作用,但忽略了內(nèi)部合法性的意義。本研究試圖將內(nèi)、外部合法性“捆綁”在一起,從內(nèi)、外部兩個(gè)方面,對(duì)跨國企業(yè)面臨的內(nèi)、外部合法性障礙及其合法化戰(zhàn)略選擇問題進(jìn)行了深入地探討。本文的研究進(jìn)一步實(shí)現(xiàn)了跨國情境下內(nèi)、外部合法性研究的融合。進(jìn)一步地,本文提出了內(nèi)部合法化戰(zhàn)略的兩種模式,即同構(gòu)與異構(gòu)戰(zhàn)略,本文的相關(guān)研究一定程度上拓展了現(xiàn)有合法性理論。最后,本文對(duì)制度距離的屬性進(jìn)行了更深層次地挖掘和探索。本文的研究表明,不僅制度距離的大小,制度的相對(duì)優(yōu)劣同樣能夠影響跨國企業(yè)對(duì)合法化戰(zhàn)略的選擇,即東道國與母國制度環(huán)境的相對(duì)優(yōu)劣能夠顯著地影響跨國企業(yè)合法化戰(zhàn)略的選擇傾向性。
[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 紱諱笌榪涘叆妯″紡鈥滃弻鍥犵礌鈥濅笅鐨勫悎娉曞寲鎴樼暐閫夋嫨榪涜娣卞叆鍦扮爺絀朵笌璁鴻堪.鏈枃鐨勭爺絀惰瘯鍥懼洖絳斾互涓嬩笁涓棶棰，

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