跨国公司子公司之间的知识转移研究

【作者】 张晓燕；

【导师】 李元旭；

【作者基本信息】 复旦大学 ， 企业管理， 2006， 博士

【摘要】 目前学术界普遍把跨国公司从单一组织理解为差异化的网络组织，即跨国公司是一个差异化的、具有或多或少综合单元的全球化分布的网络，这些单元的竞争能力取决于网络资源的共享。这个观点起源于传统的资源基础观：跨国公司之所以存在是因为它们在单元之间能够转移和共享资源，尤其是知识，而通过内部渠道可能比通过外部市场更有效率。那么作为差异化网络的MNC子公司之间的知识转移为促进MNC的绩效提供了机会。一些学者已经讨论了子公司之间知识流的重要性，然而，只有很少的研究是从实证上检验这一关系的。大多数关于跨国公司知识转移的研究集中在接受者、发送者和知识的特征上，以及关注知识共享的前提和MNC的内、外部学习，而对于跨国公司子公司间的知识转移以及转移的机制还没有系统的研究，子公司间的知识转移和MNC绩效之间关系的研究更是寥寥。在明确了研究背景和研究主题之后，本文通过对跨国公司知识转移理论研究方向的演进和子公司知识转移研究议题的提出，进一步确立了子公司间知识转移所包含的四个具体研究问题。从以下四个方面对跨国公司子公司间知识转移进行了理论和实证研究：(1)子公司间知识转移的内外部关系(2)子公司间知识转移的机制(3)子公司间知识转移的社会化基础(4)子公司间知识转移影响因素与子公司间知识转移效果的关系，以及最终对子公司绩效的影响。在理论综述部分对跨国公司知识基础观理论的形成和跨国公司知识转移理论进行了系统的回顾，首先指出了跨国公司作为知识转移有效载体存在的理由；其次，从传统的跨国公司内部化理论视角转变为跨国公司演化理论视角，即从节约交易成本的思路转变为利益获取的思路，来分析跨国公司知识转移问题；第三，最大化跨国公司分散的子公司所做出的总的经济收益，需要一种能够将全球整合和局部响应相结合的跨国解决方案，本文列出了目前分析子公司知识转移的几个经典模型作为本研究的理论出发点和参照。其次，在现有的跨国公司知识转移理论基础之上，本文从母公司的委派、当地环境的影响、子公司的选择三个方面，论述了子公司间知识转移的角色形成，给出了一个子公司间知识转移的综合模型。在这个框架模型的基础上分别对子公司间知识转移的内外部关系、子公司间知识转移过程中表现出的特征与对应的相关机制、子公司间知识转移的相关社会化维度，进行了系统分析。为子公司之间知识转移所面临的动因和障碍提供了理论依据，使得子公司之间的知识转移问题在跨国公司管理中有了一条具有实践意义的实现途径，其理论定位问题也有了基本的落实。第三，在理论阐述了影响子公司间知识转移的关系因素、机制因素和社会化基础因素的理论基础之上，通过概念模型设计和分析，初步构建了由三个基本要素(子公司间的竞合关系、母公司的控制模式、社会化基础)组成的子公司间知识转移的概念模型。然后以在上海的跨国公司子公司为研究对象，运用结构方程(LISREL)和统计分析等分析方法进行实证研究，并验证本研究所提出的各项假设。第四，本研究对典型跨国公司子公司间的资源共享案例的分析表明了跨国公司子公司间知识转移的存在性和必然性。通过对广州本田雅阁和HeidelbergCement公司的子公司间知识转移的机制和方法的研究，为我国跨国公司在子公司间知识转移的管理和运作方面，提供了有益的参考。第五，为我国跨国公司海外子公司的知识管理工作提出了些许建议，对本研究做了简单的总结，并指出了未来该领域研究的方向和面临的挑战。本研究运用制度经济学、管理学和社会学的相关理论，对跨国公司子公司间知识转移的关系、机制和基础做了系统的理论分析，形成了知识转移影响因素，知识转移效果与子公司绩效的概念模型，并采用规范研究和实证研究相结合、定性研究和定量研究相结合的方式，揭示了子公司间知识转移各影响因素、知识转移效果和子公司绩效间的关系，发现了子公司间知识转移效果能够明显地提高子公司的绩效。本研究成果不仅发展了跨国公司知识转移理论，而且为有志于跻身国际先进之列的中国企业提高在国际舞台上的竞争力提供了必要的理论依据和实践指导。更多还原

【Abstract】 Currently the academic world is changing its view on MNC from a single organization to a differentiated network organization, which means the competitiveness of these units depends on the sharing of the network resources. The point of view originates from the traditional recourse-based opinion: The ground on which the MNC was founded is that the units of MNCs could share and transfer resources especially knowledge more efficiently via internal channel than external market. The sharing and transfering knowledge among the peer subsidiaries of MNC provides an opportunity to raise the performance of MNC. Some scholars have proved the importance on the sharing of the knowledge among peer subsidiaries. However, there are merely few researches that have provided experimental evidence on this connection. Most of researches on the knowledge transfer concentrate on the characteristic of the receiver, the sender and the knowledge itself. And the attention has been paid on the prerequisite of the knowledge sharing and the internal and external studies of MNC. However, few researches focus on knowledge transfer among the peer subsidiaries of MNC. The researches on the relationship between the knowledge transfer and the performance of MNC are more scant.After nail down the research background and theme, and though the introduction the theory of the knowledge transfer and the theme of the subsidiaries of MNCs knowledge transfer, further confirms the four concrete research questions on the knowledge transfer among subsidiaries, and performed theoretic and experimental researches that enclose the theme knowledge transfer among subsidiaries of this thesis: (1) the internal and external relations on the transfer of the knowledge among subsidiaries. (2) the mechanisms of the knowledge transfer among subsidiaries. (3) the social ground of the knowledge transfer between subsidiaries. (4) the relationship between the elements of the knowledge transfer and the effect of the knowledge transfer and its ultimate influence to the performance of the company.The theory do a systemic review on the founding of the MNC knowledge based theory and the theory of the knowledge transfer within MNC, and first points out the ground on which the MNC exists as the knowledge transfer entity. Second, from the perspective of the MNC evolution theory instead of traditional MNC internalization theory and from the angle of interest acquisition instead of trade cost saving, analyzes the issue of knowledge transfer. Third, the maximization of the overall economic benefit of the subsidiary companies needs a multi-national solution that could combine the global integration with local response. This dissertation lists the several classic subsidiary knowledge transfer models as the starting point and the sample of the theory studies of this research.Second, on the basis of the theory of MNC knowledge transfer, this dissertation explains the role founding of subsidiaries in the knowledge share within MNCs from 3 aspects namely the appointment of the parent company, the influence of the local environment and the selection of the subsidiaries, and produces the comprehensivemodel of the knowledge transfer among subsidiaries of MNCs. Based on this model, this research then do a systematic analysis, on the internal and external relationship of the subsidiaries regarding the knowledge transfer and the characteristics of subsidiaries demonstrated in the process of the knowledge transfer and its relevant mechanism and the social foundation of the knowledge transfer among subsidiaries. This research therefore provides the motivation and the obstacle that the subsidiaries confronted in the process of knowledge transfer, and provide a practical way on the management of the knowledge transfer among the subsidiaries of MNC. Also, the positioning of the theory has been solved partially.Third, based on the theoretic explanation of the relation elements, system element and social element that influence the knowledge transfer among subsidiary companies, via the design and the analysis of the concept model, this article has established the concept model of the knowledge transfer between the subsidiary companies, which consists of 3 basic aspects (the coopetition relationship, the controlling method of the parent company and social ground). The MNC subsidiaries in shanghai are selected as sample of experimental research, the structural equation(LISREL) and statistic analysis(SASS) are applied in the experimental researches, and all hypotheses are validated.Fourth, by analyzing the cases of the resource sharing about the typical MNC subsidiary companies, proved the reasonability and the necessity of the knowledge transfer among subsidiaries within MNC. Via the study on the system and the method on knowledge transfer among subsidiaries of Guangzhou Honda and Heidelberg Cement, this dissertation has provided for our national MNC relevant and favorable reference on the knowledge transfer management.Fifth, raising some suggestions on the knowledge management of the oversea subsidiaries of Chinese MNC, and made a brief summary on this research , indicated the future direction of the field of research and the incoming challenge.By utilizing the relevant theory about the economics, management and socialism, to systemically analyze the relationship, mechanism and social foundations of the knowledge transfer among MNC subsidiaries, and has established the conceptual model of the elements influencing knowledge transfer, the effect of knowledge transfer and the performance of subsidiaries. And the research performed with normative analysis and experimental analysis, the qualitative analysis and the quantitative analysis. It uncovers the elements regarding the knowledge transfer among subsidiaries of MNCs, and discovers that the knowledge transfer among subsidiaries could significantly raise the performance of subsidiary companies. This research not only develops the theory on the MNC knowledge transfer, but also provides necessary theoretic supports and practice instructions to increase the competitiveness of the Chinese MNCs which are eager to play a bigger role in the global market.更多还原