【作者】 邢彦玲；

【导师】 赵景华；

【作者基本信息】 山东大学 ， 企业管理， 2007， 博士

【摘要】 在网络观点下，跨国公司理论的研究焦点已经不再是母公司，网络的节点即子公司的功能逐渐受到重视，子公司不再是母公司命令的被动接受者，而成为跨国公司中的积极贡献者。本研究关注的焦点是子公司的决策自主权。因为子公司的决策自主权对跨国公司的整体经营绩效及组织适应性都有显著的影响。子公司的决策自主权显示出子公司独立运作的能力，本研究将其定义为母公司授权给子公司自行决策的程度。以往相关文献对子公司决策自主权的探讨，多是关于对子公司决策自主权有影响的因素，或协调控制机制对子公司决策自主权的影响，或以决策自主权为分析层面对子公司的角色进行分类，对子公司决策自主权的内涵和特性涉及较少。在对跨国公司子公司决策自主权的实证研究中，也多集中在研究跨国公司在发达国家的子公司，对跨国公司在发展中国家子公司的相关行为关注较少。中国作为发展中国家，经济经过二十多年的发展，取得了举世瞩目的成就。跨国公司为抢占中国市场，纷纷在中国设立子公司，这些跨国公司在华子公司的行为是很值得探讨的。由此，本研究以跨国公司在华子公司为实证研究主体，期望能对跨国公司在发展中国家子公司的相关行为有所了解；同时也希望本研究能通过对子公司决策自主权自身发展的理论探讨和分析，在一定程度上弥补子公司决策自主权理论研究的不足。本研究首先探讨的是跨国公司子公司决策自主权的演进机制。根据子公司决策权限的消长，将子公司决策自主权划分为获得、发展和丧失三个生命阶段；根据能力和授权的变化组合，将子公司决策自主权的发展演变归纳为母公司驱动决策自主权扩大型、子公司驱动决策自主权强化型、子公司驱动决策自主权扩大型、子公司驱动决策自主权衰减型以及母公司驱动决策自主权衰减型五种模式并分别予以分析；以子公司所存在的跨国公司网络为边界，将子公司决策自主权演变的动因机制区分为母公司战略驱动以及子公司能力提升等内部动因机制和东道国环境不确定性等外部动因机制；跨国公司子公司的生命周期较一般企业更为复杂，由此本研究进一步分析了子公司的决策自主权在其生命周期的各个阶段表现出的不同特点。本研究关注的另一个议题是跨国公司子公司决策自主权的影响因素。本研究以代理理论、交易成本理论、资源基础理论、资源依赖理论以及网络理论为理论依据，根据跨国公司在华子公司的特点，构建起影响子公司决策自主权影响因素的理论研究框架，包括子公司自身的特质、母-子公司关系特质、子公司在跨国公司内部网络中的特质以及子公司在跨国公司外部网络中的特质。根据这一理论框架，本研究以跨国公司在华子公司为研究对象进行了实证分析。实证结果显示，子公司的成立年数、子公司相对母公司的资源和能力水平、子公司在地主国价值链活动的完整程度、子公司经理人的相关国际事务经验、母公司对子公司的程序公正性程度、母子公司的共享价值程度、子公司在跨国公司网络中的中心性程度、子公司的地区响应程度以及子公司与当地关系网络的联结程度等九个因素对子公司的整体决策自主权有显著影响。本研究又进一步对子公司的个别决策自主权进行了探讨，发现对子公司整体决策自主权有影响的因素对子公司的个别决策权也有影响，但影响程度依个别决策项目各有不同。最后，本研究依据理论分析及实证结果，分别对东道国政府、东道国企业、跨国公司母公司和子公司的管理者提出管理建议；同时也指出本研究的局限性并提出后续研究的设想。本研究尝试对跨国公司子公司决策自主权的发展规律及其特点进行分析，并引入独特变量，构建了跨国公司子公司决策自主权影响因素的理论框架，弥补了对子公司决策自主权自身理论研究的不足，进一步完善了跨国公司子公司决策自主权研究的理论体系；本研究以跨国公司在华子公司为实证对象，也在一定程度上弥补了对跨国公司在发展中国家子公司行为实证研究不足的欠缺。更多还原

【Abstract】 The research focus of MNCs subsidiary has been transferred from HQ perspective to transnational network perspective. Under network perspective, MNCs subsidiary’s role and function have been widely recognized. Some subsidiaries do not play a receptive role dictated from HQ any more, but leap to an active player in MNCs.This thesis focused on the subsidiary autonomy. The autonomy was defined as the level to which the HQ delegates to the subsidiary; it demonstrates the subsidiary’s ability to operate independently. The degree of the subsidiary autonomy has an important influence on the organizational effectiveness and adaptiveness.In the past literature, most theoretical studies of the subsidiary autonomy concerned the determinants of subsidiary’s autonomy, or the influence of the control mechanism on the subsidiary’s autonomy, and also classified the subsidiaries according to the subsidiary’s autonomy degree; little attention was paid to the autonomy per se. As to the demonstrated study of the subsidiary autonomy, scholars attached much importance to the subsidiaries in the developed countries, but overlooked the related actions of the subsidiaries in the developing countries.As a developing country with twenty years’ economic development, China has obtained great achievements which attract worldwide attention. Famous MNCs set up subsidiaries in succession to occupy the market of China. Therefore, it is worthy to study the MNCs’ China subsidiary’s behavior. This thesis dealt with the study of the subsidiaries in the developing country, hoped to learn more about such subsidiaries as well as broaden the subsidiary autonomy theory.First, the thesis discussed the evolvement mechanism of the subsidiary’s autonomy. According to the different combinations of the ability and the authorization, the thesis classified the autonomy evolvement into five patterns, which are Parent-driven Autonomy Extension (PDE), Subsidiary-driven Autonomy Reinforcement (SDR), Subsidiary-driven Autonomy Extension (SDE), Subsidiary-driven Autonomy Atrophy (SDA), and Parent-driven Autonomy Atrophy (PDA). The research divided the causation mechanism into two parts: the internal causation mechanism and the external causation mechanism. The thesis also discussed the characteristics of the autonomy within the distinct subsidiary development phases.Second, the thesis discussed the determinants of the subsidiary’s autonomy. Based on the transaction cost theory, the agency theory, the resource based theory and the resource dependence theory; the research summed up four sorts of possible determinants, including the characteristics of the subsidiary, the characteristics of the HQ - subsidiary dyadic relationship, the characteristics of the subsidiary in the interior and exterior MNCs’ network.According to the theoretical frame, the thesis did the Empirical analysis. The results revealed that many factors, such as the age of the subsidiary, the subsidiary’s relative resource and capability, the subsidiary’s value chain in the host country, the manager’s experience, the HQ’s procedure justice, the shared value between the parent company and the subsidiary, the subsidiary’s centrality in the MNCs network, the subsidiary’s local responsiveness and the subsidiary’s exterior connection in the host country, have influence on subsidiary general autonomy. Then, the thesis discussed the subsidiary individual decision autonomy, and the conclusion was that the determinants which influenced the general autonomy would also affect the individual decision autonomy, but in different degrees.Finally, the thesis gave suggestions on the management of the subsidiary to the subsidiary’s and the parent company’s managers separately; then pointed out the limits of this research and also the possible direction of later research.The thesis analysis the developing discipline and characteristics of subsidiary decision autonomy, introduced the new influence factors to the subsidiary autonomy determinants theory frame, thus made the subsidiary decision autonomy theory completed; the thesis took the MNCS’ subsidiaries in China as the demonstration subject, which also made up for the empirical study of the subsidiary autonomy in the developing country.更多还原