【作者】 周玲；

【导师】 汪涛；

【作者基本信息】 武汉大学 ， 市场营销管理， 2012， 博士

【摘要】 为了进一步提升在国际市场的竞争力，中国企业在国际化市场上已经开展了诸多积极努力的尝试。虽然如中兴、海尔等企业都为提高和发展其国际市场的合理性而做出了诸多努力，但总体而言，中国企业及其产品在国际市场的合理化进程在很大程度上受制于“中国制造”的负面来源国形象（徐晓琳，2009；郑风田、唐传英和张莹，2002），受到了很多阻碍和质疑。那么，来源国形象究竟通过怎样的机制制约了企业及其产品的合理性？而这个过程中，国际化企业又可以如何通过自身的合理化战略行为来应对较差来源国形象对自身产生的负面影响，从而改善市场绩效呢？这对于中国等后进国家的企业都具有十分重要的意义。但已有关于来源国研究的相关文献既缺乏对来源国形象构成维度的清晰界定，对来源国形象作用机制的解析也缺乏对现实现象的解释力；而制度理论和企业合理性相关文献对于企业合理化战略行为及其市场绩效的探讨也多是集中于“新进入者劣势”的新企业而谈的，较少有基于“外国者劣势”的国际化企业角度所发展的合理化行为。因此，现有研究文献不能对来源国形象、企业跨国经营中的合理化行为和市场绩效之间的关系作出明确的回答。鉴于此研究空白，本文首次将合理性理论引入来源国研究，基于外国者劣势和合理性溢出的相关理论，探讨了国际化企业的来源国形象的构成机理、作用机制、企业应对策略及效果。鉴于对来源国形象概念缺乏共识而造成了该领域的理论体系不成熟，加之企业合理化行为和来源国形象之间联系的研究又较为匮乏，本文系统采用了混合研究策略的设计安排（Grewell，2003），融合了定性研究和定量研究，力求通过两种研究手段的优势互补获得更好的研究效果。研究结果表明：来源国形象本质上是消费者对某国企业及产品的一种大范围合理性感知和反应，它对消费者购买行为和企业市场绩效的影响机制是合理性溢出效应：消费者会基于来源国实用形象和社会形象形成对所有某国企业的大范围感知，从而影响到其对该国某特定企业小范围合理性的判断，进而决定是否给予企业及其产品以支持。在来源国形象较差而导致大范围合理性低迷时，企业可以通过绩效行为和制度行为两类合理化行为来提高自身小范围的合理性，以获得更高消费者支持。但企业合理化行为的效果还取决于与企业差来源国形象的具体类型的匹配。具体表现为：在来源国实用形象较差时，相比绩效合理化行为，企业在东道国的制度合理化行为所导致的消费者支持要更高。在来源国社会形象较差时，相比制度合理化行为，企业在东道国的绩效合理化行为所导致的消费者支持要更高。本文共分为绪论、文献综述、定性研究、定量研究和结论五大部分共计六章。其中，绪论为第一章，主要阐述本文的现实背景、理论背景、研究问题和研究思路；文献综述为第二章，主要是对来源国形象、企业的合理性及合理化行为、外国者劣势三方面文献进行回顾和评述，为后续的定量研究奠定理论背景，发现现有研究空白和缺陷。第三章为定量研究，主要是中国来源国形象为背景，基于美、印两国消费者对中国企业及产品来源国形象感知的网络评论，以初步揭示并验证来源国形象的构成维度和影响机制；第四章和第五章是定量研究部分，主要是基于定性研究的发现，对来源国形象的合理性溢出效应、企业合理化行为和来源国形象对消费者支持的交互作用进行分析和验证；第四部分为第六章，总结了全文的研究结论及理论意义和管理启示，并进一步指出了研究局限和未来研究方向。各章具体概要如下：第一章为绪论。绪论部分首先阐释了本文的现实背景和理论背景，在此基础上明确本文研究问题、研究思路和方法。本文的主旨在于：从制度理论的合理性理论视角，基于外国者劣势和合理性溢出的相关理论，采用定性研究和定量研究相结合的顺序性探索研究策略方法，来探讨来源国形象的构成机理和影响机制，并揭示国际化企业的来源国形象、合理化战略及消费者支持之间的关系。第二章是文献综述。本章回顾和评述了来源国形象及效应的相关研究文献、企业合理性及合理化战略的相关研究文献、外国者劣势的相关研究文献，为后续的研究奠定理论基础，并明确现有研究的空白和缺陷。第三章是来源国形象的扎根理论研究。作为本文的研究一，该定性研究主要是基于对美、印两国消费者网络评论的扎根理论研究，运用合理性理论视角来分析来源国形象形成和作用的深层机制，揭示并验证来源国形象的合理性溢出效应：当企业不为东道国制度中的涉众所熟悉而陷入外国者劣势时，东道国消费者就会基于实用和社会两大维度的来源国形象形成对所有该国企业的大范围的合理性感知，这种大范围合理性又会通过溢出效应影响消费者对特定的某中国企业的小范围的合理性判断、态度和行为。第四章为来源国合理性溢出效应的实证研究。作为本文的研究二，该定量研究主要是在研究一扎根理论研究结果的基础上，基于外国者劣势理论和合理性溢出效应理论，通过1个实验揭示并验证：（1）来源国形象通过影响企业/产品合理性这一中介变量来正向影响消费者对该企业/产品的支持；（2）来源国实用形象和社会形象在合理性溢出效应中对消费者支持的影响有不对称性，社会形象会调节实用形象对消费者支持的影响。第五章为企业合理化行为影响机制的实证研究。作为本文的研究三，该定量研究主要是在研究一和研究二的研究结果基础上，基于外国者劣势理论和合理性溢出效应理论，通过2个实验揭示并验证：（1）在来源国形象这种大范围合理性低迷的情况下，企业可以采用绩效和制度合理化行为来提升本企业的小范围合理性；（2）来源国形象和企业合理化行为对消费者支持存在交互作用：在来源国实用（社会）形象较差时，相比绩效（制度）合理化行为，企业的制度（绩效）合理化行为所导致的消费者支持要更高。第六章是结论与讨论。本章的主要内容总结和概括本文研究结论，阐释本文的理论贡献和管理启示，阐明研究不足并指出未来研究方向。总之，本文首次将合理性理论视角和外国者劣势理论视角的理论概念和分析模式引入到企业来源国形象研究和企业合理化行为研究中，既考察了来源国形象的构成和机制，又揭示了企业来源国形象、合理化营销行为与消费者支持之间的关系。这既拓展和丰富了现有关于来源国形象的研究，又丰富了现有合理性理论在营销领域的应用，还基于企业的来源国形象发展出处于“外国者劣势”下的国际化企业的合理化营销行为，从企业操作战略层面对现有来源国理论和制度理论作出了一定的拓展。更多还原

【Abstract】 Chinese enterprises have done lots of efforts to enhance their competitiveadvantages in the global market. However, restricted by the negative “Made in china”image, Chinese enterprises face more suspicions and obstacles in the process ofinternationizition (Xu,2009; Zheng, Tang and Zhang,2002). There is still a long wayfor Chinese enterprises to compete with their stronger competitors from advancedcountries. How does the Country-of-origin Image (CoI) restrain the legitimacy ofChinese enterprises and their products? What can the international enterprises do tocope with the negative impact of their CoI and hence to improve the marketingperformance? Both of the two questions are of great significance to enterprises indeveloping countries, such as China.Through the literature review in the3domains of CoI, legitimacy and liability offoreignness, this research finds out that the extant literatures have still not have aconvinced conclusion of how the CoI is formed. In addition, extant explanation forCoI’s effect also lacks the relevance of the practices. The literature in the institutionaltheory can’t support our questions with good answer either. Most of the extantliteratures in enterprises’ legitimation strategies or actions have been used to copewith the liability of newness rather on liability of foreignness. Therefore, this researchwill draw on the theory of liability of foreignness and legitimacy spillover to explorethe relationship between CoI, enterprises legitimation actions and consumer support.Referring to Grewell’s (2003) sequential explanatory strategy, this researchconducts a grounded-theory study and3experiments and finally finds out that: CoI iscomposed of pragmatic image and social image; CoI is an essentially kind ofrecognitions and judgments of broad-scope legitimacy and will exert its impacts onconsumer support through the legitimacy spillover effect. Consumers would judgelegitimacy of one specific enterprise by its CoI and then decide whether give supportto the enterprise or not. In the condition of having negative CoI, enterprises can guardand increase their narrow-scope legitimacy through legitimation actions and therefore gain consumers’ support. However, the effect of the legitimation actions depends onthe type of negative CoI. When the CoI is negative in the pragmatic dimensions,institutional legitimating actions are more effective to gain consumer support than theperformative legitimating actions. While when the CoI is negative in the socialdimensions, performative legitimating actions are more effective.This paper comprises five parts of introduction, literature review, qualitive study,quantitive study and conclusion. The introduction part includes the1st chapter whichmainly clarifying the background and significance of this research as well as theresearch purpose and contains. Literature review comprises the2nd chapter, in whichwe review and analyze the extant literature such as CoI theory, legitimacy theory andtheory of liability of foreignness. Chapter3is the qualitive study. Chapter4and5consists of the quantitive studies. We conclude the results and management andpractice meaning. We also point out the limit in our research and make somesuggestions to future research.The outline of each chapter is as follow:Chapter1is introduction. It points out the practical background and theoreticalsignificance of the research, as well as clarifying the research topics and methods inthe study.Chapter2is literature review. We review the important literature at home andabroad that is related to the research topics such as Country-of-Origin Image,Country-of-Origin effect, institutional theory, legitimacy theory and the theory ofliability of foreignness.Chapter3is the grounded-theory study of the CoI. Based on the grounded theory,formation and effect mechanism of Country of Origin Image (COI) is built bycollecting and analyzing the comments and discussion about Chinese products orbrands both from American and Indian netizens. The conclusions show that CoI,which is composed of pragmatic image and social image, is an essentially kind ofrecognitions and judgments of broad-scope legitimacy and will exert its impacts onconsumer support through the legitimacy spillover effect. Chapter4is the quantitive study to explore and examine the legitimacy spillovereffect of CoI. Based on the theory of the liability of foreignness and legitimacyspillover, the study conducts an experiment and reveals that (1) CoI positively impactsthe enterprise’s legitimacy and hence positively influences the consumer support, and(2) the social CoI moderates the relationship between pragmatic CoI and consumersupport.Chapter5is the quantitive study to examine the role of enterprise’s legitimationaction. The conclusions of2experiments suggest that (1) in the condition of havingnegative CoI, enterprise can guard and increase their narrow-scope legitimacy throughlegitimation actions and therefore gain consumers’ support.(2) However, the effect ofthe legitimation actions depends on the type of negative CoI. When the CoI isnegative in the pragmatic dimension, institutional legitimating actions are moreeffective to gain consumer support than the performative legitimating actions. Whilewhen the CoI is negative in the social dimension, performative legitimating actionsare more effective.Chapter6is research conclusion, which concludes the whole research result andgives discussion. The chapter also states the shortcoming of the research and givessome suggestions for further research.In brief, this research firstly induces the legitimacy theory into the research onCoI to explore the relationship of enterprise’s CoI, legitmation actions and consumersupport. It contributes in several ways. First, it enriches and extends the knowledge ofCoI research from the perspective of legitimacy theory. Second, it furthers andenlarges the application of the legitimacy theory in marketing research from theperspective of internationalizational marketing.更多还原