【作者】 张聪；

【导师】 张永安；

【作者基本信息】 北京工业大学 ， 企业管理， 2007， 硕士

【摘要】 合资企业是跨国公司在华投资的重要方式,跨国公司需要保证投入的资源能够得到有效的利用,而合资企业跨越不同体制和文化背景、远离母国和总部的特点使其经营活动常常偏离母公司的战略和目标,因此对合资企业进行有效的控制是必需的。合资企业承担着实现合资双方战略目标的任务,同时也是合资双方跨国经营的重要平台和载体。因此,对合资企业有效控制问题的研究符合合资双方的战略利益,也能够促进合资企业的持续发展。本文在对国内外学术界关于跨国公司、合资企业和管理控制理论进行回顾和述评的基础上,以组织学习和知识管理理论为指导,就跨国公司对合资企业的控制问题进行了分析。本文分析了跨国公司控制在华合资企业的体系框架,并依据合资双方对合资企业投入资源形态的不同把对合资企业的控制分为有形和无形控制两种形式,结合组织学习和知识管理理论,深入探讨了控制方式之间的关系和相互作用,分析了跨国公司在控制方式的选择过程中需要考虑的影响因素。其后在合资企业经营中各种生产要素相对重要性进行分析的基础上,具体分析了有形控制和无形控制中各种控制方式的作用机理、表现方式和影响因素,以及控制方式之间的相互联系。然后以跨国公司在华合资企业为例,实证分析了合资企业的控制绩效与控制方式之间的显著性关系。最后得出本文的结论和提出管理研究建议。本文的主要结论包括:一、跨国公司对合资企业的控制是以对合资企业有形和无形资源的投入为基础,以目标体系、选择体系、运作体系和调控体系四个部分为框架体系对合资企业施加影响。有形控制和无形控制相互联系、相互影响,组织学习与知识管理在其中发挥了重要作用;二、控制的有形形式是以对合资企业的股权占有为前提的,以股权控制为基础,再通过合资企业内部治理结构及董事会的影响,对合资企业施加组织控制。在合资企业中的人力资源和营销等职能逐渐本土化的同时,跨国公司更多的通过组织设计和管理信息系统等加强组织控制;三、控制的无形形式主要是对合资企业的技术转移等知识控制形式,不仅满足了合资双方的合资需求,而且隐藏并加强了跨国公司对合资企业的控制力。文化控制和核心能力也是对合资企业无形控制的重要方式,不仅使对合资企业的控制更加隐蔽,而且使得控制更为坚固和长远;四、知识控制是目前跨国公司采用的最主要也最为直接有力的无形控制方式,通过对母子公司间知识的流动(即知识转移)的控制对合资企业施加影响,并且改变了双方的谈判力量,对其它的控制方式也产生了影响,组织学习与知识管理在其中发挥了重要作用;五、合资企业的控制绩效与股权控制、治理结构和文化控制并不明显相关,而与组织控制、知识控制和核心能力显著相关。当核心能力对控制绩效的作用用组织控制和知识控制来表现时,组织控制对控制绩效的作用更为显著;六、我国企业应当充分认识到双方的合资需求和优势资源,以增加自身的谈判能力,加强对合资企业的组织控制,通过组织学习与知识管理,建立自己的知识体系,保持自身的竞争优势,这样才能维护双方的合理利益,促进合资企业的发展,并实现合资双方的战略目标。更多还原

【Abstract】 International joint venture (IJV) is one of the fundamental and major methods adopted by MNCs to explore the market of China. MNCs make sure of effective using all the resources putting into IJVs. However, IJVs might depart from the global strategies and goals of their parent companies as they face various systems and cultures and they are far away from parent countries and headquarters, so it is very necessary to put IJVs into control. IJV is responsible for the achievement of both parents, so how to effectively control IJVs is the key for MNCs to achieve their strategic goals and promote sustainable development of IJVs.Drawing on the review and criticism of foreign and domestic theories regarding MNCs, IJV and relevant management control, and referring to the theory of organization learning and knowledge management, the dissertation analyze the control of MNCs on IJVs. The dissertation construe the control framework of MNCs, and according to different kinds of resources put into JVs by parents, the research analyzes two kinds of corporate control of MNCs: tangible and intangible controls. Combined with theories of organization learning and knowledge management, the research discusses deeply the interactivity of control modes, and analyzes the effecting factors when choosing appropriate control modes. Then based on the analysis of the relative importance of various production factors in corporate operations, the research analyzes in detail each controlling methods of tangible and intangible control, including the working mechanism, behavior patterns and results, and the factors influencing the controlling methods and the relationship among these methods. Citing MNCs in China as examples, the dissertation empirically analyzes the relationship between control methods and control performance. The dissertation ends with conclusions and implications.The conclusions of the dissertation are as follows. 1) The control of MNCs is based on putting resources into IJVs, and the control framework includes objectives, choices, operation and modify. Tangible and intangible controls are interactive each other, in which organization learning and knowledge management play an important roles. 2) Tangible control in based on stockholding control, and through governance and board of JVs, put organization control on IJVs. With human resources, marketing and other functions become more local in IJVs, more and more MNCs enhance organization control by organization design and management information system. 3) The intangible control is constructed mainly by knowledge control which is technology transfer to IJVs. Knowledge control not only needs the demands of both, but conceals and even increases control power of MNCs to IJVs, the same as culture control and core competence, which are important modes of intangible control. 4) Knowledge control is the most important and most powerful mode adopted by MNCs. Controlling IJVs by affecting the flow of knowledge (knowledge transfer) between parents and subsidiaries, changing the bargain power of both, knowledge control can affect other control modes. Organization learning and knowledge management also play important roles here. 5) The dissertation empirically analyzes the relationship between control methods and control performance, and the remarkable effects to control performance by organization, knowledge, culture and core competence controls. The research insists of control performance has little to do with stockholding and governance controls, and the effect of core competence can be revealed by organization and knowledge controls in which organization control plays more better. 6) Chinese corporate should realize the demands and preponderant resources of themselves and partner’s to increase bargain power and enhance organization control to IJVs, and establish knowledge system of their own to maintain competence advantages. That would be benefit to both parents, and promoting the development of IJVs, and achieving objectives of both.更多还原