中外合资企业控制与绩效关系研究
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摘要
合资企业作为一个具有法人地位的独立经济实体，不仅受各母公司多方面的干预和控制，还存在母公司之间民族文化和企业文化的双重文化差异，这使合资企业本身具有复杂性的管理变得更为困难。美国著名管理学家德鲁克认为“合资企业是在各种
经营方式中困难最多、经营要求最为复杂，也最不容易被理解的一种方式。”国外关于母公司控制与绩效关系的研究主要从交易成本理论、战略行为理论、组织学习理论、讨价还价理论、资源基础理论、博弈论等视角展开，就目前对国际合资企业中母公司控制和绩效关系的研究来看，由于样本来源选择的差异，对控制三个维度(控制机制、控制程度、控制范围)关注的重点不同，对其度量上的差异，对绩效度量上客观标准(如财务指标、稳定性、寿命等)和主观标准(如对国际合资企业的满意度、目标的实现等)选择的不同，观察的视角不同(外国企业、东道国企业还是国际合资企业)所得出的结论也各不相同，甚至互相矛盾。国外学者对跨国公司股权安排与绩效关系进行了大量的研究。主要存在三种截然不同的观点：多数股权(少数股权)较优论、对等股权较优论、无显著关系论。国内方面的理论研究均认为多数股权较优
论以及无显著关系论。鉴于以前研究中存在的不足，本文在研究母公司控制和绩效的关系时，首先，鉴于合资企业中控制问题在合资企业文献中只是得到零碎和非系统的关注，特别是基于中国本土情境外资企业控制的实际情况进行的研究少之又少。本文基于此方面进行系统的探索性研究，构建了包括股权控制、治理结构、管理控制、控制结构在内的控制框架。其次，本研究从价值创造的视角研究控制、创新、绩效关系。路径为股权控制->治理结构->管理控制->创新能力->创新绩效->组织绩效。本研究构建了控制->创新->绩效框架，这一框架很好地了解释组织绩效与股权比例、控制结构的背离。这一框架使合资企业研究从关注股权控制、控制结构转向关注治理结构、管理控制、创新能力，从关注交易成本、博弈的角度转向关注价值创造。
为了证实本文的研究框架和验证本文的逻辑关系是否合理，本文不但采用了定性的田野考察、案例研究、访谈调查等方法，还采用了定量的研究方法对其进行实证研究，首先通过企业家和专家访谈对问卷进行了初试测试，通过删减、调整一些测项，最终形成了正式调查问卷。正式调查问卷回收了308份有效问卷，运用AMOS20.0和SPSS20.0等软件，使用多种统计分析方法对问卷进行统计分析，实证结果显示如下：
①股权比例与合资绩效的关系为倒U型关系
②控制结构与合资绩效的关系为正弦型关系，在股权比例相同情况下，控制结构与合资绩效的关系为：分割控制＞共同控制＞外方主要控制＞中方主要控制＞轮流控制，方差分析与回归分析显示这种影响达到极其显著程度。
以上结论从理论到实证清晰地勾勒出：对等股权下的分割控制或共同控制是基于中西双向视角双方共赢的最佳路径；多数股权或少数股权下的单方主要控制其合资绩效次优；轮流控制在所有控制结构中其合资绩效最低。
基于本研究结论，提出建议：
首先，中国市场不但大且变化快，环境复杂，中国消费者特殊的消费需求和消费倾向，既有各种显性规则，也有各种潜规则和缄默知识。对技术演进具有重要影响的市场需求结构在世界范围内并不是同一的，而是具有明显的民族国家特点，并且这种特点带有明显的路径依赖特性。洞察本土经济发展趋势，挖掘本土需求，基于本土需求进行产品构架创新，重新进行战略定位，是跨国公司在中国取得竞争优势、改变竞争格局的有效突破之处。构架创新和战略定位的重点在于技术的供给和需求之间的匹配，而不是创新的各个供给要素之间的匹配。而在技术的供给和需求之间建立匹配，关键是要深植中国，与中国环境、市场、消费者同呼吸，把握中国脉动。
其次，大规模定制经济范式将使合资企业独资化、单方主要控制发生趋势逆转。消费已从大众化消费时代转化到小众化消费、个性化消费时代。消费者需求发生了变化，多样性、离散化的趋势越来越明显。市场需求的快速变化导致了大规模生产范式的危机，大规模定制以客户需求为导向，以模块化设计为基础，以快速反应为标志，以先进的的信息技术和制造技术为支持，以供应链管理为手段。大规模定制是复杂的系统过程，企业将产品开发、设计、制造、装配、销售、物流、服务的全过程，通过供应链管理实现战略集群之间的有效协同。在战略定位、客户需求把握与洞察、技术路径演化、协同管理方面，中国本土企业具有外方无法取代、无法学习和模仿的天然优势。在合资企业竞争优势的构建中，中方企业正发挥着越来越重要的不可或缺的角色。
本文可能的创新有：
①选题具有现实性。大规模定制、模块化生产是新经济时代兴起的一种新的生产范式，产业发展在模块化环境下具有了新的内涵与意义。合资企业在大规模定制、模块化生产时代，如何焕发创造性与生命力，如何实现产业结构调整和升级，是一个值得深入探讨的新课题。本文研究合资企业在大规模定制、模块化生产的新经济时代的大背景下，控制、创新、绩效的关系，选题具有现实性。
②研究内容具有开拓性、探索性。本研究推出的股权控制弱负相关影响控制结构、股权控制负相关影响管理控制、控制结构显著负相关地影响创新能力3个假设经过308个样本检验得到证实，该结论具有探索性。本研究的实证结论：股权比例与合资绩效的关系为倒U型关系、控制结构与合资绩效的关系为正弦型关系——这两个结论具有探索性。
③以中外合资企业为样本，对国际合资企业中母公司控制和绩效的关系进行“本土化”研究，可从中外合资企业的独特性来丰富和发展国际合资企业理论，同时对一些国际合资企业研究结论在中国的适用性进行了验证。
As an independent economic entity with a corporate capacity, a joint venture enterprise not only isintervened and controlled by its parent company, but also has differences of both ethnic and cultureswith its parent company, which makes the complex management of the joint venture even harder.Drucker, the famous American managerialist, believes that "international joint venture is the mostdifficult to operate, the most complicated in management requirements and the least understood modelamong various business patterns."
The foreign researches on relationships between parent companies' control and performance aremainly developed from the view of transaction cost theory, strategic behavior theory, organizationallearning theory, bargain theory, resource-based theory and game theory etc. In the research ofrelationships between parent companies' control and performance at present, because of the differentsample-selecting sources, different focus on controlling the three dimensions(control mechanism,control degree and control range), different choices of objective criteria(such as financial target, stabilityand life expectancy) and subjective criteria(such as the degree of satisfaction on international jointventures, the realization of target) on performance measurement, as well as the different views ofobserving(foreign enterprise, host-country enterprise or international joint venture), the conclusions aredifferent from each other and could even be contradictory. Foreign scholars have done lots of researcheson the relationship between transnational corporations' share arrangements and performance. Generally,three kinds of entirely different standpoints exist: majority share dominant theory, peer equity dominanttheory, causeless relationship theory. Most theory studies in China agree on majority share dominanttheory and causeless relationship theory. Until now there is no insightful study of peer equity dominanttheory.
In consideration of the shortages in previous researches, this article has some further study onrelationships between parent companies' control and performance. First of all, because the controlproblems of joint ventures only gets fragmentary and nonsystematic attention, and the researches basedon the local situation are so rare, this article has done the systematic pioneering research, includingshare control, management control, governance structure and control structure. Secondly, this researchstudies on control, innovation and organizational performance from the view of value creation. Thepathway is: controlling share→governance structure→management control→innovation ability→innovation performance→organizational performance. This research has constructed the framework ofcontrol→innovation→performance, which explains that the departure of organizational performancefrom share percentage and control structure. This framework enables the researches on joint ventures toshift its emphasis from shares control and control structure to governance structure, management controland innovation, i.e. from focusing on transaction cost and game to value creation.
In order to prove that the logical relationship and the research framework of this article arereasonable, the article not only examines by field study, case study and interview study, but also adoptsthe quantitative study to do empirical research. First, the author launched a preliminary test of thequestionnaire through interviews with entrepreneurs and experts, and complete the formal questionnaireby cutting and adjusting questions.308questionnaires are retrieved and statistically analyzed by variousmethods facilitated by AMOS20.0, SPSS20.0and other software. The empirical results is showed as
follows:
①The percentage of shares and the performance of joint ventures have an inverted U-shapedrelationship.
②Control structure and JV performance are inverted sine relation. Under the circumstance of samepercentage of shares, the relationship between control structure and joint-ventured performance is:splitting the control> joint control> mainly foreign control> mainly local control> alternate control. Thevariance analysis shows that this influence has reached an extremely remarkable extent.
The six conclusions above has clearly and comprehensively sketched the contours of the theory todemonstration that: the splitting control or joint control under the Peer equity is the best way based onthe both-side view; the mainly one-side control under majority stakes or minority stakes has thesecond-best joint venture performance; the alternate control ranks lowest in joint performance among all
the control structures.
Based on the conclusion of the research, the author suggests that:
Firstly, the enormous Chinese market is changing rapidly in a complex environment. Therefore,Chinese consumers' special needs and propensity to consume have dominant influences, latent rules andreticent knowledge. The structure of market demand, which has important influence on the technicalevolution, is apparently different by locations. And such difference has obvious path-dependentcharacteristics. Having an insight of domestic economic development trend, releasing domesticdemands, doing innovation on product frameworks based on domestic demands and revising positioningstrategy, are the effective way to make break-through for joint ventures to gain competitive advantagesand change the competition patterns. The key points of framework innovation and strategic positioningis the match of technology supply and demand, but not the match of all the supply elements ininnovation. To set up match between the supply and demand of technology, the key is to set roots deeplyinto China, step up with the Chinese environment, market and consumers and grasp trends in China.
Secondly, the mass customization economy patterns will reverse the tendency that joint venturesturns to sole ownership and that major party takes control. The world has transited from rare economyto surplus economy and the consumption has transited from the era of mass consumption to the era ofniches and personalized consumption. The trend has become more and more obvious that the demandsof consumers are becoming different, diversified and discretizated. The rapid change of market demandhas led to crises of massive producing patterns. Mass customization is oriented to customer demand,based on modularization design, marked by fast response, supported by advanced informationtechnology as well as manufacture techniques, and realized by supply chain management. Masscustomization is a complicated systematic course. Enterprises achieve efficient cooperation of strategicclusters with the help of supply chain management, where they have the whole process of product development, design, manufacture, assembling, sales, and logistics and after-sales services. In respectsof strategic positioning, customer demand insights, technology evolution, and collaborativemanagement, Chinese domestic enterprises possess the advantages that their foreign peers do not have.Chinese enterprises are playing an increasingly more important role in the development of jointventures' competitive advantages.
The possible innovations presented in this article include:
①Prospective topic. Mass customization and modular production are emerging productionpatterns in the new era of economy. Such developments have been given new significance in themodular environment. The questions become essential on how joint ventures regenerate creativenessand vitality, and how industry structure make adjustment and upgrade in this new era. Many scholarshave regarded these changes as one of the direction of the future development of industry, which hasrevolutionary impacts. And increasingly more scholars have looked into this field. This article makesresearches on the relationships among control, innovation and performance of joint ventures in thebackground of the new era of economy with mass customization and modular production, which is veryprospective.
②Pioneering and ground-breaking research contents. This research has come up with theconclusions that weak shareholders control have a negative correlation with control structure, as well asshareholders control have negative effects on management control and the control structure influencesinnovation ability effectively. The3assumptions are confirmed by308sample’s examination. The studyhas showed that: interest control and JV performance are in an inverted U-shape relationship, controlstructure and JV performance are in an inverted sine-curve relationship. This two conclusions appear inthe domestic literature for the first time, and thus are original.
③The author takes Chinese and foreign joint ventures as samples, and performs a localizedresearch into the relationship of parent company’s control and performance in international jointventures. Such study may not only enrich international joint venture theories from the perspective of thejoint ventures in China, but also verify some relevant theories’ validity in China.
经营方式中困难最多、经营要求最为复杂，也最不容易被理解的一种方式。”国外关于母公司控制与绩效关系的研究主要从交易成本理论、战略行为理论、组织学习理论、讨价还价理论、资源基础理论、博弈论等视角展开，就目前对国际合资企业中母公司控制和绩效关系的研究来看，由于样本来源选择的差异，对控制三个维度(控制机制、控制程度、控制范围)关注的重点不同，对其度量上的差异，对绩效度量上客观标准(如财务指标、稳定性、寿命等)和主观标准(如对国际合资企业的满意度、目标的实现等)选择的不同，观察的视角不同(外国企业、东道国企业还是国际合资企业)所得出的结论也各不相同，甚至互相矛盾。国外学者对跨国公司股权安排与绩效关系进行了大量的研究。主要存在三种截然不同的观点：多数股权(少数股权)较优论、对等股权较优论、无显著关系论。国内方面的理论研究均认为多数股权较优
论以及无显著关系论。鉴于以前研究中存在的不足，本文在研究母公司控制和绩效的关系时，首先，鉴于合资企业中控制问题在合资企业文献中只是得到零碎和非系统的关注，特别是基于中国本土情境外资企业控制的实际情况进行的研究少之又少。本文基于此方面进行系统的探索性研究，构建了包括股权控制、治理结构、管理控制、控制结构在内的控制框架。其次，本研究从价值创造的视角研究控制、创新、绩效关系。路径为股权控制->治理结构->管理控制->创新能力->创新绩效->组织绩效。本研究构建了控制->创新->绩效框架，这一框架很好地了解释组织绩效与股权比例、控制结构的背离。这一框架使合资企业研究从关注股权控制、控制结构转向关注治理结构、管理控制、创新能力，从关注交易成本、博弈的角度转向关注价值创造。
为了证实本文的研究框架和验证本文的逻辑关系是否合理，本文不但采用了定性的田野考察、案例研究、访谈调查等方法，还采用了定量的研究方法对其进行实证研究，首先通过企业家和专家访谈对问卷进行了初试测试，通过删减、调整一些测项，最终形成了正式调查问卷。正式调查问卷回收了308份有效问卷，运用AMOS20.0和SPSS20.0等软件，使用多种统计分析方法对问卷进行统计分析，实证结果显示如下：
①股权比例与合资绩效的关系为倒U型关系
②控制结构与合资绩效的关系为正弦型关系，在股权比例相同情况下，控制结构与合资绩效的关系为：分割控制＞共同控制＞外方主要控制＞中方主要控制＞轮流控制，方差分析与回归分析显示这种影响达到极其显著程度。
以上结论从理论到实证清晰地勾勒出：对等股权下的分割控制或共同控制是基于中西双向视角双方共赢的最佳路径；多数股权或少数股权下的单方主要控制其合资绩效次优；轮流控制在所有控制结构中其合资绩效最低。
基于本研究结论，提出建议：
首先，中国市场不但大且变化快，环境复杂，中国消费者特殊的消费需求和消费倾向，既有各种显性规则，也有各种潜规则和缄默知识。对技术演进具有重要影响的市场需求结构在世界范围内并不是同一的，而是具有明显的民族国家特点，并且这种特点带有明显的路径依赖特性。洞察本土经济发展趋势，挖掘本土需求，基于本土需求进行产品构架创新，重新进行战略定位，是跨国公司在中国取得竞争优势、改变竞争格局的有效突破之处。构架创新和战略定位的重点在于技术的供给和需求之间的匹配，而不是创新的各个供给要素之间的匹配。而在技术的供给和需求之间建立匹配，关键是要深植中国，与中国环境、市场、消费者同呼吸，把握中国脉动。
其次，大规模定制经济范式将使合资企业独资化、单方主要控制发生趋势逆转。消费已从大众化消费时代转化到小众化消费、个性化消费时代。消费者需求发生了变化，多样性、离散化的趋势越来越明显。市场需求的快速变化导致了大规模生产范式的危机，大规模定制以客户需求为导向，以模块化设计为基础，以快速反应为标志，以先进的的信息技术和制造技术为支持，以供应链管理为手段。大规模定制是复杂的系统过程，企业将产品开发、设计、制造、装配、销售、物流、服务的全过程，通过供应链管理实现战略集群之间的有效协同。在战略定位、客户需求把握与洞察、技术路径演化、协同管理方面，中国本土企业具有外方无法取代、无法学习和模仿的天然优势。在合资企业竞争优势的构建中，中方企业正发挥着越来越重要的不可或缺的角色。
本文可能的创新有：
①选题具有现实性。大规模定制、模块化生产是新经济时代兴起的一种新的生产范式，产业发展在模块化环境下具有了新的内涵与意义。合资企业在大规模定制、模块化生产时代，如何焕发创造性与生命力，如何实现产业结构调整和升级，是一个值得深入探讨的新课题。本文研究合资企业在大规模定制、模块化生产的新经济时代的大背景下，控制、创新、绩效的关系，选题具有现实性。
②研究内容具有开拓性、探索性。本研究推出的股权控制弱负相关影响控制结构、股权控制负相关影响管理控制、控制结构显著负相关地影响创新能力3个假设经过308个样本检验得到证实，该结论具有探索性。本研究的实证结论：股权比例与合资绩效的关系为倒U型关系、控制结构与合资绩效的关系为正弦型关系——这两个结论具有探索性。
③以中外合资企业为样本，对国际合资企业中母公司控制和绩效的关系进行“本土化”研究，可从中外合资企业的独特性来丰富和发展国际合资企业理论，同时对一些国际合资企业研究结论在中国的适用性进行了验证。
As an independent economic entity with a corporate capacity, a joint venture enterprise not only isintervened and controlled by its parent company, but also has differences of both ethnic and cultureswith its parent company, which makes the complex management of the joint venture even harder.Drucker, the famous American managerialist, believes that "international joint venture is the mostdifficult to operate, the most complicated in management requirements and the least understood modelamong various business patterns."
The foreign researches on relationships between parent companies' control and performance aremainly developed from the view of transaction cost theory, strategic behavior theory, organizationallearning theory, bargain theory, resource-based theory and game theory etc. In the research ofrelationships between parent companies' control and performance at present, because of the differentsample-selecting sources, different focus on controlling the three dimensions(control mechanism,control degree and control range), different choices of objective criteria(such as financial target, stabilityand life expectancy) and subjective criteria(such as the degree of satisfaction on international jointventures, the realization of target) on performance measurement, as well as the different views ofobserving(foreign enterprise, host-country enterprise or international joint venture), the conclusions aredifferent from each other and could even be contradictory. Foreign scholars have done lots of researcheson the relationship between transnational corporations' share arrangements and performance. Generally,three kinds of entirely different standpoints exist: majority share dominant theory, peer equity dominanttheory, causeless relationship theory. Most theory studies in China agree on majority share dominanttheory and causeless relationship theory. Until now there is no insightful study of peer equity dominanttheory.
In consideration of the shortages in previous researches, this article has some further study onrelationships between parent companies' control and performance. First of all, because the controlproblems of joint ventures only gets fragmentary and nonsystematic attention, and the researches basedon the local situation are so rare, this article has done the systematic pioneering research, includingshare control, management control, governance structure and control structure. Secondly, this researchstudies on control, innovation and organizational performance from the view of value creation. Thepathway is: controlling share→governance structure→management control→innovation ability→innovation performance→organizational performance. This research has constructed the framework ofcontrol→innovation→performance, which explains that the departure of organizational performancefrom share percentage and control structure. This framework enables the researches on joint ventures toshift its emphasis from shares control and control structure to governance structure, management controland innovation, i.e. from focusing on transaction cost and game to value creation.
In order to prove that the logical relationship and the research framework of this article arereasonable, the article not only examines by field study, case study and interview study, but also adoptsthe quantitative study to do empirical research. First, the author launched a preliminary test of thequestionnaire through interviews with entrepreneurs and experts, and complete the formal questionnaireby cutting and adjusting questions.308questionnaires are retrieved and statistically analyzed by variousmethods facilitated by AMOS20.0, SPSS20.0and other software. The empirical results is showed as
follows:
①The percentage of shares and the performance of joint ventures have an inverted U-shapedrelationship.
②Control structure and JV performance are inverted sine relation. Under the circumstance of samepercentage of shares, the relationship between control structure and joint-ventured performance is:splitting the control> joint control> mainly foreign control> mainly local control> alternate control. Thevariance analysis shows that this influence has reached an extremely remarkable extent.
The six conclusions above has clearly and comprehensively sketched the contours of the theory todemonstration that: the splitting control or joint control under the Peer equity is the best way based onthe both-side view; the mainly one-side control under majority stakes or minority stakes has thesecond-best joint venture performance; the alternate control ranks lowest in joint performance among all
the control structures.
Based on the conclusion of the research, the author suggests that:
Firstly, the enormous Chinese market is changing rapidly in a complex environment. Therefore,Chinese consumers' special needs and propensity to consume have dominant influences, latent rules andreticent knowledge. The structure of market demand, which has important influence on the technicalevolution, is apparently different by locations. And such difference has obvious path-dependentcharacteristics. Having an insight of domestic economic development trend, releasing domesticdemands, doing innovation on product frameworks based on domestic demands and revising positioningstrategy, are the effective way to make break-through for joint ventures to gain competitive advantagesand change the competition patterns. The key points of framework innovation and strategic positioningis the match of technology supply and demand, but not the match of all the supply elements ininnovation. To set up match between the supply and demand of technology, the key is to set roots deeplyinto China, step up with the Chinese environment, market and consumers and grasp trends in China.
Secondly, the mass customization economy patterns will reverse the tendency that joint venturesturns to sole ownership and that major party takes control. The world has transited from rare economyto surplus economy and the consumption has transited from the era of mass consumption to the era ofniches and personalized consumption. The trend has become more and more obvious that the demandsof consumers are becoming different, diversified and discretizated. The rapid change of market demandhas led to crises of massive producing patterns. Mass customization is oriented to customer demand,based on modularization design, marked by fast response, supported by advanced informationtechnology as well as manufacture techniques, and realized by supply chain management. Masscustomization is a complicated systematic course. Enterprises achieve efficient cooperation of strategicclusters with the help of supply chain management, where they have the whole process of product development, design, manufacture, assembling, sales, and logistics and after-sales services. In respectsof strategic positioning, customer demand insights, technology evolution, and collaborativemanagement, Chinese domestic enterprises possess the advantages that their foreign peers do not have.Chinese enterprises are playing an increasingly more important role in the development of jointventures' competitive advantages.
The possible innovations presented in this article include:
①Prospective topic. Mass customization and modular production are emerging productionpatterns in the new era of economy. Such developments have been given new significance in themodular environment. The questions become essential on how joint ventures regenerate creativenessand vitality, and how industry structure make adjustment and upgrade in this new era. Many scholarshave regarded these changes as one of the direction of the future development of industry, which hasrevolutionary impacts. And increasingly more scholars have looked into this field. This article makesresearches on the relationships among control, innovation and performance of joint ventures in thebackground of the new era of economy with mass customization and modular production, which is veryprospective.
②Pioneering and ground-breaking research contents. This research has come up with theconclusions that weak shareholders control have a negative correlation with control structure, as well asshareholders control have negative effects on management control and the control structure influencesinnovation ability effectively. The3assumptions are confirmed by308sample’s examination. The studyhas showed that: interest control and JV performance are in an inverted U-shape relationship, controlstructure and JV performance are in an inverted sine-curve relationship. This two conclusions appear inthe domestic literature for the first time, and thus are original.
③The author takes Chinese and foreign joint ventures as samples, and performs a localizedresearch into the relationship of parent company’s control and performance in international jointventures. Such study may not only enrich international joint venture theories from the perspective of thejoint ventures in China, but also verify some relevant theories’ validity in China.
引文
①本研究实证部分浓缩版以《合资企业控制、创新与绩效关系研究》发表于《世界经济研究》2013年第4期。
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