摘
要
摘 要
随着知识寻求型对外直接投资的增长，子公司向母公司逆向转移知识已成为
新兴经济体跨国企业海外运营成功的关键一环。但是针对新兴经济体跨国企业的
逆向知识转移研究则是少之甚少，理论与实践需求出现了严重的脱节。同时，由
于子公司的机会主义，及母公司的优越感，逆向知识转移的发生向来不是自发的，
除了需要母子公司投入资源于其中，更需要母公司有计划、有目的设计一套相应
的管控机制，从而克服阻碍，促进逆向知识转移的发生。因此，有计划、有目的
的管控机制设计是决定逆向转移成功的关键因素。
基于实践的需求及现有理论的不足，本研究将以中国跨国企业为研究对象，
从管理控制的角度出发，深入探讨管控机制影响逆向知识转移的质与量的内在机
制。具体来说，本研究将对以下三个问题展开研究：（1）不同类型的管控机制会
如何影响到中国跨国企业从逆向知识转移中获取的知识数量和知识价值？（2）子
公司扮演的角色会影响到母公司采用的管控机制类型？（3）逆向知识转移数量与
价值之间存在着怎样的关联？
基于中国化工从法国子公司逆向知识转移的探索性案例研究分析，本研究结
合现有理论研究，为上述研究问题提供了一个理论研究框架。通过问卷调查 95家
中国跨国企业，对理论框架进行了实证分析，最终得到以下结论：（1）在中国跨
国企业逆向知识转移中，正式管控机制与社会化管控机制对逆向知识转移数量及
价值的影响存在差异性。同时，在母公司具有不同程度的吸收能力情境下，正式
管控机制与社会化管控机制对逆向知识转移的影响会发生变化。（2）中国跨国企
业管控机制的设计需要与子公司的知识储备价值及母公司的知识寻求战略意图相
匹配。（3）管控机制类型及子公司角色对中国跨国企业逆向知识转移价值的影响
是通过逆向知识转移数量来实现的。
本研究将弥补现有关于来自新兴市场跨国企业内部逆向知识转移研究的不足。
同时，本研究还将提出从管控视角出发研究跨国企业内部逆向知识转移，为现有
跨国企业研究提供了新视角。
关键词：中国跨国企业；逆向知识转移；管控机制类型；子公司角色
I

Abstract
Abstract
With the growth of outward foreign direct investment, the key to the successful
operation of multinational enterprises from emerging economies is to have the reserve
knowledgetransfer (RKT) from their subsidiaries. But there is a little research on the
RKT of multinational enterprises from emerging economies, thus there exists a gap
between theory and practice. Meanwhile, due to the opportunism of subsidiaries and the
superiority of the parent company, the occurrence of reverse knowledge transfer has
never been spontaneous. It requires investment, thoughtfully design and detailed plan
from parent company, in order to overcome obstacles which may block the success of
the RKT. Therefore, a planned, purposeful management mechanism design is the key
factor to determine the success of RKT.
Based on the practical needs and the shortage of the existing theories, this study
taking the Chinese multinational enterprises(MNEs) as the research object will analyze
the internal mechanism which has an influence on the quantity and quality of RKT from
the perspective of management control. The research will focus on the following three
issues: (1) How do different types of control mechanisms affect the level of knowledge
gained from the RKT?(2) How does the subsidiary‘s role affect the type of control
mechanisms used by the parent company? (3) What is the relationship between the
amount of RKT and the value of RKT?
Based on an exploratory case study on ChemChina gaining knowledge from its
French subsidiary, the research provided a theoretical framework for the above research
questions. After we conducted a survey of 95 Chinese multinational enterprises and
carried on an empirical analysis, we come to the following conclusions: (1) In the
process of RKT carried by Chinese multinational enterprise, formal control mechanisms
and social control mechanisms have different effects on the amount and the value of
RKT. At the same time, the effects that the formal control mechanisms and the social
control mechanisms have on RKT will change when the parent companyies‘ absorptive
capabilities change. (2) The design of the control mechanisms of Chinese multinational
enterprises is supposed to match with the roles played by their subsidiaries, including
the value of knowledge storage and the knowledge seeking purpose. (3) The influence
II

Abstract
of the control mechanisms and the subsidiary‘s role on the value of RKT is mediated by
the level of RKT.
The research will fill the theoretical gaps in the research field of RKT within the
multinational enterprises from emerging markets. Meanwhile, by exploring the RKT
within the multinational enterprises from the perspective of the control mechanism, the
research will provide a new perspective for the researches on the multinational
enterprises.
Keywords: Chinese MNCs; Reverse Knowledge Transfer; Control Mechanisms;
Subsidiaries‘ roles
III
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