中国企业对外直接投资的来源国劣势克服机制研究：基于“认知创业”视角

Liability of origin is a new construct that emerged in the field of international business in recent years. It is also the unique challenge faced by multinational enterprises from emerging economies (EMNEs). The main manifestation of the liability of origin is the difficult for EMNEs to obtain cognitive legitimacy in the host country because of the institutional voids and negative institutional image of their home country. However, the previous research has limit understanding about how EMNEs to overcome this disadvantage. This project puts forward a new construct of “cognitive entrepreneurship” based on institutional entrepreneurship theory and cognitive management theory, and explores how EMNEs obtain the cognitive legitimacy and overcome the liability of origin through cognitive entrepreneurship. For the theoretical contribution, this project not only provides a new perspective of “cognitive entrepreneurship” for multinational enterprises to overcome the liability of origin, but also enriches and expands the relevant theories of liability of origin, cognitive legitimacy and the internationalization strategy of EMNEs. For the practical contribution, this project will provide practical suggestions for Chinese enterprises to improve their host country legitimacy and global image under the background of de-globalization and the Belt and Road initiative. This project includes four research contents: Firstly, explore the formation mechanism of the liability of origin from the cognitive perspective of host country stakeholders. Secondly, explore the internal logic and mechanism of cognitive entrepreneurship overcoming the liability of origin. Thirdly, explore the modes, strategies and process of cognitive entrepreneurship. Finally, identify the factors that influence cognitive entrepreneurship to overcome the liability of origin.

“来源国劣势”是近年来国际商务领域涌现出的新构念，也是新兴经济体跨国企业OFDI面临的独特挑战，突出表现为母国制度缺陷及其产生的负面制度形象导致企业难以在东道国获取认知合法性。然而，当前学术界对跨国企业如何克服来源国劣势缺乏理解。基于此，本项目融合制度创业、认知管理相关理论思想，提出“认知创业”（cognitive entrepreneurship）构念，探索跨国企业通过认知创业获取认知合法性、进而克服来源国劣势的动态机制。本项目的创新是为克服来源国劣势提供“认知创业”新视角，丰富和扩展来源国劣势、认知合法性、新兴经济体跨国企业国际化战略相关研究，也对中国企业在“一带一路”与逆全球化双重背景下提升海外合法性与全球形象具有启示意义。具体包括：从认知视角归纳来源国劣势的形成机制；归纳认知创业克服来源国劣势的内在机制；探索认知创业的模式、策略和过程；识别影响认知创业克服来源国劣势的情境因素等。

“来源国劣势”是中国跨国企业对外直接投资面临的严峻挑战，尤其是在当前逆全球化背景下，但理论界对中国跨国企业如何克服来源国劣势缺乏理解。本项目融合制度创业、认知管理相关理论思想，提出“认知创业”新构念，探究跨国企业通过认知创业克服来源国劣势的内在机制及其影响因素。主要研究结果：（1）来源国劣势本质上是一种“认知层面”的劣势，是由东道国利益相关者对新兴市场跨国企业持有的负面刻板认知引起，包括能力认知、商业规范认知、企业与政府关系认知等。（2）新兴市场跨国企业通过认知创业克服来源国劣势，其目的是打破东道国利益相关者的负面刻板认知，重塑利益相关者的认知图谱；认知创业主要包括“认知替换”“认知增补”以及“认知差异化”三种机制。（3）认知创业克服来源国劣势的效果也受东道国制度复杂性、地区差异、行业敏感性等因素影响。本项目的科学意义和理论创新包括三方面：一是从微观“认知”视角解释来源国劣势现象，将来源国劣势概念化为负面的刻板认知，并对刻板认知的维度和内容进行解构，进而为来源国劣势的形成机制研究提供微观基础。二是提出克服来源国劣势的“认知创业”新视角，并系统归纳认知创业克服来源国劣势的作用机制、策略、过程及其影响因素等，在此基础上构建认知创业克服来源国劣势的整合性理论模型，丰富和扩展了来源国劣势克服机制相关研究。三是融合制度创业、认知管理相关理论思想，并根据探索性的案例研究提出“认知创业”构念，深化制度创业和认知管理相关研究。在实践意义方面，本项目为中国跨国企业如何在逆全球化背景下应对来源国劣势、重塑海外形象具有启示意义。本项目已基本完成项目申请书的主要内容，并取得一些研究成果，包括发表学术论文8篇（其中，SSCI期刊论文2篇，CSSCI期刊论文6篇）、出版专著1部、获得省部级科研奖励1项、培养硕士研究生6名。