可持续发展视角下我国企业发展战略

ASustainabilityViewtowardGrowthStrategiesforChineseFirms

可持续发展视角下的中国企业发展战略

Dr.YadongLuo陆亚东教授SunYat-SenBusinessSchoolSeptember2920101AnOverarchingFramework

基本框架SustainableGrowth可持续发展FromEvolutiontoCo-Evolution从进化到协同进化FromCoreCompetencetoDynamicCapability从核心能力到动态能力FromCompetitiontoCo-opetition从竞争到竞合FromRigiditytoAmbidexterity从刚性/单一性到双向性FromImitationtoinnovation从模仿到创新DomesticMarket国内市场GlobalMarket国际市场Macro-&MicroBusinessEnvironmentsSpurringSustainableGrowth鼓励可持续发展的宏、微观商业环境2Macro-LevelBusinessEnvironment

SupportingSustainableGrowth

鼓励可持续发展的宏观商业环境

经济健全性金融国际化科学、教育、创新政治环境文化环境法律环境社会环境国家的竞争力生产力经济增长与稳定性3Micro-LevelBusinessEnvironmentSupportingSustainableGrowth

鼓励可持续发展的微观经济环境

生产要素竞争与商业政策上下游产业产品需求国家的竞争力生产力微观商业环境4SustainableGrowthforChineseFirms

中国企业的可持续发展I:FromEvolutiontoCo-Evolution1、从进化到协同进化5FromEvolutiontoCo-Evolution

从进化到协同进化Sustainablegrowthinatransitioningmarketrequiresthefirmsnottopassivelyreacttoexternalenvironmentsbutrathertoco-evolve:Chinesefirmsneedtosimultaneouslyrespond/adapttotheenvironmentandinfluence/manipulatetheenvironmentatthesametime企业若要在一个转型中的市场维持可持续发展，则不能被动应对外部环境，而应该与其共同进化。因此，中国企业需要同时既对环境做出响应/适应环境，又去影响环境。Co-evolutionisthejointandinteractiveoutcomeofmanagerialintentionality,organizationalefforts,andenvironmentalchange.Co-evolutionassumesthatorganizationalandenvironmentalchangesoccurinasimultaneousandinteractivemanner协同进化是管理意向、组织努力、和环境变化联合交互作用下的产出。协同进化假设组织和环境的变化是以同步和交互的方式产生。67FromEvolutiontoCo-Evolution

从进化到协同进化Thus,strategyisnotmerelyapassiveresponseto,butratheraproactiveintentiontochange,taskandinstitutionalenvironmentsfacingthefirm因此，战略不仅是被动的响应，也是对于企业将面对的变化、任务和机构环境的前瞻。Strategicandenvironmentalchangesarebi-directional,interactional,andmutuallyreinforcing战略和环境的变化是双向的，是相互作用和相互加强的。Organizationsandtheirparts,bothinternal(subunits)andexternal(e.g.,suppliersorcompetitors)co-evolvewitheachotherandwithachangingenvironment组织和他们的组成部分，包括内部的（子单位）和外部的（供应商或竞争者）在变化的环境中协同进化。7SustainableGrowthforChineseFirms

中国企业的可持续发展II:FromCoreCompetencetoDynamicCapability2、从核心能力到动态能力8FromBuildingCoreCompetencetoBuildingDynamicCapabilities

从构建核心能力到构建动态能力Capabilitypossession(i.e.,havingdistinctiveresources),capabilitydeployment(i.e.,allocatingdistinctiveresources),andcapabilityupgrading(i.e.,dynamiclearningandbuildingnewcapability)arethreecriticalcomponentsofdynamiccapability.动态能力的三大重要组成部分：能力的具备（例如：拥有特殊资源），能力的配置（例如：分配特殊资源），能力的升级（例如：动态学习、动态构建新能力）Dynamiccapabilityrequiresthecapacitytoextracteconomicbenefitsfromcurrentresourcesandtodevelopnewcapabilities.Possessingdistinctiveresourcesaloneisnotsufficienttoensuresuccess.动态能力要求企业具备从现有资源中获取经济利益的能力并能够发掘新能力。若仅仅拥有特殊资源并不足以保证可持续发展。Thecompetitiveadvantagesoffirmsintoday’seconomystemnotmerelyfromdistinctiveresourcesbutalsofromthemannerinwhichtheyaredeployed.在当今的经济环境下，企业的竞争优势并不仅仅源于特殊资源，而且源于其分配资源的方式。Resourceswillgeneratestrongercompetitiveadvantageswhentheyareappliedthroughanappropriateconfigurationwithexternalandinternaldynamicsinacompetitiveenvironment若资源能够得到内外部动态地合理的运用，资源可以使企业具备更强的竞争优势。9FromBuildingCoreCompetencetoBuildingDynamicCapabilities

从构建核心能力到构建动态能力Sustainablefirmgrowthcannotbeachievedunlessthefirmiscommittedtobuildingnewcapabilitiesorcreatingnewbundlesofdistinctiveresources.Organizationallearningisakeybuildingblockfornewcapabilitybuilding.若企业不能够构建新能力或创造新的特殊资源，企业就不能够维持可持续发展。而组织学习就是构建新能够板块的重要环节。Dynamiccapabilitiesrequireastrongbaseofestablishedcapabilitiesorresources(capabilitypossession)aswellastheabilitytoefficientlydeploytheseresources(capabilitydeployment)andtocontinuouslycreatebundlesofnewresourcesandknowledge(capabilityupgrading).动态能力必须构建在现有能力或资源（能力的具备）、有效分配这些资源的能力（能力的配置）、以及不断创造新资源和新知识（能力升级）的基础之上。Learningcapability”isthecapacitytogenerateandgeneralizeideasandtoacquirenewknowledge.Dynamiclearningcapabilitiesaregenerallymoretransferablethanfirmresourcesthemselves.Firmsneedtocontinuouslybuildandupgradetheircapabilitiesandinstitutionalizeinnovation,learning,andinformationtransfer.学习能力是指形成观点、概括观点并获取新知识的能力。动态学习动力通常来说较企业资源本身更具备可传递性。企业必须不断构建并升级其能力并使创新、学习、信息传播制度化。10FromBuildingCoreCompetencetoBuildingDynamicCapabilities

从构建核心能力到构建动态能力升级配置具备知识的获取知识的分享知识的运用配置组织动能能力跨境转移组合国际动能11SustainableGrowthforChineseFirms

中国企业的可持续发展III:FromCompetitiontoCo-opetition3、从竞争到合作竞争12FromCompetitiontoCo-opetition

从竞争到合作竞争Co-opetitionisthesimultaneouscompetitionandcooperationbetweentwoormorerivalscompetinginglobalmarkets.Itcapturesthedualityofcooperationandcompetitionbetweenagivenpairoramongagroupofrivals合作竞争是指在市场上两个以上的竞争者在竞争的同时亦会合作，描述了特点两个或一级竞争者合作与竞争的二元性。Competitionmayoccuratmulti-pointsandviamulti-units,whilecooperationrepresentsajointeffortformutualgains竞争可能在多点或通过多单位发展，而合作竞争代表了两方为共赢而共同努力。Underco-opetition,therelationshipbetweenrivalsisasimultaneous,inclusiveinterdependence合作竞争时，竞争者之间的关系是同时的且互相依赖的。13FromCompetitiontoCo-opetition

从竞争到合作竞争Co-opetitionmayoccuratcorporate-,division-,orsubsidiary-levels,dependingonafirm’sstrategicintentandorganizationalneeds合作竞争可能发展在公司、分公司或子公司级别，这取决于企业的战略目标和组织需求。Theinterdependenceentailscompetitiveandcollaborativeactivitiesundertakeninthepursuitofglobalreach,expansion,andprofit相互依赖性决定了企业在追求影响力、扩张、和利润时的竞争与合作行为。Co-opetitionisalooselycoupledrelationshipinwhichplayersmaintaincertaininterdependencewithoutlosingorganizationalseparateness合作竞争关系是双方维具备一定的相互依赖性而同时又不失组织独立性的一种关系。14FromCompetitiontoCo-opetition

从竞争到合作竞争Growinginterdependencebetweenmultinationalshastriggeredco-opetition.Competitivepressureandcollaborativedesiresaresimultaneouslyinplay,provokingasituationinwhichtwoglobalrivalsexhibitsyncreticrent-seekingbehavior国家与国家之间的依赖性越来越强，从而引发了合作竞争。竞争的压力与合作的需求同时存在，使国际竞争的双方出现了一种较为融洽的寻租行为。Collaborationbetweenrivalsisanimportantmeansbywhichtobettercompeteglobally.Cooperativearrangementswithcompetitorsenableparticipatingfirmstoshareknowledge.Italsoreducesthecosts,risks,anduncertaintiesassociatedwithinnovationandnewproductdevelopment竞争者之间相互合作其实是一种更好的国际竞争手段。竞争者之间的协作竞争使参与的企业能够相互分享知识，同时能够在创新和开发新产品的过程当中降低成本，减少风险，并削弱不确定性。Co-opetitionarisestomeettheneedtosolidifyglobalplayers’collectivepowerindealingwithoutsidestakeholdersandinstrengtheningmarketpositionformemberswithinacoopetitiongroup合作竞争之所以产生，是为了满足跨国公司加强应对境外投资者的能力，同时巩固一个合作竞争团体内部成员市场地位的需求。15FromCompetitiontoCo-opetition

从竞争到合作竞争Competitionisbolsteredbytheneedforstrategicflexibility,whichismadepossibleduetothewidervarietyofstrategicoptionsthanthoseavailablethroughpurecompetitionorcooperationinisolation对战略灵活性的需求鼓励企业参与到合作竞争当中，因为相对单纯的竞争或合作，合作竞争能够带来更丰富的战略性选择。Coopetitionisthenatureresultofbattlesovertechnicalstandards(e.g.,Betavs.VHS;GSMvs.CDMA)合作竞争是在企业为争抢技术标准而产生的自然结果（例如：Betavs.VHS;GSMvs.CDMA）Coopetitionalsoresultsfromthebattlesforconstellationsbetweengroups(e.g.,inreducedinstruction-setcomputing,orRISCfieldinthe1990s,SiliconGraphicsteamedwithNEC,SonyandSiemens,whileHPconstellatedwithHitachi,Samsung,andSunMicrosystemsnetworkedwithToshiba,AT&T,Matsushita,PhilipsandFujitsu)集团之间的零星战争也会导致合作竞争（例如：二十世纪九十年代，在精减指令集计算机领域，硅谷图形与NEC，索尼、西门子组队，惠普与日立、三星结盟，太阳计算机与东芝、AT&T、松下、飞利浦、富士通联合）Withineachgroup,theleadingcompanydesignedthetechnology,licensedthesemiconductorcompaniestoproducechips,andsuppliedsystemsonanOEMbasisontheresellers.Memberswithinthegroupcompletealongdownstreamactivities每个集团内，领头的企业负责技术开发、授权半导体公司生产芯片，并向转售方提供贴牌生产所需的系统。团队内部的其他成员将完成生产链的下游部分。16FromCompetitiontoCo-opetition

从竞争到合作竞争Coopetitiongoesbeyondtheoldrulesofcompetitionandcooperationtocombinetheadvantages合作竞争结合了竞争与合作的优点，从而更为优越。Itsriseisattributabletoincreasinginterdependencebetweenglobalplayersandtheheightenedneedforcollectiveaction,risksharing,andstrategicflexibility合作竞争的产生可以归因于两跨国公司之间变得越来越相互依赖，且越来越需要集体行动和分担风险，且战略方面也更需要具备灵活性。Eachplayerhasauniquepositioninthegameofcoopetition,requiringpeculiartacticstorespondtoforcesofcooperationandcompetition各个参与者在合作竞争中都承担着一个特殊的角色，这需要有特定的战术足以应对合作以及竞争的不同要求。Noteveryplayershouldestablishandmaintaincoopetitionatthesamelevelorinthesameway并不是所有的参与者都需要建立并维持着同一水平或同一方式的合作竞争状态。17FromCompetitiontoCo-opetition

从竞争到合作竞争Toplaythecoopetitiongameeffectively,afirm’sexperience,culture,strategicorientation,andnetworkpositionmatters企业的经营经验、企业文化、战略导向、合作地位等将会影响合作竞争的有效性。Inordertopracticecoopetitioneffectively,firmsmustenhanceorganizationallearningandglobalexperienceassociatedwithcoopetition为了使合作竞争更具有效性，企业必须加强组织学习和合作竞争的国际经验。Reapingbenefitsfromcoopetitionnecessitatestheimportantsavvythatsupportsaviable,profitableandhealthyrelationshipwithcoopetitingparties若要从合作竞争中获益，则必须明白与合作竞争伙伴之间维持持续健康的互利关系的重要性。Globalcoopetitioniscomplex,requiringcarefuldesignsandregularinputsfromfunctionaldirectors,subunitexecutivesandcountrymanagers国际间合作竞争非常复杂，要求由功能董事、子公司主管、以及区域经理细致地规划、定期地投入。18FromCompetitiontoCo-opetition

从竞争到合作竞争Executivesmustidentifytheappropriateareas(products,markets,orfunctions)inwhichglobalplayersshouldcompeteandthoseinwhichtheyshouldcooperate主管必须区分在何领域（产品、市场或职能？）应该竞争，在何领域应该合作。Strategicbalancetoavoideitheroverlydependingoncooperationoroverlyfocusingoncompetitionisimportant在战略上平衡对合作的过分依赖和对竞争的过度重视，这一点非常重要。Forward-lookingplayersinglobalcompetition,irrespectiveoftype,identity,ororigin,willsharpentheirvision,prepareviablestrategies,andtakemeasurestowardcombiningcompetitiveandcooperativeforcestocreatesynergiesthatwillleadtocollectivepayoffs在国际竞争中具备前瞻性的企业，无论何种类型、何种身份、何种组织，都会拓宽其视野，做好可行的战略准备，并设法将竞争及合作的对手结合起来，从而创造能够回报集体的协同效应。Chinesefirms,whetherdomestic-orforeign-marketfocused,arenotanexception.Theyfacethesameneed,ifnotstronger,forestablishinganddevelopingcollaborativecompetitiveadvantages中国企业无论是以国内市场还是以国外市场为发展重点均不例外。他们对合作竞争所产生的优势有着同样的甚至更强的需求。19SustainableGrowthforChineseFirms

中国企业的可持续发展IV:FromRigidity/MonolithtoAmbidexterity4、从刚性/单一性到双向性20DefiningOrganizationalAmbidexterity

组织“双向性”的定义Successfulorganizationsinadynamicenvironment,likeChina,areincreasinglyambidextrousinmultiplefashions处在像中国这样动态环境中的成功企业，正以不同的方式变得更加“双向”化。GiventhecomplexityofChinesebusinessenvironments,itbecomesmoreimportanttosimultaneouslybalancingseeminglycontradictoryforcesandneeds-shiftingfromtrade-off(either/or)toparadoxical(both/and)thinking考虑到中国商业环境的复杂性，同时平衡看似矛盾的因素和需求正变得越来越重要——即从“二者选一”向看似不可能的“二者兼顾”转换。21Ambidexterityrefersbroadlytoanorganization’sabilitytopursuetwodisparatethingsatthesametime,suchas“双向性”广义上指企业在同一时间追逐两个相异目标的能力，例如：Efficiencyvs.flexibility效率vs.弹性Lowcostvs.customerresponsiveness低成本vs.顾客响应Globalintegrationvs.localresponsiveness全球一体化vs.本地适应性Exploitationvs.exploration利用vs.探索Stabilityvs.adaptability稳定性vs.适应性Short-termprofitvs.long-termgrowth短期利润vs.长期增长

Organizationsfacebothtrade-off(either/or)andambidextrous(both/and)decisions.Ambidexteritydiffersfromtrade-off;itemphasizesthesimultaneousfulfillmentoftwodisparate(andsometimescompeting)endsatthesametime组织都必须面对“二者选一”和“双向获益”的决策。“双向性”强调的是在同一时间同时达成两个相异的（有时甚至是互为竞争的）目标。22DefiningOrganizationalAmbidexterity

组织“双向性”的定义22SuperiorperformanceinChinatodayisachievednotonlythroughcharismaticleadership,strongculture,orinnovativeproductsbutalsobybuildingacarefullydesignedsetofsystemsandprocessesthatcollectivelydefineacontextthatfostersambidextrousevolutionandgrowth中国今天的辉煌成就不仅仅是通过卓越的领导力、强大的文化或创新的产品而取得的，而且也是由于构建了一套精心设计的系统和流程、共同界定了让这种“双向性”

演化和发展的背景环境。Organizationalambidexterityrequiresaneffectivereconciliationtosimultaneouslybenefitandgainfromdistinctiveforcesorstrategies组织的“双向性”需要进行有效的调和，以便能从不同的因素或战略中获取利益。Ambidexterityisanewtheoreticalperspectiveexploringanewwayoflookingatfirmgrowth.Itleveragesandcombinestheadvantagesoftwodesperateforcesorstrategies.Ifmanagingproperly,therearesynergisticorcomplementarygainsfromthesimultaneouspursuit“双向性”开拓了关于企业增长方式的一种新理论观点。它利用和联合了两种相异的因素或战略。如果正确地进行管理，就可能会从双方获取到协同收益或互补收益。DefiningOrganizationalAmbidexterity

组织“双向性”的定义23ImportanceofOrganizationalAmbidexterity

组织“双向性”的定义Ambidexteritycreatesfollowinggainsandbenefitsforthefirm“双向性”为企业创造了下列收益：Itoffersmoregrowth-opportunitieswhileallowingthefirmtomaintainstability为企业提供更多的增长机会，同时也保持了企业的稳定性Itprovidesmorestrategicoptionswhileallowingthefirmtogainfromexperience为企业提供更多的战略选择，同时也使企业可以从经验中获益Itimprovesthetaskandinstitutionalenvironmentswherebusinessstakeholdersaremorecooperative

改进任务和机构环境，使环境中的企业业务相关者更加合作Itenhancesthesustainabilityanddurabilityoffirmgrowthandevolution

增强了企业成长演变的可持续性和耐久力2424KeyElementsofOrganizationalAmbidexterity

组织“双向性”的要素

Organizationalambidexterityismultilevelandmultidimensional,withtwodistinct,evencompeting,forceseachconstitutingaseparatebutinterrelated,nonsubstitutableelement组织的“双向性”是多层次和多维化的概念，包括两个截然不同，甚至相互竞争的因素，分离又相关，不可替代的因素所构成。OrganizationalAmbidexterity组织双向性Co-competence协同竞争力Co-adaptation协同适应Transactionalvs.RelationalCompetence交换的竞争力vs.关系的竞争力Exploitationvs.Exploration开发vs.探索Stabilityvs.Growth稳定性vs.成长性Efficiencyvs.Evolution效率vs.发展25

Co-competence协同竞争力Co-competenceisthecapabilitydimensionofambidexterity,encompassing(i)transactionalcompetence(e.g.,fourbuildingblocksofcompetitiveadvantage)and(ii)relationalcompetence(guanxiwithbusinesscommunitymembers).Theforcesbelowpropeltheneedforco-competenceviacompetitivepressureandinstitutionalpressure(relationshipandlegitimacy)协同竞争力是“双向性”的能力维度，包括（1）交换的竞争力（如竞争优势的四块积木）；（2）关系的竞争力（和商业社区成员的关系）。以下因素催生了通过竞争压力和制度压力（关系和合法性）来获得协同竞争力的需求。PlannedEconomyResidualsGovernmentinterferenceRegulatoryvariabilityMarketEconomyDemandsMarket/competitionforcesRuleoflawawarenessSocioculturalResidualsGuanxiMianziCo-competenceTransactionalCompetenceRelationalCompetence计划经济剩余政府干涉制度可变性市场经济需求市场/竞争力量法制意识社会文化剩余关系面子协同竞争力交换的竞争力关系的竞争力2627Co-adaptation协同适应

Short-TermAdaptation(ProfitabilitySeeking&Survive)Long-TermAdaptation(OpportunitySeeking&Thrive)Efficiencyvs.Evolution效率vs.发展Explorationvs.Exploitation开发vs.探索Stabilityvs.Growth稳定性vs.成长性ShiftingCompetitiveParametersShiftingRegulatory,PoliticalandEconomicEnvironmentsShiftingSocio-culturalandDemographicEnvironments寻求利润和生存寻求机会和发展变化的竞争要素变化的制度、政治和经济环境变化的社会文化和人口统计环境2728

Ambidexterityastheorganizationalcapability

双向性是组织能力Ambidexterityisaninterplayofsystemorprocesscapacitiesthatpermeatetheentirefirm.Processesrefertotheuniquewaysinwhichthingsaredoneinthefirm,orwhatmightbereferredtoasitsroutinesorpattersofcurrentpracticesandlearning.双向性是一个相互作用的系统或流程的能力，渗透于整个公司。流程指的是在企业中做事的独特方式，或者是现行企业实践和学习的程序及模式。在内部，企业需要建立自己的规章、文化和基础架构，雇员、团队和单位在其中发展新的创意，提升公司的能力。Ambidexterityisaboutcombinativecapabilityaswell.Thiscapabilityisafirm’sabilitytointegrateandsynthesizeinternalresourcesandexternallearningandapplybothtothecompetitiveenvironment“双向性”也是一个组合的能力。它是企业整合内部资源和外部学习，并将二者应用到竞争环境中的能力。具有“双向性”的组织在领导视野、行业经验、公司文化和战略弹性方面表现卓越，以迎合达成“双向性”目标的需要。Forambidextrousorganizations,firmgrowthdependsontheirdistinctivecapabilitiesthatseizeandprofitfromfutureopportunitiesandontheirdistinctivecapabilitiesthatovercomestructuralandorganizationalinertia对于“双向性”的组织来说，企业的成长取决于他们抓住未来机会并从中获利的特有能力，以及克服结构和组织惯性的特有能力。29SustainableGrowthforChineseFirms

中国企业的可持续发展V:FromImitationtoInnovation5、从模仿到创新30EvolutionPathfromImitationtoInnovation

从模仿到创新的演进路径DuplicatingWildcatMockingKittenEmulatingHousecatAdaptiveJunglecatWorld-stageInnovatorNovelSpecialist创新专家1stGeneration 2ndGeneration 3rdGeneration第一代

第二代

第三代

Pure Creative Novel Imitation Imitation Innovation

纯粹地复制

有创造的模仿

创新性地改革

IMITATIVENESS（模仿性）MARKETSHARE（市场份额）Small（小）large（大）

31新兴国家企业的模仿式创新发展路径规模大小竞争优势弱强复制吸收复制吸收改进复制吸收改进改进创新完全复制阶段模仿复制阶段模仿创新阶段自主创新阶段企业家能力成本创新能力吸收能力网络能力32创新发展路径

reverseinnovation(GE)cooperationzoneevolutionaryinnovation

radicalinnovationDisruptiveinnovationBlueocean;RadicalinnovationGrayocean;EvolutionaryinnovationRedocean33AbsorptiveCapability吸收能力Copycat’sCompetitiveAdvantages

CostAdvantageChannelAdvantageSpeedAdvantageCombinativeCapability组合能力Hardship-SurvivingCapability生存能力IntelligenceCapability商情征析能力NetworkingCapability业务网络能力FromImitationtoInnovation:ACHINAFramework

从模仿的创新：C.H.I.N.A基本框架模仿者的竞争优势：成本优势渠道优势速度优势34FromImitationtoInnovation:ACHINAFramework

从模仿的创新：C.H.I.N.A.框架CombinativeCapability–abilitytocombineoutsidetechnologies,keycomponentsandspecializedservicesfromopenmarketswiththefirm’sownresources,design,andproductiontoofferbetterperformancefeaturesorlowercosts组合能力——通过企业自有的资源、设计方案、生产力，在公开市场上以更高的效率或更低的成本将外部技术、重要部件和特定服务组合起来的能力。Hardship-survivingcapability–abilitytooperateandsurviveinaninstitutionallyaustereenvironmentandtodealwithdemandingbusinessstakeholders生存能力——在苛刻的制度环境下能够经营并存活下来，且足以应付企业股东的需求的能力。Intelligencecapability–abilitytoidentify,collect,analyzeandinterpretbusinessinformationpertainingtotechnology,market,competition,standard,andregulation商情征析能力——识别、收集、分析、解读关于技术、市场、