第三讲战略资源与核心能力的竞争(现代竞争分析-南开大.ppt

1、战略资源与核心能力的竞争,企业的深层次竞争,企业战略内在层次结构,柳茂平，“战略本质与企业战略内在层次结构”，南开管理评论，2003.1.,基于资源理论的发展(Resource-Based View, RBV),在赫伯特斯宾瑟（Herbert Spenser）的“差异-整合”理论的基础上， 1925年，英国古典派经济学家阿尔弗雷德马歇尔（Alfred Marshal）提出了企业内部职能的差异分工所造成的企业内部知识和技能的协调成长论。 企业的异质性（idiosyncratic, Heterogeneous ）资源来源于： 企业内部职能分工所带来的知识积累和组织协调,Edith Penrose

2、The Theory of the Growth of the Firms, 1959,集中研究：企业新知识促进机制；企业知识积累机制。 知识的积累主要表现 在企业内部化的结果 节约企业稀缺的决策能力或资源 促进企业的成长 其他学者：科斯（Coase）、厄威克（Urwick）、古利克（Gulick） 核心能力的“知识观”。,基于资源的战略观(Resource-Based View, RBV),波特竞争战略理论被认为忽视企业特质，比如， Cool和Jacobsen(1988)的研究指出，在美国医药行业中，处于同一战略集团的不同企业间的绩效方面有显著的差异， Rumelt(1991)则指出产业内利

3、润差异甚至比产业间差异还大。 RBV：80年代中期提出 中心论点：企业竞争优势的源泉是企业所控制的战略性资源 主要代表人物：沃纳菲尔特(Wernerfelt, 1984)；巴尼(Barney, 1991)；格兰特（Grant），Collis Intangible assets; Organizational capabilities.,David J. Collis和Cynthia A. Montgomery的战略结构模型：公司战略的三角模型,Corporate Strategy,Businesses,Vision,Goals 与功能有关的能力（Functionality-Related Co

4、mpetencies）, 包括能够使企业提供独特性的产品或服务的技术及能够提供使顾客获得与众不同利益的产品的各项技术。,核心能力的管理（Hamel, 1994）,核心能力的选择 核心能力的构建 组织内外的知识积累与整合，组织学习，更快、更廉价 外部借鉴或购买 某些技术与技能的创造、整合和吸收 努力的持续性 广泛运用、分摊构建成本 核心能力的展开与运用 核心能力的保护,核心能力的其他类似观点,梅耶（Meyer,1993）和厄特巴克（Utterback,1993）持基本相同的观点： 企业核心能力的强弱直接影响企业的绩效 核心能力在更大的程度上就是在产品族创新的基础上，把产品推向市场的能力 可分解为

5、四个维度：产品技术能力、对用户需求理解能力、分销渠道能力和制造能力 其他：多西（Dosi, 1992）、巴特尔和巴维特（Patel, Pavitt, 1994）、伽隆（Gallon, 1995）、普隆塞浦（Prencipe, 1997）等人,Leonard-Barton核心能力的观点（知识观）Leonard-Barton, D. 1992, “Core Capabilities and Core Rigidities：A Paradox in Managing New Product Development”, Strategic Management Journal, 13(special)

6、: 111-125.,核心能力：识别和提供竞争优势的知识体系 core capabilities: a function of the firms ability to organize itself into a knowledge-creating system 识别标准： 企业成员所掌握的知识和技能。 企业技术系统之中的知识。即企业成员知识的系统合成。 管理系统。 价值系统。 核心能力的基础是知识，学习是提高核心能力的重要途径，学习能力是核心能力的核心。,Leonard-Barton, 1992,Core competencies become institutionalized ove

7、r time and a part of the firms knowledge-creating system, produce hard-to-imitate expertise and thereby contributes to competitive advantage. But inflexibilities, or even core rigidities, core incompetencies can also be formed in this process.,基于资源观的核心能力,代表人物：克里斯汀奥利佛（Christine Oliver） 认为 核心能力是企业获取并利

8、用具有战略作用的特殊资源的独特能力， 不同企业之间在获取战略性资源时决策和过程上的“异质性”构成了企业的核心能力。 战略性资源的特征：稀缺性、独一无二性、持续性、专用性、不可模仿性、非交易性、无形性、非替代性 资源识别、积累、储存和激活,其它观点,Markides and Williamson (1994) define core competences as a pool of experience, knowledge, and systems that together can act as catalysts that create and accumulate new strateg

9、ic assets. Edlund (2001) “defined a core competence as a set of mutually reinforcing and complementary resources encompassing both technological and organizational components, which provide competitive advantage in a particular business”. Markides, C. C. and Williamson, P. J., “Related Diversificati

10、on, Core Competences and Corporate Performance,” Strategic Management Journal, Issue 15 (Special Issue Summer), pp. 149-165 (1994). Edlund, M., “Core competence building: The diversification of GE Medical Systems into ultrasound”, Working paper, Published and distributed by: Department of Innovation

11、 Engineering and Management Chalmers University of technology, May 2001.,基于能力的理论Sanchez R, Heene A. Managing Articulated Knowledge in Competence-Based Competition. Chichester: John Wiley and Sons, 1997.,在核心能力基础上, 提出综合动态性的、系统性的、认知性的和整体性的能力概念, 把能力作为研究竞争战略的基本理论框架。 能力是为帮助组织实现目标协同各种资源配置的组织能力, 即能力的“知识观” (

12、 knowledge-based view ) 或知识资本( intellectual capital)。 管理者认知和组织学习（战略变革动力）的能力, 决定了个体企业的资源禀赋，决定产业结构的资源积累禀赋; 一个产业的企业在关键资源市场与产品市场的竞争与合作的同时存在并相互作用。,基于能力的理论：能力作为一个开放系统,重视企业网络和联盟的作用, 快速配置临时资源链以获得短期市场机会的竞争优势。 企业不应仅仅被描写为原有经济实体或资源的积累体, 而应被看做是一个有适应能力和变异的有机体, 一个有自我组织能力的系统。 组织的整合性就是对作为系统的企业所有要素进行排队组合, 创造出在全企业得到支持

13、的战略目标与战略手段。,基于能力的理论：能力的动态性,是环境与组织的变化与共同进化的动态性, 是形成能力和基础能力理论的主题, 其分析包括企业内人员与团队的互动、企业与企业外资源提供者的互动、企业与顾客的互动、竞争对手与竞争伙伴的相互关系。 复杂动态的环境造成了不确定性, 使管理者的认知产生了局限性。 管理者的认知差异反映在制定目标与整合、配置资源的差异, 进而使拥有和使用相同资源的企业出现能力的差异。 知识与技能资源是关键的变量资源, 企业学习及获得新能力的能力对在动态的市场中获得竞争优势起着决定性的作用。,核心能力的识别标准,整合性； 价值主体性； 延展性与灵活性； 组织性（缄默性）。 独

14、有性：通过整合性、组织性等形成。,资产与核心能力,支持企业核心竞争力的五大类资产 顾客资产，如品牌认知、顾客忠诚等； 渠道资产，如已经建立的分销渠道入口、分销忠诚等； 投入要素资产，如企业所投入的各种要素市场的知识、供应商忠诚和融资能力等； 过程资产，如技术产权、产品或市场确定性生产机制和组织体系等； 市场信息资产，如已收集到的竞争者信息、需求量和需求弹性信息、市场对商业周期的反映等。,“对组织学习、核心竞争能力、战略柔性与企业竞争绩效的理论剖析与实证研究”，王永贵、张玉利、 杨永恒、李季， 南开管理评论，2003年第4期。,企业核心能力：技术能力、市场营销能力和整合能力 技术能力：企业开发与

15、设计新产品和新流程的能力，包括技术诀窍、方法、程序、经验和实体设备等理论与实践知识以及企业的异质技术资产，主要与产品技术、过程技术、设计技术和信息技术有关； 市场营销能力：建立在对顾客的现实和潜在需求及其影响因素的深刻理解的基础之上的，包括顾客需求、顾客通道和有关竞争对手的知识与能力等； 整合能力，即把相互关联的、侧重于技术的和市场的能力、信息和观点整合起来的能力，以便在组织内部和外部创造、转移和组合知识，并快速有效地体现在产品当中。,核心能力分解层次构成图宁建新著，企业核心能力的构建与提升，中国物资出版社，2002年1月第1版，P11。,企业核心能力的诊断和评判研究,杜纲：从市场（11个指标

16、）、技术（22个指标）、管理（17个指标）三个层面评价企业核心能力 郭斌针对技术型企业，着重于技术创新，从战略管理能力（12个指标）、核心技术能力（40个指标）、核心制造能力（26个指标）、组织/界面管理能力（13个指标）、核心营销能力（3个指标）等五个维度共104个指标，同时考虑产业动态（5个指标）与企业绩效（8个指标）对核心能力进行诊断和评判 杜纲、程继川等，“企业核心能力分析及其评价研究方法”，天津大学学报（哲学社会科学版），2000（1），P56-60。 郭斌、蔡宁，“企业核心能力审计-指标体系测度方法”，系统工程理论与实践，2001（9），P7-15。,能力的概念,能力（Capabi

17、lity）：人运用一组资源完成某一任务或活动的质量和水平。 能力的运用过程是： 人 运用一组资源、 知识 开发、传送、交换信息和知识 完成某一任务或活动（即价值活动）。,能力的构成,核心能力的构成柳茂平，“战略本质与企业战略内在层次结构”，南开管理评论，2003.1，第3134，43页。,企业战略内在层次结构,柳茂平，“战略本质与企业战略内在层次结构”，南开管理评论，2003.1，第3134，43页。,核心能力的构成,资料来源：柳茂平、张子峰，“企业核心能力与战略资源中的企业家式属性”，工作论文，2004年6月10日。,提升资源的途径Hamel Strategic Resources; Cus

18、tomer Interface; Value Network 三座桥梁：活动构造；顾客利益；公司边界 决定财富/利润潜力的四个因素：Efficient; Unique; Fit; Profit Boosters,经营模式（P.93, 121）,顾客界面 满足与支持 信息/洞察力 关系动态 定价结构,价值网络 供应商 合作者 联盟,战略资源 核心能力 战略资产 核心流程,核心战略 经营使命 产品和市场范围 差异化基础,效率 / 独特性 / 匹配 / 利润推进器,顾客利益,公司边界,活动构造,经营模式说明,活动构造： 将战略资源以独特的方式整合（为结构化的活动）以支持核心战略； 战略资源各构成之间

19、的连接及其管理 顾客利益：实际提供给顾客的特定利益组合。 经营观念财富潜力的决定/评估因素（评估体系）： 经营观念中关于传递顾客利益的效率（顾客对所得利益的评价超过利益的成本）； 经营观念的独特定（观念层面和执行层面均与众不同的经营模式）； 匹配（建立起亲密的血缘关系，Consanguinity）,经营模式说明：利润推进器,利润推进器：有十几种，重要的是选准一、两种。分为四类： Increasing Return; Competitor Lock-Out; Strategic Economies; Strategic Flexibilities. 是（动态）竞争模式,Increasing Re

20、turn,强者愈强的正向强化、弱者愈弱的负向循环强者获得递增的回报。 必须从三种力量中至少获得一种； Network Effect 网络价值的增加速度是网络的节点（Node）和成员数量增加的平方; 丰富、庞大的网络对后来的竞争者难以模仿，顾客也没有转换价值网络的动因。 Positive Feedback Effect 常与收益递增交互使用； 是善于利用市场反馈强化初期的地位，从而拉大与对手的距离。 Learning Effect 更早开始积累知识，与经验曲线相同（学习与经验有路径依赖性） 学习速度更快,Competitor Lock-Out,将竞争者排除在竞争开始之前。至少三种手段。 先发制人

21、 应用的产业：收益递增的产业；科技快速发展、产品生命周期短的产业。 条件：伟大的产品；快速学习的能力；继续投资的意愿；不给对手任何缺口。 压制点 即点压制：控制了必由之路，即可收取通行费（对必备关键资源的排他性占有） 种类：技术标准（抢先标准化）；对某些昂贵基础设施的控制；与政府采购人员的人际关系；专利权；某个黄金地段。 锁定顾客 顾客忠诚度。不要让顾客反感。（差异化、转换成本）,Strategic Economies Strategic Flexibilities,Strategic Economies：规模；集中；范围 Strategic Flexibilities：资源组合的广度；运营敏

22、捷度；低盈亏平衡点。,创造经营观念创新的空间,经营模式,运营模式,政治模式,思想（Mental）模式,Strategic Management Journal, Vol. 18:7, 509533 (1997)DYNAMIC CAPABILITIES AND STRATEGICMANAGEMENTDAVID J. TEECE, GARY PISANO and AMY SHUEN,The competitive advantage of firms is seen as resting on distinctive processes (ways of coordinating and comb

23、ining), shaped by the firms (specific) asset positions (such as the firms portfolio of difficult-to-trade knowledge assets and complementary assets), and the evolution path(s) it has adopted or inherited (P.509).,3 main frameworks for strategic management: DAVID J. TEECE, 1997, P.510,The dominant pa

24、radigm in the field during the 1980s was the competitive forces approach developed by Porter (1980). Strategic conflict approach (e.g., Shapiro, 1989), focusing on product market imperfections, entry deterrence, and strategic interaction, using the tools of game theory. “Strategic signaling”: “preda

25、tory pricing” (Kreps and Wilson, 1982a, 1982b), “limiting pricing” (Milgrom and Roberts, 1982a, 1982b), “commitment”, “reputation” (Ghemawat, 1991), copetition (P.512). capturing entrepreneurial rents stemming from fundamental firm-level efficiency advantages.,DAVID J. TEECE, 1997, P.510RBV, or effi

26、ciency-based approach,Firms build enduring advantages only through efficiency and effectiveness. emphasizes firm-specific capabilities and assets and the existence of isolating mechanisms as the fundamental determinants of firm performance (Penrose, 1959; Rumelt, 1984; Teece, 1984; Wernerfelt, 1984)

27、.” recognizes but does not attempt to explain the nature of the isolating mechanisms. Another component of the efficiency-based approach-dynamic capabilities.,DAVID J. TEECE, 1997, P.510RBV, or efficiency-based approach,Elements of the approach can be found in Schumpeter (1942), Penrose (1959), Nels

28、on and Winter (1982), Prahalad and Hamel (1990), Teece (1976, 1986a, 1986b, 1988) and in Hayes, Wheelwright, and Clark (1988). This approach emphasizes The development of management capabilities, Difficult-to-imitate combinations of organizational, functional and technological skills.,DAVID J. TEECE

29、, 1997, P.515.,Dynamic capabilities to emphasize two key aspects: Dynamic - the capacity to renew competences; certain innovative responses Capabilities - adapting, integrating, and reconfiguring internal and external organizational skills, resources, and functional competences “innovating firm” “Sc

30、humpeterian competition”,Dynamic Capabilities DAVID J. TEECE, 1997, P.515.,“We define dynamic capabilities as the firms ability to integrate, build, and reconfigure internal and external competences to address rapidly changing environments. Dynamic capabilities thus reflect an organizations ability

31、to achieve new and innovative forms of competitive advantage given path dependencies and market positions” (1997, P.516).,The Origins of Dynamic CapabilitiesTeece, 1997, P.518,positions current specific endowments of technology, intellectual property, complementary assets, customer base, and its ext

32、ernal relations with suppliers and complementors. such as the firms portfolio of difficult-to-trade knowledge assets and complementary assets path resources the strategic alternatives available to the firm, and the presence or absence of increasing returns and attendant path dependencies.,The Origin

33、s of Dynamic Capabilities Teece, 1997, P.518,Process managerial and organizational processes routine, i.e., ways of coordinating and combining, or patterns of current practice and learning the first two are strategic factors, and the later one is organizational resource. three roles of managerial an

34、d organizational processes: coordination/integration (a static concept); learning (a dynamic concept); and reconfiguration (a transformational concept).,Positions Teece, 1997, PP.521-522,Technological assets. Complementary assets. Financial assets. Reputational assets. Structural assets. The formal

35、and informal structure of organizations and their external linkages have an important bearing on the rate and direction of innovation, and how competences and capabilities co-evolve (Argyres, 1995; Teece, 1996). Institutional assets. Public policies Market (structure) assets. Organizational boundari

36、es.,EXPLICATING DYNAMIC CAPABILITIES: ASSET SELECTION, COORDINATION, AND ENTREPRENEURSHIP IN STRATEGIC MANAGEMENT THEORYDRAFT, David J. Teece, August 2003,dynamic capabilities: The particular (non-immitability) capacity firms have to shape, reshape, configure and reconfigure those assets so as to re

37、spond to changing technologies and markets (P. 2) resources/competences - the firms operational capabilities (P. 6) systems integration function is still inherently managerial and entrepreneurial. It involves new combinations, and the requisite entrepreneurial services (P. 9),The Origins of Dynamic

38、Capabilities, Teece, 2003,Dynamic capabilities have multiple origins, may rooted: routinized behavior (or routinized processes), asset selection/investment choices, creative and differentiated entrepreneurial acts (P.10, 12).,Dynamic Capabilities Through Routinezed Processes , Teece, 2003, P.13.,rou

39、tines (or “processes”): essential element of dynamic capabilities (Teece, 1994, 1997). A particular routine can be the sources of competitive advantage. (P.14) Production routines: to sustain current operations; learning routines: designing to achieve improvement. Other scholars: they consist of ide

40、ntifiable and specific routines. Examples include product development routines, quality control routines, and technology transfer and knowledge transfer routines.,Dynamic Capabilities Through Intrapreneurship and Entrepreneurship, Teece, 2003,the ability not just to sense changing market and technol

41、ogical opportunities, but to seize them through effectuating “new combinations. (P.14) “Dynamic capabilities reside with the firms top management team and involve a significant element of entrepreneurial activity.” (P. 10) “Both intrapreneur and entrepreneur, the function senses new opportunities an

42、d engages the organization to seizing them are the essence of dynamic capabilities and are absolutely critical to the theory of strategic management.” (P.32),Dynamic Capabilities Through Intrapreneurship and Entrepreneurship, Teece, 2003,Intrapreneurship: Orchestrate internal assets; Entrepreneurshi

43、p: transact with the owners of external assets. “The entrepreneur need not be an individual; in the modern corporation it is a function.” (P. 31) The entrepreneurial function is: about getting things started, about finding new ways of doing things that work. It is about coordinating the assembly of

44、disparate (全异的) elements, getting “approvals” for non-routine activities.” (P. 10),Dynamic Capabilities through the External Orchestration of Assets, Teece, 2003,Alliance, Joint Venture, and Vertical Integration Decisions (P. 17) three elements of an integration (boundary choices) decision: Governan

45、ce Costs Configuration and Reconfiguration Costs and Benefits (P.18) Asset selection.,Asset “Selection” IssuesTeece, 2003,General Pure asset selection (investment) decision a “good business” or not (P.19) classes of assets: technological assets, complementary assets, financial assets, operational as

46、sets, and structural assets,Asset “Selection” IssuesTeece, 2003,Asset Selection and “Positioning” focused on non-tradable specific assets (P. 23). Making investment choices regarding complementary assets -Positioning (P. 24). Marketing decisions: a key dynamic capability. Real Options Growth options

47、, flexibility options, exit options, and learning options (Amran and Kulatikala, 1999, p.10-11),Corporate Entrepreneurship （简称CE）的中文用词,“公司企业家精神” “公司创业” （Corporate Venture ？） “公司创业力” Entrepreneurship：企业家机能（日本学者池本正纯，企业家的秘密，中译本，1985年 ） 机制、功能 CE：公司企业家机能（公司的企业家式功能）,企业战略的研究热点对公司企业家机能研究的逼近,超强竞争（R. A. DAven

48、i等，1994） 战略创新、战略更新 价值创新（Kim Given the definition of the zero-level (or ordinary) capabilities. highly patterned and routine in many respects. 动态能力的作用 (P.993): learned, patterned change routinebehavior that is learned, highly patterned, repetitious, or quasi-repetitious, founded in part in tacit know

49、ledge (P.991),Collis, 1994 ;Winter, Sidney G. (2003),Winter, Sidney G. (2003),An organizational capability a high-level routine (or collection of routines) together with its implementing input flows, confers upon an organizations management a set of decision options for producing significant outputs

50、 of a particular type (P. 991). organizational learning (higher-order capabilities) facilitate the creation and modification of dynamic capabilities for the management of acquisitions or alliances (P.994),动态能力与特殊问题特殊解决Winter, Sidney G. (2003), P.993, L. 8-21.,4 occasions for ad hoc problem solving,C

51、hanges are needed to carry a lower cost burden; Changes are sparse enough; Changes are expensive enough by dynamic capabilities; Most competing firms having similar dynamic capabilities (no rents coming from dynamic capabilities).,Deliberate Learning and the Evolution of Dynamic CapabilitiesMaurizio

52、 Zollo Sidney G. Winter, 2002,A dynamic capability is a learned and stable pattern of collective activity through which the organization systematically generates and modifies its operating routines in pursuit of improved effectiveness.,Two types of routineMaurizio Zollo Sidney G. Winter, 2002,The first type: involves the execution of known