management动态能力与战略管理

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1、企业如何竞争？企业如何赚取高于正常的回报吗？什么是需要长期保持卓越的性能呢？一个日益强大的经营策略这些基本问题的答案在于动态能力的概念。这些的技能， 程序，例程，组织结构和学科，使公司建立，聘请和协调相关的无形资产，以满足客户的需求，并不能轻易被竞争对手复制。 具有较强的动态能力是企业强烈的进取精神。他们不仅适应商业生态系统，他们也塑造他们通过创新，协作，学习和参与。大卫蒂斯是动态能力的角度来看的先驱。它植根于 25 年，他的研究，教学和咨询。他的思想已经在企业战略，管理和经济学的影响力， 创新，技术管理和竞争政策有关。通过他的顾问和咨询工作， 他也带来了这些想法，承担业务和政策， 使周围的世

2、界。 本书的核心思想动态能力是最清晰和最简洁的语句。蒂斯解释其成因， 应用，以及如何他们提供了一个替代的方法很多传统的战略思想，立足于简单和过时的产业组织和竞争优势的基础的理解。通俗易懂撰写并发表了， 这将是一个非常宝贵的工具，为所有那些谁想要理解这一重要的战略思想的贡献，他们的MBA 学生，学者，管理人员，或顾问和刺激。Strategic Management Journal, V ol. 18:7, 509533 (1997)The dynamic capabilities framework analyzes the sources and methods of wealth creat

3、ion andcapture by private enterprise firms operating in environments of rapid technological change. Thecompetitive advantage of firms is seen as resting on distinctive processes (ways of coordinatingand combining),shaped by the firm (specific) asset positions (such as the firm sportfolioofdifficult-

4、to-tradeknowledge assets and complementaryassets), and the evolution path(s) ithasadopted orinherited. The importance of path dependencies is amplified where conditionsofincreasing returns exist. Whether and how a firm s competitiveroadvantageeddependsisonthe stabilityofmarketdemand, and the ease of

5、 replicability(expanding internally)andimitatability(replicationby competitors). Ifcorrect, the frameworksuggests that private wealthcreation inregimes of rapid technological change depends in large measure on honing internaltechnological, organizational, and managerial processes inside the firm. In

6、 short, identifying newopportunities and organizing effectively and efficientlyto embrace them are generally morefundamental to private wealth creation than is strategizing, if by strategizing one means engagingin business conduct that keeps competitorsoff balance, raises rivalscosts, and excludes n

7、ewentrants. (C) 1997 by John Wiley & Sons, Ltd.战略管理杂志。 18:7 ， 509-533 （1997 ）动态能力框架分析方法的来源和财富创造和捕捉由私人企业公司在环境的技术快速变化。竞争优势的公司被视为搁在独特的过程(方法的协调和结合 ),受到公司的 (特定的 )资产头寸( 如该公司的投资组合的难以贸易知识资产和互补资产),和演化路径 (s)已采取或继承。 路径依赖的重要性是放大收益递增的情况存在。是否和怎样一个公司的竞争优势是侵蚀取决于市场需求的稳定性,易于复现性 (扩大内部 )和 imitatability( 复制竞争对手)。如果正确 ,框

8、架表明 ,私人财富创造在政权的技术快速变化很大程度上取决于内部技术、组织、珩磨和管理流程在公司。总之 ,识别新的机会和组织有效和高效地拥抱他们通常更基本的私人财富创造比谋略如果通过策划一个意味着从事商业行为,使对手失去平衡,提高竞争对手的成本,不包括新进入者。 (C)1997 年由约翰 ?威利父子公司。INTRODUCTION,The fundamental question in the field of strategic management is how firms achieve andsustain competitiveadvantage. We confrontthis que

9、stion here by developingthe dynamiccapabilities approach, which endeavors to analyze the sources of wealth creation and capture byfirms. The development of this framework flows from a recognition by the authors that strategictheory is replete with analyses of firm-levelstrategies for sustaining and

10、safeguarding extantcompetitive advantage, but has performed less well with respect to assisting in the understandingof how and why certain firmsbuild competitiveadvantage in regimes of rapid change. Ourapproach is especially relevant ina Schumpeterian worldof innovation-basedcompetition,price/perfor

11、mancerivalry,increasingreturns,andthe creative destructionof existingcompetences. The approach endeavors to explain firm-level success and failure. We are interestedin both building a better theory of firm performance, as well as informing managerial practice.In order to position our analysis in a m

12、anner that displays similarities and differences with existing approaches, we begin by briefly reviewing accepted frameworks for strategic management. We endeavor to expose implicit assumptions, and identify competitive circumstances where each paradigm might display some relative advantage as both

13、a useful descriptive and normative theory of competitive strategy. While numerous theories have been advanced over the past two decades about the sources of competitive advantage, many cluster around just a few loosely structured frameworks or paradigms. In this paper we attempt to identify three ex

14、isting paradigm and describe aspects of an emerging new paradigms that we label dynamic capabilities.The dominant paradigm in the field during the 1980s was the competitive forces approach developed by Porter (1980). This approach rooted in the structure conductperformance paradigm of industrial org

15、anization (Mason, 1949 Bain, 1959), emphasizes the actions a firm can take to create defensible positions against competitive forces. A second approach, referred to as a strategic conflict approach (e.g., Shapiro, 1989) is closely related to the first in its focus on product market imperfections, en

16、try deterrence and strategic interaction. The strategic conflict approach uses the tools of game theory and thus implicitly views competitive outcomes as a function of the effectiveness with which firms keep their rivals off balance through strategic investments, pricing strategies, signaling, and t

17、he control of information. Both the competitive force and the strategic conflict approaches appear to share the view that rents flow from privileged product market positions.Another distinct class of approaches emphasizes building competitive advantage through capturing entrepreneurial rents stemmin

18、g from fundamental firm-level efficiency advantages. These approaches have their roots in a much older discussion of corporate strengths and weaknesses they have taken on new life as evidence suggest that firms build enduring advantages only through efficiency and effectiveness, and as development i

19、n organizational economics and the study on technological and organizational change become applied to strategy questions. Onestrand of this literature, often referred to as the resource-based perspective, emphasizes firm-specific capabilities and assets and the existence of isolating mechanisms as t

20、he fundamental determinants of firm performance (Penrose, 1959; Rumelt, 19842). This perspective recognizes but does not attempt to explain the nature of the isolating mechanisms that enable entrepreneurial rents and competitive advantage to be sustained.简介在战略管理领域的根本问题是企业如何获得和保持竞争优势。我们面对这个问题， 在这里发展动

21、态能力的方法，努力创造财富的来源进行分析，并捕获由企业。这个框架的发展，从战略理论是由作者充满维持和维护现存的竞争优势的企业级战略分析确认，但对于协助了解如何以及为什么某些公司的表现稍逊在快速变化的制度，建立竞争优势。 在熊彼特创新为基础的竞争，价格 /性能的竞争，报酬递增，现有的能力和“创造性破坏”的世界，我们的做法是特别相关。 的方法解释企业层面的成功和失败的努力。我们有兴趣在这两个建筑企业绩效的一种较好的理论，以及通知管理实践。为了定位我们的分析， 我们首先简要回顾公认的框架，战略管理的方式显示与现有方法的异同。 我们将尽力揭露隐含的假设，并找出有竞争力的情况下，作为一个有用的描述性和规

22、范性的竞争战略理论，每个范式可能显示一些相对的优势。虽然已经提出了许多理论在过去二十年的竞争优势来源，许多集群周围只是一个结构松散的框架或范式。在本文中， 我们试图找出现有三个范式和描述方面的一门新兴的新的范式，我们的标签动态能力。在 20 世纪 80 年代在该领域的主导范式是由波特 （ 1980 ）接近开发的竞争力。这种做法植根于工业组织（梅森，1959 年，1949 年贝恩）的结构-行为-绩效范式，强调企业可以创建守难攻的位置， 对竞争力的行动。 第二种方法称 为一个战略冲突的方法 （例如，1989年，夏皮罗）是密切相关的第一个专注于产品市场的不完善，进入威慑和战略互动。战略冲突的方法是使

23、用博弈论的工具，从而隐含地认为， 有竞争力的结果作为一个功能与企业保持他们的对手失去平衡，通过战略投资，定价策略，信令和控制信息的有效性。竞争力和战略冲突的方法似乎赞同这样的观点租金流特权产品的市场地位。另一个不同 的类的方法，强调建立竞争优势，通过捕捉创业租金源于基本的企业级的效率优势。 这些方法都有其根源在旧讨论企业的长处和短处，他们已经采取了新的生活的证据表明， 企业建立持久的优势，只能通过效率和效益， 组织经济学的发展和研究的技术和组织变革成为适用于战略问题。这种文学的一个链，通常被称为 “资源为基础的角度，强调企业的具体能力和资产隔离机制的存在，作为企业绩效的根本决定因素（彭罗斯，

24、1959 ;罗曼尔特的， 19842 ） 。这个角度认识，但并不试图解释性质的隔离机制，使企业家租和竞争优势得以持续。Another component of the efficiency-based approach is developed in this paper. Rudimentaryefforts are made to identify the dimensions of firm-specificcapabilities that can be sources ofadvantage, and to explainhow combinations ofcompetences

25、and resources can be developed,deployed, and protected. We refer to this as the dynamic capabilities approach in order to stressexploiting existing internal and external firmspecificcompetencesto address changingenvironments. Elements of the approach can be found inSchumpeter (1942), Penrose (1959),

26、Nelson and Winter (1982), Prahalad and Hamel (1990), Teece (1976, 1986a, 1986b, 1988) and inHayes, Wheelwright, and Clark (1988): Because this approach emphasizes the development ofmanagement capabilities,and difficult-to-imitatecombinations of organizational, functional andtechnological skills, it

27、integrates and draws upon research in such areas as the management of R&D, product and process development, technology transfer, intellectual property, manufacturing, human resources, and organizational learning. Because these fields are often viewed as outside thetraditional boundaries of strategy,

28、 much of this research has not been incorporated into existing economic approaches to strategy issues. As a result, dynamic capabilities can be seen as an emerging and potentially integrative approach to understanding the newer sources of competitive advantage.We suggest that the dynamic capabilitie

29、s approach is promising both in terms of future research potential and as an aid to management endeavoring to gain competitive advantage in increasingly demanding environments. To illustrate the essential elements of the dynamiccapabilities approach, the sections that follow compare and contrast thi

30、s approach to other models of strategy. Each section highlights the strategic insights provided by each approach as well as the different competitive circumstances in which it might be most appropriate. Needless to say, these approaches are in many ways complementary and a full understanding of firm

31、-level, competitive advantage requires an appreciation of all four approaches and more.本文开发的效率为基础的方法的 另一个组成部分 。简陋的努力都是为了确定企业特定的能力， 可以尺寸的优势来源，并解释如何组合的能力和资源可以开发， 部署和保护。我们称此为“动态能力”的做法， 为了强调利用现有的内部和外部公司的具体能力， 以应对不断变化的环境。 元素的方法， 可以发现在熊彼特 （ 1942），彭罗斯（ 1959），纳尔逊和温特 （1982 ），普拉哈拉德和哈默尔（ 1990），蒂斯（ 1976， 1986A

32、，1986b，1988）和海耶斯，车匠，和克拉克（ 1988）：因为这种做法强调了管理能力的发展，并难以-到 -模仿的组织功能和技术技能的组合，它整合并绘制后，在研发管理，产品和工艺开发，技术等领域的研究转让，知识产权，制造，人力资源，组织学习。因为这些领域往往被视为传统的战略边界外，本研究还没有被纳入到现有的经济战略问题的方法。因此，动态能力， 可以被看作是一个新兴市场和潜在的综合性的方法来理解新的竞争优势来源。我们认为， 动态能力的方法是看好双方未来的研究潜力和管理，努力在日益苛刻的环境中获得竞争优势的援助。为了说明动态能力方法的基本要素，下面的章节中比较和对比其他车型战略方针。 每节突出

33、了每种方法，以及不同的竞争环境下，它可能是最合适的战略洞察力。不用说，这些方法在许多方面互补性和充分的了解企业层面，竞争优势，需要所有四个方法和更多的升值。MODELS OF STRATEGY EMPHASIZING THE EXPLOITATION OF MARKET POWERCompetitive forcesThe dominant paradigm in strategy at least duringthe 1980s was the competitive forcesapproach. Pioneered by Porter (1980), thecompetitiveforc

34、es approach views theessence ofcompetitivestrategy formulation as relating a companyenvironmenttoits. The key aspect ofthe firm senvironmentisthe industryorindustries in which it competes. Industrystructurestrongly influences the competitive rules of the game as well as the strategies potentially av

35、ailableto firms.In thecompetitiveforces model, five industry-levelforcesentry barriers, threatofsubstitution, bargaining power of buyers,bargaining powerof suppliers, and rivalryamongindustry incumbents determine the inherent profit potential of an industry or sub-segment of anindustry. The approach

36、 can be used to help the firm find a position in an industry from which itcan best defend itself against competitive forces or influence them in its favor (Porter, 1980: 4).This five-forces framework provides a systematic way of thinking about how competitiveforces work at the industry level andhowt

37、hese forces determine the profitabilityofdifferentindustries and industrysegments. Thecompetitive forces framework also contains a numberofunderlying assumptions about the sources of competition and the nature of the strategy process. Tofacilitate comparisons with other approaches, we highlight seve

38、ral distinctive characteristics of the framework.Economic rents in the competitive forces framework are monopoly rents (Teece, 1984). Firms in an industry earn rents when they are somehow able to impede the competitive forces (in either factor markets or product markets) which tend to drive economic

39、 returns to zero. Available strategies are described in Porter (1980). Competitive strategies are often aimed at altering the firm position in the industry vis -a-vis competitors and suppliers. Industry structure plays a central role in determining and limiting strategic action.Some industries or su

40、bsectors of industries become more attractive because they have structural impediments to competitive forces (e,g: entry barriers) that allow firms better opportunities for creating sustainable competitive advantages. Rents are created largely at the industry or subsector level rather than at the fi

41、rm level. While there is some recognition given to firm-specific assets, differences among firms relate primarily to scale. This approach to strategy reflects its incubation inside the field of industrial organization and in particular the industrial structure school of Mason and Bain(Teece, 1984).模

42、型开发的战略强调市场力量竞争力在战略上，至少在上世纪80 年代的主导范式是竞争力的方法。波特（1980 ） ，首创竞争力的方法看待一家公司有关其环境制定竞争战略的精髓. T 他公司的环境的关键环节是它竞争的行业或产业。产业结构强烈地影响着竞争的游戏规则，以及可能提供给企业的战略。在竞争力模型，五个行业级部队进入壁垒，替代威胁，买方议价能力，供应商的议价能力，行业之间的竞争现任确定一个行业或一个行业的细分市场固有的潜在利润。该方法可以用来帮助公司在一个行业中找到一个位置，它最能捍卫本身对竞争力影响他们对其有利（波特， 1980：4）。这“五力” 框架提供了一个系统的竞争力如何，在行业层面的工作，

43、这些力量如何确定不同行业和细分行业的盈利能力的思考方式。竞争力框架还包含了一些竞争的来源和性质的战略过程中的基本假设。为了便于与其他方法比较，我们强调几个特色鲜明的框架。竞争力框架中的经济租金的垄断租金（蒂斯，1984）。在一个行业的企业赚取租金时，他们已经在某种程度上能够阻碍竞争力（无论是要素市场或产品市场）倾向于推动经济回报为零。波特（ 1980 年）中描述可用的策略。竞争策略往往是为了改变公司的面对面的人在行业竞争对手和供应商的地位。工业结构中起着核心的作用，在确定和限制战略行动。一些行业或子行业变得更加“有吸引力”，因为他们有竞争力（E， G：准入门槛），建立可持续的竞争优势，使企业更

44、好的发展机会的结构性障碍。租金主要是在行业或界别分组的水平， 而不是在企业层面建立。虽然有一些公司特定资产的识别，企业之间的差异主要涉及规模。这种策略的方法来反映其孵化产业组织领域内，特别是产业结构学校梅森和贝恩（蒂斯， 1984）。Strategic conflictThe publication of Carl Shapiro 1989s article, confidentlytitled TheTheory of BusinessStrategy, announced the emergence of a new approach to business strategy, ifnot

45、 strategicmanagement. This approach utilizes the tools of game theory to analyze the nature of competitive interaction between rival firms. The main thrust of work in this tradition is to reveal how a firm can influence the behavior and actions of rival firms and thus the market environment. Example

46、sof such moves are investment in capacity (Dixit, 1980), R&D (Gilbert and Newberry, 1982), and advertising (Schmalensee,1983). To be effective, these strategic moves require irreversible commitments. The moves in question will have no effect if they can be costlessly undone. A key idea is that by ma

47、nipulating the market environment, a firm may be able to increase its profits.This literature, together with the contestability literature (Baumol, Panzar, and Willig, 1982), has led to a greater appreciation of the role of sunk costs, as opposed to fixed costs, in determiningcompetitive outcomes. S

48、trategic moves can also be designed to influence rivals behavior through signaling. Strategic signaling has been examined in a number of contexts, including predatorypricing (Kreps and Wilson, 1982a, 1982b) and limit pricing (Milgrom and Roberts, 1982a, 1982b). More recent treatments have emphasized

49、 the role of commitment and reputation (e.g., Ghemawat, 1991) and the benefits of firms simultaneously pursuing competition and cooperation (Brandenburger and Nalebuff, 1995, 1996).战略冲突公布 1989 年卡尔夏皮罗的文章，自信题为“企业战略理论，”宣布的经营策略出现了一种新的方法， 如果没有战略管理。这种方法利用博弈论分析工具的性质，有竞争力的对手公司之间的互动。在这一传统中工作的主旨在于揭示企业如何影响对手企业

50、的行为和动作，因而市场环境。这些举措的例子是投资的能力（迪克西特1980） ， R D（吉尔伯特和纽贝里， 1982 年），广告（施马兰西，1983） 。是有效的，这些战略举措，需要不可逆转的承诺。 移动不会有任何影响，如果他们可以无成本地撤消。一个关键的想法是，通过操纵的市场环境，公司或许能够增加其利润。这种文学与的可争议文学（1982）鲍莫尔，帕恩查和威利格，导致更大的升值沉没成本，而不是固定的成本，决定竞争结果的作用。战略举措，也可以通过信令来影响对手的行为。战略信号已检查在一些情况下，包括掠夺性定价（克瑞普斯和威尔逊，1982 年，1982b ） ，限制定价（米尔格罗姆和罗伯茨，198

51、2a ， 1982b ） 。最近的治疗强调承诺和信誉的作用（例如，格玛沃特，1991 ） ，同时追求竞争的合作（勃兰登堡和纳尔巴夫的，1995 年，1996 年）的企业的好处。In many instances, game theory formalizes long-standing intuitive arguments about varioustypes of business behavior (e.g., predatory pricing, patent races), though in some instances it hasinduced a substantial ch

52、ange in the conventional wisdom. But by rationalizing observed behaviorby reference to suitably designed games, in explainingeverything these models also explainnothing, as they do not generate testable predictions (Sutton, 1992). Many specific game-theoreticmodels admit multipleequilibrium,and a wi

53、de range of choice exists as to the design of theappropriate game formto be used. Unfortunately,the results often depend on the precisespecification chosen. The equilibrium in models of strategic behavior crucially depends on what one rival believes another rival will do in a particular situation. T

54、hus the qualitative features of the results may depend on the way price competition is modeled (e.g., Bertrand or Cournot) or on the presence or absence of strategic asymmetries such as first-mover advantages. The analysis ofstrategic moves using game theory can be thought of as dynamicsense inthatt

55、hemultiperiodanalyses can be pursued both intuitively and formally. However, we usethe term dynamic paper in a different sense, referring to situations wherethere is rapid change in technology andin thismarket forces, and feedback effects on firms博.弈论在许多情况下，正式长期直观的各种类型的商业行为（如掠夺性定价，专利竞赛）的争论，虽然在某些情况下，

56、它引发了实质性的变化， 在传统的智慧。但通过观察到的行为合理化的参考设计合适的游戏， 解释一切， 这些模型也可以解释什么，因为他们不产生可检验的预测（萨顿， 1992 年） 。许多具体的博弈论模型的多个平衡承认，存在广泛的选择，要使用的适当的游戏的形式设计。不幸的是，其结果通常依赖于所选择的精确规格。战略行为模型的平衡，关键取决于一个对手，相信另一个对手将在特定情况下做什么。因此，定性特征的结果可能依赖于价格竞争方式是仿照（如伯特兰或古诺），或如先发优势的战略不对称的存在或不存在。运用博弈论分析的战略举措，可以被认为是在这个意义上，可以追求多期分析直观正式为“动态”。然而，我们在本文在不同的意

57、义上使用的术语“动态”，指的是快速变化的技术和市场的力量，和“反馈”对企业的影响情况。We have a particular view of the contexts in which the strategic conflict literature is relevantto strategic management. Firms that have a tremendous cost or other competitive advantage vis-a-vis their rivals ought not be transfixed by the moves and counter

58、moves of their rivals. Their competitive fortunes will swing more on total demand conditions, not on how competitors deploy and redeploy their competitive assets. Put differently, when there are gross asymmetries in competitive advantage between firms, the results of game-theoretic analysis are like

59、ly to be obvious and uninteresting. The stronger competitor will generally advance, even if disadvantaged by certain information asymmetries. To be sure, incumbent firms can be undone by new entrantswith a dramatic cost advantage, but no gamingoverturnthatwilloutcome. On the other hand, if firms com

60、petitive positions are more delicately balanced, as with Coke and Pepsi, and United Airlines and American Airlines, then strategic conflict is of interest to competitive outcomes. Needless to say, there are many such circumstances, but they are rare in industries where there is rapid technological c

61、hange and fast-shifting market circumstances.我们有上下文的战略冲突文学是有关战略管理的特定视图。企业有一个巨大的成本或其他竞争优势， 他们的对手面对面的人不应该被他们的对手的招式和对策研究呆若木鸡。他们的竞争命运摆幅会总需求的情况下，而不是竞争对手如何部署和重新部署自己的竞争资产。换句话说， 当有竞争力的优势企业之间的严重不对称，博弈论分析的结果可能是明显的和无趣的。 更强的竞争者通常会提前，即使通过一定的信息不对称的弱势。可以肯定的是， 现任公司可以撤消一个戏剧性的成本优势的新进入者，但没有 游戏 将推翻这一结果。另一方面，如果企业的竞争地位更微

62、妙的平衡，与可口可乐和百事可乐，美国联合航空公司和美国航空公司，战略冲突是利益竞争的结果。不用说，有很多这样的情况，但他们在工业部门，那里是快速的技术变革和快速变化的市场情况是罕见的。In short, where competitors do not have deep-seated competitive advantages, the moves andcountermoves of competitors can often be usefully formulated in game-theoretic terms. However, we doubt that game theory can comprehensively illumi