4 资源基础观的理论发展

4资源基础观的理论发展A Resource-Based View李玉刚博士 / 教授华东理工大学商学院yugangl@资源基础观要回答的问题⏹同行业不同企业的绩效为何长期不同？⏹对企业内部资源和核心竞争力的分析，现在一般称为资源基础学派（RBS，Resource-based school）或资源基础观点（ RBV，Resource-based View ）Ansoff和Andrew s⏹在战略研究中，对企业内部的优势和劣势的分析和评估作为战略制定的前提⏹Andrew s (1971) : "an internal appraisal of strengths and w eaknesses, led to identification of distinctive competencies."⏹Ansoff (1965) : synergy as "one internally generated by a combination of capabilities or competencies“⏹对企业内部因素的研究并没有深入展开资源基础的早期渊源⏹对企业内部资源和核心竞争力的分析，现在一般称为资源基础学派（RBS，Resource-based school）或资源基础观点（ RBV，Resource-based View ）⏹早期的三个来源⏹与众不同的竞争力理论⏹李嘉图（Ricardo，1817）的经济学⏹彭罗斯的企业成长理论与众不同的竞争力/总经理distinctive competence⏹1911年，在哈佛大学，分析组织中的总经理角色⏹总经理和企业的绩效之间的关系⏹高质量的总经理是企业的优势，低质量的总经理是企业的劣势⏹方法的局限性⏹总经理“高质”的品质和特性模棱两可⏹并不是企业优势的唯一来源与众不同的竞争力/制度性的领导能力distinctive competence⏹社会学家塞尔兹尼克 Selznick⏹制度性的领导者（constitutional leaders）⏹确保企业与众不同的价值和身份——企业与众不同的愿景租金理论⏹李嘉图（David Richardo ）关注“最初的、不可扩大的、不可破坏的天赋因素”的经济结果⏹土地的总供给相对固定，供给弹性低⏹那些拥有无供给弹性的高质量生产要素的人可能获得经济租金（高于正常的经济绩效）⏹企业使用的许多资源是没有供给弹性的，并且这些资源可能成为经济租金的源泉彭罗斯的企业成长理论⏹Penrose(1959) :theory of the growth of the firm ⏹从两方面理解企业⏹企业是一个由个体和群体活动组成的行政结构⏹企业是一组生产资源⏹经理人的任务⏹通过企业已经创造的行政结构，来利用企业控制的生产资源⏹彭罗斯的研究发现⏹企业所控制的生产性资源本质上是异质的⏹将异质的资源拓展到了管理团队、高层管理人员，以及企业家技巧之类的不具备弹性的生产性资源经济学对企业专有资源的关注 企业资源理论的原始思想由来已久。

张伯伦(Chamberlin,1933)和罗宾逊(Robinson, 1933)是最早认识到企业专有资源重要性的两位经济学家。

他们认为企业独特的资产和能力是产生不完全竞争并获取超额利润的重要因素。

资源基础学派的兴起与成型⏹四篇文章⏹Wernerfelt R.1984. A Resource-based View of the Firm.Strategic Management Journal，1 P 171-180⏹Barney J B. Strategic factor markets: Expectations,luck, and business strategy. M anagement Science，1986，32：1231~1241⏹Barney J B. Firm resources and sustained competitiveadvantage. Journal of M anagement，1991，17：99~120⏹Peteraf, M. A. 1993. The cornerstones of competitiveadvantage: A resource-based view. StrategicM anagement Journal, 14: 179-191.资源基础观的核心内容⏹研究问题⏹企业之间为什么会存在差异？⏹答案⏹源自企业自创立以来由其独特发展历史所形成的异质性资源⏹核心主张⏹企业资源层面的因素较之产业层面的因素能够更好地解释企业间的绩效差异⏹核心假设⏹企业关于资源的信息是不对称的，资源在企业间的分布是异质的；资源是粘性的，不能完全地在企业间流动2个基本假设⏹企业资源的异质性⏹资源禀赋、运气、演化历史或对未来预测的不同而形成不同的资源（Barney,1986）⏹由于资源的产生没有固定的生产函数，竞争对手对于要识别这些资源是很困难的（Conner,1991）⏹企业管理层在一定经营环境里的行动具有管理自主性（managerial discretion）(Amit and Schoemaker, 1993)⏹企业的资源存量是经历“变异——选择——留存”这一演化机制长期演化的结果（Nelson and W inter,1982;Nelson,1991）⏹企业资源的不完全流动性⏹资源的不完全流动性（Barney , 1991）⏹资源移动壁垒（W arnerfelt,1984）⏹企业在关键资源上的隔离机制（Rumelt,1984,1987）资源(Resource)⏹W ernerfelt（1984）：“任何可以被看成是某给定企业优势或劣势的东西，更正式地说，一企业在某给定时刻的资源可以被定义为那些半永久性附属于企业的(有形和无形)资产”。

⏹Barney（1991）:“企业控制的能够使企业制订和实施提高其效率和效果的战略的所有资产、能力、组织流程、企业属性、信息、知识等等。

用传统战略分析的话来讲，企业资源是企业在制订和实施其战略时可资利用的力量” 101) 。

资源分成三大类:物力资本资源(physical capitalresources)、人力资本资源(human capital resources)和组织资本资源(organizational capital resources)。

⏹Grant( 19 91):资源是生产过程的要素投入，包括机器设备、专利、品牌和雇员的个人技能等，其本身很少具有生产性。

⏹Amit & Schoemaker(1993):资源是企业拥有或控制的要素存量。

通过与其他企业资产的协同使用以及诸如技术、管理信息系统、激励机制、管理层与员I之间的信任等等联结机制，资源被转换成最终的产品或服务。

能力（capability）⏹Grant（1991）：生产活动需要众多资源的合作和协调，组合资源来完成某项任务或活动的组织流程和手段就是能力。

如果说资源是能力之源，那么能力就是竞争优势之源。

⏹Amit & Schoemaker (1993)：企业能力是企业特有的、通过企业资源之间复杂的互动作用长期培育起来的、可以被抽象地看作为企业为提高其资源生产效能而衍生的中间产品。

⏹M akadok (2001)：能力根深蒂固于组织及其规程之中，为企业所专有，而一般的资源则没有这种特性，或者说能力较之资源更依赖于组织。

⏹Nelson & W inter（1982）：把能力)把企业能力称为“惯例”（routine），它实质上是一个企业的抽象的做事方式或重复的活动方式，它主要包括企业进行审慎思考和实施的能力，类似于个人的技巧。

Resource Vs. Capability⏹First, a capability is firm-specific since it is embeddedin the organization and its processes, w hile anordinary resource is not.⏹Second, the primary purpose of a capability is toenhance the productivity of the other resources that the firm possesses⏹ A ‘capability’ is defined as a special type of resource—specifically, an organizationally embedded nontransferable firm-specific resource w hose purpose is to improve the productivity of the other resources possessed by the firm.(Makadok, 2001)Barney (1991): VRIS criteriaFirm Resource Heterogeneity Firm Resource Immobility ValueRarenessImperfect Imitability✐History Dependent✐Causal Ambiguity✐Social Complexity SubstitutabilitySustainedCompetitiveAdvantageAdvantage⏹The Question of Value:⏹Capabilities are valuable w hen they enable a firm toconceive of or implement strategies that improve efficiencyand effectiveness.⏹Value is dependent on type of strategy:⏹Low cost strategy: low er costs (Timex)⏹Differentiator: add enhancing features (Rolex)⏹To be valuable, the capability must either⏹Increase efficiency (outputs / inputs)⏹Information system reduces customer service agents required, orincreases the number of calls the same number of agents canansw er⏹Increase effectiveness (enable some new capability notpreviously held)⏹Opening a new regional campus enables outreach to a newmarket of studentsAdvantage⏹The Question of Rareness:⏹Valuable resources or capabilities that are sharedby large numbers of firms in an industry aretherefore not rare, and cannot be a source of SCA.⏹Given the follow ing, w hich are rare?⏹A w eb server⏹An M IS instructor⏹A state-of-the-art stamping press⏹None of these are rare. Some researchers thinkonly organizational assets or resources are rare(such as culture). W hat do you think?Advantage⏹The Question of Imitability⏹Valuable, rare resources can only be sources ofSCA if firms that do not possess them cannotobtain them. They must be “imperfectly imitable”,i.e. impossible to perfectly imitate them.⏹W ays imitation can be avoided:⏹Unique Historical Conditions (Caterpillar, e.g.)⏹Causal Ambiguity (w hy resources create SCA is notunderstood, even by the firm ow ning them)⏹Social Complexity (trust, teamw ork, informalrelationships, causal ambiguity w here cause ofeffectiveness is uncertain)Advantage⏹The Question of Substitutability⏹There must be no equivalent resources that canbe exploited to implement the same strategies.⏹Forms of substitutability:⏹Duplication: Although no tw o management teams arethe same, they can be strategically equivalent, producethe same results.⏹Substitution: Very different resources can be substitutes,e.g.⏹ A charismatic leader w ith a clear vision vs. a strategicplanning dept.⏹ A superior marketing strategy for a recognized brandname.⏹ A superior technical support group for an intelligentdiagnostic softw are packageAdvantage⏹The Question of Exploitation:⏹Later research qualified this as anothercriteria for SCA. Is a firm organized toexploit the full competitive potential of itsresources and capabilities?⏹Are systems in place to enable firms tosupport the execution of a particularstrategy?Notes on “Sustainable”⏹Sustainable is not measured in calendar time.⏹Sustainable does not mean the advantage w ill last forever.⏹Sustainable suggests the advantage lasts long enough that competitors stop trying to duplicate the strategy that makes the advantage sustained.Economic PerformanceValuabl e?Rare?CostlytoImitate?Exploitedby theOrganization?CompetitiveImplicationsEconomicPerformanceNo------CompetitiveDisadvantage BelowNormalYes No---- CompetitiveParityNormalYes Yes No-- TemporaryCompetitiveAdvantageAboveNormalYes Yes Yes Yes SustainedCompetitiveAdvantageAboveNormalSpecific resourcesw hich give rise to SCA⏹Another group of researchers focused on examining specificresources which give rise to sustainable competitive advantages.⏹The resources they examined included:⏹response lags (Lippman & Rumelt, 1982)⏹routines (Nelson & Winter, 1982),⏹functionally based distinctive competencies (Hitt & Ireland, 1985,1986; Hitt, Ireland, & Palia, 1982; Hitt, Ireland, & Stadter, 1982; Snow& Hrebiniak, 1980),⏹unique combination of business experience (Huff, 1982; Prahalad &Bettis, 1986; Spender, 1989)⏹organizational culture (Barney, 1986b; Fiol, 1991)⏹invisible assets that by their nature are difficult to imitate (Itami,1987)⏹organizational learning (Teece, Pisano, & Shuen, 1997)⏹entrepreneurship (Nelson, 1991; Rumelt, 1987)⏹human resources (Amit & Schoemaker, 1993)《资产存量积累和持续竞争优势》Dierickx&Cool（1989）⏹Dierickx and Cool (1989) suggested that resources can bedifferentiated as either asset flows or asset stocks. They explained economic rent sustainability in terms of resources w ith limited strategic substitutability by equivalent assets and time compression diseconomies for firms trying to imitateresources of another firm.⏹针对Barney，提出有的组织能力（交易者的忠诚，研发的能力）不能通过在战略要素市场购买来达到，需要在组织资产存量的积累来培育组织能力⏹选择合适的战略来确定流量，如研发的费用，广告的费用，来决定存量的大小即决定组织能力大小资源基础观下的组织能力⏹领先的资源地位依赖于资源多大程度上被替代、被对手模仿⏹资产存量的模仿⏹压缩时间的非经济性(time compression diseconomies)⏹资源积累效率(asset mass efficiencies)⏹资产存量的交互关联性（interconnectedness of asset stock）⏹资产衰变性（Asset Erosion）⏹原因不明(causal ambiguity)⏹资产存量的替代⏹培育组织能力的关键⏹公司战略应含有最优流量路径,因为竞争地位由存量决定M AKADOK R. 2001 .Tow ard a synthesis of the resource-based and dynamic-capability view s of rent creation. Strategic Management Journal,22: 387–401⏹resource-picking⏹Under the resource-picking mechanism, managers gatherinformation and analysis to outsmart the resource market inpicking resources, similar to the w ay that a mutual fundmanager tries to outsmart the stock market in picking stocks.⏹capability-building⏹Under the capability-building mechanism, managers designand construct organizational systems to enhance theproductivity of w hatever resources the firm acquires⏹the tw o rent-creation mechanisms arecomplementary in some circumstances butsubstitutes in others环境变革对资源基础的影响 环境变革——资源战略柔性（Strategic flexibility；Hitt,Hoskisson,Harrison,1991)the capability of the firm to proact or respond quickly to changing competitive conditions and thereby develop and/or maintain competitive advantage.Hitt, Baibaia,Samuel(1998)⏹To develop strategic flexibility and competitive advantage,requires:⏹Exercising strategic leadership⏹Building dynamic core competences⏹Focusing and developing human capital⏹Effectively using new manufacturing and informationtechnologies⏹Employing valuable strategies (exploiting global markets andcooperative strategies)⏹Implementing new organization structures and culture(horizontal organization, learning and innovative culture,managing firm as bundles of assets)新的竞争图景建立战略柔性和竞争优势的方法动态能力的概念和分析框架⏹Dynamic Routines ( Nelson & W inter, 1982)⏹Dynamic core competencies (Lei, Hitt & Bettis, 1996)⏹Dynamic Capabilities( Teece et al. ,1997)⏹Dynamic Capabilities(Eisenhardt &M artin,2000)⏹Winter(2003) on dynamic capabilityDynamic Routines( Nelson & W inter, 1982. An Evolutionary Theory of Economics Change )⏹技巧→惯例→组织行为⏹技巧⏹在给定行为正常发生的情况下，进行一系列与目标有关的有效协调行为的一种能力⏹特点：程序化、隐性知识、选择自动进行⏹惯例⏹组织层面上相当于个人技巧的对应物⏹代表稳定有序的行动Dynamic Routines( Nelson & W inter, 1982)⏹Nelson and W inter (1982) distinguish stationary and dynamic routines.⏹Stationary routines correspond to rules such as “close the door of the factory every day at 7 p.m….” or higher-level and dynamic routines to rules ”such as …search for new techniques in such and such directions….; …w hen something goes w rong do x and send a message to y…, etc” (Coriat and Dosi, 1998).Dynamic core competencies(Lei,D.,Hitt,M.A.,& Bettis,R.Dynamic core competences through meta-learning and strategic context. Journal of M anagement, 1996, 22(4): 549-569.)⏹ A firm's core competence(s) is defined as a set of problem-defining and problem-solving insights that fosters thedevelopment of idiosyncratic strategic grow th alternatives.⏹Core competences are developed from organizational learning.⏹The learning process can be proprietary to the firm,accumulates firm-specific assets, skills and heuristics andtranslates them into new products and processes.⏹Core competences, to be effective, must be continually evolvingand changing via continuous organizational learning.⏹Core competences cannot remain static; only those firms thatcontinue to invest and upgrade their competences are able to create new strategic grow th alternatives.动态核心竞争力的开发和产出元学习meta-learning⏹元认知是个体对自己认知状态、认知过程的意识和调节，包括元认知知识和元认知体验。