科技企业孵化器绩效评价研究
摘要
科技企业孵化器在我国发展迅速,进行科技企业孵化器绩效评价研究既有现实和理论上的需要,也有宏观和微观上的需要。孵化器绩效评价不仅应包括对“绩”(业绩)评价,更应该包涵对“效”(实现这一业绩的效率)的评价。以往研究主要关注的是孵化器“绩”的表现,而对孵化器“效”的关注不够,甚至将科技企业孵化器的巨大投入也算做其工作绩效,这一做法有失公允。
本文依据组织理论来分析科技企业孵化器绩效评价产生的理论根源,基于孵化器的核心价值,采用德尔菲法以DEA的“投入一产出”为原则构建了一个侧重反映科技企业孵化器运行效率的关键绩效指标体系,该指标体系兼顾了过程与结果的平衡。科技企业孵化器在建设和发展过程中的资源投入按其形态可分为人力资源、物质资源和资金资源3类,正是在这3类资源的相互作用下,孵化器效益才得以产生,而这种产出效益按其性质又可以被分为社会效益、运营效益和经济效益3类。因此,投入层指标分别从人力资源投入、资金投入和物质资源投入等3个方面选取,人力资源作为孵化器运转的核心要素将会受到着重考察。产出层指标将由社会效益、经济效益和运营效益3类指标构成。
本研究的基础数据来源于2009-2011年度的《安徽省科技企业孵化器统计年报》,2008-2011年《安徽省科技统计公报》以及相关政府部门网站公布的信息,这些资料主要是作者本人借助参与《安徽省科技企业孵化器“十二五”发展规划研究》课题的机会,通过索要、实地调研等方式获得的。其中,统计年报涵盖有安徽省50家孵化器在2009-2011年间的相关统计数据①。剔除数据缺失的部分年度样本,基于投入导向型的DEA(BCC)模型对132个年度样本数据运用DEAP2.1软件进行处理,以期为科技企业孵化器绩效现状分析提供数据支撑。通过对综合效率值的分析,可以发现,投入产出不匹配是安徽省大多数孵化器不得不面对的现实问题。为有针对性地展开分析,降低问题讨论的复杂性,借助SPSS统计工具以纯技术效率值和规模效率值(SE)为变量绘制132个样本数据的散点图,进而将样本划分成配置低效型、完全低效型、规模低效型和相对高效型4类,根据相应类型孵化器的问题,认为应该通过调整投入组合结构和生产规模状态来提升孵化器运行效率。DEA超效率模型分析的结果可以解决有效孵化器的排序问题以及为资源稀缺性分析提供数据支持。
结合相关统计数据,对安徽省科技企业孵化器绩效问题的产生原因进行深层次思考和分析,可以将孵化器绩效不佳的原因归类为经营体制与管理模式的滞后、人才队伍力量薄弱、绩效评价与激励约束机制不健全和财政资源供需矛盾等四大类,最后提出了相应的对策建议。
The rapid development of Techology Business Incubators in China, both practical and theoretical needs of the TBI performance evaluation, also on the macro and micro needs. Incubator performance evaluation should not only include the "performance"(effect) evaluation, more should bear the "efficiency"(to achieve this performance the efficiency evaluation), past research is mainly concerned about the incubator performance, while the attention of incubator efficiency is not enough, and even the huge investment of TBIs also counted as its performance, this practice is unfair.
Through the use of organizational theory to analyze the source of the TBI performance evaluation. Based on the core values of the incubator, using the Delphi method on the principle of DEA "input-output" to construct a key performance indicators system which reflects the operation efficiency of TBIs, the indicator system take into account the balance of process and result. In the process of TBIs construction and development, the input of resources according to their shape can be divided into three types:human resources, material resources and financial resources, in the interaction of these three types of resources, the incubator is able to generate the corresponding benefits, and this benefits on their nature can be divided into social, operational and economic benefits. Therefore, the indicator system of the input layer respectively from human resources, capital and material resources to build. Human resources as the core elements of incubator operation will be examined in detail. The indicators of the output layer will be consisted of three types of indicators:social, economic and operational benefits.
In this study, the basis of data from the2009-2011《Statistical Yearbook of Anhui TBIs》,2008-2011《Anhui Science and Technology Statistics Bulletin》 and published on the website of the relevant government departments. With the participation in the subject "Anhui TBIs'the12th five-year'development planning", the author acquired these data by asking and conveying. Statistical yearbooks cover the relevant statistical data in the three years of50incubators in Anhui Province. Considering the missing of a part of the annual sample data, use DEAP2.1software to process the data of132annual samples in the three years based on the input-oriented DEA(BCC) model in order to provide the data support for the TBIs performance analysis. Through the analysis of the total efficiency value, you can find the invalid operation is the majority of incubators have to face the reality of the problem in Anhui province. For the targeted analysis, reduce complexity the problems to discuss, with the help of SPSS statistical tools to draw the scatter plot of132sample data with the value of the pure technical efficiency (PTE) and scale efficiency value (SE) as a variable, and then the sample is divided into the configuration inefficient type, completely inefficient type, scale inefficient and relatively efficient type, according to the corresponding type incubator to put forward improvement measures from a technical level. The results of the analysis of the DEA super-efficiency model can solve the problems of the sort of incubators and the scarcity of resources in order to provide data support for later analysis.
Combined with the relevant statistical data, thinking and analyzing the problem causes of Anhui TBIs performance in depth, the causes of Anhui TBIs poor performance can be classified as4types:the lag of the operating system and management mode, the problem of the construction of personnel team, performance evaluation, incentive and restriction mechanism is not perfect, the contradiction between supply and demand of financial resources, and finally elaborated comments and suggestions on the construction and development of the province's TBIs.
本文依据组织理论来分析科技企业孵化器绩效评价产生的理论根源,基于孵化器的核心价值,采用德尔菲法以DEA的“投入一产出”为原则构建了一个侧重反映科技企业孵化器运行效率的关键绩效指标体系,该指标体系兼顾了过程与结果的平衡。科技企业孵化器在建设和发展过程中的资源投入按其形态可分为人力资源、物质资源和资金资源3类,正是在这3类资源的相互作用下,孵化器效益才得以产生,而这种产出效益按其性质又可以被分为社会效益、运营效益和经济效益3类。因此,投入层指标分别从人力资源投入、资金投入和物质资源投入等3个方面选取,人力资源作为孵化器运转的核心要素将会受到着重考察。产出层指标将由社会效益、经济效益和运营效益3类指标构成。
本研究的基础数据来源于2009-2011年度的《安徽省科技企业孵化器统计年报》,2008-2011年《安徽省科技统计公报》以及相关政府部门网站公布的信息,这些资料主要是作者本人借助参与《安徽省科技企业孵化器“十二五”发展规划研究》课题的机会,通过索要、实地调研等方式获得的。其中,统计年报涵盖有安徽省50家孵化器在2009-2011年间的相关统计数据①。剔除数据缺失的部分年度样本,基于投入导向型的DEA(BCC)模型对132个年度样本数据运用DEAP2.1软件进行处理,以期为科技企业孵化器绩效现状分析提供数据支撑。通过对综合效率值的分析,可以发现,投入产出不匹配是安徽省大多数孵化器不得不面对的现实问题。为有针对性地展开分析,降低问题讨论的复杂性,借助SPSS统计工具以纯技术效率值和规模效率值(SE)为变量绘制132个样本数据的散点图,进而将样本划分成配置低效型、完全低效型、规模低效型和相对高效型4类,根据相应类型孵化器的问题,认为应该通过调整投入组合结构和生产规模状态来提升孵化器运行效率。DEA超效率模型分析的结果可以解决有效孵化器的排序问题以及为资源稀缺性分析提供数据支持。
结合相关统计数据,对安徽省科技企业孵化器绩效问题的产生原因进行深层次思考和分析,可以将孵化器绩效不佳的原因归类为经营体制与管理模式的滞后、人才队伍力量薄弱、绩效评价与激励约束机制不健全和财政资源供需矛盾等四大类,最后提出了相应的对策建议。
The rapid development of Techology Business Incubators in China, both practical and theoretical needs of the TBI performance evaluation, also on the macro and micro needs. Incubator performance evaluation should not only include the "performance"(effect) evaluation, more should bear the "efficiency"(to achieve this performance the efficiency evaluation), past research is mainly concerned about the incubator performance, while the attention of incubator efficiency is not enough, and even the huge investment of TBIs also counted as its performance, this practice is unfair.
Through the use of organizational theory to analyze the source of the TBI performance evaluation. Based on the core values of the incubator, using the Delphi method on the principle of DEA "input-output" to construct a key performance indicators system which reflects the operation efficiency of TBIs, the indicator system take into account the balance of process and result. In the process of TBIs construction and development, the input of resources according to their shape can be divided into three types:human resources, material resources and financial resources, in the interaction of these three types of resources, the incubator is able to generate the corresponding benefits, and this benefits on their nature can be divided into social, operational and economic benefits. Therefore, the indicator system of the input layer respectively from human resources, capital and material resources to build. Human resources as the core elements of incubator operation will be examined in detail. The indicators of the output layer will be consisted of three types of indicators:social, economic and operational benefits.
In this study, the basis of data from the2009-2011《Statistical Yearbook of Anhui TBIs》,2008-2011《Anhui Science and Technology Statistics Bulletin》 and published on the website of the relevant government departments. With the participation in the subject "Anhui TBIs'the12th five-year'development planning", the author acquired these data by asking and conveying. Statistical yearbooks cover the relevant statistical data in the three years of50incubators in Anhui Province. Considering the missing of a part of the annual sample data, use DEAP2.1software to process the data of132annual samples in the three years based on the input-oriented DEA(BCC) model in order to provide the data support for the TBIs performance analysis. Through the analysis of the total efficiency value, you can find the invalid operation is the majority of incubators have to face the reality of the problem in Anhui province. For the targeted analysis, reduce complexity the problems to discuss, with the help of SPSS statistical tools to draw the scatter plot of132sample data with the value of the pure technical efficiency (PTE) and scale efficiency value (SE) as a variable, and then the sample is divided into the configuration inefficient type, completely inefficient type, scale inefficient and relatively efficient type, according to the corresponding type incubator to put forward improvement measures from a technical level. The results of the analysis of the DEA super-efficiency model can solve the problems of the sort of incubators and the scarcity of resources in order to provide data support for later analysis.
Combined with the relevant statistical data, thinking and analyzing the problem causes of Anhui TBIs performance in depth, the causes of Anhui TBIs poor performance can be classified as4types:the lag of the operating system and management mode, the problem of the construction of personnel team, performance evaluation, incentive and restriction mechanism is not perfect, the contradiction between supply and demand of financial resources, and finally elaborated comments and suggestions on the construction and development of the province's TBIs.
引文
[01]Fry f.L.. The Role of Incubators in Small Business Planning[J]. American Journal of Small Business,1987,2(1):51-61.
[02]Lumpkin J.R. and Ireland R.D.. Screening Practices of New Business Incubators:The Evaluation of Critical Success Factors[J]. American Journal of Small Business,1988,2(4):59-81.
[03]Allen David, and Bazan Eugene. Value-Added Contributions of Pennsylvania's Business Incubators to Tenant Firms and Local Economies[M]. Athens, OH:Natinal Business Incubation Association,1990.
[04]Allen D. N. and McCluskey R.. Structure, Policy, Services, and Performance in the Business Incubator Industry [J]. Entrepreneurship Theory & Practice,1990,5(2):61-77.
[05]Sherman H.. Assessing the Intervention Effectiveness of Business Incubation Programs in New Business Start-ups[J]. Journal of Developmental Entreprenership,1999,4(2):117-133.
[06]Peterson D. W.. Organizational culture is a convergent process:ulture in a small business incubator[Z]. DAI-A 63/11,2003:379.
[07]Hirsch P. M. Organizational effectiveness and the institutional environmen[J]. Administrative Science.1975(20):21-28.
[08]Smilor W. Raymond, Gill Jr. Michael. The New Business Incubation, Linking Talent, Technology and Know-How[M]. Lexington, MA:Lexington Books, 1986.
[09]Allen David, and Hendrickson Smith Janet. Planning and Implementing Small Business Incubators and Enterprise Support Networks[M]. Athens, OH:National Business Incubation Association,1987.
[10]Hisrich Robert, and Smilor Raymond. The university and business incubation:Technology transfer through entrepreneurship development[J]. Technology Transfer,1988(4):14-19.
[11]Ketchen D. J., Thomas J. B. and Snow C.C.. Organizational Configurations and Performance:A comparison of Theoretical Approaches, Academy of Management Journal,1993 (40):223-240.
[12]Rustam Kalkaska, Jack Bishop天津市委、天津市科技创业服务中心组织编译.经济发展中的企业孵化器——在发展中国家的初步评价[M].天津：天津科技翻译出版公司,1997.
[13]Autio E. and Klofsten M.. A comparative study of two European business incubators [J]. Journal of Small Business Management,1998,36(1):30-36.
[14]Rice M P.. Co-production of business assistance in business incubators:An exploratory study[J]. Journal of Business Venturing,2002(17):163-187.
[15]Roberts B., Reamer A. and Padden J.. Iowa funded business incubators:an assessment of contributions for enterprise developmen[J]. Cedar Rapids(IA):Iowa Department of Economic Development,1990:20-26.
[16]Mian Sarfraz. university-sponsored technology incubators:An overview of management, polices and performance[J]. Technovation,1994,14(8):515-528.
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[18]Hackett S. M., Dilts D. M.. A systematic review of business incubator research[J]. Journal of Technology Transfer,2004,29(1):55-82.
[19]Colombo M., Delmastro M.. How effective are technology incubators? Evidence from Italy[J]. Research Policy,2002,31(7):1103-1122.
[20]邵俊岗,常林朝.我国企业孵化器封闭式运行与管理模式分析[J].经济经纬,2003(5)：53-56.
[21]董华强,梁满杰.我国企业孵化器发展的问题与有效对策[J].科学学与科学技术管理,2003(5)：110-113.
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[23]赵玉海.我国科技企业孵化器的现状与发展取向[J].科技管理研究,2005(1)：3-5.
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[25]李刚,张玉臣.孵化器支撑环境研究[J].科学学与科学技术管理,2001(6)：23-25.
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[02]Lumpkin J.R. and Ireland R.D.. Screening Practices of New Business Incubators:The Evaluation of Critical Success Factors[J]. American Journal of Small Business,1988,2(4):59-81.
[03]Allen David, and Bazan Eugene. Value-Added Contributions of Pennsylvania's Business Incubators to Tenant Firms and Local Economies[M]. Athens, OH:Natinal Business Incubation Association,1990.
[04]Allen D. N. and McCluskey R.. Structure, Policy, Services, and Performance in the Business Incubator Industry [J]. Entrepreneurship Theory & Practice,1990,5(2):61-77.
[05]Sherman H.. Assessing the Intervention Effectiveness of Business Incubation Programs in New Business Start-ups[J]. Journal of Developmental Entreprenership,1999,4(2):117-133.
[06]Peterson D. W.. Organizational culture is a convergent process:ulture in a small business incubator[Z]. DAI-A 63/11,2003:379.
[07]Hirsch P. M. Organizational effectiveness and the institutional environmen[J]. Administrative Science.1975(20):21-28.
[08]Smilor W. Raymond, Gill Jr. Michael. The New Business Incubation, Linking Talent, Technology and Know-How[M]. Lexington, MA:Lexington Books, 1986.
[09]Allen David, and Hendrickson Smith Janet. Planning and Implementing Small Business Incubators and Enterprise Support Networks[M]. Athens, OH:National Business Incubation Association,1987.
[10]Hisrich Robert, and Smilor Raymond. The university and business incubation:Technology transfer through entrepreneurship development[J]. Technology Transfer,1988(4):14-19.
[11]Ketchen D. J., Thomas J. B. and Snow C.C.. Organizational Configurations and Performance:A comparison of Theoretical Approaches, Academy of Management Journal,1993 (40):223-240.
[12]Rustam Kalkaska, Jack Bishop天津市委、天津市科技创业服务中心组织编译.经济发展中的企业孵化器——在发展中国家的初步评价[M].天津：天津科技翻译出版公司,1997.
[13]Autio E. and Klofsten M.. A comparative study of two European business incubators [J]. Journal of Small Business Management,1998,36(1):30-36.
[14]Rice M P.. Co-production of business assistance in business incubators:An exploratory study[J]. Journal of Business Venturing,2002(17):163-187.
[15]Roberts B., Reamer A. and Padden J.. Iowa funded business incubators:an assessment of contributions for enterprise developmen[J]. Cedar Rapids(IA):Iowa Department of Economic Development,1990:20-26.
[16]Mian Sarfraz. university-sponsored technology incubators:An overview of management, polices and performance[J]. Technovation,1994,14(8):515-528.
[17]Chan K. F., Lau T.. Assessing technology incubator programs in the science park:the good, the bad and the ugly[J]. Technovation,2005(25):1215-1228.
[18]Hackett S. M., Dilts D. M.. A systematic review of business incubator research[J]. Journal of Technology Transfer,2004,29(1):55-82.
[19]Colombo M., Delmastro M.. How effective are technology incubators? Evidence from Italy[J]. Research Policy,2002,31(7):1103-1122.
[20]邵俊岗,常林朝.我国企业孵化器封闭式运行与管理模式分析[J].经济经纬,2003(5)：53-56.
[21]董华强,梁满杰.我国企业孵化器发展的问题与有效对策[J].科学学与科学技术管理,2003(5)：110-113.
[22]张振刚,薛捷.中国科技企业孵化器的现状及潜在问题分析[J].中国科技论坛,2004(2)：54-58.
[23]赵玉海.我国科技企业孵化器的现状与发展取向[J].科技管理研究,2005(1)：3-5.
[24]李志军,马凤玲.科技企业孵化器体制与发展模式问题刍议[J].中国科技论坛,2007(11)：58-62.
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