摘要
众所周知,国有企业经过近30年的改革已经取得巨大的成果,目前国企改革已经进入攻坚阶段,开始着手探索和解决多年积累下来的深层次矛盾和问题,其中企业家问题就是国企改革中存在的较为严重的问题。[1]国有企业改革成功与否关键是国有企业是否拥有大量的合格企业家,以实现企业和经济的跨越式发展。[2]随着渐进式改革与国有企业转轨转型,企业和企业家的功能角色和评价机制的不断变化,导致理论和方法的不确定性；伴随产权制度改革,企业家培养、选拔、考评、激励的机制体制必然与时俱进,因此,要完成我国经济建设与社会发展中一项十分重要的战略任务------造就、建设和管理好一支宏大的、高素质的社会主义企业家队伍,需要创新企业家管理机制。
本文在综合国内外关于企业家理论和人力资本理论的研究成果,进行集成创新的基础上,总结分析了国有企业改革历程和经验教训,对企业家概念进行了科学界定,确定了企业家在市场中的角色定位和社会地位。
在国内外关于企业家能力和素质相关文献研究并与4家企业的12位高层管理者进行半结构化访谈的基础上,提出企业家能力资本的构成因素。通过半结构化访谈,对收集到的各项素质、能力进行整理,经过编码分析,初步得出企业家能力资本的理论框架。理论研究结果表明,企业家能力资本的内容包括4个要素及32项条目。在文献分析的基础上,根据理论框架的结果加入了个体特征变量后形成企业家能力资本调查问卷,以某省范围内的企业家为样本,分别对268份有效问卷进行了探索性因子分析和验证性因子分析。结果显示,这4个要素及32项条目具有较好的结构效度。通过运用因子分析法对某企业拟候选的10个企业家结合该量表进行选拔评价,通过因子萃取,找出在多因子分析中影响企业家能力资本发挥的主因子,为了使选拔招募来的企业家与实际岗位的需要相匹配,笔者从培养理念、培养途径和培养机制三方面提出相应的建议。
通过对国内外同类关于企业家绩效评价理论研究文献的归纳总结,进行理论集成创新,构建了动态的企业家绩效评价体系,根据笔者自编的企业家绩效评价的初始问卷(共包括24项条目),对发放回收的229份有效问卷进行了探索性因子分析保留了20项条目并对其进行验证性因子分析。结果显示,这20项条目具有较好的结构效度。通过分析以往绩效评价方法的优缺点,进行方法应用创新,运用先进的统计学习方法-支持向量机(SVM),以某省市国资委控股的14家企业的企业家作为样本对企业家进行绩效评价的应用过程,对企业家进行绩效评价是实施激励机制的基础和依据,评价本身不是目的,只是为获得一个更高的业绩水平而实行的手段,而激励则是为了更好地改进业绩尽力使业绩最大化,笔者从薪酬、控制权、声誉、市场竞争几个方面对企业家激励机制的现状进行分析并提出相应的对策。
通过对企业家培养选拔机制、绩效评价和激励约束机制的研究最终促进企业家的职业化、市场化发展,建设企业家队伍。针对企业家发展现状和国企“政治化”属性阻滞企业家职业化发展的分析,提出了企业家职业化的机制需求与机制优化及“党管企业家”与企业家市场化的实现形式。为反映企业家职业化的现实状况,在集成创新基础上构建了企业家职业化进程的评价指标体系,根据企业家市场化与职业化对应关系来测量企业家市场化进程,对企业家职业化阶段做出定性的判断。
最后,指出本研究的创新性工作及未来需要进一步研究的方向。
It is well known that the reformation to national enterprises has acquired a large achievement in recent 30 years. At present, the reformation has come into a key stage where it has begun to explore and solve the deep level paradoxes and problems accumulated since many years before. Among them, the problem concerning entrepreneurs is most serious one. In order to achieve the development of enterprise and economy by leaps and bounds, whether the national enterprises own lots of eligible entrepreneurs is the key point that decides its success or failure. With gradual reformation and national enterprise's transformation, the continual change of functional role and evaluation mechanism results in the uncertainty of theory and method. Accompanied the reformation of property right system, the mechanism and system of entrepreneur's cultivation, selection, performance appraisal, encouragement should advance with the times. Therefore, in order to complete a very important strategy task------creating, founding and managing a grand and high quality socialism entrepreneur group, it is necessary to innovate entrepreneur's management mechanism.
Based on integrated innovation of comprehensive domestic and foreign research results about entrepreneur's theory and human resources capital theory, this paper conclusively analyzes the experience of national enterprise's reformation and lessons learned, scientifically defines the entrepreneur's conception and confirms the role and social status of entrepreneur in the market.
In view of related worldwide research about entrepreneur's ability and quality and semi-structure talking with 12 high level managers in 4 companies, the constituted elements of entrepreneur ability capital are addressed. According to semi-structure talking and the sorted several kinds of quality and ability, the theoretical frame of entrepreneur ability capital is initially decided by coding analysis. The theoretical research result shows that entrepreneur ability capital consists of 4 elements-32 items. On the basis of literature analysis, individual character variable is added in to form investigation questionnaire of entrepreneur ability capital according to the theoretical frame result. Taking entrepreneur in some provinces as example, exploring elements and verifying elements are analyzed respactively for 268 available questionnaires. The result shows that the 4 element-32 items have rather good structure effectiveness.10 entrepreneur candidates of certain enterprise are selected and evaluated with factor analysis method combining the quantity diagram. The principal factors which effect entrepreneur ability capital in multi-element analysis are determined through factor extraction. In order to make the recruit entrepreneurs match the demand of the actual occupation, the author gives advices in accordance with the three aspects i.e. cultivation theory, cultivation route and cultivation mechanism.
Through summarizing the similar entrepreneur performance evaluation theory research at home and abroad, the paper conducts theory integrated innovation and constructs dynamic entrepreneur performance evaluation architecture. According to self-edition entrepreneur performance evaluation initial questionnaire (including 24 items), exploratory factor analysis is performed for 229 returned available questionnaires and 20 items are retained and analyzed the verifying factors. The result proves that these 20 items have rather good structure effectiveness. By analyzing the advantages and disadvantages of the previous performance evaluation method, application method is innovated. Advanced statistical learning method is applied------Support Vector Machine (SVM). Taking entrepreneurs from 14 enterprises charged by state-owned capital committee in some province for example, entrepreneur performance evaluation is applied to them, which is the basis and evidence for implementing encouragement mechanism. Evaluation itself is not the aim, but only is the adopted means for acquiring a higher performance level. However encouragement can improve performance and make it the most. The author analyzes the status of entrepreneur encouragement mechanism and puts forward the countermeasure from several aspects constituted of salary, control power, reputation and market competition.
Through the research of entrepreneur cultivation selecting mechanism, performance evaluation and encouragement restricted mechanism, it finally promotes entrepreneur's occupation, market development and entrepreneur group construction. Through the analysis of actual situation of entrepreneur and state-owned enterprises "political" feature prohibiting entrepreneur occupational development, the forms of mechanism demand and mechanism optimization of entrepreneur occupational, as well as the forms of "Party leads entrepreneur" and entrepreneur marketing are put forward.. In order to reflect the real status of entrepreneur occupational, evaluation index system of entrepreneur occupational progress is constructed on the basis of integrated innovation. According to the correspondent relationship of entrepreneur market and occupation, entrepreneur marketing progress is measured and the stage of entrepreneur occupation is qualitatively estimated.
Finally, the innovative work of this research and the future study direction are suggested.
引文
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