企业R&D项目的过程控制与绩效评价研究
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摘要
在全球经济一体化的今天,技术创新在提高国家竞争力中发挥着越来越重要的作用。作为技术创新活动的核心,研究与开发(Research & Development,简称R&D)的作用日益凸现。一个企业要扩大自身的竞争优势,就必须不断储备技术潜力,不失时机地将这些潜力转化为有竞争力的产品与科技成果,而R&D的作用正是创造出这些技术潜力。伴随着R&D作用和地位的日益增强,R&D管理也受到了越来越多的重视,企业开始注意组织手段对R&D的重要作用,处理好R&D部门与其他职能部门的互动关系,并开始关注R&D项目生命周期内的成本、质量和进度,以及项目的不确定性、冲突和项目的执行、控制等问题。这种管理是建立在现代项目管理理论基础上的,需要有效的技术战略与构建创新导向的组织制度、采取更先进的管理方法。其管理的重点是通过时间控制、成本控制来提高R&D的投入产出比,进一步提高R&D的绩效。
本文运用现代项目管理理论和评价理论,分析R&D项目的生命周期并结合其中最重要的环节和有关活动,分别从进度控制、成本控制和绩效管理三方面入手,分析R&D项目过程管理中应当遵循的原则,提出有效的管理工具和方法,结合具体案例对所建立的方法体系进行了应用。
首先,本文对R&D项目管理的理论、方法与模型的研究成果进行了阐述,结合已有的观点对R&D的概念进行了界定。围绕企业R&D项目管理的特点,重新将企业R&D项目的生命周期划分为四个阶段,对各个阶段的基本活动与投入要素进行了具体的描述,结合生命周期分析了R&D项目的进度风险以及成本风险。其次,基于时间对R&D项目的约束作用,将进度控制作为R&D项目管理成功的关键,指出R&D项目进度控制的原则与重点。从项目时间管理的角度,分析了R&D项目的进度计划的制定过程,针对传统CPM、PERT方法的不足,进一步提出了最小化最大遗憾值寻找关键路径的方法,并在R&D项目进度优化的基础上提出了进度计划控制及其选择的方法。接下来,将R&D项目成本控制作为R&D项目管理的核心,确定了R&D项目成本管理的方法和实施步骤,对R&D项目成本管理的目标进行了完整的描述并对成本投入要素进行了分析,立足于项目全生命周期成本,进行了全生命周期视角的限额设计,提出了基于R&D项目生命周期成本限额设计的成本优化实施程序。在进度和成本优化的基础上,结合生命周期提出了静态与动态相结合的绩效评价思想,依据R&D项目绩效评价的特点和原则,建立了全面评价R&D项目绩效的指标体系,选取经济、财务和非财务指标并进行归一化处理,基于模糊积分的基本原理构建了R&D项目静态绩效评价模型,采用数据包络分析(DEA)方法构建了R&D项目动态绩效评价模型,通过综合评价来更加清晰地认识R&D项目生命周期各阶段的绩效水平并据此对项目进行动态管理。最后,本文结合哈尔滨动力设备股份有限公司的R&D项目,对所建立的方法进行了应用,提出了改进R&D项目管理的对策。
Under the circumstance of global economic integration, technology innovation plays a more and more important role in enhancing the country competitive power. As the core in technology innovation activities, Research & Development’s (referred to as the R&D) function becomes more and more outstanding. In order to enlarge its own competition advantages, an enterprise should reserve technical potential unceasingly and convert such potential into competitive products and technical achievements. The function of R&D is just to create such technical potential. Along with the enhancement of R&D’s function and status, more and more attention is paid to the R&D management.
Enterprises is now starting to pay attention to the function of organization means over R&D, coordinate the mutual relations between R&D department and others, and begin to concern the cost, quality, and progress in lifecycle of R&D project, and some aspects about R&D project such as uncertainty, interference, performance and control. This sort of management is established on the basis of modern project management theory, which needs the effective technical strategies, innovation-oriented construction system, and more advanced management methods. The focus of such management is to enlarge ratio of input and output, and to enhance farther performance of R&D project by the means of time and cost control.
By using the modern theory of project management and evaluation, this paper analyzes the life cycle of R&D project. Combining with the most important parts and relevant activities, the paper analyzes the principles to be followed in R&D projects management, puts forward the effective method and applies such method by combining with the specific cases from three aspects such as progress, optimization, cost management and performance management.
First of all, this article expatiates the theory, method and the results of model research of the R&D project management, and further defines the concept of R&D by combining with the existing views of R&D. According to the characteristics of enterprise R&D project management, this article re-divides the life cycle of R&D project management into four stages,and makes specific description over the basic activities and input elements in each stage, and analyzes the risk in progress and cost by combining with the life cycle.
Secondly, basing on time restriction on the R&D project, the article points out the progress control is the most important part of the R&D project management success, and indicates the principle and emphasis of the progress control of R&D project. From the view of project time management, this article analyzes the process of the establishment for R&D project process schedule. Aiming at the disadvantage of traditional method of CPM、PERT, the article raises the best way to seek the key by minimizing the most regret value. Further more, taking the cost control of R&D project as the core of R&D project management, the article determines the method and steps for the cost control of R&D project, and completely describes the target of R&D project cost control and analyzes the input factors of the cost. Basing on the cost of entire life cycle of the project, the article designs the cost quota with the views of the entire life cycle, and puts forward the optimum implement program basing on the cost of the life cycle of R&D projects quota design. Also on basis of the optimization of process and cost, along with the life cycle, this article proposes the performance evaluation ideas, which combined the static and dynamic evaluation together. According to the performance evaluation characteristics of R&D project, a comprehensive indicators system of R&D project performance evaluation is established.
In this system, economic, financial and non-financial indicators are selected and normalized; the static model for the R&D project performance evaluation is established basing on the basic principles of fuzzy integral.
By using data envelopment analysis (DEA) method, the dynamic model for R&D project performance evaluation is build, which clearly recognizes the performance of R&D projects at various stages of the life cycle by a comprehensive evaluation, and then the dynamic project management is realized. Finally, basing on the R&D projects of Harbin Power Equipment Co., Ltd, the method putted forward in this article is applied and the solutions to improve the R&D project management are proposed.
本文运用现代项目管理理论和评价理论,分析R&D项目的生命周期并结合其中最重要的环节和有关活动,分别从进度控制、成本控制和绩效管理三方面入手,分析R&D项目过程管理中应当遵循的原则,提出有效的管理工具和方法,结合具体案例对所建立的方法体系进行了应用。
首先,本文对R&D项目管理的理论、方法与模型的研究成果进行了阐述,结合已有的观点对R&D的概念进行了界定。围绕企业R&D项目管理的特点,重新将企业R&D项目的生命周期划分为四个阶段,对各个阶段的基本活动与投入要素进行了具体的描述,结合生命周期分析了R&D项目的进度风险以及成本风险。其次,基于时间对R&D项目的约束作用,将进度控制作为R&D项目管理成功的关键,指出R&D项目进度控制的原则与重点。从项目时间管理的角度,分析了R&D项目的进度计划的制定过程,针对传统CPM、PERT方法的不足,进一步提出了最小化最大遗憾值寻找关键路径的方法,并在R&D项目进度优化的基础上提出了进度计划控制及其选择的方法。接下来,将R&D项目成本控制作为R&D项目管理的核心,确定了R&D项目成本管理的方法和实施步骤,对R&D项目成本管理的目标进行了完整的描述并对成本投入要素进行了分析,立足于项目全生命周期成本,进行了全生命周期视角的限额设计,提出了基于R&D项目生命周期成本限额设计的成本优化实施程序。在进度和成本优化的基础上,结合生命周期提出了静态与动态相结合的绩效评价思想,依据R&D项目绩效评价的特点和原则,建立了全面评价R&D项目绩效的指标体系,选取经济、财务和非财务指标并进行归一化处理,基于模糊积分的基本原理构建了R&D项目静态绩效评价模型,采用数据包络分析(DEA)方法构建了R&D项目动态绩效评价模型,通过综合评价来更加清晰地认识R&D项目生命周期各阶段的绩效水平并据此对项目进行动态管理。最后,本文结合哈尔滨动力设备股份有限公司的R&D项目,对所建立的方法进行了应用,提出了改进R&D项目管理的对策。
Under the circumstance of global economic integration, technology innovation plays a more and more important role in enhancing the country competitive power. As the core in technology innovation activities, Research & Development’s (referred to as the R&D) function becomes more and more outstanding. In order to enlarge its own competition advantages, an enterprise should reserve technical potential unceasingly and convert such potential into competitive products and technical achievements. The function of R&D is just to create such technical potential. Along with the enhancement of R&D’s function and status, more and more attention is paid to the R&D management.
Enterprises is now starting to pay attention to the function of organization means over R&D, coordinate the mutual relations between R&D department and others, and begin to concern the cost, quality, and progress in lifecycle of R&D project, and some aspects about R&D project such as uncertainty, interference, performance and control. This sort of management is established on the basis of modern project management theory, which needs the effective technical strategies, innovation-oriented construction system, and more advanced management methods. The focus of such management is to enlarge ratio of input and output, and to enhance farther performance of R&D project by the means of time and cost control.
By using the modern theory of project management and evaluation, this paper analyzes the life cycle of R&D project. Combining with the most important parts and relevant activities, the paper analyzes the principles to be followed in R&D projects management, puts forward the effective method and applies such method by combining with the specific cases from three aspects such as progress, optimization, cost management and performance management.
First of all, this article expatiates the theory, method and the results of model research of the R&D project management, and further defines the concept of R&D by combining with the existing views of R&D. According to the characteristics of enterprise R&D project management, this article re-divides the life cycle of R&D project management into four stages,and makes specific description over the basic activities and input elements in each stage, and analyzes the risk in progress and cost by combining with the life cycle.
Secondly, basing on time restriction on the R&D project, the article points out the progress control is the most important part of the R&D project management success, and indicates the principle and emphasis of the progress control of R&D project. From the view of project time management, this article analyzes the process of the establishment for R&D project process schedule. Aiming at the disadvantage of traditional method of CPM、PERT, the article raises the best way to seek the key by minimizing the most regret value. Further more, taking the cost control of R&D project as the core of R&D project management, the article determines the method and steps for the cost control of R&D project, and completely describes the target of R&D project cost control and analyzes the input factors of the cost. Basing on the cost of entire life cycle of the project, the article designs the cost quota with the views of the entire life cycle, and puts forward the optimum implement program basing on the cost of the life cycle of R&D projects quota design. Also on basis of the optimization of process and cost, along with the life cycle, this article proposes the performance evaluation ideas, which combined the static and dynamic evaluation together. According to the performance evaluation characteristics of R&D project, a comprehensive indicators system of R&D project performance evaluation is established.
In this system, economic, financial and non-financial indicators are selected and normalized; the static model for the R&D project performance evaluation is established basing on the basic principles of fuzzy integral.
By using data envelopment analysis (DEA) method, the dynamic model for R&D project performance evaluation is build, which clearly recognizes the performance of R&D projects at various stages of the life cycle by a comprehensive evaluation, and then the dynamic project management is realized. Finally, basing on the R&D projects of Harbin Power Equipment Co., Ltd, the method putted forward in this article is applied and the solutions to improve the R&D project management are proposed.
引文
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82赵涛,潘欣鹏.项目时间管理.北京中国纺织出版社. 2005:87~93
83 Kanasan, Pinar, Yaman. The Robust Shortest Path Problem with Interval Data. Optimization Online. 2001, (3):103~122
84 J.Chataway, J. Tait, D. Wield, Understanding Company R&D strategies in Agro-Biotechnology:Trajectories and Blind Spots, Res. Policy 2004, (33):1041~1057
85 Amir R, Evstigneev I, Wooders J. Noncooperative Versus Cooperative R&D with Endogenous Spillover Rates. Games and Economic Behavior. 2003, 42(1): 183~207
86刘津明.工程项目进度计划优化方法的研究.天津大学学报.2003, 36(5): 31~32
87 Magdalena Rogalska, Wojciech Bo?ejko, Zdzis?aw Hejducki. Time/cost Optimization Using Hybrid Evolutionary Algorithm in Construction Project Scheduling. Automation in Construction. 2008, (18):24~31
88 Coskun. Optimal Probabilistic Compression of PERT Networks. Journal of Construction Engineering and Management. 1984, 110(4):437~446
89李文华,谭燕秋.不确定网络直接优化规划模型建立.系统工程理论与实践. 2000, (12):97~101
90 Ghaleb Y. Abbasi. & Adnan M. Mukattash. Crashing PERT Networks using Mathematical Programming. International Journal of Project Management. 2001, 19(3):181~188
91 Amir R. Modeling Imperfectly Appropriable R&D Via Spillovers. International Journal of Industrial Organization. 2000, 18(7):1013~1032
92 Bjorn. M, Werner, William. E, Souder. Measuring R&D Performance-State of the art. Research Technology Management. 2001, 44(5):30~36
93 Mark G. Brown, Raynold A. Avension. Measuring R&D Productivity. Research Technology Management. 1988, (6):30~35
94 James E. Diekmann. Cost-plus contractor selection: An analytical method. Engineering Costs and Production Economics. 1983, 7(2):147~158
95 T.Alhazmd, R. McCaffer. Procurement System Selection Model. Journal of Construction. Engineering and Management. 2006, 26(3):176~184
96 Samiran Banerjee, Ping Lin. Downstream R&D, Raising Rivals cost and Input Price Contracts. International Journal of Industrial Organization. 2003, (6): 225~247
97 R.Balachandra. Factors for Success in R&D Projects and New Product Innovation: A Contextual Framework. IEEE Transaction on Engineering Management. 1997, 44(3):276~286
98 Lukonen and Gronow, T Scientific and Research Evaluation: a Review of Methods and Various Contexts of Their Application. R&D Management. 1987,17(3):207~211
99 Brown, K., Schmied, H. & Tarondeau, J.C. Success Factors in R&D: A Meta-Analysis of the Empirical literature and Derived Implications for Design Management. Design Management Journal. 2002, (2):72~87
100 Kathy A. Paulson Gjerde, Susan A. Slotnick, Matthew J. Sobel. New Product Innovation With Multiple Features and Technology Constraints. Management Science. 2002, 48(10):1268~1284
101 Fahrni. An Application-oriented Guide to R&D Project Selection and Evaluation Methods. R&D Management. 1990, 20(2):155~170
102 Cassiman, B., Veugelers, R. R&D Cooperation and Spillovers:Some Empirical Evidence from Belgium. American Economic Review. 2002, 92 (4):1169~1184
103 Robert Szakonyi. Measuring R&D Effectiveness. RTM. 1994, (8):27~32
104 Whelan. J. Project Profile Reports Measure R&D Effectiveness. Research Management. 2003, 14(5):188~203
105闫红,朱启超,匡兴华.我国R&D绩效评估研究现状述评.科技管理研究. 2004, (1):109~112
106张晓燕,胡玉明.基于企业生命周期的绩效评价制度研究.经济问题探索. 2005, (7):66~69
107曾德明,陈立勇.利益相关者致力于企业绩效关系研究综述.经济学动态. 2003, (3) :86~88
108谢禹,王雅林,林洪进.基于模糊积分的企业信用评级方法研究.中国软科学. 2004, (9):146~150
109纪爱兵,庞佳宏,李树环.基于Choquet模糊积分的非线性组合预测及其应用.模糊系统与数学. 2006, 20(3):145~149
110 Tsai Huihua, Lu Iuanyuan. The Evaluation of Service Quality Using Generalized Choquet Integral. Information Sciences. 2006, 176(6):640~663
111毕克新,孙金花,张铁柱.基于模糊积分的区域中小企业技术创新测度与评价.系统工程理论与实践. 2005, 25(2):40~46
112刘井建,陈伟.基于数据包络分析的高新技术企业R&D绩效综合评价研究.科技进步与对策. 2008, (7):148~151
113 Lucy O’Shea, Alistaie Ulph. The Role of Pest Resistance in Biotechnology R&D Investment Strategy. Journal of Environmental Economics and Management. 2008, (55):213~228
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77 Thomas Finne. R&D Collaboration: The Process, Risks and Checkpoints. Information Systems Control Journal. 2003, (2):88~104
78 Martin Powell. The Application of a Risk Management Approach Inpharmaceutical R&D Organizations. Working paper of Cambrideg Management & Research. www. Cambridge-mr.co.uk.
79李平,顾新. R&D项目进度费用风险优化的研究.管理工程学报. 2006, 20 (2):14~18
80 West,J.& Iansiti,M. Experience, Experimentation, and the Accumulation of Knowledge:the Evolution of R&D in the Semiconductor Industry. Research Policy. 2003, (32):809~825
81 Drongelen, I.C.& Bilderbeek, J.R&D Performance Measurement: More than Choosing a Set of Metrics. R&D Management. 1999, 29(1):35~46
82赵涛,潘欣鹏.项目时间管理.北京中国纺织出版社. 2005:87~93
83 Kanasan, Pinar, Yaman. The Robust Shortest Path Problem with Interval Data. Optimization Online. 2001, (3):103~122
84 J.Chataway, J. Tait, D. Wield, Understanding Company R&D strategies in Agro-Biotechnology:Trajectories and Blind Spots, Res. Policy 2004, (33):1041~1057
85 Amir R, Evstigneev I, Wooders J. Noncooperative Versus Cooperative R&D with Endogenous Spillover Rates. Games and Economic Behavior. 2003, 42(1): 183~207
86刘津明.工程项目进度计划优化方法的研究.天津大学学报.2003, 36(5): 31~32
87 Magdalena Rogalska, Wojciech Bo?ejko, Zdzis?aw Hejducki. Time/cost Optimization Using Hybrid Evolutionary Algorithm in Construction Project Scheduling. Automation in Construction. 2008, (18):24~31
88 Coskun. Optimal Probabilistic Compression of PERT Networks. Journal of Construction Engineering and Management. 1984, 110(4):437~446
89李文华,谭燕秋.不确定网络直接优化规划模型建立.系统工程理论与实践. 2000, (12):97~101
90 Ghaleb Y. Abbasi. & Adnan M. Mukattash. Crashing PERT Networks using Mathematical Programming. International Journal of Project Management. 2001, 19(3):181~188
91 Amir R. Modeling Imperfectly Appropriable R&D Via Spillovers. International Journal of Industrial Organization. 2000, 18(7):1013~1032
92 Bjorn. M, Werner, William. E, Souder. Measuring R&D Performance-State of the art. Research Technology Management. 2001, 44(5):30~36
93 Mark G. Brown, Raynold A. Avension. Measuring R&D Productivity. Research Technology Management. 1988, (6):30~35
94 James E. Diekmann. Cost-plus contractor selection: An analytical method. Engineering Costs and Production Economics. 1983, 7(2):147~158
95 T.Alhazmd, R. McCaffer. Procurement System Selection Model. Journal of Construction. Engineering and Management. 2006, 26(3):176~184
96 Samiran Banerjee, Ping Lin. Downstream R&D, Raising Rivals cost and Input Price Contracts. International Journal of Industrial Organization. 2003, (6): 225~247
97 R.Balachandra. Factors for Success in R&D Projects and New Product Innovation: A Contextual Framework. IEEE Transaction on Engineering Management. 1997, 44(3):276~286
98 Lukonen and Gronow, T Scientific and Research Evaluation: a Review of Methods and Various Contexts of Their Application. R&D Management. 1987,17(3):207~211
99 Brown, K., Schmied, H. & Tarondeau, J.C. Success Factors in R&D: A Meta-Analysis of the Empirical literature and Derived Implications for Design Management. Design Management Journal. 2002, (2):72~87
100 Kathy A. Paulson Gjerde, Susan A. Slotnick, Matthew J. Sobel. New Product Innovation With Multiple Features and Technology Constraints. Management Science. 2002, 48(10):1268~1284
101 Fahrni. An Application-oriented Guide to R&D Project Selection and Evaluation Methods. R&D Management. 1990, 20(2):155~170
102 Cassiman, B., Veugelers, R. R&D Cooperation and Spillovers:Some Empirical Evidence from Belgium. American Economic Review. 2002, 92 (4):1169~1184
103 Robert Szakonyi. Measuring R&D Effectiveness. RTM. 1994, (8):27~32
104 Whelan. J. Project Profile Reports Measure R&D Effectiveness. Research Management. 2003, 14(5):188~203
105闫红,朱启超,匡兴华.我国R&D绩效评估研究现状述评.科技管理研究. 2004, (1):109~112
106张晓燕,胡玉明.基于企业生命周期的绩效评价制度研究.经济问题探索. 2005, (7):66~69
107曾德明,陈立勇.利益相关者致力于企业绩效关系研究综述.经济学动态. 2003, (3) :86~88
108谢禹,王雅林,林洪进.基于模糊积分的企业信用评级方法研究.中国软科学. 2004, (9):146~150
109纪爱兵,庞佳宏,李树环.基于Choquet模糊积分的非线性组合预测及其应用.模糊系统与数学. 2006, 20(3):145~149
110 Tsai Huihua, Lu Iuanyuan. The Evaluation of Service Quality Using Generalized Choquet Integral. Information Sciences. 2006, 176(6):640~663
111毕克新,孙金花,张铁柱.基于模糊积分的区域中小企业技术创新测度与评价.系统工程理论与实践. 2005, 25(2):40~46
112刘井建,陈伟.基于数据包络分析的高新技术企业R&D绩效综合评价研究.科技进步与对策. 2008, (7):148~151
113 Lucy O’Shea, Alistaie Ulph. The Role of Pest Resistance in Biotechnology R&D Investment Strategy. Journal of Environmental Economics and Management. 2008, (55):213~228