【作者】 张培；

【导师】 曾珍香；

【作者基本信息】 河北工业大学 ， 管理科学与工程， 2008， 博士

【摘要】 随着现代信息技术(IT)的飞速发展和企业IT应用的不断深入,IT外包已成为一种重要的信息技术管理模式。本文关注IT外包决策过程的复杂动态性,从新的理论视角—复杂适应系统(Complex Adaptive System,CAS)理论,融合交易成本理论((Transaction cost theory, TCT)和资源基础理论(Resource-based theory, RBT),采用多种理论相互补充的研究途径,运用文献分析、实证调查、网络层次分析以及多主体计算机仿真等方法与工具,深入分析IT外包决策过程中的影响要素和关键维度,构建多阶段IT外包决策模型,重点研究了IT外包采纳决策、IT外包模式设计和IT外包实施方案,分析了IT外包实施过程的关键成功要素以及外包绩效的多主体评价,并基于Repast平台进行了IT外包决策仿真研究。全文共分四部分。第一部分,包括论文的第1章和第2章,主要分析了本文研究IT外包决策的基本问题、文献综述以及研究问题的提出等。首先,对论文的研究背景、研究问题及意义进行了阐述;其次,从IT外包起源和发展出发,描述了IT外包理论研究的现实背景,并归纳出IT外包的发展趋势;然后系统分析了IT外包文献研究现状,比较了国内外IT外包文献研究概况,对IT外包决策研究进行了综述;在深入分析IT外包理论内涵的基础上,明确界定了本文的研究对象—企业IT外包决策,剖析了IT外包决策特征。第二部分为论文的第3章,主要采用多种理论互补的研究途径,构建了IT外包决策过程模型。这部分共分为三条研究主线,一是结合现有研究分析了TCT、RBT视角下的外包决策框架,基于对IT资源的竞争优势限制分析进一步扩展了RBT的IT外包理论框架,分析了TCT和RBT外包理论的互补性,构建了融合RBT和TCT的IT外包决策分析框架;第二是从CAS理论视角分析了IT外包决策系统的复杂适应特征,应用“刺激-反应”模型对IT外包决策主体进行了刻画分析;第三是综合应用CAS、RBT和TCT理论视角,提出了IT外包决策过程模型。第三部分,包括论文的第4章、第5章和第6章,这是本文最核心的部分,主要研究了企业IT外包采纳决策、IT外包模式设计和IT外包实施方案,并分析了外包实施过程中关键成功要素。首先,融合TCT和RBT理论构建了IT外包采纳决策模型,以中国大陆地区企业为研究样本,通过结构性问卷调查和企业访谈相互结合的方法,实证分析了企业IT外包决策的关键影响因素,验证了企业IT外包采纳决策模型。实证结果表明,企业信息化发展阶段和行业IT关联程度是影响企业IT外包决策的两个关键维度。其次,研究IT外包模式设计,分析提出了多维度IT外包模式设计分析框架,构建了IT外包模式设计的ANP(Analytic Network Process,网络层次分析法)模型,应用超级决策SD(Super Decision)软件来进行具体的实例分析和模型应用;分析了IT外包范围决策与IT外包商选择之间相互作用关系,提出IT外包范围选择影响着IT外包商关系模式的选择和外包商的评估准则,并给出了IT外包商选择流程和具体的外包商评估准则。最后归纳了两类IT外包实施方案—替代型IT外包和放弃型IT外包,并阐明选择的理由;对IT外包决策实施过程中影响外包双方的共同因素,以及IT外包绩效评价进行了分析。第四部分,包括论文的第7章和第8章,主要内容是企业IT外包决策过程的仿真研究。系统阐述了复杂系统建模和仿真的理论与方法,提出了IT外包决策模拟与仿真的思路和步骤;基于Repast仿真平台进行了企业IT外包决策触发机制、企业IT外包商选择及其外包绩效评价的模拟研究,并对仿真结果进行了深入分析,仿真结果不仅进一步验证了本文前文提出的相关研究结论,同时也表明IT外包决策过程具有明显的路径依赖性,本文将其归纳为包括历史背景路径依赖和关系路径依赖。最后对全文总结和后续研究工作展望。通过上述研究本文主要的贡献包括:(1)从外包发展过程的视角,构建了多理论视角下的IT外包决策过程模型,为深入考察IT外包决策主体、决策环境以及两者之间的复杂相互作用关系提出了新的理论模型和分析框架,对IT外包决策理论具有一定的创新。(2)整合经济和战略理论视角,构建了IT外包采纳决策模型,以中国大陆企业为研究样本进行了实证分析,研究结果弥补了现有文献中缺少中国企业IT外包实证研究的不足。实证结果表明,信息化发展的迫切需求是影响中国企业IT外包采纳决策的关键因素之一,而这一影响因素在已有文献中并未引起学者们的关注,研究结果扩展了现有IT外包决策的理论分析框架。(3)提出了多维度IT外包模式设计分析框架,构建IT外包模式设计ANP模型,应用专业SD决策软件对ANP模型进行了实例分析,进一步验证了该模型的有效性和实用性。分析了IT外包范围决策与IT外包商选择之间相互作用关系,归纳出两种外包实施方案—替代型IT外包和放弃型IT外包,进一步扩展了IT外包的理论内涵。(4)应用多主体仿真平台模拟研究IT外包决策行为在研究方法具有一定的创新性。基于Repast多主体仿真平台对IT外包决策触发行为、外包商选择与评价的动态变化过程进行了模拟试验,仿真结果表明决策主体所处的行业类型和信息化发展阶段对IT外包采纳决策的触发行为具有显著影响,企业IT外包决策系统具有明显的历史路径依赖性和关系路径依赖。更多还原

【Abstract】 With the rapid development of information technology and pervasive adoption of IT in enterprises, IT outsourcing has become an importance IT management model. This dissertation focuses on complexity and dynamic in the IT outsourcing decision process based on a new theory lens: Complex Adaptive System (CAS), and integrating resource-based theory (RBT) and transaction cost theory (TCT) perspectives. It has explored the key factors and dimensions in IT outsourcing process, and construct multi-stage IT outsourcing decision model. By using multiple methods and tools, including literature meta-analysis, survey, ANP and multi-agent computer simulation, the dissertation addresses on IT outsourcing adoption decision model, IT outsourcing design, CSFs for IT outsourcing implementation stage etc., and then simulates IT outsourcing triggering mechanism and vendors selective and evaluate process using Repast toolkit. The main work includes 4 parts.The first part covers chapter 1 and 2. It mainly introduces the theoretical basis, reviews the literature and puts forward the research problem. Firstly, it studies the research background and urgent issues; secondly, it describes IT outsourcing development background and sums up its trend; then reviews IT outsourcing literature, compares IT outsourcing research between Chinese journal papers and English journal papers; at last, it defines research scope and object: IT outsourcing decision and analyses IT outsourcing decision characteristics.The second part covers chapter 3. It mainly constructs IT outsourcing decision process model by using multi-theories approach. There are three research roadmaps; one is to deduce IT outsourcing decision frameworks respectively from TCT and RBT perspectives, and to extend the RBT perspective by IT resource limit to competitive. Further, it presents the differences and complementation between TCT and RBT, and then develops an integrate model for IT outsourcing decision; the other is to analyze the complexity adaptive characteristics of IT outsourcing based on CAS, and to analyze IT outsourcing decision agent using“stimulate-feedback”model; and another one is to constructe IT outsourcing decision process model by using the three theories lens. This part is the basis of successive research in the dissertation.The third part covers chapter 4, 5 and 6. It’s the core part of the dissertation which studies IT outsourcing adoption, IT outsourcing design, and CSFs of IT Outsourcing implementation stage. Firstly, it samples Chinese firms to investigate the key influence factors by using structure questionnaire and firms’interview, to valid IT outsourcing adoption model, and then two dimensions of IT outsourcing decision are presented, informationization stage and sectors IT intensive. Secondly, it analyzes the multiple dimensions of IT outsourcing design, and constructs ANP model of IT outsourcing design, and then gives a case by using SD software. It analyzes the relationship between IT outsourcing scope decision and vendors selective, and gives the selective flow and multiple criteries for IT outsourcing vendors’decision. Thirdly, it deduces two types of IT outsourcing: substitution-based IT outsourcing and abstention-based IT outsourcing, and gives the influencing factors. In addition, it identifies CSFs for IT outsourcing implementation stage and analyzes multi-agent evaluation for IT outsourcing.The fourth part covers chapter 7 and 8. It focuses on the modeling and simulation of IT outsourcing decision. It discusses the theory and method for modeling and simulation of complex system and describes the idea and steps of modeling and simulation. Based on Repast toolkit, it simulates IT outsourcing adoption decision triggering mechanism and vendors selective and evaluation process. The simulation results not only verify the research conclusions in the former parts, but also show the path dependence of IT outsourcing decision, including history path dependence and relationship dependence. Finally, the chapter 8 concludes with implications for academics and practitioners, and a discussion of future research directions.The dissertation has made the contributions as following. (1) It develops an integrating process model for IT outsourcing decision from multi-theory lens, which gives a new theory perspective and framework. (2) It samples Chinese firms to analyze IT outsourcing adoption decision that incorporates economic determinants and strategic determinants. This study fills a gap in the literature because no previous work has used empirical research to survey factors influencing Chinese firms’adoption of IT outsourcing, and the result also shows Chinese firms’informationization stage is the special factor comparing with previous works. (3) It presents multiple framework of IT outsourcing decision design, and constructes an ANP model for it, and then analyzes relationship between IT outsourcing scope decision and vendors selection. Two types of IT outsourcing solutions are discussed, including substitution-based IT outsourcing and abstention-based IT outsourcing, which has extended IT outsourcing theory. (4) It provides a new research method of simulating IT outsourcing decision behavior, which simulates trigger mechanism of IT outsourcing adoption decision and vendors selection behavior based on Repast toolkit. The simulation results are discussed to analyze path dependency of IT outsourcing decision.更多还原