【作者】 涂静；

【导师】 张子刚； 马辉民；

【作者基本信息】 华中科技大学 ， 管理科学与工程， 2009， 博士

【摘要】 服务外包是将企业内部的服务职能转移给外部服务商，由后者对其进行管理和控制。服务外包的范围涵盖企业价值链上的多个业务活动，涉及到金融、医疗、电信和制造等各个行业。近年来，全球服务外包产业开始向中国转移，为中国带来巨大的产业机会。与服务外包的飞速发展相比，研究领域对这一商业现象的研究显得落后了。随着服务外包的对象逐渐向价值链高端转移，客户企业对外包的诉求已经不再满足于低成本驱动，开始期望通过外包集中核心竞争力，甚至实现业务转型等更高的价值。服务外包中客户与服务商的关系在这一背景下更为复杂，如何对服务外包关系进行治理是本文的研究目的。本文对服务外包关系的治理问题进行了有益的分析与研究，包括服务外包关系的治理结构和服务外包关系的契约治理实现。将不同特征的服务外包关系分配给不同的治理结构是治理结构设计的目的，这一部分的研究工作包括：利用案例研究分析了三个不同服务外包关系的案例，归纳了三类服务外包关系，分别为策略型关系、战略型关系和转型关系；从理论基础、客户外包的价值驱动和客户对服务商的能力需求这几方面，对三类的服务外包关系进行了描述；从交易的特征、风险的特征和转移知识的特征这几方面分析了三类服务外包关系的特征；引入契约治理和信任治理这两类治理机制，分析它们在外包关系治理中的作用；最后在以上分析的基础上建立了服务外包关系的治理结构，为不同类型的外包关系制定了相应的契约治理和信任治理方式。契约治理是服务外包关系最重要和最基础的治理机制，这一部分的研究工作如下。策略型关系中，分析了一级密封逆向拍卖对成本的揭示，设计了考虑监督因素下的市场契约，分析了在监督投入和支付之间的权衡问题。战略型关系中：首先考虑了隐性知识转移的问题，设计了隐性知识转移的激励契约，分析了在知识管理背景下最优契约的形式；接着考虑了契约的代理成本问题，在契约中引入了内部业务流程绩效变量，分析了作相对业绩比较的内部业务流程的选择依据，以及契约代理成本减少的有效性；最后考虑了合作的长期性问题，以两期外包契约设计为例，分析声誉效应和棘轮效应同时影响下的契约设计问题。转型关系中：考虑到契约无法完全的问题，设计了在正式契约存在下的不完全契约，分析了谈判能力和专用性投资对契约的影响；考虑到契约结果难以验证的问题，设计了在正式契约存在下的关系契约，分析了关系契约的自执行条件。更多还原

【Abstract】 Service outsourcing refers to handing over of service functions by firms to providers where the former does not have ownership, authority or direct control. Service outsourcing covers multiple business activities in financial, medical, telecommunications, manufacturing and other various industries. International service outsourcing industry has shift to China and brought about great opportunities for China’s industries.Compared with the rapid development of service outsourcing in recent years, the research about this important commercial phenomenon has fall behind. With the objects of Service outsourcing gradually shift to high-end of value chain, customers are no longer satisfied with low-cost driven. They begin to hope that outsourcing can help enterprise focus on core competitiveness and even achieve a higher value such as business transformation. The client-vendor relationship of service outsourcing in this context is more complex, how to governance Service outsourcing relationship is the purpose of this dissertation.The contents of this research include the establishment of service outsourcing governance structure and the design of contractual governance in service outsourcing relationship.Allocating different kinds of service outsourcing relationship to different governance structure according to different characteristics of service outsourcing relationship is the aim of the designing of governance structure. The research works of this part are as follows. Firstly, the dissertation identifies three types of Service outsourcing relationship by studying three different Service outsourcing relationship cases and divides service outsourcing relationships into tacitical relationship type, strategic relationship type and transformational relationship type. Then, describing these types of service outsourcing from the theoretical basis, the customer’s driven reasons and the customer’s desire of capacity requirements of the vendor. Then, the characteristics of service outsourcing relationship is described from the transaction characteristics, risk characteristics and the characteristics of transferred knowledge in outsourcing. Then, contractual governance mechanisms and trust governance mechanisms are introduced and their roles in outsourcing relationship governance are analzing. Finally, service outsourcing relationship governance structure is established based on the analysis before and assign the appropriate contract governance and trust governance to different types of service outsourcing relationship.Contractual governance is the the most important and most basic governance mechanisms in service outsourcing relationship. The research works of this part are as follows. In tacitical outsourcing relationship, explaining the role of first-price sealed-bid reverse auction in disclosing the vendor’s cost, designing the market contract by taking into account the factor of supervision and analysizing the trade-offs between paying to the vendor and inputs in monitoring. In Strategic outsourcing relationship, the dissertation takes into accout the following three situations: considering the issue of tacit knowledge transfer in outsourcing and designing incentive contracts and analzing the forms of optimal contract in the context of knowledge management; considering the issue of contract agency costs and introducing internal business process performance variables into the contract and analysizing the choice criteria of the internal business process that introduced into the contract to do the relative performance comparing as well as the effectiveness of reducing agency costs; considering the issue of long-term co-operation and design a two-period outsourcing contract as well as analysizing the influence of reputation effect and ratchet effect at the same time to the contract designing problem. In transformational relationship: considering the issue of the contract can not be completely and designing a incomplete contract as well as analyzing the influence of negotiation ability and asset specility to the contract; considering the issue of unverification of the contract’s results and designing relational contrat under in the presence of a formal contract and analyzing the self-enforcing condition of the contract.更多还原