【作者】 赵枫；

【导师】 姜继忱；

【作者基本信息】 东北财经大学 ， 技术经济及管理， 2010， 博士

【副题名】基于中国服务外包基地的评价

【摘要】 随着全球信息技术浪潮的迅猛发展,许多跨国公司为了降低成本将非核心业务流程进行服务外包,而发展中国家以低成本优势及不断优化的投资环境成为了服务外包的承接地。在以信息技术为支撑的产业转移过程中,规模经济效应和专业化效应促使全球软件和信息服务产业高速成长,越来越多的国家和地区正在努力提升自身的软件与信息服务产业能力,以期处于服务外包产业链中的更有利位置。面对这一历史机遇,中国从国家战略的层面,全面规划软件与信息服务业的布局,以承接服务外包为助推器,调整产业结构,提升低碳经济在GDP中比重,促进地区经济的高速可持续发展。自2000年开始,我国已陆续确立了11个国家级软件产业基地,6个国家级软件出口基地,14个中国服务外包基地,4个中国服务外包示范基地,20个中国服务外包示范城市。经过近10年的发展历程,目前急需建立一个科学全面的评价指标体系,对各基地进行综合评价,促进我国软件和信息服务业的进一步发展,全面提升其国际竞争力。在此背景下,本文依据波特的竞争力“钻石”模型理论和相关的区域竞争力理论以及软件和信息服务业的产业特征,在寻找共性、量表设计、样本选取、数据采集和因子提取的基础上建立我国软件和信息服务产业竞争力评价指标体系,并采用层次分析法确定各指标权重,应用模糊多因素、多层次综合评价方法对我国具有代表性的14个基地城市进行了综合评价和排序,并应用聚类分析法对各基地城市进行定位,并提出对策建议。这一研究对科学地判断我国各基地城市在产业竞争力方面的差距,正确把握形成差距的因素和原因,指导软件和信息服务外包承接地优化资源配置,为国际跨国公司在选择服务外包承接地时提供参考和依据,同时可以为国家宏观指导各基地城市软件和信息服务业发展提供决策支持依据。本文研究的主要工作如下：1.基于产业集聚特征对软件和信息服务业竞争力评价指标体系建立的内在机理进行理论研究和分析。这一部分的研究首先是从软件和信息服务业相关概念的界定入手,并从北美产业分类体系、经济合作与发展组织、世界银行、美国商务部经济分析局、中国统计局、中国工信部等角度对信息技术产业、服务外包、ITO、BPO和软件与信息服务业等概念进行界定。其次,总结归纳了软件和信息服务业的产业特征,指出软件和信息服务业具有知识资源技术特征、数字化产品特征、垄断的市场特征、产业集聚的经济效应特征和产业集聚的创新效应特征,说明软件和信息服务业对经济增长贡献主要不是靠投资和劳动的增加而是靠技术和知识的投入,在软件和信息服务业中技术、知识、创新、从业人员水平、生活环境、工作环境等非常重要。第三,对全球软件和信息服务市场进行对比分析,并着重从全球服务外包转移方市场、承接方市场来研究,说明在评价软件和信息服务业时其产业规模、出口能力、国际跨国公司进园数量、企业运营成本等也至关重要。最后,在对比分析了中国14个城市软件和信息服务业的产业规模能力、出口能力、从业人员结构和企业状况的基础上,提出了本文研究的主题：软件和信息服务业竞争力评价指标体系研究问题,并对这一问题的国内外相关研究进行综述和评论,确立了本文主题的研究框架、思路和方法。2.基于波特的竞争力“钻石”模型理论和因子分析方法建立中国软件和信息服务业竞争力评价指标体系。这一部分的研究是以波特的竞争力“钻石”模型理论为研究起点,以我国软件和信息服务业竞争力的影响因素为研究主线,对竞争力指标评价问题进行研究。首先,初步预选了54个指标作为理论预选,并将其制成问卷进行评价指标的专家筛选。然后,以回收的有效问卷为基础,使用因子分析法对评价指标进行因子提取和解释能力分析。以特征值大于1的标准截取数据,确定提取5个因子,并命名为产业规模竞争力、技术创新能力、人力资源竞争力、企业运营成本和环境支撑力5个一级指标,通过研究发现,这5个因子可以解释变量总方差的百分之八十以上,说明本文建立的评价指标体系比较全面的评价了我国软件和信息服务业的竞争力。最后,根据上述原理,创建了一个含有5个一级指标,17个二级指标,48个三级指标的软件和信息服务业竞争力评价指标体系,并进行详细说明和分析。这一部分是后面从数量上研究软件和信息服务业竞争力指标权重的理论基础。3.采用层次分析法研究软件和信息服务业竞争力评价指标权重的确定问题。这一部分的研究是从选择层次分析法作为本文评价指标权重的确定方法开始的,并对层次分析法的评价方法进行概述,然后采用层次分析法分别构造产业规模竞争力、技术创新能力、人力资源竞争力、企业运营成本、环境支撑力等各级评价指标的相对重要性判断矩阵模型,确定各指标权重,并对各指标权重的有效性和各指标的组合一致性进行验证。最后,得出软件和信息服务业竞争力评价各级指标的权重。这一部分是后面从数量上研究软件和信息服务业竞争力综合评价的基础。4.基于本文已建立的评价体系和指标权重,采用模糊多因素、多层次综合评判方法和聚类分析法研究软件和信息服务业竞争力评价、排序、定位问题。在前面研究的基础上,利用已建立的评价体系和确定的指标权重,选择模糊多因素、多层次综合评判方法作为竞争力综合评价的研究方法,确定中国14个服务外包基地城市为评价对象,利用2007年数据,对中国14个服务外包基地城市软件和信息服务业竞争力进行综合评价,并分别从产业规模竞争力、技术创新能力、人力资源竞争力、企业运营成本、环境支撑力等5个方面进行优劣势评价、排名和分析。最后,为了在我国14个城市中找出该产业发展具有共同特点的一些城市,利用系统聚类分析法对我国14个城市的软件和信息服务业竞争力进行聚类分析,将我国14个服务外包基地城市分成几类,找出每一类共同的特点,以利于更好的研究各地区软件和信息服务产业的发展定位,从而制定相应的对策和政策,促进全国软件和信息服务业持续健康发展。这一研究对我国软件和信息服务业产业政策的制定、投资的决策以及产业的管理都具有重要的理论和实践指导意义。5.在前面各部分研究分析的基础上,得出本文总的结论和建议。一是本文创建了一个包含5个一级指标、17个二级指标、48个三级指标的我国软件和信息服务业竞争力评价指标体系,本指标体系比较全面的评价了我国软件和信息服务业的竞争力；二是利用本文建立的评价指标体系进行评价,确立了北京、深圳、上海属于我国软件和信息服务产业发展的第一层次,南京、成都、大连、杭州、广州属于我国软件和信息服务产业发展的第二层次,济南、天津、西安、武汉、长沙和合肥属于我国软件和信息服务产业发展的第三层次；三是利用本文建立的评价指标体系,发现了北京、上海、深圳主要适合于软件和信息服务业高端产品的开发；大连、成都、西安、武汉、合肥、长沙和济南主要适合服务外包业务,属于软件和信息服务业低端产品的开发；杭州、南京、广州和天津适合于软件和信息服务业中端产品的开发。发现北京、杭州、广州、南京主要针对于内需市场；深圳、上海、大连、天津主要针对于外需市场,会更有利于全国软件和信息服务业整体发展。最后,根据本文研究结果,建议建立以北京为中心的京津塘软件服务外包产业集聚；以上海为中心,以南京、杭州为两翼的长江三角洲软件服务外包产业集聚；以深圳为中心,沿珠江沿岸广州、珠海等的珠江三角洲地区软件服务外包产业集群；以大连为对外窗口的东北地区软件服务外包产业集群,打造中国软件和服务外包的领军城市；建立以武汉、成都、西安为中心的中西部服务外包交付中心。本文的研究为全面规划我国软件和信息服务业长期发展的产业布局,整体提升我国软件和信息服务业国际竞争力,为我国政府制定科技政策提供了新的视角。本文的创新之处主要体现在：1.本文创建了一个包含5个一级指标、17个二级指标、48个三级指标的我国软件和信息服务业竞争力评价指标体系。这一系统比较符合我国发展软件和信息服务业的宗旨,比较全面的评价了我国软件和信息服务业的竞争力。2.科学地确定了我国软件和信息服务业竞争力评价指标体系中各要素的权重,通过引入比例标度用数指标所构成的矩阵,用来确定各评价指标相对重要性权重稀疏的基础,它直接关系到各项指标权重的相对客观性,从而避免指标权重的主观性,更加强调合理性。3.对我国14个服务外包基地城市进行评价排名、聚类和定位,研究各服务外包基地城市软件和信息服务业竞争力的优势和劣势,找出每一类基地城市软件和信息服务业的产业发展共同特征,对我国软件和信息服务业进行合理的国家统一产业布局提出了建议。更多还原

【Abstract】 With the rapidly developing of the information technology in global, many multinational corporations focus on outsourcing services of non-core business in order to reduce the cost. Meanwhile, the developing countries becoming the outsourcing undertaking region during to the advantages of the low-cost and the investment environment optimized. In the process of the industry-transfer base on the information technology, the software and information services industry come on rapidly during to the economies of scale and specialization effects, etc. So, more and more countries and regions are trying to raise their own position in the international software outsourcing industry chain by raising their industry capacity of the software and information services industry. Under this historical situation, we comprehensive planning the industry distribution of the software and information services in China from the national strategic level, in order to adjust the industrial structure, improving the proportion of low-carbon economy in the GDP, and promote the rapid economic sustainable development, basing on the boosters of the undertake service outsourcing. Since 2000, We has gradually established 11 national software industrial base,6 national software export industrial base,14 service outsourcing base cities,4 service outsourcing demonstration base,20 service outsourcing model city in China. After nearly 10 years of development, it is urgently needed to establish a scientific and comprehensive evaluation index system in order to comprehensive evaluate the bases and promote the development of the software and information industries in China, To enhance comprehensive its international competitiveness.Under this background, the paper according to Porter "Diamond Model" theory and the theory related to regional competitiveness, and the characteristics of software and information services industry, we established software and information service industry competitiveness evaluation index system on the basis of the search for common, scale design, sample selection, data collection and factor extraction. And using the AHP to determine the index weight, the fuzzy multi-factor, multi-level synthesis evaluation method to evaluate and sort comprehensively 14 base city representative. Apply the cluster analysis method to locate the base city, and put forward some suggestions. This research scientific judge the gap between the competitiveness of these bases, correctly grasp the factors and causes of the formation of gaps. Guide Software and Information Service Outsourcing Undertake to optimize the allocation of resources. Provide reference and basis for the multinational companies to choice the International Service Outsourcing Undertake. While provides decision support basis and macro guidance to the development of software and information services industry of the base city from the country corner.The main work of this paper is as follows:1. Based on the characteristics of industrial clustering research and analysis the inherence principle of the software and information services competitiveness evaluation index systemThis part research starts from the definition of the concept of software and information services related. From the north-America industry classify system, OECD, World Bank, The US business affairs economy Bureau, National Bureau of Statistics of China, the Information Industry Bureau, define the concepts of the Information technology Industry, services outsourcing, ITO,BPO, the software and information services industry and so on. Second, Summed up the characteristics of the software and information services industry. Point out that software and information services industrial have the technical characteristics of knowledge resources, digital product characteristics, characteristics of monopoly market, the economic effects of industrial clustering features and the innovation characteristics of industrial clustering effect. Mean that software and information services industrial contribute to economic growth is not primarily driven by investment and labor, but by increasing investment in technology and knowledge. In the software and information services industrial technology, knowledge, innovation, employees, living environment, work environment is very important. Third, Comparative analysis the software and information services market in global, and focus on the service outsourcing transfer market and the service outsourcing undertaker market. Mean that in the evaluation of the software and information services, scale of the industry, its export capacity, the number of multinational companies into the park, businesses and other operating costs is also crucial. Finally, based on the comparative analysis of 14 cities of the software and information services industry in scale capacity, export capacity, employment structure and business conditions in China, Proposed the subject of this paper:software and information services competitiveness evaluation index system problems. And the issue of domestic and overseas was reviewed and comments, the framework, ideas and methods of this paper were established. This part serves as a base for the following.2. Based on Porter’s Competitiveness "diamond" model theory and factor analysis method, establish software and information services in China competitiveness evaluation index system.This part of the study is based on Porter "diamond" model theory about the international competitiveness, and the impact factors of the software and information services industrial competitiveness in China as the main line, research the competitiveness evaluation index system. First, Preliminary pre-selects the 54 indicators as theory pre-selection evaluation index, And to make them an expert questionnaire. Then, base on the valid questionnaires, using factor analysis method for evaluation factor extraction and analysis of explanatory power. The standard of interception data is eigenvalue greater than 1, determine extraction 5 factors, And named for the competitiveness of industrial scale, technological innovation, competitiveness of human resources, corporate operating costs and competitiveness of environmental support 5 first-level index. Found through research, 5 factors that can explain the variables more than eighty per cent of the total variance. Mean that the evaluation index system established is a more comprehensive evaluation of software and information services competitiveness in China. Finally, according to this principle, create a software and information services industry competitiveness evaluation index system which include 5 first-level index,17 secondary index,48 three index, and a detailed description and analysis. This part is the theoretical basis of quantitative research of the software and information services competitive evaluation index weights.3. Make sure the weight of the competitiveness evaluation index of the software and information service industry by AHP.First, selects AHP (Analytic Hierarchy Process) to determine the weight of each evaluation index, and summarize the AHP. Then make up the every class index comparative essentiality judging matrix of the industrial scale capacity, the innovation ability, the professional resource level, the enterprises running cost, the environment supporting ability in order to ensure this index weight, and further verify the validity. Finally, count out the weight of the competitiveness evaluation index of the software and information service industry in China. This part is the back of quantitative research software and information services competitive basis for comprehensive evaluation. This part is also the theory foundation of the following research deal with the competitiveness evaluation index system in mathematics.4. Based on this evaluation system has been established and the index weight, research the competitiveness evaluation, ranking, positioning problems about the software and information service by fuzzy multi-factor, multi-level comprehensive evaluation method and cluster analysis.Based on the previous study, using established evaluation system and determined index weight, select the fuzzy multi-factor, multi-level synthesis evaluation method as the appraise method, identified 14 Chinese service outsourcing base cities as the evaluation object, Using 2007 data, appraise synthetically the competitiveness of the software and information services in 14 service outsourcing bases cities in China, and analyses the SWOT from the industrial scale capacity, the innovation ability, the professional resource level, the enterprises running cost, the environment supporting ability. Finally, makes a clustering analysis to the evaluation indexes of the 14 service outsourcing bases city in China, and analyzes the common points and the specialties in order to determine the positioning of the various service outsourcing base cities, make the corresponding policy and improve the persistence developing of the software and information services industry in china. The study has important theoretical and practical significance on the software and information services industry policy-making, investment decisions, and industrial management in China.5. Based on the Research and analysis in the previous section, draw general conclusions and suggestion of this article.First, create a software and information services industry competitiveness evaluation index system which include 5 first-level index,17 secondary index,48 three index. This index system evaluated more comprehensively the competitiveness of the software and information services industry in China. Second, using of evaluation index system established to evaluate, established in Beijing, Shenzhen, Shanghai is first level in software and information services industry development in China. Nanjing, Chengdu, Dalian, Hangzhou, Guangzhou is the second level. And Jinan, Tianjin, Xi’an, Wuhan, Changsha and Hefei are the third level. Third, using the evaluation index system established, Found that Beijing, Shanghai, Shenzhen, mainly for high-technology software and information service product development. Dalian, Chengdu, Xi’an, Wuhan, Hefei, Jinan, Changsha, mainly for service outsourcing business, belong to the low- technology software and information services product development. Hangzhou, Nanjing, Guangzhou and Tianjin, mainly for middle-technology software and information service product development. Found that Beijing, Hangzhou, Guangzhou, Nanjing, mainly for the domestic market; Shenzhen, Shanghai, Dalian, Tianjin, mainly for the Foreign markets. It will be more conducive to the national overall development of software and information services industry. Finally, suggest set up the Jing-Jin-Tang software and service outsourcing industrial cluster using Beijing as the center, Set up the Yangtze River Delta software and service outsourcing industrial cluster using Shanghai as the center, Nanjing and Hangzhou as wings, Set up the Pearl River Delta software and service outsourcing industrial cluster using Shenzhen as the center Along the Pearl River include Guangzhou Zhuhai and so on, Set up the northeast software and service outsourcing industrial cluster using Dalian as an outside the window, Build China’s software and service outsourcing Champion City. Set up the outsourcing delivery centers in the midwest using Wuhan,Chengdu,Xian as the center.This research provides a new perspective for the overall planning of long-term industry developing distribution of the software and information services industry, enhance overall the international competitiveness of the software and information services industry, the Government in formulating Science and Technology Policy.The innovation of this paper is mainly reflected in:1. Create a software and information services industry competitiveness evaluation index system which include 5 first-level index,17 secondary index,48 three index. This index system is more in line with the development purpose of software and information services industry, it evaluated more comprehensively the competitiveness of the software and information services industry in China.2. Scientifically determine the each factor weight of the software and information services competitiveness evaluation index system in China. By the ratio scale of a matrix composed with the number index, Used to determine the relative importance of each evaluation index weights. It is directly related to the relative objectivity of the weights, more emphasis on rationality, In order to avoid the subjectivity of weights.3. Evaluate the competitiveness ranking, clustering and positioning for 14 service outsourcing base cities in china, research the competitive advantages and disadvantages of the software and information services in service outsourcing base cities. Identify the common characteristics of the software and information service industry in each type of based urban, Plan unity reasonable industrial distribution of the software and information services industry in China.更多还原