本文選題：IT外包 + 外包績效��； 參考：《對外經(jīng)濟貿(mào)易大學(xué)》2014年博士論文

【摘要】：隨著經(jīng)濟全球化與網(wǎng)絡(luò)化的深入發(fā)展，外包日益成為企業(yè)發(fā)展的重要戰(zhàn)略手段。外包作為一種有效的管理模式，具有整合、使用企業(yè)外部各種專業(yè)技術(shù)資源，能夠達到有效降低成本、大大提高效率、有效發(fā)揮自身核心競爭力并明顯提升企業(yè)對外部環(huán)境的迅速應(yīng)變能力的特性。早期的外包動因是利用專業(yè)化分工和規(guī)模化經(jīng)濟優(yōu)勢達成企業(yè)運營效率提高和成本下降的目標，隨著外包的深入發(fā)展和廣泛應(yīng)用，外包已不僅是企業(yè)降低成本的簡單工具。20世紀90年代，美國管理學(xué)家Prahalad和Hamel在《企業(yè)的核心競爭力》中首次提出了核心競爭力理論，外包自此也日益成為企業(yè)保持其核心競爭力的有效手段。數(shù)據(jù)顯示，當(dāng)今企業(yè)的外包趨勢非常明顯，超過70%的企業(yè)都選擇將部分業(yè)務(wù)進行外包，但是外包績效的整體滿意度卻達不到50%。大多數(shù)企業(yè)選擇外包的目的是降低成本和提升核心競爭力，但是超過半數(shù)的企業(yè)對外包的實施結(jié)果表示失望，這種現(xiàn)象值得深思，也督促我們進一步研究如何優(yōu)化外包的管理和實施，從而提高外包績效、提升滿意度。 對于我國商業(yè)銀行而言，金融業(yè)的全面開放為其創(chuàng)新和發(fā)展帶來了契機，與此同時也帶來了挑戰(zhàn)。我國絕大多數(shù)商業(yè)銀行，特別是中小型商業(yè)銀行如城市商業(yè)銀行和農(nóng)村商業(yè)銀行等，由于在經(jīng)營經(jīng)驗、信息技術(shù)和人才等方面有所欠缺，利用外包的方式可以有效的解決上述問題。銀行業(yè)最早出現(xiàn)外包是在20世紀70年代，到20世紀90年代以后外包在銀行業(yè)的應(yīng)用發(fā)展逐步加快，隨著信息技術(shù)升級等因素的推動，目前銀行業(yè)對外包的整體規(guī)模已相當(dāng)可觀，并且涵蓋領(lǐng)域也已覆蓋整個IT范疇。商業(yè)銀行的IT外包已經(jīng)越來越成為商業(yè)銀行獲取外部資源，提高自身運行效率和對新技術(shù)的應(yīng)變能力、降低運營成本的有效解決方式，但是在IT外包過程中，由于各種不確定性因素的出現(xiàn)和可能遭遇的各種風(fēng)險，不是所有的商業(yè)銀行都能夠達到預(yù)期的外包目標，因此，如何有效提升IT外包的績效成為商業(yè)銀行在進行IT外包選擇時面臨的一個重要問題。 針對上述問題，本研究在眾多學(xué)者研究基礎(chǔ)上，以國內(nèi)大中小各種類型的商業(yè)銀行為樣本，研究了商業(yè)銀行在實施IT外包過程中影響外包績效的重要因素，進而分析了不同因素對IT外包績效的作用機制和影響效應(yīng)。本研究主要通過如下步驟展開研究： （1）文獻綜述與理論溯源。本研究梳理了外包研究的相關(guān)進展與成果，回顧了交易成本理論、資源基礎(chǔ)理論、勞動分工理論、核心競爭力理論、代理理論和控制理論等外包相關(guān)聯(lián)理論，通過這些基礎(chǔ)性工作為本研究奠定了理論基礎(chǔ)，為系統(tǒng)研究外包績效的提升拓展了思路。 （2）在深入展開分析的基礎(chǔ)上構(gòu)建了研究模型�；谏鲜隼碚撗芯�，初步探究了影響IT外包績效的關(guān)鍵因素，然后本文分別從IT外包模式、IT外包管控和IT外包關(guān)系三個切入點展開分析，形成了IT外包績效影響因素的概念模型。通過進一步分析各個影響因素的作用機制，形成了本研究的整體模型和研究假設(shè)。 （3）實證檢驗。本研究的實證研究分為三個階段，第一階段為整理、研究、編制各變量測量量表，設(shè)計有效問卷并通過試測進行優(yōu)化；第二階段在全國范圍內(nèi)的商業(yè)銀行進行大規(guī)模調(diào)研，獲得157份有效樣本數(shù)據(jù)，在此基礎(chǔ)上完成了所獲取數(shù)據(jù)的信度分析與效度分析，并進行了相應(yīng)的數(shù)據(jù)優(yōu)化；第三階段根據(jù)設(shè)計的整體模型，進行了驗證性因子分析和研究假設(shè)的檢驗，驗證了IT外包績效各個影響因素及作用機制的結(jié)論。本研究使用SPSS20.0和AMOS20.0作為工具進行分析，在數(shù)據(jù)分析驗證過程中使用的主要方法包括：描述性統(tǒng)計分析、多元線性回歸分析、探索性因子分析、驗證性因子分析和結(jié)構(gòu)方程模型分析等。 通過上述研究過程，本文得出了如下主要觀點和結(jié)論： （1）根據(jù)現(xiàn)有的理論研究成果及商業(yè)銀行的IT外包操作實踐，總結(jié)提出了交易契約型外包和戰(zhàn)略伙伴型外包兩種模式，在研究闡述了兩種外包模式的驅(qū)動因素、業(yè)務(wù)特點和執(zhí)行優(yōu)劣勢的基礎(chǔ)上，，分別闡述了對外包后續(xù)實施的影響。通過分析，交易契約型外包模式會對IT外包的管控和外包關(guān)系產(chǎn)生影響，但影響深度處于組織間的層面上；戰(zhàn)略合作型外包模式將從組織內(nèi)和組織間兩個層面上對IT外包的管控和外包關(guān)系產(chǎn)生影響。 （2）基于IT治理理論構(gòu)建了商業(yè)銀行IT外包管控框架。本研究從戰(zhàn)略融合、價值交付、資源管理、風(fēng)險管理和績效測評五個維度分析了商業(yè)銀行在實施IT外包過程中的活動內(nèi)容與組織層面的管理控制需求，針對IT外包的內(nèi)容，構(gòu)建了涵蓋IT外包業(yè)務(wù)的計劃組織、IT外包服務(wù)的獲取實施、IT外包成果的交付支持和IT外包活動的監(jiān)控評價共四方面內(nèi)容的商業(yè)銀行IT外包管控框架，并細化了每一方面的管控目標、具體的管控內(nèi)容與措施。 （3）探究了商業(yè)銀行IT外包模式、IT外包管控和IT外包關(guān)系的相互影響。上述三者作為IT外包績效的重要影響因素，同時在內(nèi)部也具有相互影響關(guān)系，具體為：交易契約型外包模式對IT外包管控的交付支持和監(jiān)控評價因子具有顯著正向影響，戰(zhàn)略伙伴型外包模式對IT外包管控的計劃組織和監(jiān)控評價因子具有顯著正向影響；戰(zhàn)略伙伴型外包模式對IT外包關(guān)系具有顯著正向影響；IT外包管控對IT外包關(guān)系具有顯著正向影響。 （4）進行了IT外包績效影響因素的模型構(gòu)建與實證分析�；诮M織控制理論和IT治理理論，本研究結(jié)合Jae-Nam Lee等（2008）、Arun Rai等（2009）和杜榮等（2012）構(gòu)建的IT外包績效影響因素模型，在進行提煉整理和銀行業(yè)適用性分析改進基礎(chǔ)上構(gòu)建出研究模型。實證研究表明，第一，IT外包模式與IT外包績效具有相關(guān)關(guān)系，且IT外包模式通過對IT外包管控和IT外包關(guān)系的影響，進而會影響到IT外包的績效；第二，IT外包管控和IT外包關(guān)系都會對IT外包績效產(chǎn)生正向的影響，但是IT外包關(guān)系產(chǎn)生的影響更大；第三，IT外包管控不僅對IT外包關(guān)系具有正向影響，而且通過與IT外包關(guān)系互相作用，最終共同對IT外包績效產(chǎn)生影響。這就要求：商業(yè)銀行采用交易契約型外包模式時，應(yīng)注重從交付支持和監(jiān)控評價兩個維度加強對IT外包的管控，從而促進IT外包經(jīng)濟績效的提升；商業(yè)銀行采用戰(zhàn)略伙伴型外包模式時，應(yīng)注重從計劃組織和監(jiān)控評價兩個維度加強對IT外包的管控，從而促進IT外包戰(zhàn)略績效有效提升。 本研究在現(xiàn)有研究成果的基礎(chǔ)之上，將研究對象鎖定于IT外包績效的影響因素，并通過商業(yè)銀行的調(diào)研數(shù)據(jù)進行實證檢驗分析，重點考察了外包模式、外包管控和外包關(guān)系對績效的影響。從組織管理和控制的角度出發(fā)，本研究對IT外包管控進行深入剖析，分析了不同外包模式下對IT外包管控的不同需求以及產(chǎn)生的影響效應(yīng)。同時，本研究將外包與組織控制理論相結(jié)合進行了深入探析，一方面對外包理論研究作出了重要補充，另一方面，也進一步擴展和豐富了組織控制理論的應(yīng)用。對于商業(yè)銀行IT管理和IT外包實施工作而言，本研究也具有重要的實踐指導(dǎo)價值，研究成果有助于協(xié)助商業(yè)銀行根據(jù)自身需求和定位，選擇合理的IT外包模式，通過對外包過程和外包關(guān)系實施有針對性的管理強化，從而最終獲得IT外包績效的有效提升。
[Abstract]:With the development of economic globalization and networking, outsourcing has increasingly become an important strategic means of enterprise development. Outsourcing as an effective management model, integration, the use of various professional and technical resources outside the enterprise, can achieve effective reduction in cost, greatly improve efficiency, effectively play its core competitiveness and obviously improve the enterprise The early outsourcing motivation is to use specialization and scale economic advantage to achieve the goal of improving enterprise operation efficiency and cost reduction. With the deep development and wide application of outsourcing, outsourcing is not only a simple tool for enterprises to reduce the cost of production in the 90s.20 century, management of the United States. Prahalad and Hamel put forward the theory of core competitiveness for the first time in the core competitiveness of enterprises. Outsourcing has increasingly become an effective means for enterprises to maintain their core competitiveness. Data show that the outsourcing trend of today's enterprises is very obvious, more than 70% of enterprises choose to outsource part of their business, but the overall outsourcing performance However, the satisfaction of most enterprises is less than 50%.'s choice of outsourcing is to reduce cost and improve the core competitiveness, but more than half of the enterprises are disappointed in the implementation of outsourcing. This phenomenon is worth thinking deeply, and also urges us to further study how to optimize the management and implementation of outsourcing, so as to improve the outsourcing performance and improve the satisfaction.
For the commercial banks in China, the overall opening of the financial industry has brought opportunities for its innovation and development, and at the same time brings challenges. The earliest outsourcing of the banking industry was in 1970s, and the application of outsourcing in the banking industry was accelerated after the year of 1970s. With the promotion of information technology upgrading, the overall scale of the banking industry has been considerable, and the coverage area has also been covered. Covering the whole IT category, the IT outsourcing of commercial banks has increasingly become an effective way for commercial banks to obtain external resources, improve their operational efficiency and the ability to strain the new technology and reduce the operating costs. However, in the IT outsourcing process, all kinds of uncertainties and possible risks are not all The commercial banks can achieve the desired outsourcing objectives. Therefore, how to effectively improve the performance of IT outsourcing has become an important issue for commercial banks in the choice of IT outsourcing.
In view of the above problems, on the basis of many scholars' research, this paper studies the important factors that affect the outsourcing performance of commercial banks during the implementation of IT outsourcing, and then analyzes the mechanism and effect effect of different factors on the performance of IT outsourcing. Step by step:
(1) literature review and theoretical origin. This study combs the related progress and achievements of outsourcing research, reviews the theory of transaction cost, the theory of resource base, the theory of labor division, the theory of core competence, the theory of surrogate theory and control theory, and lays a theoretical foundation for the research through these basic work. The promotion of outsourcing performance has expanded the way of thinking.
(2) the research model is built on the basis of in-depth analysis. Based on the above theoretical research, the key factors affecting the performance of IT outsourcing are preliminarily explored. Then, this paper analyzes the IT outsourcing model, IT outsourcing management and IT outsourcing relationship, and forms a conceptual model of the factors affecting the performance of IT outsourcing. Analyzing the mechanism of the various influencing factors, the whole model and research hypothesis of the study are formed.
(3) empirical test. The empirical study of this study is divided into three stages. The first stage is to collate, study, compile variable measurement scale, design effective questionnaire and optimize it through test and test. The second stage of commercial banks in the national scale, obtain 157 valid sample data, and then complete the obtained number. According to the reliability analysis and validity analysis, the corresponding data optimization is carried out. In the third stage, the confirmatory factor analysis and the research hypothesis test are carried out according to the overall model of the design. The results of the various factors and the mechanism of the IT outsourcing performance are verified. This study uses SPSS20.0 and AMOS20.0 as a tool to analyze the data. The main methods used in the process of analysis and verification include descriptive statistical analysis, multivariate linear regression analysis, exploratory factor analysis, confirmatory factor analysis and structural equation model analysis.
Through the above research process, the following main points and conclusions are drawn.
(1) according to the existing theoretical research results and the IT outsourcing operation practice of commercial banks, this paper sums up two modes of transaction contract outsourcing and strategic partnership outsourcing. On the basis of the driving factors, business characteristics and execution advantages and disadvantages of the two outsourcing models, the impact on the follow-up implementation of outsourcing is expounded. The transaction contract outsourcing model will affect the management control and outsourcing relationship of IT outsourcing, but the impact depth is in the inter organizational level. The strategic cooperative outsourcing model will affect the management and outsourcing relationship of IT outsourcing from two levels of organization and organization.
(2) based on the IT governance theory, the IT outsourcing management and control framework for commercial banks is constructed. This study analyzes the management control requirements of commercial banks' activities in the implementation of IT outsourcing process from the five dimensions of strategic integration, value delivery, resource management, risk management and performance evaluation. In view of the content of IT outsourcing, the construction covers IT. The planning organization of package business, the implementation of IT outsourcing service, the delivery support of the IT outsourcing results and the monitoring and evaluation of the IT outsourcing activities are four aspects of the IT outsourcing management framework for commercial banks, and detailed the control objectives and specific control contents and measures in each aspect.
(3) explore the IT outsourcing model of commercial banks, the interaction between IT outsourcing management and IT outsourcing. The above three are the important factors of the performance of IT outsourcing, and also have mutual influence in the internal. It is specific that the transaction contract outsourcing model has a significant positive impact on the cross payment support and monitoring and evaluation factors of the IT outsourcing management. The strategic partnership outsourcing model has a significant positive impact on the planning organization and monitoring and evaluation factors of IT outsourcing management, and the strategic partnership outsourcing model has a significant positive impact on the IT outsourcing relationship; IT outsourcing management has a significant positive impact on the IT outsourcing relationship.
(4) the model construction and empirical analysis of the factors affecting the performance of IT outsourcing are carried out. Based on the organizational control theory and the IT governance theory, this study combines the Jae-Nam Lee (2008), Arun Rai and so on (2009) and Du Rong (2012) to construct the influence factors model of the performance of the IT outsourcing performance, and builds the research on the refinement and improvement of the applicability analysis of the banking industry. Empirical research shows that, first, IT outsourcing model has a correlation with IT outsourcing performance, and IT outsourcing model affects the performance of IT outsourcing through the impact of IT outsourcing management and IT outsourcing, and second, both the IT outsourcing management and IT outsourcing relationship will have a positive impact on the performance of IT outsourcing, but the IT outsourcing relationship is produced. Third, IT outsourcing management not only has a positive impact on the IT outsourcing relationship, but also affects the performance of IT outsourcing through the interaction with IT outsourcing relationship. This requires that when commercial banks adopt the transaction contract outsourcing model, we should pay more attention to the two dimensions of the cross payment support and monitoring and evaluation to strengthen the IT outside. The management and control of the package promotes the improvement of the IT outsourcing economic performance. When the commercial banks adopt the strategic partnership outsourcing model, we should pay more attention to the management and control of the IT outsourcing from the two dimensions of the planned organization and monitoring and evaluation, thus promoting the effective improvement of the IT outsourcing strategy performance.
On the basis of the existing research results, this research focuses on the factors affecting the performance of IT outsourcing, and through the empirical analysis of commercial banks' research data, focuses on the outsourcing model, outsourcing management and outsourcing relationship to the performance. From the perspective of organizational management and control, this research is on the IT outsourcing management. In depth analysis, this paper analyzes the different needs and effects of IT outsourcing management under different outsourcing models. At the same time, this study combines outsourcing and organizational control theory to make an in-depth analysis. On the one hand, it makes important supplement to the study of outsourcing theory, on the other hand, it has further expanded and enriched the organizational control theory. For commercial bank IT management and IT outsourcing implementation work, this research also has important practical guidance value. The research results help commercial banks to select reasonable IT outsourcing model according to their own needs and positioning, through the implementation of targeted management enhancement through the outsourcing process and outsourcing. Effective promotion of IT outsourcing performance.

【學(xué)位授予單位】：對外經(jīng)濟貿(mào)易大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：F832.2

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