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论文编号：	3918
作者编号：	1120080704
上传时间：	2011/12/6 18:14:23
中文题目：	基于收益分配的SaaS服务供应链协调契约研究
英文题目：	The Contracts of SaaS Service Supply Chain Based on Revenue Distribution
指导老师：	严建援
中文关键字：	软件即服务（SaaS）；服务供应链 ；收益分配 ；契约；协调
英文关键字：	Software as a Service(SaaS)；Service Supply Chain；Revenue Distribution；Contracts；Coordination
中文摘要：	在服务经济大潮的推动下，IT服务行业正经历着软件交付方式和服务模式的重大变革，“软件即服务（SaaS）”已经成为该行业炙手可热的话题。作为未来5-10年IT服务行业发展的主流模式，基于SaaS形成了新的IT 服务供应链。它与传统的制造供应链以及其他行业服务供应链相比，既具有服务本身的特征又具有IT行业的特性，且SaaS服务模式与传统的软件包模式相比也存在较多差异。这些特性导致广泛应用于传统制造供应链的经典契约，不能直接应用于SaaS服务供应链。结合SaaS的特性，对SaaS服务供应链进行深入研究是IT服务行业发展的必经之路。本论文以SaaS服务供应链为研究对象，探讨其收益分配及内部协调问题，旨在解决以下三个方面的问题：SaaS服务供应链的构成、结构与特性，以及哪些类型的契约适合解决SaaS服务供应链收益分配的协调？收益共享契约的协调作用如何，及其供应链协调的影响因素有哪些？信息不对称条件下，独立软件提供商ISV如何通过有效的收益分配机制激励SaaS运营商提高服务能力和服务水平？为了解决以上问题，本文开展的主要研究工作包括：首先，结合实际企业实践，通过案例资料的整理，归纳和总结了SaaS服务模式的特性；并对SaaS服务供应链的结构进行梳理和归类；研究了SaaS服务供应链的运作特征；基于其运行特性，明确了适用于SaaS服务供应链的契约类型，即收益共享契约、补偿契约和能力期权契约。其次，分别在不同情境下，就以上三种不同类型契约对SaaS服务供应链的收益分配协调作用和协调条件进行了分析。在信息对称条件下，构建收益共享契约，并考虑网络效应对网络需求自增长趋势的影响，以及客户的网络偏好指数对契约协调的作用。研究发现收益共享契约可以很好地解决SaaS服务供应链的收益分配协调问题，其协调效率的主要影响因素在于收益分成比例与双方可变成本的关系。在信息非对称条件下，将SaaS运营商的服务水平（努力程度）视为私有信息，构建补偿契约模型，通过补偿价格的转移支付，激励SaaS运营商提高服务水平；研究发现，采用线性补偿契约，供应链达到有效协调的条件不在市场均衡点，而是ISV市场的正反馈点。这与传统经济模型分析结论存在较大差异。当SaaS运营商的服务能力投入成本为私有信息时，构建了能力期权契约。研究发现服务能力无限制的情境下，ISV能够通过基于收益共享的能力期权契约、基于成本分担的能力期权契约以及收益与成本共担的能力期权契约，实现对SaaS运营商提高服务能力成本投入的激励；此外，在服务短缺或过剩的情境下，可以通过在能力期权契约中增加价格补偿机制的方式，实现有效的供应链协调和激励。最后本文就以上三种类型契约对SaaS服务供应链的协调作用，以及有效协调实现的条件进行了比较研究；并就不同契约中，ISV和SaaS运营商的最优决策进行了深入分析。研究发现，收益共享契约和能力期权契约在SaaS服务供应链的收益分配协调中具有较强的适用性；而补偿契约则具有较强的情境依赖性，其中非线性补偿契约及其混合契约具有较为复杂的条件依赖性。本论文研究问题充分迎合了行业发展需要，是理论研究的新领域，以及行业发展的前沿问题；提出了适合SaaS服务供应链有效协调的各种契约模型和激励机制。研究结论将有助于丰富服务供应链的理论体系，推动SaaS及IT服务行业理论研究及实践应用的发展。
英文摘要：	With the development of service economy, the delivery mode of IT services is undergoing great changes and Software as a Service(SaaS) has become a hot topic in this industry and will be the mainstream model of IT services in the next 5-10 years. Compared with traditional manufacturing supply chain and general service supply chain, the new IT service supply chain which based on SaaS has characteristics of both service and IT. In addition, SaaS is completely different from traditional software package model. Therefore the classic contracts, which be widely used in traditional manufacturing supply chain, can’t be directly applied in SaaS service supply chain. The necessary way of IT services developing is to study the SaaS service supply chain combining with characteristics of SaaS. This thesis focuses on the revenue distribution and coordination of SaaS service supply chain, tries to answer the following three questions: the composition, structure and properties of SaaS service supply chain and the contracts which can be used to coordinate revenue distribution of SaaS service supply chain; the coordinating role of revenue sharing contracts, the determining mechanism of revenue sharing ratio and factors that affect supply chain coordination; how do the ISV motivate SaaS operators to improve service capacity and level through effective revenue distribution mechanism under conditions of asymmetric information. In order to answer these questions, this thesis does some researches including: Firstly, this thesis summarizes the characteristics of SaaS service model based on business practice, analyzes the structure and operational features of SaaS service supply chain, and considering its characteristics defines the contracts for SaaS service supply chain: revenue sharing contract, compensation contract and capability option contract. Secondly, this thesis respectively analyzes the coordinating role of the three contracts in different situations. It was found out that taking the influence of network effect on demand and network preference of client into consideration, revenue sharing contract can be used to resolve the problem in revenue distribution and the main factors affected coordination efficiency is variable cost of ISV and SaaS operator. Under the conditions of information asymmetry, supposing the service level (effort extent) of SaaS operator was private information, we construct model of compensation contract, i.e., to motivate SaaS operator to improve service level through transfer payments of compensation price. We find out that when ISV get to “positive feedback”, compensation contract (linear) can coordinate satisfactorily the SaaS service supply chain. We can construct capability option contract when the service capability (cost) of SaaS operator was private information. And it was find out that, if without service delay, ISV can motivate SaaS operator to improve service capability through capability option contract based on revenue sharing, cost sharing or sharing both revenue and cost. In addition, under the conditions of service shortage or surplus, effective coordination and motivation of supply chain can be realized through adding compensation mechanism into capability option contract. Finally, this thesis conduct a comparative study on coordinating role of the three contracts for SaaS service supply chain and the conditions which can be realized, and makes a profound analysis on the optimal decision of ISV and SaaS operator for different contracts. Based on the conclusion, the revenue sharing contract and capability option contract have better applicability for the coordination of revenue distribution of SaaS service supply chain, and compensation contract usually depend on certain condition. The subject of this thesis fully caters to the needs of industry development, is frontier of theoretical study and industry development. This thesis put forward some contracts and motivating mechanism for effective coordination of SaaS service supply chain and the conclusion will enrich content of service supply chain theory system and promote the development of study and practice of SaaS and IT service industry.
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