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论文编号：	646
作者编号：	20022443
上传时间：	2008/6/20 10:01:45
中文题目：	IT治理能力模型及中国企业实证研
英文题目：	Study on IT governance capabil
指导老师：	李维安教授
中文关键字：	IT治理;IT治理能力;IT治理结构 ;
英文关键字：	IT governance;IT governance ca
中文摘要：	理论界普遍认为，IT治理概念的提出是在20世纪90年代末，但IT治理相关问题的研究却开始于20世纪50年代。由于这样一个巨大的时间差以及信息技术在企业中更加迅速、广泛的推广，IT治理的理论研究呈现出多学科、多理论、多视角、多术语的研究格局。从实践角度看，信息技术不再重要的争论引发了信息技术在企业中是否具有战略地位的大讨论。实务界在面临信息技术高投入、高风险、而其收益却无法确定的困境下，也纷纷提出各种解决方案。所有这些理论研究和实践都是在冠以“IT治理”的概念下提出的，这也为IT治理的理论研究制造了更多的障碍。理论界和实务界基于不同角度、不同目的提出了多种IT治理的框架、模型和标准，使得IT治理研究的范围更趋广泛。本研究从以上IT治理理论研究和实践的现状入手，在相关文献简要回顾的基础上对IT治理理论研究的阶段性发展进行了研究，提出IT治理问题研究阶段(20世纪50年代至20世纪90年代末)和IT治理概念研究阶段（20世纪90年代至今）的两阶段划分方法。这一划分为IT治理研究及其学科的界定奠定了基础。 本研究的总体思路是，在IT治理概念研究和IT治理理论逻辑推导的前提下，建立本研究的概念基础，在此基础上提出IT治理能力模型，并提出IT治理评价指标体系的设想。使用该模型对我国企业IT治理的现状进行实证研究，同时对模型加以验证。 无论是来自于理论研究还是来自于实践对于IT治理概念的争论，从本质上讲是由于对“信息技术”概念理解上的偏差。因此，本研究对IT治理概念的论证是从对信息技术和信息技术发挥职能的角度入手，提出目前IT治理概念所涵盖的从工具、资源、制度到战略的诸多要素，尽管都是IT治理研究和实践中存在的问题，但无法提炼出IT治理的概念。通过对IT治理概念所涵盖要素及IT治理理论框架和实践标准的研究，本研究提出目前的研究存在着战略学派和结构学派。在以上研究的基础上提出初步的IT治理概念。 从目前IT治理研究存在的问题角度出发，在现有文献的基础上，本研究力图构筑以战略理论、组织理论和公司治理理论为主的IT治理基础理论。并基于此提出以战略一致性为目标的、以IT治理结构安排为核心的IT治理逻辑概念。 然而，无论是信息技术及其应用还是IT治理研究均具有技术属性和社会属性两方面的性质。理论研究和实证研究都表明，不存在具有普遍意义的信息技术结构或IT治理结构。因此，本研究提出，在价值创造理论、组织理论和权变理论的基础上，使用资源基础理论构建一定环境因素条件下的IT治理能力模型，以此为基础从理论和实践角度，将IT治理定义为，以战略一致性为目标、以组织信息技术结构为基础的在一定环境下的组织信息技术方面的综合能力。同时使用IT治理能力模型对中国企业IT治理的状况进行实证研究。 本研究使用IT治理能力模型对中国企业IT治理的现状进行了多方面进行的探讨。主要内容包括：首先，我国企业IT治理总体水平较低。突出表现在IT原则和企业信息技术战略不明确、对员工信息技术能力的培养不重视以及企业高管层缺少IT治理意识。其次，我国企业IT治理能力与治理绩效具有正相关性。其中结构能力是提供企业信息技术成本效益的基础。第三，我国企业IT治理能力状况研究。在IT治理能力三方面能力中，我国企业最重视结构能力的建设。但管理者对其作用的发挥评价不是很高，表明目前我国企业较为重视制度建设，但其执行力较差。协调能力中，采用投资批准程序和服务水平协议的企业比例不足一半，对企业信息技术战略与经营战略的一致性产生不利影响，这也是造成前面所提到的我国企业IT原则不明确的主要原因。研究表明，我国企业对关系能力的应用较为重视，各项指标的应用程度均较高，但管理者对其作用的评价却是最低的，说明我国企业在采用关系能力的时候，形式重于内容。这是造成我国企业IT治理中关系能力与治理绩效相关系数较低的原因。第四，我国优秀IT治理企业治理结构研究。在Weill研究方法的基础上，增加了环境要素对IT治理绩效和IT治理结构的影响分析。研究中确定的四个权变因素，即企业成长阶段、行业、信息技术投资规模和公司治理经验对IT治理有效性的平均值产生显著的影响，但对IT治理结构的决策权力集中度没有显著影响。基于此，本研究提出了不同行业我国优秀IT治理企业的治理结构特征，并与国际上优秀IT企业进行了比较。 在取得理论研究和实证研究成果的基础上，本研究提出使用多级模糊综合评判法，在IT治理能力模型的基础上建立我国企业IT治理评价指标体系的设想。对评价体系的评判原理、方法、及非线性隶属关系的构造进行了探讨，使用该IT治理评价体系指标对典型案例企业进行评价，并与实证研究结果进行了比较。
英文摘要：	It is widely accepted in theoretical circles that the concept of IT governance is emerging only as recently as the late 1990s, but the study of related issues was began to occur as early as 1950s. Owing to the big gap between the time of the studies and the rapid development of the use of information technology in enterprises, the study of IT governance have reached a study pattern of multi-discinplines, multi-theories, multi-perspectives and multi-terminology. From the perspectiv of practice, the dispute of whether IT does matter have triggered the discussion of if information technology can play a strategic role in an enterprise. Facing the high inverstment and the high risks of information technology and the uncertainty of the revenue, practioners also proposed many solutions of ITs use. That all these studies and practices were proposed under the name of “IT governance” makes the barriers for the study of IT governance. Based on different perspectives and different purposes, both the theorist and practioners proposed many different IT governance frameworks, IT governance models and IT governance standards. This made the study scope of IT governance wider. Through the analysis of the recent study of IT governance and the practices of enterprises and based on literature review, this study divided the evolution of IT governance theory into two stages, the first one is the stage of study of information technology related issues from the 1950s to late 1990s, the another is the stage of study of the concept of IT governance. The general idea of this study is that, based on the studies of IT governance’s concept and the inference of theory’s evolution, this study established our own concept of IT governance, and therfore proposed our own model IT governance capabilities. Using the model, this study made a empirical study on the enterprises’s situation of IT governance in China. At the same time, there was a verification of the model. Based on the above theories and the results of the empirical study, the study provided a thinking clue of IT governance evaluation system. In essence, the argument about the concept of IT governance was resulted from the different understanding of the concept of “information technology” and the role of information technology taking in an enterprise. Therefore, we begun our study from the demonstration of the concept and role of information technology. This study suggested that the recent concepts of IT governance have covered several factors including facilities, ressources, strategies, organizations or institutions, we still cannot get the conclusion of concept of IT governance, although all these factors are the problems we will face in IT governance study and practice. Through the study on the factors of IT governance covered and some of IT governance frameworks and standards, this study proposed that there are two different schools of IT governance theory, one is strategic school, another is structure school. Based on the problems existed in IT governance study and the literature review, this study try to develope a basic IT governance theory using the strategy theory, organization theory and corporate governance theory. However, no matter information technology or the use of IT, there are both the technical nature and the social nature. Both the literature study and empirical study had demostrated that there is no a universal IT structure or IT governance structure existed. Therefore, this study proposed a capability model of IT governance under the certain Contingency factors using the resource-based theory. Based on this model, the study got our own basic concept of IT governance. IT governance is referred to the comprehensive capabilities related to information technology of an organization with the purpose of strategic alignment and the basis of information technology structure. There is a deep analysis of the situation of enterprises in China through the empirical study using the model we developed. The main conclusion are follows: Firstly, there is a relative lower level of IT governance in China’s enterprises. Secondly, there is a positive correlation between IT governance capability and IT governance effectiveness. The third one is the analysis of the IT governance capability of Chinese enterprises from the aspects of structure capability, coordination capability and relationship capability. The fourth is the study of the top performer of IT governance structure of China’s enterprises using several contingency factors and made a comparison with foreign top performer enterprises. Based on the above study, this study also proposed a initial IT governance evaluation system
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