陈周宏博士 管理信息系统教授 Gonzaga 大学商学院 Spokane, WA 99223 chen@gonzaga.edu 第八章 管理信息技术的外包 陈周宏博士 管理信息系统教授 Gonzaga 大学商学院 Spokane, WA 99223 chen@gonzaga.edu

内容 什么是外包? 什么时机应该进行信息技术和运营的外包？

什么是外包? 外包是20世纪80年代末期信息系统领域出现的一种现象，意指将一家公司的电脑运营、网络运营或者其他功能信息系统在一定时期内交给运营商 – 通常至少是3年 “…信息技术外包是传统的信息技术部门转型的先行者，使信息经济中新兴的组织结构初露端倪 Companies are increasingly outsourcing the management of IT for reasons that include concern for cost and quality, lagging IT performance, supplier pressure, plus other financial factors. The outsourcing solution is acceptable to large and small firms alike because strategic alliances are now more common and the IT environment is changing rapidly. This chapter identifies when situations for outsourcing make sense and the issues of how the resulting alliance should be structured and managed. Dr. Chen, Managing IT Reos. Thru Strategic Partnerships; A Portoflio Approach to IT Development TM -3

为什么外包联盟如此困难? 实现益处的时机加剧了这种困难 只有少数外包商有关键大规模使用资本市场的能力，以履行大型和约 客户 外包商 只有少数外包商有关键大规模使用资本市场的能力，以履行大型和约 技术的演变常常会改变信息技术服务对一家公司的战略相关性 1. Exacerbating the situation is the timing benefits 10 (NOW 3-5 years) Years is the normal length of a contract in an environment in which computer chip performance is shifting by 20 to 30 percent per year. A. Customer’s Perspectives The first-year benefits are clear to the customer (receives a one-time capital payment, the customer then feel relieved to shift problems and issues to another organization). --- has a chance to “evaluate” the contract and service In each subsequent year, however, the contract payment stream becomes less and less tied to the initial set of planned outputs (benefits, performance etc.) and, thus more subject to negotiation and misunderstanding. B. Outsourcer’s perspectives -- just the reverse i) First year, the outsourcer requires a heavy capital payment followed by the extraordinary costs for switching responsibility and executing the appropriate cost reduction initiatives. ii) At precisely, the time the outsourcer is finally moving into its earnings stream, the customer, perhaps, feeling the need for new services, is chafing (worrying) under monthly charges and anxious to move to new IT architectures (or a new outsourcer) 2. Only a few outsourcers have the critical mass and access to capital markets to undertake large contracts -- IBM, EDS, CSC, -- If an alliance is NOT working out, a company has limited options for resolving the situation, particularly because outsourcing is relatively easy but insourcing again is very difficult. 3. Evolution of technologies often changes the strategic relevance of IT service to a firm -- emerging IT affected the value/relevance of the outsourcing project later --from the customer’s viewpoint, assigning a commodity service to an outsider is very attractive if the price is right -- delegating a firm’s service differentiator is another matter -- the customer that made the original decision based on efficiency will judge it differently if using effectiveness criteria later

外包历史回顾 早期: 电脑服务局 (20世纪60年代中期) 外包的主要驱动因素 拥有(access to) 专业的、或偶尔需要的电脑能力或技巧 不用(avoidance) 建立机构内技能 拥有(access to) 特殊职能部门的能力 Drivers: 1. Cost-effective access to … 2. Avoidance of …, primarily an issue for SMALL and very low-technology organization 3. Outsourcing during this period was important, but, in retrospect, largely peripheral to the main IT activities that took place in midsized and LARGE organization. Example: 1) Kodak’s decision in 1990 to oursource its IT was the first real WAKE-UP call. 2) Midsized and large organization: apply outsourcing Small and midium-sized: ONLY with problematic, grossly mismanaged IS departments. Large Outsourcers: EDS, CSC (Computer Science Corp.), IBM (Global Services), Andersen-Consulting (Accenture), etc. N

90年代的外包情况 两个因素影响了信息技术外包的增长 接受战略联盟 不断变化的IT环境 补充弱点的伙伴 利用价值链的环节 “联盟公司要想取得长期的成功，那两家公司都必须相信：他们都是胜利者” 不断变化的IT环境 “内部IT组织已经是规则的选择者，而不是开发者” 旧系统的低维护成本 向新模式的转型 Why Outsourcing alliances are so Difficult? 10 (NOW 3-5 years) Years is the normal length of a contract in an environment in which computer chip performance is shifting by 20 to 30 percent per year. A. Customer’s Perspectives 1. Exacerbating the situation is the timing benefits The first-year benefits are clear to the customer (receives a one-time capital payment, the customer then feel relieved to shift problems and issues to another organization). 2. In each subsequent year, however, the contract payment stream becomes less and less tied to the initial set of planned outputs (benefits, performance etc.) and, thus more subject to negotiation and misunderstanding. B. Outsourcer’s perspectives -- just the reverse 1. First year, the outsourcer requires a heavy capital payment followed by the extraordinary costs for switching responsibility and executing the appropriate cost reduction initiatives. 2. At precisely, the time the outsourcer is finally moving into its earnings stream, the customer, perhaps, feeling the need for new services, is chafing (worrying) under monthly charges and anxious to move to new IT architectures (or a new outsourcer) Decision based on efficiency and effectiveness will judge it differently on the outsourcing issues N

表 8-1: IT 市场 (p.380) 地点 实物方面 信息 内部 外部 自动化: 实际、事务过程的电脑化 DP 时代 (1960-1980) 主机和微型电脑的使用占主导地位 主要用COBOL进行自动化的运营层次的系统 主要用机器语言进行自动化的流程控制 工资和一般帐目的标准软件包 由数百万个代码线组成的应用组合，通常其中的 50%都从组织外部购买 信息化 : 使用电脑来武装知识工人 利用微型电脑（由图形使用界面所促成并购买诸如文字处理、工作表、图形和CAD/CAM）的直接使用而实现用户任务. 局域网 (LANs)—以用户为导向的软件，用于电子邮件、数据库分享、文件传输和团队工作需要的小组软件 由数百万个代码线组成的应用组合，通常其中的 100%都从组织外部购买 外部 嵌入 : 将产品和服务与电脑进行整合 微观时代 (1980-1995). 嵌入产品和服务的专业代码，以增强其功能 实体产品诸如汽车等中的电脑和服务业中的 “智 能卡” 由内部专业编程人员和外部合同变成人员共同开 发的数以千计的代码线 网络化 : “信息高速公路” 网络时代 (1990-?). 由WANS连接的工人、供应商和客户 商业用途的因特网 有数百万个代码线，几乎100% 都从外界软件公司购买并维护

外包背后的驱动力量 两种驱动力量 重点 (focus) 价值 (value) 核心业务 股东 led companies to restructure and asking themselves, "Where do we really add value?" So outsourcing is part of the drive for focus and value, and it is not solely an information systems issue; it is a business issue. Since top management must stress value, they must consider outsourcing in all their nonstrategic functions. Dr. Chen, Managing IT Reos. Thru Strategic Partnerships; A Portoflio Approach to IT Development TM -8

实施外包的压力 (驱动因素) 对成本和质量的关注 信息技术职能的分化 强大的供应商压力 简化一般性管理日程 财务因素 公司文化 消除一种内部不稳定因素 1. Concerns about costs and quality -- outsourcers run much leaner overhead structures than their customers -- tough worl-class standards applied to the company’s existing staff (via a careful, thorough selection process); outsourcers are professionals, creative -- However the outsourcer should be able to rapidly mobilize its staff for the quick-response development jobs need to get products and services to market much faster. 2. Breakdown in IT performance (of company’s internal operations) --Companies’ interest in outsourcing came after a one-day total collapse of its IT projects’ failure (ATM) and losses in the tens of millions of dollars due to incorrect internally designed. 3. Intense supplier pressures -- Outsourcers’ (EDS, CSC) visibilities and other arrangements (demos), combined with their (suppliers) aggressive sales forces, enabled them to approach general managers with compelling reasons to outsource. 4. Simplified general management agenda a) those do NOT see IT as its core competence: find outsourcing a way to delegate time-consuming, messy problems so they can focus scarce management time and energy on other differentiators. b) those perceive the outsourcer as competent and are able to transfer a non-core function to reliable hands 5. Financial factors -- relieve significant up-front capital paid for real value of the H/SW assets and the intangible value of the IT systems. (e.g. General Dynamics received $200 M for its IT assets) -- turn fixed cost to variable costs 6. Corporate Culture -- relieve the conflict/impacts among the affected departments (since outsourcing driven by senior mgt 7. Eliminating an Internal Irritant -- relieve the tension between the end users of the resources and the IT staff 8. Others -- Small company (difficult to retain high-tech staffs), gain high-TECH skills with getting involved in complex mgt issues -- Midsized, substantially reduced corporate risk while providing needed access to specialized knowledge -- Large, for the rapidly growing outsourcers, good performance on the contract would provide a reference that was critical to achieving the kind of market growth it wanted. N

把外包作为一种经济战略 核心竞争力 哪种资源不那么昂贵 需要进行何种程度的控制 MODERN COMPANIES (21st century) -- core competencies -- business models

外包的时机? 哪一种信息系统活动对公司的业务而言具有战略性? 外包能为我们节约至少15%的成本吗? 我们公司有所需要的技术和专业知识吗? 如果没有，外包可能就是获取这些资源的方法 外包能增加我们公司的灵活性吗? Does outsourcing increase our firm's flexibility? Outsourcing shifts capital budgets to operating expenses, which can give a firm more financial flexibility. Furthermore, outsourcing may free up personnel to work on new systems, while the outsourcer maintains the existing ones. Also, it can increase the firm's flexibility for acquiring new technologies sooner. Outsourcing is an important question facing today's IS executives. There are four activities that management should not outsource: strategy, the architecture of the system, the decisions about when to introduce IS into the organization, and management of the vendor. Dr. Chen, Managing IT Reos. Thru Strategic Partnerships; A Portoflio Approach to IT Development TM -11

IT外包的时机 开发组合 (Development portfolio) 维护/高结构项目: 是 低结构项目：是 在战略网中的位置 (Position on strategic grid) “公司运营对信息技术的依赖性越强，越应该进行外包” 工厂: 是 战略：否 支持：是 转向：否 根据战略而细分的外包 Development Portfolio The higher the percentage of the systems development portfolio in maintenance or high-structured projects, the more the portfolio is a candidate for outsourcing. E.g., Citibank does much of its processing work in South Dakota, and more than 100,000 programmers are working in India on software development for U.S. and European firms -- due to the growth of global fiber optic networks has made all conventional thinking on where work should be done obsolete. Strategic Grid The more the firm is operationally dependent on IT, the more sense outsourcing makes. 3. Strategic: Not facing a crisis of IT competence companies will find it hard to justify outsourcing under most circumstances. 4. Turnaround: It represents an unnecessary, unacceptable delegation of competitiveness. N

信息技术外包的时机（续） 组织的学习 - 组织学习能力的复杂性可能会影响管理外包合同的能力 一家公司在市场中的位置 现有信息技术组织 “公司在信息技术的内部使用方面离网络时代越远，那么外包在缩短差距方面就越有用” 现有信息技术组织 “在组织和会计方面，信息技术发展和运营已经分离的程度越高，那么就越容易达成一个持久的外包合同” Organizational learning: --The sophistication of a firm’s organizational learning substantially facilitates its ability to effectively manage an outsourcing arrangement in the systems development area. --A firm with substantial experience in restructuring will have less difficulty in defining the dividing line between the outsourcer and the company in terms of responsibility for success. A firm’s position: Firms are still in the DP era (large COBOL applications -- far away from the network era), the outsourcers, by contrast, cannot just keep its old systems running, but must drive forward with contemporary practice and technology. Current IT organization: … segregation, because each should have the framework for resolving the (other department’s) issue and the specific technical approaches (or control mechanism) -- the foundation for an outsourcing contract. N

图 8-1: 信息资源管理的战略表格 高 低 低 高 A, 1992 工厂(factory) A, 1988 对现有运营系统的影响 C E 图 8-1: 信息资源管理的战略表格 高 A, 1992 工厂(factory) A, 1988 对现有运营系统的影响 C E B 战略性 (strategic) H F 制药公司 转向 (turnaround) G D 支持 (support) 低 关键: A:大型银行1988-1992 B: 大型保险公司 C: 中型杂货店 D: $1000的分销商 E: 大型航空公司 F: 大型化学公司 G: 大型流程行业制造商 H: 保险经纪公司 低 高 Mismatch between actual and perceived importance of IT -- between where an organization is on the grid (see Figure 8-1) and where senior management believes it should be -- In such as case, more planning is needed for energizing the firm to make appropriate adjustments -- Different positions (e.g., senior and IT management) have totally different view on IT functions (e.g., Factory vs. Strategic) and therefore they should be communicated each other with a desirable channel. -- “The extent to which IT is strategic for the company as a whole and for individual business units and functions must be assessed. IT’s impact typically varies widely by unit and function, and thus the IT planning process must be adapt to deal with these differences. -- Those units where IT is of high impact require much more intense IT planning than those units for which it is of low impact,. -- However, this makes the planning more complex, but it also makes it more useful.” 应用开发组合的影响 N

是 否 否 是 图 8-1: 信息资源管理的战略表格 IT外包? 高 低 低 高 A, 1992 工厂 A, 1988 对现有运营系统的影响 图 8-1: 信息资源管理的战略表格 IT外包? IT 支持 成本有效 不间断 高 A, 1992 工厂 A, 1988 是 对现有运营系统的影响 否 C E B H 战略性的 否 F 制药公司 是 转变 G D 支持 低 关键: A:大型银行1988-1992 B: 大型保险公司 C: 中型杂货店 D: $1000的分销商 E: 大型航空公司 F: 大型化学公司 G: 大型加工工业制造商 H: 保险经纪公司 IT 支持 没有战略影响 IT 支持 不间断的成本有效 是不必要的 低 高 Mismatch between actual and perceived importance of IT -- between where an organization is on the grid (see Figure 9-1) and where senior management believes it should be -- In such as case, more planning is needed for energizing the firm to make appropriate adjustments -- Different positions (e.g., senior and IT management) have totally different view on IT functions (e.g., Factory vs. Strategic) and therefore they should be communicated each other with a desirable channel. -- “The extent to which IT is strategic for the company as a whole and for individual business units and functions must be assessed. IT’s impact typically varies widely by unit and function, and thus the IT planning process must be adapt to deal with these differences. -- Those units where IT is of high impact require much more intense IT planning than those units for which it is of low impact,. -- However, this makes the planning more complex, but it also makes it more useful.” 应用开发组合的影响 N

图 8-1: 信息资源管理的战略性表格 高 低 转向 信息资源的管理 外包假设: 不, 考虑外包的理由: 内部信息技术部门不掌握所需要的技术 图 8-1: 信息资源管理的战略性表格 高 转向 信息资源的管理 外包假设: 不, 考虑外包的理由: 内部信息技术部门不掌握所需要的技术 内部信息技术部门不掌握所需要的项目管理技能 以支持-为导向的信息资源管理 外包假设: 是 考虑外包的理由 拥有较高的信息技术的专业知识 裁员的可能不是当务之急，而且会造成麻烦 拥有最新的信息技术 降低信息技术构建不当的风险 战略性 信息资源管理 外包假设: 不， 拯救一个无法控制的内部信息技术部门 开发一个现金资源 促进对剥离部门的管理 工厂 – 不间断的以服务为导向的信息资源管理 外包假设: 是，除非公司规模很大，管理完善 中小型公司潜在的规模经济 较高质量的服务和支持 促进管理的集中 光纤和拓展的频道技术促进了国际化的信息技术解决方案 目前对信息的依赖 低 持续、创新的信息资源开发的重要性

哪些活动管理层不应该外包? 战略 政策任务 关于什么时间引进信息系统的决策 对外包对象的管理 当系统(信息系统) 部门管理良好，同时信息技术是一项核心竞争力的时候 when the system (IS) department is well managed, and where IT is a core competency, outsourcing should not be an option. Dr. Chen, Managing IT Reos. Thru Strategic Partnerships; A Portoflio Approach to IT Development TM -17

管理联盟 CIO的职能 业绩测评 任务组合和协调 客户-外包者界面 “ CIO工作的核心是计划 …” 伙伴关系/和约管理 制订构建计划 新兴技术 持续学习 业绩测评 任务组合和协调 客户-外包者界面 The ongoing management of an alliance is the single most important aspect of outsourcing’s success. Four critical areas required close attention. The CIO function - manage agreement and relationships -- “The heart of the CIO’s job is planning …”: ensuring IT resources are at the right level and appropriately distributed and coordinated. --partnership/contract management since outsourcing is not in a static environment --architecture planning: CIO and s/his staff must visualize and coordinate the long-term approach to interconnectivity. Networks, standard H/SW conventions, and database accessibility all need customer planning. --emerging technologies: Assessing H/W network alternatives and the capabilities requires knowing what is on the market and where it is going -- this knowledge cannot be delegated to a third party or assessed by sitting in one’s office. --continuous learning: life-long learning, motivation, incentives (an aerospace firm - Boeing) Performance measurements -- develop performance standards, metrics, measure results and then interpret them continuously -- also includes intangible measurement; some IT manager bloated the expenditure and performance and thus left money on the table Mix and coordination of tasks -The larger the percentage of large, low-structured project in the systems development portfolio, the more difficult it becomes to execute a prudent outsourcing arrangement and the more intense the coordination work to be done. -Cost in the outsourcing forces users to be more precise in their systems specifications early on and thus cut costs. -- Discussion: Outsourcer’s development staff may inhibit discussion and lead to additional costs if not carefully managed. Customer-outsourcer interface -- sensitive interface is important but the outsourcer can’t be overestimated; -- create multiple levels (senior and operational) of contact relationship and regular, full-time contact; -- What determines success or failure is managing the relationship less as a contract and more as a strategic alliance. N

外包的益处 经济 服务质量 可预测性 灵活性 把固定成本变成可变成本 释放人力资源从事其他项目 释放财务资本

外包的弊端 失去控制 战略性信息的脆弱性 依赖性

外包建议 签署期限较短的合同 – 不超过5年 合同转包控制 选择性外包

构建联盟的结构 合同灵活性 标准和控制 外包的领域 节约成本 供应商稳定性和质量 管理层契合 转换问题 N Contract flexibility -- contract can’t be a long term (10 years) due to the technology changed radically -- changing business economic conditions -- the process of contract drafting is likely to be more important than the contract: mutually understand the interest and shared approaches Standards and control -- customers are concerned that they are handing control over an important part of the firm’s operations to a third party, particularly if IT innovation is vital to the firm’s success or if the firm is very dependent on IT for smooth daily operations (but actually many operations have been controlled by others such as electricity, telephone, water etc.. So what make this different!) --Disruption of operations support has immediate and dramatic implications for many firms that is a short-term area where firms are likely to feel comfortable about their protection, if carefully structured. Areas to outsource --Data center operations, telecommunications, PC acquisition/maintenance, and systems development are examples that can be outsourced individually. Cost savings -- cost savings can be obtained from fair, various evaluations from multiple vendors Supplier stability (financial structure) and quality (support) -- A firm’s technology should be compatible with the outsourcer’s skill base. Management fit - culture, value, shared approach Conversion problems -- the period of time for an outsourcing study and conversion -- the sooner plans and processes for dealing with issues, the more effective the results will be N

理想的结果和实施问题 及时 在预算范围之内 完全实用性 用户接受 有利的成本-收益比 低维护成本 可度量性 与其他系统的整合 可重复使用性