【作者】 刘华；

【导师】 刘和福； 魏少波；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2021， 博士

【摘要】 在愈加不稳定的全球经济中,供应链中断作为突发事件,使得复杂网络中的企业暴露于运营和财务风险之中。供应链风险管理已经成为企业应对不利事件、解决潜在问题、适应变化环境时,保持运营稳定和提高绩效的重要手段。企业逐渐认识到利用企业能力和组织间治理来进行供应链风险管理的重要性。其中,桥接响应和缓冲响应是应对供应链中断的组织间响应策略。供应链恢复性和稳健性是组织内供应链风险管理实践。目前研究已关注到组织内部中断导向、以往中断经历、组织间信任和依赖对供应链中断响应和风险实践的影响。然而,在供应链中断情境下,现有研究并未同时考虑到企业内外部能力以及组织间协调治理的作用。由于供应链中断作为组织间的一种现象,会产生不确定性和模糊性,仅仅依赖于静态能力和内部资源不足以应对复杂多变的供应链风险。基于此,本文主要关注于企业信息技术(IT)能力、供应链整合能力以及组织间治理机制对供应链风险管理的作用。此外,从微观组织间关系的角度,本文基于资源依赖理论,探究了企业依赖优势和供应商依赖优势的调节作用;从宏观制度环境的角度,本文基于交易成本的制度观,探究了企业和供应商间文化距离的调节作用。本文主要提出以下三个子研究:研究1重点探究了企业如何利用IT能力影响供应链中断响应策略。首先,利用资源依赖理论,研究1旨在探讨企业IT整合能力和IT重构能力如何影响供应链中断后的桥接策略和缓冲策略。其次,企业和供应商之间存在企业的相对依赖优势和供应商的相对依赖优势,会影响不同响应策略的选择,研究1探究了企业与供应商之间相对依赖程度对IT能力与供应链中断响应策略间的调节机制。研究2重点探究了企业如何利用供应链整合能力提高供应链恢复性和保持稳定性继而提高绩效。首先,研究2考虑了供应链恢复性和供应链稳健性两种风险管理实践构成和作用的差异,基于关系视角,探讨了供应商整合能力和客户整合能力如何影响供应链恢复性和供应链稳健性。此外,基于组织信息处理理论,进一步探究了 IT敏捷性如何调节供应链风险管理实践和供应链绩效之间的关系。研究3重点探究了组织间治理的均衡和失衡对于桥接响应的作用机制。基于交易成本经济学理论下的组织间治理文献,研究3认为合同治理和关系治理可以有效地维护交易,减少机会主义,改善供应链中断后的企业和供应商的合作,因此二者的均衡或失衡会对桥接策略产生影响。在此基础上,研究3基于交易成本的制度观,通过考虑企业和供应商所处环境的文化紧密性差异,进一步检验了文化距离对于治理机制均衡/失衡和桥接响应之间关系的调节作用。本文在供应链风险管理和信息系统领域做出了以下理论贡献:(1)基于资源依赖理论,探究了 IT能力(IT整合能力和IT重构能力)对供应链中断响应策略(桥接和缓冲)的影响,以及企业依赖优势和供应商依赖优势的调节作用;(2)探讨了供应链整合(供应商整合能力和客户整合能力)对供应链风险管理实践(供应链恢复性和供应链稳健性)的影响,以及IT敏捷性对两种风险管理实践和绩效之间关系的调节效应;(3)基于交易成本经济学理论和制度观点,探究了组织间合同治理和关系治理的均衡和失衡对于供应链中断后的桥接策略的影响,以及企业和供应商之间文化距离的调节作用。更多还原

【Abstract】 In an increasingly unstable global economy,supply chain disruptions as unplanned and unanticipated events expose firms within complex networks to operational and financial risks.Supply chain risk management has become an important way for firms to maintain operational stability and improve performance level when dealing with adverse events,solving potential problems,and adapting to the changing environment.The firms have realized the importance of leveraging firm capabilities and interorganizational governance.Specifically,bridging and buffering are inter-organizational response strategies to deal with supply chain disruptions.Supply chain resilience and robustness are intra-organizational supply chain risk management practices.The current literature has focused on the impact of inter-organizational disruption orientation,past experience,inter-organizational trust and dependence on supply chain disruption responses and risk practices.However,in the context of supply chain disruptions,the existing research has not considered a firm’s inter-organizational and intra-organizational capabilities simultaneously,and the role of inter-organizational governance.As a supply chain disruption is an inter-organizational phenomenon that can produce uncertainty and ambiguity,relying only on static capabilities and internal resources is not sufficient to deal with complex and changeable supply chain risks.Based on above,this study focuses on the effects of a firm’s IT dynamic capabilities,supply chain integration capabilities,and inter-organizational governance on supply chain risk management.In addition,from the perspective of micro-level interorganizational relationship,this research explores the moderating effect of firm dependence advantage and supplier dependence advantage based on resource dependence theory.From the perspective of macro-level institutional environment,this research explores the moderating effect of cultural distance between the firm and its supplier based on the institutionally contingent view of transactional cost economics.The research puts forwards the following three studies.Study 1 focuses on how firms leverage IT capabilities to influence supply chain disruption responses.First,based on the resource dependence theory,Study 1 aims to examine how IT integration and IT reconfiguration influence bridging and buffering responses after supply chain disruptions.Second,the relative dependence advantage of the firm and its supplier may influence the choice of different responses.Study 1 examines the moderating roles of firm’s dependence advantage and supplier’s dependence advantage on the relationships between different IT capability and supply chain disruption responses.Study 2 focuses on how firms leverage supply chain integration capabilities to improve supply chain resilience and maintain supply chain robustness to improve performance in the context of supply chain disruption.First,Study 2 considers the differences of supply chain resilience and supply chain robustness in terms of characteristics,mechanisms,and influences.Based on the relational view,this paper examines how supplier integration and customer integration influence supply chain resilience and supply chain robustness.In addition,based on the organizational information processing theory,this paper further examines how IT agility moderates the relationship between supply chain risk management practices and supply chain performance.Study 3 focuses on the effects of balance and imbalance between contractual and relational governance on bridging response.Drawing upon inter-organizational governance literature based on transaction cost economics theory,Study 3 considers contractual governance and relational governance can effectively safeguard exchanges and reduce opportunism to improve firm-supplier collaboration after supply chain disruptions.Therefore,balance and imbalance of these two governances will have different effects on bridging.By adopting the institutionally contingent view of transaction cost economics,Study 3 further examines the moderating effect of cultural distance on the relationship between governance balance/imbalance and bridging by considering the difference in cultural tightness of the firm and its supplier.This research has made the following theoretical contributions in the field of supply chain risk management and information system:(1)Based on the resource dependence theory,this study examines the effect of IT capabilities(IT integration and IT reconfiguration)on supply chain disruption response strategies(bridging and buffering),as well as the moderating effects of firm’s dependence advantage and supplier’s dependence advantage;(2)this study examines how supply chain integration(supplier integration and customer integration)influences supply chain risk management practices(supply chain resilience and supply chain robustness),and how IT agility moderates the relationship between supply chain risk management practices and supply chain performance;(3)Based on the transaction cost economics theory and the institutional view,this study examines the effects of balance and imbalance of contractual governance and relational governance on bridging after supply chain disruptions,as well as the moderating effect of cultural distance between the firm and its supplier.更多还原