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完整後設資料紀錄
DC 欄位 | 值 | 語言 |
---|---|---|
dc.contributor.advisor | 許瑋元 | |
dc.contributor.author | Shirley Ou Yang | en |
dc.contributor.author | 歐陽瑜 | zh_TW |
dc.date.accessioned | 2021-06-16T23:08:52Z | - |
dc.date.available | 2017-08-10 | |
dc.date.copyright | 2012-08-10 | |
dc.date.issued | 2012 | |
dc.date.submitted | 2012-08-06 | |
dc.identifier.citation | 一、 中文部分
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dc.identifier.uri | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/64934 | - |
dc.description.abstract | 風險生產已經成為後工業知識社會,伴隨技術經濟進步而來的一個合理化的「潛在副作用」。以知識與技術為主要資源的社會面對了若干治理的挑戰。無論是美國911恐怖攻擊重創紐約金融交易中心、雷曼兄弟事件引發的全球金融海嘯、怵目驚心的日本福島核災帶來的全球性恐慌與不確定性,這些接踵而至的風險事件,說明了資訊通信科技所實現的「地球村」願景,卻也同時成為一個「全球化風險社會」。
本研究的論點在指出在全球化的風險社會,風險管理就是一種對不知不覺(ignorance)與不確定性(uncertainty)知識的管理。因此,在思考創新發展策略時,一方面依循發展論述管理跨領域的知識生產;另一方面則需從風險論述思考回應科技行動引起的「難以預料的後果」之衝擊。全球性風險治理的議題,需透過個別組織內的利害關係人(stakeholder)反身性、多元理性的集體協商溝通過程予以因應。管理風險必須設法汲取埋藏在第一線員工的工作實務與慣例中的風險知識,並且營造創造風險論述與風險溝通的組織環境,才能逐漸掌握風險問題的核心。 本研究計劃是一項詮釋性的行動研究(interpretive action research),針對一間台灣商業銀行的作業風險管理專案,進行了為期一年半的觀察互動。研究者與作業風險團隊從業人員建立密切的合作關係,採取Nonaka(2000)的動態性知識創造理論作為理論觀點,以了解如何改善該銀行的作業風險自評機制(Risk control self-assessment, RCSA),協助其打破銀行組織內以發展、利潤為先的主流論述與系統性思維的盲點,運用此一機制凸顯風險論述在管理層面上的重要性,營造將鑲嵌在組織成員工作實務中的隱性風險知識外顯化,並創造風險論述與風險溝通動態性的組織環境。 本研究計劃主要研究目的是在探討如何從隱性知識的角度來管理不確定風險,研究結果發現透過「實踐中知曉」的行動研究,協助組織進行動態知識創造,有助於跨階層的內隱風險知識外顯化,擴大高層主管的風險感知與重組其注意力,帶動組織內「由中—而上—而下」的正向知識螺旋,與組織變革與風險資源重分配。我們也發現有別於組織一般的知識資產,風險知識螺旋中同時也有負向循環,其根源主要來自於組織內風險管理的知識典範轉移所帶來的衝突。組織管理人為不確定性風險,乃是一種注意力從外顯的制度化之「知」,轉移到內隱的集體建構「無知」的學習歷程。 | zh_TW |
dc.description.abstract | Despite the widely recognized importance of risk governance and concept of “the risk management of everything” in organization, multiple and unexpected interaction of human and technologies exists the possibilities of unforeseen organizational failures. We argue that common accidents represent commonly-known uncertainty in a global risk society. Nonetheless, there is little understanding of how organizations actually encounter uncertain risk and shift attention to their unawareness of embedded hazards and insecurities in daily routine.
The overall aim of this research is to understand how uncertain risk could be managed in terms of tacit knowledge in an organization. We argue that managing risk and uncertainty can be seen as knowledge management in an organization. Managing uncertain risk introduces a paradigm shift of risk ontology in organizational governance. To explore the relationships between risk management and knowledge management, this research focuses on the institutionalization process of operational risk management in a bank in Taiwan. Drawing from Nonaka’s (2000) dynamic knowledge creation theory as a theoretical framework, this thesis embarked on an interpretive action research study that develops and designs risk control self-assessment (RCSA) as a knowledge repository for generating tacit knowledge of risk from internal stakeholders in its organizational context. In this project, the researcher has engaged in a close collaboration with practitioners over an 18-month period and been through two action cycles with the practitioners. The research results have facilitated organizational changes in managing operational risk and helped to establish a dynamic risk communication culture within the organization. This research study offers two contributions. First, it contributes to risk management theory as it provides extensive work-in-practice details to how local organization embraced with global standards and struggled to learn from internal unknown tacit knowledge resources. The research results improve the existing understanding of knowledge of uncertain risk. Second, the study also make a practical contribution by integrating knowledge management theory with risk management practice. This approach consists of a framework for understanding and tailoring dynamic risk communication/culture and risk management to specific contexts. This approach provides valuable risk information to regulator for banking supervision. | en |
dc.description.provenance | Made available in DSpace on 2021-06-16T23:08:52Z (GMT). No. of bitstreams: 1 ntu-101-D97725006-1.pdf: 40483299 bytes, checksum: ea6c1ad90c013c8ce9819ffcf2e126d0 (MD5) Previous issue date: 2012 | en |
dc.description.tableofcontents | 口試委員會論文審定書 i
誌謝 v 中文摘要 vii Abstract ix 目錄 xi 表次 xv 圖次 xvii 第一章 緒論 1 第一節 研究動機與研究範疇 1 第二節 風險綜覽 3 第三節 管理不確定風險 7 第四節 研究目的 10 第五節 論文章節安排 10 第二章 文獻探討 13 第一節 何謂不確定風險 13 1. 不確定性與不知不覺 13 2. 資訊科技與不確定風險 15 3. 對不確定風險新的管制—作業風險管理 19 第二節 不同取向的風險理論 25 1. 理性系統途徑:風險評估 25 2. 心理學與文化途徑:風險感知 29 2-1. 文化理論 29 2-2. 風險自體平衡理論與風險補償理論 32 3. 社會建構途徑:風險社會 33 第三節 管理不確定風險的難題 40 1. 風險資料面 40 2. 管理工具與方法面 41 3. 組織與法規環境面 42 4. 風險意識面 43 5. 作業風險管理實務上的難題 45 第四節 不確定風險與內隱知識 51 1. 從內隱知識的角度看 52 2. 從風險管理的角度看 54 3. 將知識管理納入風險管理 57 4. 摘要討論:從行動溝通建構未知 59 第三章 理論性架構 63 第一節 動態性知識創造的概念 64 1. SECI知識轉換過程 66 2. Ba創造知識的共享情境脈絡 68 3. 知識資產 69 4. 中階主管在知識創造中的領導角色 70 第二節 動態性知識創造架構在風險管理上之應用 71 第四章 研究方法 75 第一節 質性研究途徑 75 1. 質性研究在資管領域的發展 75 2. 質性研究與量化研究的差異 81 3. 質性研究的評估 83 第二節 本研究採用之研究方法 88 1. 行動研究途徑與詮釋性行動研究 89 2. 資管領域中行動研究的歷史 91 3. 行動研究的作法 93 4. 行動研究的評估標準與倫理問題 96 第三節 研究策略 97 1. 行動研究專案的起始 98 2. 行動研究專案的職權與管理 99 3. 行動研究的定型化程度 101 4. 資料蒐集 103 第四節 研究場域:X銀行的作業風險管理部門 105 1. 背景:台灣金融自由化與實施巴賽爾協定 105 2. X銀行經營概況與風險管理 108 3. X銀行作業風險管理專案之發展與重點 110 4. 問題情境 113 第五章 研究執行與分析 117 第一節 行動研究專案執行過程 117 第二節 行動研究專案執行週期循環分析 121 1. 第一個行動研究週期 121 1-1. 診斷 122 1-2. 計劃行動與採取行動 129 1-2-1. 行動介入一:情境分析工作坊 130 1-2-2. 行動介入二:修正作業風險政策中對風險範圍之界定 131 1-2-3. 行動介入三:改造風險自評流程 131 1-3. 行動週期一評估與具體說明學習內容 135 2. 第二個行動研究週期 147 2-1. 診斷 148 2-2. 計劃行動 150 2-3. 採取行動 153 2-3-1. Ba創造風險知識的共享情境脈絡 155 2-3-2. SECI 風險知識轉換過程 157 2-3-3. 風險知識資產 162 2-4. 行動週期二評估 165 2-5. 具體說明學習內容 171 第六章 研究討論 177 第一節 風險知識管理的正向循環 178 1. 「由中—而上—而下」的管理對風險管理的意義 179 2. 中階主管在不確定風險管理中的角色 182 第二節 風險知識管理的負向循環 187 1. 績效導向的組織文化 187 2. 權力與責任 189 第三節 不確定風險管理中的知識典範轉移 192 第四節 以行動研究探討組織風險管理 196 1. 行動研究對組織不確定風險管理的價值 196 2. 本行動研究的評估 198 3. 研究者的反思 202 第七章 結論 207 第一節 本論文總結 207 第二節 研究貢獻 209 1. 對理論的貢獻 210 2. 對實務的貢獻 211 3. 對研究方法的貢獻 213 第三節 研究限制 214 第四節 未來研究建議 214 參考書目 217 附錄一 內部文件清單 231 附錄二 X銀行作業風險分類八類廿項 233 表次 表 1 組織面對的三種常見風險類型 5 表 2 第一現代性與第二現代性風險特徵的比較 36 表 3 不同風險理論途徑對風險的預設與作法 39 表 4 社會科學主觀與客觀論辯的基本預設 80 表 5 相關性的層面 83 表 6 比較不同哲學典範的質性研究之衡量原則 86 表 7 本行動研究定型化專案契約書內容摘要 102 表 8 本行動研究主要的管理機制設計 103 表 9 本行動研究的訪問資料蒐集 104 表 10 本專案行動介入時程表 120 表 11 行動研究第一週期之診斷與建議 127 表 12 情境分析工作坊資料—情境分析之優點與缺點 130 表 13 第一週期的行動介入與學習內容 140 表 14 行動研究兩週期計劃摘要 142 表 15 第二週期的行動介入與知識創造 154 表 16 經驗式、內隱式的風險知識資產 163 表 17 X銀行中高階主管與作業風險團隊在行動專案中開悟對照表 175 表 18 週期二工作坊中萃取出部分內隱的跨單位風險議題 195 表 19 行動專案進行中研究者的反思 206 圖次 圖 1 風險權衡的兩面性 4 圖 2 在持續變動的不確定中知識與未知的相互浮現 9 圖 3 新巴賽爾協定中有效管理作業風險的十項原則 21 圖 4 風險的成熟階段 24 圖 5 常用的風險評估與管理流程 26 圖 6 文化理論中風險感知、風險溝通與組織結構的關係示意圖 30 圖 7 文化理論的框架—群體矩陣 31 圖 8 風險分析不斷變動中的挑戰 39 圖 9 風險概念的分類 45 圖 10 新巴賽爾協定建議之作業風險管理工具 46 圖 11 作業風險規範性解決方案一:符合國際最佳實務作業風險管理體制 47 圖 12 作業風險規範性解決方案二:作業風險資訊系統架構 48 圖 13 中型銀行導入新巴賽爾協定的主要障礙 49 圖 14 主觀式風險管理流程 59 圖 15 知識創造的過程 66 圖 16 SECI知識轉換過程 68 圖 17 超聯結組織之動態知識創造系統整合專案與業務系統示意圖 73 圖 18 嚴謹性與相關性的回報 82 圖 19 資管領域中不同的類型 87 圖 20 不同類型試擬之評估標準 87 圖 21 行動研究的週期性過程 94 圖 22 亞洲地區實施巴賽爾協定時程 108 圖 23 X銀行組織圖 109 圖 24 X銀行之作業風險教育訓材料一覽 113 圖 25 X銀行中作業風險管理專案之重要事件與里程 115 圖 26 舊風險自評執行方式 133 圖 27 新風險自評工作坊的進行方式 133 圖 28 風險導向與流程導向的風險自評比較 134 圖 29 X銀行新舊風險自評表格比較 134 圖 30 新舊版風險自評結果與辨識之部分風險議題 136 圖 31 第二週期風險自評工作坊辨識出之風險知識 161 圖 32 X銀行風險知識資產產出報告片斷 166 圖 33 第二週期介入—風險自評工作坊與會者滿意度調查結果 166 圖 34 委託單位對第二週期介入的評估 169 | |
dc.language.iso | zh-TW | |
dc.title | 管理風險知識:以行動研究參與某銀行作業風險管理制度之演變 | zh_TW |
dc.title | Managing Knowledge of Risk in Organizations: An Action Research Approach | en |
dc.type | Thesis | |
dc.date.schoolyear | 100-2 | |
dc.description.degree | 博士 | |
dc.contributor.oralexamcommittee | 苑守慈,蕭瑞麟,陳鴻基,魏志平,朱彩馨 | |
dc.subject.keyword | 風險管理,知識管理,行動研究,作業風險管理,不確定風險,新巴賽爾協定, | zh_TW |
dc.subject.keyword | risk management,knowledge management,action research,operational risk management,uncertain risk,Basel II, | en |
dc.relation.page | 237 | |
dc.rights.note | 有償授權 | |
dc.date.accepted | 2012-08-06 | |
dc.contributor.author-college | 管理學院 | zh_TW |
dc.contributor.author-dept | 資訊管理學研究所 | zh_TW |
顯示於系所單位: | 資訊管理學系 |
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