地方自治團體 實績主義 人事行政의 影響要因에 關한 硏究 : 內部統制制度를 中心으로

다국어 초록 (Multilingual Abstract)

This study is an attempt to analyze the influential factors to the personnel administration of merit system in the basic local governments of Korea, specially with a focus on the institution of internal control. So this study started with the perception that the chief of basic local governments have a lot of problems against realization of the personnel administration of merit system in the basic local governments of Korea and those problems attribute to the absence or insufficiency of the internal control systems to the chief of basic local governments and revitalization of their internal control systems’ operations. Anyway because the chief of basic local governments cannot but exercise an influence over the personnel administration of merit system in the local area, this study unfolds a discussion with a focus on the institutions and their operations of internal control to the chief of basic local governments.
For this purpose, the 2nd chapter of this study firstly reviews the personnel authorities of the chief of basic local governments, concepts of merit systems, and realities of the personnel administration of merit system in the basic local governments of Korea. Here this study together looks around about the autonomy, openness, specialty, and fairness of the personnel administration of merit system, adopted as dependent variables of this study, moreover the fairness level of personnel administration(this is adopted as intermediary variable) executed and realities of various personnel irrationality(including the cases of personnel committee, many-sided appraisal, evaluation of performance etc.) committed by the chief of basic local governments.
In the 3rd chapter, this study firstly explores the administrative responsibility of the chief of basic local governments, and reviews the administrative control to the chief of basic local governments. Here this study discusses the theories about the institutions and their operations of internal control to the chief of basic local governments, which includes 1) internal audits to basic local governments, 2) local council’s control, 3) public service union, 4) whistle-blowing, and are adopted as independent variables of this study.
And in the 4th chapter, this article suggests the analytic frame of this study. Arranging this, firstly, an independency and fairness of internal audits, and supports of the chief of basic local governments(after this, refer to just ‘chief’) to internal audits were selected as the sub-factors of independent variables. Secondly, an autonomy and specialty of local council were chosen as the sub-factors of independent variables. Thirdly, organization and operation of public service union was selected as the sub-factors of independent variables. Fourthly, institution-side and operations-side were chosen as the sub-factors of independent variables. And the intermediary(mediating) variable is the chief’s fairness to personnel administration of in basic local governments. Besides the autonomy, openness, specialty, and fairness of the personnel administration under the merit system of in basic local governments were selected as the sub-factors of this dependent variables.
In the survey-design of the 5th chapter, firstly this study sets up the 9 hypothesises, made questionnaires which includes 51 questions and collected the 1,424 questionnaires from public service(officers) belonged to 80 basic local governments(si, gun, gu) of 16 megalopolises including Seoul metropolitan city. And firstly in order to verify the reliability of the measurement tools, this study used the value of Cronbach’s α, and in order to verify the validity of the measurement tools, exercised the factor analysis. For this, Varimax method, one of the orthogonal rotation methods was used and eigen value(criterion : over 1) was also suggested. Also in order to verify what doing the factor analysis is significant, KMO(Kaiser-Meyer-Oklin) and Bartlett tests were used. As a results, all testings were appeared as significant.
Also, the contents of the 6th chapter are about the positive or verifying analysis. The 6th chapter tests the 9 hypothesises through the actual proof analysis. As a result, the 9 hypothesises were wholly or partly adopted. For this, simple and partial correlation analysis were done. As a result, the co-efficient values of the partial correlation analysis were confirmed as wholly smaller than the co-efficient values of the simple correlation analysis. This shows what the mediating variable plays its role clearly. And the regression analysis was also exercised. Besides in order to test the effect of the mediating variable, regression analysis was made and the direct and indirect effects were measured. For this, the Baron & Kenny(1986) model was used. Likewise, the indirect effect values of the regression analysis were confirmed as wholly smaller than the direct effect values of the regression analysis. This also shows what the mediating variable plays its role definitely.
Arranging the results, Firstly, in the case of the direct effect(does not include the mediating variable), the sub-factors which the independent variables give an influence to the dependent variables were orderly 1) independency of internal audits(.232), 2) specialty of local council(.189), 3) institution-side of whistle-blowing(.179), 4) organization and operation of public service union(.100). But, the other sub-factors also had an influence, even though a little bit small. And, the sub-factors which the independent variables give an influence to the intermediary(mediating) variable of this study were orderly 1) institution-side of whistle-blowing(.291), 2) independency of internal audits(.239), 3) specialty of local council(.200), 4) supports of the chief of basic local governments to internal audits(.190). And influential power, which the fairness level of personnel administration by the chief of basic local governments gives an influence to the dependent variables is .546. Likewise the other sub-factors also had an influence, even though a little bit small. That is, this result shows us that it is very important to improve or promote a fairness level of personnel administration by the chief of basic local governments.
Secondly, in the case of the indirect effect(include the mediating variable), the sub-factors which independent variables give an influence to the dependent variables were orderly 1) independency of internal audits(.280), 2) institution-side of whistle-blowing(.219), 3) specialty of local council(.218), 4) organization and operation of public service union(.130). But, the other sub-factors also had an influence, even though a little bit small. And, the sub-factors which the independent variables give an influence to the intermediary(mediating) variable of this study were orderly 1) institution-side of whistle-blowing(.257), 2) independency of internal audits(.209), 3) supports of the chief of basic local governments to internal audits(.178). 4) specialty of local council(.167). Likewise the other sub-factors also had an influence, even though a little bit small. Besides, the sub-factors which the intermediary variable mediates the independent and dependent variables and it give an influence to the dependent variables(according to Baron & Kenny model, 1986 : regards the dependent and independent variables as the dependent variables) were orderly 1) independency of internal audits(.142), 2) specialty of local council(.117), 3) institution-side of whistle-blowing(.075), 4) organization and operation of public service union(.049). the other sub-factors also had an influence, even though a little bit small. And influential power, which the fairness level of personnel administration by the chief of basic local governments gives an influence to the dependent variables is .363. Likewise, this result shows us that it is very important to improve or promote a fairness level of personnel administration by the chief of basic local governments.
Anyway, these results show us that it is specially crucial to promote or strengthen orderly 1) the fairness level of personnel administration by the chief of basic local governments(this influential power is overwhelming), 2) independency of internal audits, 3) institution-side of whistle-blowing 4) specialty of local council, 5) supports of the chief of basic local governments to internal audits. 6) organization and operation of public service union, in order to advance the personnel administration of merit system in the basic local governments of Korea.
According to these analytic outcomes, if I suggest the policy alternatives, as follows :
Firstly, in the case of internal audits, 1) raising the positive perception to independency of internal audits by the chief of basic local governments, 2) making the various actions(ex. independency of organizations, budgets, status or personnels, and establishment of the local audit committee) to guarantee independency of internal audits from the chief of basic local governments, 3) institutionalizing internal audits’ systems of central governments as regulation of the basic local governments themselves, 4) newly making the internal audits’ agents as everlastingly working in the internal audits department. 5) recruiting the internal audits’ leader and agents from the exterior, 6) using the expeditionary systems(B.A.I., supreme audit agency, dispatching the internal audits’ leader and agents to the basic local governments), and 7) strengthening the specialty of internal audits’ leader and agents(ex. recruitments of an expert and outstanding human resources, strengthening training and education, considering the suitability of human resources’ posting), are needed.
Secondly, in the case of local council, in order to secure the specialty of local council, 1) strengthening the required qualifying conditions of local council’s candidates, 2) abolishing the public recommendation system of party to the local council’s candidates, 3) giving the local council an autonomy of personnels to the public servants(ex. professional committeeman) affiliated with the official organizations of local council, 4) introducing the appraisal systems against the activities of local council’s members, 5) preparing the tools to make the training programs of local council’s members substantial, 6) intensifying the control functions by citizens or inhabitants, press(ex. broadcastings, newspapers, internet press, etc.), NGOs to the local council’s members and their activities, 7) lifting the efficiency and specialty of the local council’s audits to administrative works, are needed.
Thirdly, in the case of organizations and operations of public service union, in order to activate the organizations and operations of public service union, 1) making the political activities of public servants belonged to public service union more free, 2) improving the limitations to the constitutions of negotiation conference body of the public service union and establishments of the least unit-union, 3) improving the status of the full-time union members, 4) establishing the objective and neutral meditating committees to solve the troubles occurred between members of the public service union and employers, 5) activating the public service’s work conference, not public service union, are needed.
Fourthly, in the case of whistle-blowing systems, in order to activate the whistle-blowing, 1) improving the organization’s cultures and perceptions of members and chief of basic local governments to the whistle-blowing systems and whistle-blowing, 2) strengthening the publicity activities and educations to the members and chief of basic local governments about the whistle-blowing systems or institutions, 3) improving the personal protections, secret security to whistle-blowers and incentive systems to whistle-blowing, etc., 4) supplying the supports(ex. budgets, incentives, honoring, etc.) to the superior agencies in operating the whistle-blowing systems or institutions, are needed.
And, because the policy alternatives to the chief’s fairness to personnel administration in the basic local governments are similar to, or included into them of 4 independent variables suggested in the front, here do not describe.
Anyway, finally we can say definitely that it is specially crucial to promote or strengthen the fairness level of personnel administration by the chief of basic local governments, in order to realize and establish the personnel administration of merit system in the basic local governments of Korea.

목차 (Table of Contents)

• <목 차>
• 제1장 서론 1
• 제1절 연구의 배경 및 목적 1
• 제2절 연구의 범위 및 방법 5
• 제2장 지방자치단체장의 인사권한과 실적주의 인사행정 8
• 제1절 지방자치단체장의 인사권한과 역할 8
• 1. 지방자치단체장의 인사권한 8
• 2. 공정한 인사관리자로서 자치단체장의 역할 11
• 제2절 지방자치단체의 실적주의 인사행정 15
• 1. 실적주의(merit systems)의 개념 15
• 2. 실적주의 개념의 변천 17
• 3. 우리나라의 실적주의제도 20
• 4. 실적주의 인사행정에 관한 선행연구 23
• 제3절 지방자치단체의 실적주의 인사행정 운영현황 34
• 1. 지방자치단체 실적주의 인사행정의 필요성 34
• 2. 지방자치단체 실적주의 인사행정의 현황 및 문제점 36
• 가. 자율성(autonomy) 측면 36
• 나. 개방성(openness) 측면 39
• 다. 전문성(specialty) 측면 43
• 라. 공정성(fairness) 측면 46
• 제4절 지방자치단체장의 인사공정성 50
• 1. 인사공정성의 개념 50
• 2. 지방자치단체장의 인사공정성 확보 필요성 55
• 3. 지방자치단체장의 인사공정성 및 실적주의 저해 현황 57
• 4. 지방자치단체장의 인사부패 현황 등 62
• 제3장 지방자치단체장의 행정책임과 내부통제 69
• 제1절 지방자치단체장의 행정책임과 행정통제 69
• 1. 행정책임(administrative responsibility) 확보의 필요성 69
• 2. 행정책임의 의의와 유형 72
• 3. 행정책임의 내용과 특성 74
• 4. 지방자치단체장의 책임 76
• 5. 지방자치단체장에 대한 행정통제의 유형 80
• 제2절 지방자치단체장에 대한 내부통제제도 84
• 1. 내부통제(internal control)의 의의 84
• 2. 지방자치단체장에 대한 내부통제수단 91
• 가. 자체감사에 의한 내부통제 91
• 나. 지방의회에 의한 내부통제 106
• 다. 공무원노동조합에 의한 내부통제 115
• 라. 내부고발자(whistle-blower)에 의한 내부통제 123
• 제4장 연구분석의 틀 135
• 제1절 내부통제, 인사공정성, 실적주의 인사행정의 관계 135
• 1. 내부통제와 실적주의 인사행정과의 관계 135
• 2. 지방자치단체 내부통제와 인사공정성의 관계 136
• 3. 지방자치단체장의 인사공정성과 실적주의 인사행정과의 관계 139
• 제2절 연구분석의 틀 141
• 제5장 조사 설계 144
• 제1절 가설의 설정 및 변수의 선정 144
• 1. 가설의 설정 144
• 2. 변수의 선정 148
• 제2절 자료의 수집 및 표본의 특성 159
• 1. 자료수집방법 159
• 2. 표본의 특성 161
• 제3절 측정도구의 신뢰도 및 타당도 164
• 1. 측정도구의 신뢰도 164
• 2. 측정도구의 타당도 : 요인분석(factor analysis) 165
• 제6장 실증분석 176
• 제1절 기술통계 176
• 1. 지방자치단체의 자체감사에 의한 통제 176
• 2. 지방의회에 의한 통제 178
• 3. 공무원노동조합에 의한 통제 179
• 4. 내부고발자에 의한 통제 180
• 5. 지방자치단체장의 인사공정성 182
• 6. 지방자치단체에서의 실적주의 인사행정 183
• 제2절 실적주의 인사행정의 영향요인에 대한 인식 185
• 1. 지방자치단체의 자체감사에 의한 통제 185
• 2. 지방의회에 의한 통제 193
• 3. 공무원노동조합에 의한 통제 198
• 4. 내부고발자에 의한 통제 201
• 5. 지방자치단체장의 인사공정성 206
• 6. 지방자치단체에서의 실적주의 인사행정 209
• 제3절 실적주의 인사행정에 대한 영향요인 분석 212
• 1. 상관관계 분석(Correlation Analysis) 212
• 가. 단순상관관계(Simple Correlation) 분석 213
• 나. 편상관관계(partial correlation) 분석 214
• 다. 단순 및 편상관관계 계수정리 : 매개변수의 역할 확인 216
• 2. 실적주의 인사행정에 대한 영향요인 분석(매개효과의 일반적 유형,
• Baron & Kenney, 1986) 216
• 가. 모형1(a) : 지방자치단체장의 인사공정성에 대한 회귀분석 221
• 나. 모형2(b) : 단체장의 인사공정성이 실적주의 인사행정에 미치는
• 영향에 대한 회귀분석 224
• 다. 모형3(c) : 실적주의 인사행정에 대한 회귀분석 : 직접효과 모형
• (자치단체장의 인사공정성 변수 제외) 224
• 라. 모형4(c’) : 실적주의 인사행정에 대한 회귀분석 : 매개효과 모형
• (자치단체장의 인사공정성 변수 포함) 227
• 마. 모형종합 229
• 3. 연구가설의 검증 233
• 제4절 기초자치단체별 영향요인 분석 235
• 1. 기초자치단체별 평균 분석 235
• 2. 단체장의 재임기간별 영향요인 분석 238
• 3. 응답자의 직급별 영향요인 분석 243
• 4. 시·군·구별 영향요인 분석 249
• 제7장 결 론 256
• 제1절 연구의 요약 256
• 제2절 연구의 시사점 258
• 1. 이론적 시사점 258
• 2. 정책적 시사점 263
• 제3절 연구의 한계 및 향후 방향 286
• 참 고 문 헌 287
• [부록] 설문지 302
• ABSTRACT 309