정책과 조직의 전략적 상호작용과 성과 변화 : 정부출연연구기관의 PBS, 거버넌스 및 조직관리를 중심으로

다국어 초록 (Multilingual Abstract)

Organizations and individuals may conform to changes and constraints of external environments and tend to more strategically behave under their positions and circumstances. This study analyzes introduction and modifications of the project-based system(PBS hereafter) and changes of the governance structure for government-funded research institutes(GFRIs hereafter) in Korea since late 1990s, which are able to be seen as strategic choices by government under external situation of expanding new public management principles at that time and domestic circumstances of hardship in the public and private sectors in Korea. Then the introduction of the PBS and a new governance structure of public sector R&D had played a role of influencing on organizational management practices, human resources and performance management, in the GFRIs. These constraints of above levels as well as strategic choices by governmental and organizational actors have impacts on performances in research and development and operational management of GFRIs. This study analyzes and interprets all these multiple interactions and consequences through a continuous analytic framework. The research results are suggested as follows.
The PBS was introduced in 1996 to implant principles of competition and autonomy in GFRIs and to improve their organizational performances. The PBS resulted in changes of government funding scheme and personnel expenditure support to the GFRIs, in particular at the beginning period, which reached to a combination of stable government fund and research project fund based on open competition.
The combined and more competition-oriented R&D funding caused a counter-reaction of GFRIs, and the GFRIs and scientific communities argued for increase of stable R&D fund for organizational maintenance and accomplishments of fundamental and unique missions of R&D which are suitable for GFRIs. They also asserted that they were in trouble because of involvements in too many R&D projects for getting funds to operate organization and to pay salaries of staffs.
The PBS also had impacts on organizational management and R&D performances of the GFRIs. Exits of R&D personnels in the GFRIs were persistent, and the trend had been increasing. Many R&D staffs have moved to universities and private companies. Change in the R&D performances were clear that increasing R&D performances of the GFRIs under the Research Council for Industrial Science and Technology were shown in the area that strong financial incentives were allowed between 2005 and 2010. During these periods the performance of academic journal publications had decreased, but revenue of technological transfer and licensing had increased. Also we found that the publication of journal articles per researcher had decreased, which were consistent with decline of stable government fund.
Persisting these problems had policy-makers modify the rigid application of the PBS, which can be interpreted as a strategic choice by government under the circumstances. Therefore Korean government adopted a measure of incremental raise of government fund for helping the GFRIs perform more missionary R&D activities. These interactions and choices had been taken place because decreasing or stagnant performances and escalating contradiction to the PBS were persistent.
The establishment of the Korean Institute of Science and Technology(KIST) in 1960s was a monument for starting the public research and development governance in Korea. There has been increasing number of public research institutes. Governance structure of public R&D changed by the establishment of the research councils as an intermediate organization in 1999. In other words the type of mono-ministerial governance shifted to mono-ministerial umbrella governance which include multiple GFRIs under a research council. Five research councils under the Office of Prime Minister were formulated which are classified by sectors of technology and R&D objectives.
The introduction of research council system was to improve not only managerial autonomy and collaboration but also accountability of the public research institutes. It had an ultimate goal of enhancing R&D performances and of contributing to increase of science and technology capacity and international competitiveness. Three research councils under the Prime Minister Office, which were in area of science and technology, moved to the Ministry of Science and Technology which was advanced to the level of vice-ministry from ministry level in 2005. And the three research councils were reformed to two councils such as the Research Council of Fundamental Science and Technology(KRCFST) and the Research Council of Industrial Science and Technology(KRCIST) with inauguration of new administration in 2008. The 2008 reform was a small change of governance structure adding features of multi-ministerial umbrella type, which the KRCFST was under the Ministry of Education and Science and Technology and the KRCIST under the Ministry of Knowledge Economy.
Operational and R&D performances were being shown with change of the governance structure of public research institutes. The R&D performances were measured by per researcher in academic journal article publication in domestic and international, patent registration to relevant offices in Korea and abroad, and revenue from technology transfer and licensing. The performance of academic journal article publication greatly increased during the second period(2005-2007) and then decreased during the third(2008-2012). The revenue performance had continuously increased through all period.
The introduction of the PBS made changes in the revenue distribution of the GFRIs. It made the GFRIs difficult in acquiring stable fund for wages of staffs, and thus the GFRIs had more employed part-time or contract researchers. The increasing share of non-regular researchers mainly resulted from the change of funding system. The partial correlation analysis showed that increase of non-regular researchers had negative relationship with organizational management performance and positive relationship with R&D performances in the GFRIs with a statistical significance. In particular the positive impact of increasing ratio of non-regular researchers to improvement of R&D performances was effective in domestic area such as journal article publication and patent registration in Korea rather than in international offices and journals.
The relationship between quality of human resources management and performance were different by performance indicators. The quality of human resources management was measured by the employment of excellent researchers and capability improvement of existing researchers in the annual performance review of GFRIs. The better quality of human resources management, the higher R&D performances in domestic patent registration and revenue from technology transfer and licensing.
The GFRIs have adopted performance management methods such as balanced-score cards or performance monitoring system to increase organizational performances. The enactment of the Act of Performance Evaluation and Management for National R&D Projects has systemized performance review of GFRIs. The performance evaluation has been done at multi-level, which are done by self-assessment and upper-level review by or research councils or ministries. The results of performance evaluation have been associated with incentive scheme to motivate researchers and to lead performance improvement of Korean GFRIs.
The quality of management of human resources and performance have significant influence on R&D performances in partial. The quality of performance management is statistically associated with R&D performance of domestic patent registration as well as revenue from technology transfer and licensing in positive way. The result of ANOVA in particular shows that there are clear performance differences between low management quality groups and high ones.
In sum, the study demonstrates that the Korean government, research councils, and GFRIs strategically respond to environment and upper level policies and regulations and then tries to improve their performances based on close association with management quality and incentive mechanisms. The introduction and change of the PBS had led to modify management strategies and organizational R&D performances in the GFRIs. The most obvious performance improvement was found in the domain of performance with associated with which high economic incentive schemes are applied such as technology transfer revenue and patent registration. A further study may need to be followed with a better consistent panel data-set and an analysis on dynamic relationships among policy actors and their consequences.

목차 (Table of Contents)

• 제1장 서 론 1
• 제1절 문제의 제기 및 연구의 목적 1
• 1. 문제의 제기 1
• 2. 연구의 목적 5
• 제2절 연구의 범위 및 방법 7
• 1. 연구의 범위 7
• 2. 연구의 방법 8
• 제2장 이론적 논의 및 분석의 틀 11
• 제1절 환경의 영향과 정책, 거버넌스 및 조직관리의 변화 11
• 1. 환경과 전략적 선택 11
• 2. 정책변화와 조직관리 변화 17
• 제2절 조직관리 변화와 조직 성과 20
• 1. 조직관리와 조직성과 20
• 2. 인적자원관리 변화와 조직 성과 23
• 3. 성과관리 변화와 조직 성과 25
• 제3절 연구 논리 및 분석의 틀 27
• 1. 연구체계의 구성 논리 27
• 2. 분석의 틀과 내용 29
• 제3장 연구과제중심운영제도의 도입, 변화 그리고 연구개발 성과 32
• 제1절 연구과제중심운영제도의 의의와 도입의 논리 33
• 1. 연구과제중심운영제도의 의의와 목적 33
• 2. 연구과제중심운영제도 도입의 논리 37
• 3. 연구과제중심운영제도를 둘러싼 논쟁 40
• 제2절 연구과제중심운영제도 도입의 영향 45
• 1. 정부출연연구기관의 수입구조 변화 45
• 2. 연구인력 인건비 비중의 변화 51
• 3. 정부출연연구기관 연구인력의 이동 53
• 제3절 정부출연연구기관의 수입구조 변화와 연구개발 성과 56
• 1. 연구과제중심운영제도 도입 이후 연구개발 성과 57
• 2. 연구과제중심운영제도의 수정과 연구개발 성과 59
• 제4절 소결: 분석의 결과와 함의 65
• 제4장 공공연구개발 거버넌스의 변화와 조직 성과 68
• 제1절 공공연구개발 거버넌스 69
• 1. 공공연구개발 거버넌스 유형 69
• 2. 연구회 체제와 공공연구개발 거버넌스 73
• 제2절 공공연구개발 거버넌스의 변화 78
• 1. 연구회 체제 도입의 논리 78
• 2. 연구회 체제와 공공연구개발 거버넌스 83
• 3. 연구회 체제 및 공공연구개발 거버넌스의 변화 86
• 제3절 공공연구개발 거버넌스 변화와 연구개발 성과 89
• 1. 거버넌스에 따른 연구개발성과 분석 89
• 2. 연구회 체제 공공연구개발 거버넌스에 대한 평가 96
• 제4절 소결: 분석의 결과와 함의 101
• 제5장 정부출연연구기관의 관리방식 변화와 연구개발 성과 분석 103
• 제1절 정부출연연구기관의 인적자원관리와 성과의 변화 104
• 1. 정부출연연구기관 인적자원관리의 변화 104
• 2. 효율성과 성과향상 논리의 결과 107
• 3. 인적자원 구조의 변화와 연구개발 성과 분석 111
• 4. 인적자원관리의 질과 연구개발 성과 분석 119
• 제2절 성과관리의 변화와 연구개발 성과 121
• 1. 정부출연연구기관의 성과관리 방법 121
• 2. 정부출연연구기관의 성과 관리 및 평가 123
• 3. 성과관리와 연구개발성과의 관계 137
• 4. 정부출연연구기관 성과관리 및 평가제도에 대한 평가 142
• 제3절 소결: 조직관리와 연구개발성과 분석의 결과와 함의 144
• 제6장 결론 147
• 제1절 연구의 결과 및 함의 147
• 제2절 연구의 한계 및 과제 153
• 참고문헌 155
• Abstract 165