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Distribution Science
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Distribution Management
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Distribution
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Distribution
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Distribution Information
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Market
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Management
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Acquisition Yudi Sutarso, Perbanas Business and Banking School, Indonesia
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Dongjin Shin, Paichai University, Korea.
Distribution Consumer
Jooh Lee, Rowan University, USA
Management Behavior & CRM
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Information Chux Gervase Iwu, Cape Peninsula University of Technology, South Africa
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Manufacturing,
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Retailing Seul-Ki Lee, Sejong University, Korea
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流通科學硏究
Vol.16 No.11 November 2018
Part 1 : English
• A Systematic Literature Review of the Environmental Upgrading in Global Value Chains and
Future Research Agenda
Amira Khattak, Luisa Pinto ······················································································ 11
• A Study on the Determinants of Free Trade Agreement in South Korea: Evidence from Asian
Countries
Yugang He ·················································································································· 37
Part 2 : Korean
• A Study on Salesperson Brand Relationships, Customer Orientation, and Customer Store Loyalty
Soonhwa Choi ············································································································ 57
Kang-Young Lee*
Received: November 03, 2018. Revised: November 09, 2018. Accepted: November 10, 2018.
Abstract
Purpose – The recent establishment of many varieties of English language in the globe has created many models of English
such as world Englishes (WEs), English as a Lingua Franca (ELF), English as a family of languages, and English as an
Intercultural Language (EIcL). Among the models, the present study highlights ‘English as an intercultural language (EIcL)’ in
relation to distribution science business English teaching to elucidate what EIcL is and why it is critical and how it can be
realized in the business English classrooms.
Research design, data, and methodology – This study look into the EIcL paradigm that empowers all active users to view
English as universal and at the same time enables them to develop critical skills to bridge intercultural gaps or to cross
borders.
Results – Rather than just focusing on an acquisition of standardized English(es), EIcL serves as a major contextual factor
facilitating success in getting competence among the different English languages.
Conclusions - EIcL is a promising and ultimately rewarding approach to the contemporary business English teaching arena.
EIcL should be achieved through policies, textbooks or living abroad, and, above all, learners/teachers’ active awareness and
understanding’ of the EIcL mainstreams.
1. Introduction: The EIcL Paradigm language (EIcL). Each model posits a wide range of
interpretations and a fair amount of disagreement about what
English language has found itself into “the most widely the implications of this phenomenon are and how English
taught, read, and spoken language that the world has ever should be viewed, taught, learned and used in today’s
known” (Kachru & Nelson, 2001, p.9). Qiong (2004) reports globe. If seen from a more traditional view, the inner circle
that, by 2050, more than half the population around the of Kachru’s (1985, 1998) Concentric Circles of World English
world is becoming communicatively literate and proficient in represents the bullseye of a target that those in the outer
English. This rapid global prevalence of the language has and expanding circles should endeavor to hit; that is, the
incurred many new forms, functions, and norms of goal of learning/educating English is to achieve and adhere
English(es) incubated within its sociolinguistic and to native English speaking (NS) standards, norms, and
sociocultural context. This also has prompted an increased values. Sifakis (2004) illuminates this perspective when, in
focus on the study of all the Englishes under such models describing his view of EIL, he brings up the notion of
as World Englishes (WEs), English as an International N-bound comprehensibility, which is concerned with
Language (EIL), English as a Lingua Franca (ELF), English “regularity, codification, and standardness” as defined by
as a family of languages, and English as an intercultural NSs of the language (p.239). This approach ensures a
certain degree of uniformity in how English is used and
* Professor, English education section, the Division of Creative and maintains the influence that inner circle countries have on
Convergent Education, Chungbuk National University, Korea. other parts of the world.
Tel: +82-43-261-3746. E-mail: kangyounglee@cbnu.ac.kr At the other end of the spectrum are linguists/practitioners
6 Kang-Young Lee / Journal of Distribution Science 16-11 (2018) 5-10
who focus primarily into the diversity of English as it is predominantly been ‘user-dependent,’ ‘situation-specific,’ and
currently used worldwide. In this case, codified forms of ‘comprehensible-oriented’ in the globe. Therefore, EIcL
localized English are of interest; the language itself is supports English being ‘descriptive” of how it functions today
analyzed to determine the effects that local cultures have on for communication for the world, not prescriptive of how the
shaping its use, and large corpus studies (see ‘English as a language should/ought to be used – empowering all the
lingua franca,’ Jenkins, 2009) are conducted to bring to light varieties of English today.
regional linguistic differences. This has led to more attention (3) it is “multicultural” in that speakers of more than one
to English as it is used in the outer and expanding circles, country and culture are almost always involved; therefore, it
often between non-native Engilshes speakers (NNSs), and should accommodate the active role of users of all the
less on standards that rely on NS Englishes. As a result of varieties as “agents” in the spread and development of
the copious numbers of these investigations, ELT scholars English(es). They are contributing to the shaping of the
like Canagarajah (2006) and Martin (2014) have called language and the functions it fulfils in future;
Kachru’s model, now old, oversimplified, and no longer
reflects the reality of English being used in today’s world. (4) it aims to create ‘multidialectical users of Englishes
with intercultural knowledge, skills, and attitude in
communication.’ Here, the ultimate aim of EIcL – creating
‘multidialectical users of Englishes with intercultural
2. EIcL and the Contemporary Business knowledge, skills and attitudes in interaction – needs to be
English Teaching Classrooms elaborated. From the EIcL paradigm, the communicative
approach (ie., the mere exchange of information) is not the
While those who stress on the study of language itself objective of language learning/teaching. Instead, EIcL seeks
play a pivotal role in enhancing awareness of all the local to focus more on the construction of social and personal
varieties of English and de-constructing the conventional identities in language learning/teaching; in this case, a
concept of the reliance on inner circle Englishes, it has constructivist, ethnographic approach is more appropriate.
been urged (Giroux, 2005) for a new paradigm that Although communication is a vital aspect of EIcL, the
empowers all active users to view English as universal and communication in and of itself (too often based on inner
at the same time enables them to develop critical skills to circle expectations about how conversations should unfold) is
bridge intercultural gaps or to cross borders. For some, this not the final goal.
new framework is English as an Intercultural Language Another major focus of EIcL is the development of
(EIcL). intercultural competence (Byram, 1997). This begins with an
Lee (2009, 2012, 2013) raised English teachers’ understanding that culture is a dynamic, contextual, and
awareness of what EIcL is. Then, he posits how it can multidimensional process, not a fixed set of rules, values
contribute to the development of the language proficiency and behaviors and that language and culture are inherently
and be actually realized into the contemporary ELT intertwined and inseparable (Choudbury, 2013; Paige,
classrooms by providing some of the teaching activities Jorstad, Paulson, & Klein, 1999). Cultures should not be
conducted in his classes. More recently, Green and Lee viewed as superior or inferior, merely different (Corbett,
(2016) concisely elaborate the EIcL paradigm by identifying 2003; Robinson-Stuart & Nocoon, 1996). In the
the following principles: development of intercultural competence, Byram’s (1997)
(1) EIcL sees English as a heterogeneous language with framework of the four mainstream aspects of saviors (i.e.,
multiple norms and grammars with the focus on its diversity knowledge, skill, attitudinal, and critical/cultural awareness
users speak/listen to. The multiple nature of English should aspects) is one framework that has been utilized. Other
allow that all the varieties of English relate to one another important intercultural skills (Choudhury, 2013) to develop
on a single level rather than on the three hierarchies as in are “the ability to ask questions, to listen and seek
Kachru’s three concentric circle of English. Thus, the notion clarification, to negotiate and identify common ground, and
of both ‘being-native’ and that competency determined by to avoid prejudging or stereotyping” (p.23). To do that,
native speakers/listeners of the language is the primary goal EIcL advocates that users of English(es) seek to instill
and educational criteria, should be rejected; notions of empathy pre/during/post interaction. Practitioners
of EIcL are therefore encouraged to suspend judgement
(2) it is used chiefly within the C-bound approach in about cultures other than their own and attempt to view
which mutual ‘communication, comprehensibility, and culture’ the world through the eyes of others.
have always been needed to be characterized as the main Needlessly saying, in light of today’s glocalized economic
phenomenon in English today. EIcL prioritizes the process of and business affairs, English has become the language of
cross-cultural comprehensibility between learners as a an absolute means to communicate among peoples from the
communicative goal in itself rather than on notions of diverse sociocultural and sociolinguistic contexts. In every
accuracy and standards, since the language has reality, all the varieties of English have been being actually
Kang-Young Lee / Journal of Distribution Science 16-11 (2018) 5-10 7
realized within any business and economic contexts in that aside ethnocentric attitudes and perceptions (attitudinal
speakers of more than one country and culture are almost aspect),
always involved. For this, many colleges and universities (4) savoirs’ engager: it is knowing how to commit oneself
around the world have set off business English teaching to the development of critical and political awareness to
programs (ie., majors of practical English, business English, think about things actively and intelligently rather than just
or international trade English) (McKay, 2003). In this respect, accept them (critical awareness aspect).
EIcL should make an invaluable contribution to any business Byram (1997) later recapitulates the four mainstreams in a
English teaching programs. It asserts that the main goal of figure titled, “What ICC [intercultural communicative
business English teaching is not to train learners to be a competence] Requires Learners to Acquire.” Based upon the
parrot of standardized English(es), but to equip them with approach, Clouet (2008) further stresses that intercultural
ability/competence to communicate fully with his/her competence is a combination of social and communicative
sociocultural English in the intercultural communication skills to train - the skills are: (1) empathy, (2) ability to deal
environment and to improve strategies in dealing with with conflict, (3) ability to work collaboratively, (4) flexibility,
international business affairs. EIcL will change the (5) foreign language awareness, (6) awareness that culture
conventional domains of business English teaching – that is, causes different discussion styles, speech speeds,
change from an abstract and formalistic linguistic interpretation and thought patterns, (7) techniques for
study/competence based upon what we called native handling interactional difficulties, (8) reflection on one’s own
varieties of English and simple business regularities to cultural background, and (9) tolerance of ambiguity.
concrete and practical cultivation of English(es) competence The intercultural models discussed here feature dynamic
and workable business skills in this ever-growing intercultural elements interplaying one another in the intercultural
economic and business arena. The following is how EIcL mainstreams. In particular, those four intercultural
can be realized in business English teaching classrooms. mainstreams (i.e., knowledge, behavioral skills, attitude, and
critical awareness) are all necessary to facilitate success
getting competence in EIcL. Thus, when preparing their
3. EIcL in Business English Classrooms classes, EIcL teachers should pay greater attention not only
to knowledge (savoirs), but also to behavioral skills
Striving to delineate intercultural mainstreams in (savoir-comprendre/faire), attitudes (savoir-être), and critical
second/foreign language teaching and learning has been awareness (savoir-engager).
actively fruitful since the early 1990s. Cormeraie (1998) Along with the intercultural mainstreams, another important
contends that the development of intercultural language challenge that should be identified is to understand the
competence needs to be concerned particularly with nature of EIcL process. The starting point to do this lies in
knowledge, feelings, attitudes, and behaviors. This a closer look at the definition of culture learning/teaching.
intercultural mainstreams teaching and learning (i.e., Paige, Jorstad, Siaya, Klein, and Colby (1999) provide the
knowledge, behavior, and attitude) is further adequately following: Culture learning is the process of acquiring the
schematized within such term as “savoirs” in Byram and culture-specific and culture general knowledge, skills, and
Zarate’s (1997) model of intercultural competence. The attitudes required for effective communication and interaction
following is the four mainstreams of savoirs (i.e., knowledge, with individuals from other cultures. It is a dynamic,
behavioral, attitudinal, and critical awareness aspects): developmental, and on-going process which engages the
(1) savoirs: it is “knowing” or knowledge of culture (both learner cognitively, behaviorally, and affectively. (50) From
oneself and otherselves), including sociolinguistic the definition, Paige with his colleagues see culture as a
competence; awareness of the small “c” aspect of culture ‘dynamic and constantly changing entity’ interlinked with
such as values, beliefs, meanings (knowledge aspect), communication and interaction between individuals belonging
to different ‘intercultural contexts.’ The learning/teaching goal
(2.1) savoir comprendre: it is knowing how to understand from this perspective shifts from a rote memorization of
via skills to interpret documents from other countries and cultural facts (i.e., visible historical facts, arts, and literature)
explain and relate it to one’s own culture (behavioral to the acquisition of the culture-general (i.e., intercultural)
aspect), competence and learning how to learn about culture. The
(2.2) savoir apprendre/faire: it is knowing how to learn/to process of EIcL, therefore, is not static. It actively involves
do (or integrate) via skills for discovering new knowledge transformation of learners (i.e., his/her ability) to
and for interacting (or integrating the knowledge into communicate and to understand communication, and of
interaction) to gain new ability (behavioral aspect), his/her skills for ongoing learning through observation and
(3) savoir être: it is knowing how to be via having participation inside and outside the language class. This will
help speakers/users of EIcL to acquire a deeper
equipped with attitudes involved in relativizing the self and
valuing the other (i.e., ‘ethnorelative attitude’) by setting understanding of the concepts of culture, cultural adaptation
8 Kang-Young Lee / Journal of Distribution Science 16-11 (2018) 5-10
and intercultural communication, to develop strategies for speakers along with panel discussions, or even singing. All
dealing with cultural differences in communication, and finally such activities and materials should be deliberately chosen
to become more autonomous in the process of learning and to portray different aspects of culture and English(es),
to position him/herself at an intermediate intercultural zone highlighting attractive aspects vs. shocking ones,
among cultures. similarities vs. differences, facts vs. behavior, historical vs.
Obviously, all the aspects have to be taken into account modern, old people vs. young people, and city life vs. rural
in the EIcL classrooms where learning can definitely rely not life, etc.
only on the acquisition of knowledge about culture(s) but
also on involving reflection and comparison between two
sets of practices or more. Although the amount of culture 4. Conclusion
and actual socialization with other cultural beings that can
be dealt with within the context of formal language This article has articulated what EIcL is, consists of, and
classrooms are rather limited, there has been some amount why it is pivotal for today’s ever-growing business English
of precious research on developing methodologies (Byram, teaching arena. Such EIcL mainstreams as knowledge,
1988, 1989; Crawford-Lange & Lange, 1984; Crozet, 1996; behaviors, attitudes, and critical awareness have been
1998; Kramsch, 1993; Liddicoat & Crozet, 2001; Sercu, reported to be essential for being competent in getting
2002) for teaching intercultural language competence in success in EIcL. The mainstreams can be achieved in its
language classrooms in a way that develops comparison, classrooms; that is, some methodologies entailing cultural
reflection, and integration of authentic intercultural exploration, comparison, acquisition, and negotiation
experiences into the cultural identity of learner. Among those (integration) of one’s own third place between cultures. EIcL
methodologies, Liddicoat and Crozet’s (2001) model for serves as a major contextual factor facilitating success in
intercultural language learning/teaching consists of four steps: getting competence/proficiency among Englishes. EIcL has
(1) awareness raising (the stage where learners are become indispensable, for real intercourses via many
introduced to new linguistic and cultural input), (2) recognized varieties of Englishes are unavoidably all
experimentation (the stage to help fix learners’ newly situation-specific and user-/nonnative speaker-centered since
acquired knowledge via experienced learning), (3) production the postmodern era, rather than just focusing on an
(the stage to apply in the real life situation, and feedback), acquisition of standardized English(es). Active and positive
and (4) feedback (the stage to reflect on the experience of research on EIcL can shed light on the way learners from
acting like a native speaker in the production phase and to different speech and cultural backgrounds communicate with
allow students to discover their place between their first other NNSs or NSs in English or on more elaborate ways of
language and culture and their second). Notably, each step establishing mutual comprehensibility while withholding
comes with roles which could be played by learners and speaker’/user’s cultural identity and upholding the place of
teachers optimally in any classrooms along with materials the ‘intercultural zone’ when they can safely/comfortably put
and activities. Likewise, all of the models have common themselves into the realm of the ‘ethnorelative attitude’ and
features which can be seen as the basis for a methodology truly enjoy the comprehensibility.
known as ‘intercultural language[English] learning/teaching.’ Some further considerations/research on EIcL have been
These common features are; cultural exploration, cultural actively suggested. Sifakis (2004) has questioned learners’
comparison, cultural acquisition, negotiation (integration) of attitudes regarding (1) the issue of ownership of English and
one’s own ‘third place’ between cultures. Materials and its status in intercultural communication and (2) ‘standard
contents should be employed in order to make learners English pronunciations (i.e., RP (i.e., received pronunciation,
aware of the EIcL mainstreams, encouraging them to meaning the standard accent of England) or General
compare and contrast foreign cultures with their own. American?, Is a native-like important to them?, how do
Materials that do this will, as Valdes (1990) suggests, prove learners view his/her own accent or react to other NNSs’
to be successful with learners. Coursebooks such as New accents?, do they prefer his/er national/cultural identity to be
English File (Oxenden & Latham-Koenig, 2000), New evident or concealed through their own accent?). Other
Interchange (Richards, 2000), and World English (Milner et researchers (Alred et al., 2002; Jenkins, 2003; Liaw &
al., 2014) show good examples of contents that provide a Johnson, 2001) have also mentioned about the scarcity of
plenty of opportunities for learners to examine other cultures EIcL materials and called for the availability of
and their own from a ‘third place’ perspective through appropriately-designed in-class and out-of-class coursebooks.
varieties of Englishes. EIcL is a promising and ultimately rewarding approach to the
Some more in-class activities (Corbett, 2003; Green, contemporary business English teaching arena. EIcL can be
2017; Lee, 2012) to engage students actively in the target achieved also through ‘policies’ (Sercu, 2003) and ‘materials
culture and English(es) can be role plays along with or living abroad’ (Byram & Zarate, 1996). However, most
simulations, reading activities and quizzes, listening importantly, without ‘learners/teachers’ awareness and
activities, writing activities, discussion activities, guest
Kang-Young Lee / Journal of Distribution Science 16-11 (2018) 5-10 9
Yeshova (Eds.), Culture as core: Integrating culture teachers’ professional self-concepts and teaching
into language curriculum (pp. 47-113). Minneapolis, practices compared. Language Awareness, 16(3),
MA: University of Minnesota. 150-165.
Qiong, H. X. (2004). Why China English stand alongside Sercu, L. (2005). Foreign language teachers and
British: American and other ‘World Englishes.’ English intercultural competence: An international
Today, 20(2), 26-33. investigation. Bristol, England: Multilingual Matters.
Richard, J. C. (2000). New interchange. Cambridge, Sifakis, N. (2004). Teaching EIL – Teaching international
England: Cambridge University Press. or intercultural English? What teachers should know.
Robinson-Stuart, G., & Nocon, H. (1996). Second Culture System, 32, 237-250.
Acquisition: Ethnography in the Foreign Language Valdes, J. M. (1990). The inevitability of teaching and
Classroom. The Modern Language Journal, 80, learning culture in a foreign language course. In B.
431-449. Harrison. (Ed.), Culture and language classroom (pp.
Sercu, L. (2002). Implementing intercultural foreign 20-30). Oxford, England: Modern English
language education. Belgian, Danish and British Publication/British Council.
Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 11
Received: October 08, 2018. Revised: October 30, 2018. Accepted: November 10, 2018.
Abstract
Purpose - The purpose of this study is to provide a systematic literature review related to environmental upgrading in Global
Value Chains (GVCs) and suggest possible future research agendas in advancing environmental upgrading and ultimately
GVC boundaries.
Research design, data, and methodology - The academic databases such as Science Direct, EBSCO, ProQuest and Google
Scholar were explored using a structured keywords searches to identify relevant research in the environmental upgrading
area in GVCs. Only relevant papers were selected after reading the abstracts, and analyzed using qualitative content
analysis.
Results - Overall analysis of the literature review suggests two critical developments in the field of environmental upgrading.
The first and foremost major development is an enhanced understanding of environmental upgrading as a concept and
phenomenon. The second significant development is that environmental upgrading has been empirically proven to be
fundamentally based on relationships and power structures within GVCs.
Conclusions - Environmental upgrading in GVCs has been studied individually and not in relation to financial outcomes and
social upgrading. Hence, the relationship of environmental upgrading with financial outcomes and social upgrading needs to
be investigated. Furthermore, the impact of the interaction of varying institutional structures on environmental upgrading is
worthy of future study.
Keywords: Governance, Global Value Chains (GVCs), Systematic Literature Review, Environmental Upgrading, Institutions,
Future Research Agenda.
Oxford Committee for Famine Relief (OXFAM) (Plahe, 2005), recommended for conducting a literature review were
and Brooks World Poverty Institute, The University of followed: (a) identification of sources of information, (b)
Manchester. identification of articles and other research, and (c)
There is extensive research and theory-building taking identification of reviews of items (Hart, 2011).
place around the GVC framework and related constructs, for The current study focuses on academic peer-reviewed
example, economic and social upgrading. However, we could published papers, working papers, and books, including book
not find an in-depth review of the environmental upgrading chapters related to environmental upgrading literature in
construct, being the most under-investigated area in the GVCs. The literature search confined itself only to research
GVC literature. Hence, there is a need to systematically published in the English language from 2009 to 2018. The
review the theoretical progress taken place since the academic databases such as Science Direct, EBSCO,
inception of the environmental upgrading in GVC framework ProQuest and Google Scholar were explored using a
and, identify future research directions advancing structured keywords search to identify relevant research in
environmental upgrading and ultimately GVC research the environmental upgrading area. For this selection, three
boundaries. Economic upgrading means improving product criteria were taken into account: (i) researchers in the social
quality, process innovation and garnering marketing skills. and management sciences use these databases most
Social upgrading encompasses improving the rights and frequently; (ii) the databases can be accessed at the library
entitlements of workers as social actors and the quality of at the authors’ university; (iii) a mix of database types (e.g.,
their employment (Sen, 2000). Whereas, environmental citation databases, publisher databases, and subject area
upgrading in GVCs is defined as improving environmental databases) was required. Accordingly, the keywords or terms
performance through changes in technological, social and “environmental upgrading” and “environmental upgrading in
organizational processes with the intention of avoiding or global value chains” were used for the search processes.
reducing overall environmental impacts (Khattak, Stringer, The reason for using these keywords came from their
Benson-Rea, & Haworth, 2015). Recently, Hernández and adoption and prevalence in previous literature reviews
Pedersen (2017) attempted to provide an in-depth review of conducted by other researchers; also, additional relevant
the GVC approach and a future research agenda. However, publications were obtained through references cited in the
there is still some potential for the explanation of updated papers identified through the database search. The reason
research, especially related to literature enhancement, with for that was to ensure that unintended omissions are
particular reference to environmental upgrading in GVC. avoided, and all the relevant papers have been included in
Hence, this paper provides an in-depth description of the study.
environmental upgrading, at the same time highlighting major The keyword search across the databases and cross-
theoretical developments around the construct. The paper referencing procedure to collect the literature on
concludes with the identification of missing elements and environmental upgrading in GVCs resulted in over a hundred
possible contributions that could be made. The main papers and other research outputs. According to Jahangirian,
contributional value of this paper lies in it being an in-depth, Eldabi, Naseer, Stergioulas, and Young (2010), reading the
updated and the state-of-the-art literature review of abstracts was adopted to eliminate irrelevant papers from
environmental upgrading of GVC, which could be used by the selection. Many papers that did not match precisely or
researchers and practitioners alike, for potential related did not fall under the category of environmental upgrading in
future research. the GVCs were removed from the purview of this study.
Only relevant papers and research were selected and,
hence the number came down to 11 articles and 1 book
2. Methodology chapter. There is a theoretical possibility of the existence of
some subjectivity involved in deciding which articles actually
The literature review presented in this paper is based on belong to the domain of environmental upgrading in GVCs,
a systematic analysis of all known research and but to avoid that careful segregation and, collection was
developments in the environmental upgrading domain from made.
2009 until the end of 2018 (since the inception of the Further to the above mentioned logical and objective
concept until now). Meredith (1993) reported that a literature method for the identification of developments in the
review is a summary of the extant literature by identifying environmental upgrading area, a subjective way was also
the focus of research, trends, and issues from past employed; alerts were set in Google Scholar since 2009 and
research. According to Tranfield, Danyer, and Smart (2003), every research work including “environmental upgrading” as
the purposes of the literature review are the consolidation of a keyword was received by email. Each of the papers and
the intellectual structure of an identified field and identifying research received through alerts was read and reviewed in
the key knowledge gaps and opportunities to address them. relation to GVC. In case the paper or research was related
Following that rationale, a systematic literature review to the GVC, it was added to the folder created for this
process has been adopted in this paper. The following steps purpose with the title of “environmental upgrading in GVCs”.
Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 13
In this way, a comprehensive list of all papers and other (Kaplinsky, 2000). Further, governance is critical for learning,
research work was generated. All papers and other research knowledge diffusion and upgrading in GVCs. Although lead
were analyzed using qualitative content analysis and, major firms are continuously seeking cost reduction, high quality,
themes were generated, which are discussed in-depth in the increased speed and conformance to other specified codes
review section of the paper. All research work and papers of conduct, at the same time they also transmit best
were also reviewed for confirmatory findings and main practices and advice to participating firms (Humphrey &
arguments were generated. In this way, a chronological Schmitz, 2001), thus stimulating learning and upgrading
literature review was written in a systematic fashion. along the chain (Gibbon & Ponte, 2005).
(Khattak, Haworth, Stringer, & Benson-Rea, 2017). undertake environmental initiatives by implementing
Environmental upgrading could be studied from two environmental requirements and standards, as well as by
perspectives; from economics and management perspectives. offering future contracts. As part of this process, lead firms
From an economics perspective, environmental innovation is transmit knowledge to suppliers regarding emerging
the process by which economic actors introduce or modify environmental trends and policies in their home countries, as
processes, techniques, practices, systems, and products to well as knowledge about certification standards. Importantly,
avoid or reduce environmental damages (Beise & Rennings, lead firms play a key role in implementing and enforcing
2005; Rennings, 2000). In the field of management, environmental strategies across GVCs, at least until formal
“environmental upgrading takes place when a company institutions and regulations actively start setting and
improves its environmental performance through changes in enforcing environmental standards. Overall, all studies
product and process technology, management systems, conclude that participation in GVCs and relationship with
waste and emission treatment and so on” (Jeppesen & lead firms affect upgrading as evident by a recent study
Hansen, 2004, p.263). Khattak et al. (2015) identified the which reveals that relationship of supplier and buyer (lead
need to include a further component of ‘social processes’ to firm) determines the resultant upgrading (economic, social
Jeppesen and Hansen’s (2004) definition of environmental and environmental) (Golini, De Marchi, Boffelli, &
upgrading. Social processes occur when employees are Kalchschmidt, 2018). Here it is worth mentioning that lead
included as key actors in the environmental upgrading firms could be any economic actor and not necessarily
process in order to ensure its implementation. Environmental buyers in GVCs, having power and authority to coordinate
upgrading can be successfully implemented after employees’ globally dispersed but functionally integrated networks. Lead
mindset change through training and involvement in firms decide about value-additions and value-extractions as
environmental management policies and strategies (Khattak well, meaning tasks and profits along the GVCs.
et al., 2015). An empirical research also identified that the role of
However, a well-defined construct of ‘environmental suppliers (upgrading firms) could not be neglected (Khattak
upgrading’ did not exist in the GVC literature until very & Stringer, 2016) in environmental upgrading. The study did
recently (Khattak & Stringer, 2017). In the GVC literature, not underestimate the importance of the role of buyers or
the term was introduced by De Marchi, Di Maria, & Micelli lead firms in the upgrading process but viewed suppliers
(2010) in a conceptual working paper with an objective to own strategic intent as being crucial to the process of
conceptualize a model based on the integration of social environmental upgrading. Hamel and Prahalad (2005)
and environmental upgrading with economic upgrading. That conceptualize ‘strategic intent’ as a sizeable stretch for an
working paper was presented at Duke-Venice International organization for which current capabilities and resources will
University (VIU) International Summer Research Workshop in not suffice. This forces the organization to be more inventive
2009. Later, environmental upgrading was the main focus of and to make more of limited resources, and in turn
the second Duke-VIU International Summer Research challenges the organization to close the gap by
Workshop in 2010. systematically building new advantages. Thus, strategic
One definition proposed in the second workshop of Duke- intent, coupled with firms’ capabilities, can provide a
VIU of environmental upgrading was that “environmental competitive advantage to firms and pave the way toward
upgrading is a way of reducing the ‘environmental impact’ environmental upgrading.
along the value chain”. ‘Environmental impact’ refers to Traditionally, in GVCs analysis, the upgrading construct is
harmful effects on the environment, for example; carbon linked to shifting to more rewarding functional positions or
emission, depletion of natural resources, water, energy by making products with more value-added (Bolwig, Ponte,
consumption and after-use effects (waste, pollution and Du Toit, Riisgaard, & Halberg, 2010). But environmental
energy consumption). Hence, it covers three areas of any initiatives do not necessarily yield to higher profits (Goger,
typical GVC, namely inputs, processes, and outputs. Hence, 2013) as buyers do not offer higher price but benefits in
from GVC perspective, “environmental upgrading is terms of huge cost savings in the long term are experienced
conceived as the process of improving the environmental by the environmentally upgraded supplier firms in developing
impact of value chain operations – including production, countries (Khattak et al., 2015; Khattak & Park, 2018).
processing, transport, consumption, and waste disposal or Further, the costs of process upgrading including those of
recycling” (Poulsen, Ponte, & Sornn-Friese, 2018, p.84). environmental upgrading are pushed back to the suppliers
After paving its way into the GVC literature in 2010, in (Golini et al., 2018). A study has also found that small firms
later years, the majority of the empirical studies found that in a very weak position in GVCs, which embarked upon
buyers, also termed as lead firms, play a major role in environmental upgrading on their own and were not pushed
environmental upgrading by pushing supplier firms to by their buyers or lead firms, did not gain financially as well
upgrade and providing them with the necessary knowledge (Khattak & Stringer, 2017). Such firms obtain environmental
(De Marchi, Di Maria, & Micelli, 2013; Khattak et al., 2015; certifications in an attempt to make themselves competitive
Khattak & Stringer, 2017). Lead firms encourage suppliers to for receiving orders. Nevertheless, the absence of the
Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 15
financial returns can discourage non-upgraded supplier firms supplier’s own role is crucial in environmental upgrading.
from indulging in environmental initiatives as evidenced by Table 1 presents details of all research conducted in the
the study concluding that due to the absence of financial area of environmental upgrading with the main findings.
and technical assistance (costs), the extent of environmental
upgrading remains limited in Tunisian olive oil companies
(Achabou, Dekhili, & Hamdoun, 2017). 4. Review, Future Research Agenda, and
Two recent papers in the environmental upgrading are of Conclusions
Poulsen et al. (2018) and Golini et al. (2018). Poulsen et al.
(2018), found that to improve environmental upgrading in Overall analysis of the literature review suggests two
ports, which are crucial for promoting environmental critical developments in the field of environmental upgrading.
upgrading in maritime transport along GVCs, the GVC actors First is the empirical definition of environmental upgrading
should have a stronger collaboration with stakeholders, for which better explains the concept as a phenomenon and
example, cargo owners and regulators. Poulsen et al. (2018) that there is a convincing notion of similarity among all
research indicates the importance of institutional actors and definitions. Secondly, scholars working in the environmental
regulations in environmental upgrading in GVCs. Whereas, upgrading area have empirically proved that the
Golini et al. (2018) research suggests that environmental environmental upgrading in any firm is based on its
upgrading is positively related to the type of relationship relationship with lead firms in GVCs (Golini et al., 2018).
within GVCs, for example, lead firms push their strategic Firms having capabilities and in strategic relationships are
and capable suppliers to upgrade environmentally. Golini et pushed by their lead firms. Relationship factor also identifies
al. (2018) also highlighted that where lead firms have a the role of governance structures of GVCs impacting
weak relationship with the suppliers, in that case the environmental upgrading.
However, the role of upgrading firms could not be neglected and informal or private governance mechanisms (lead firms)
as is evident in the recent studies that in cases where lead within the chain. However, a typical firm is embedded in a
firms were not pushing their suppliers (weak suppliers), such network of institutions and such networks contain actors
firms took environmental initiatives on their own (Khattak & outside the chains as well. Institutions not only include local
Stringer, 2017; Golini et al., 2018). Among the above but international and regional institutions as well. The rise of
mentioned two major developments in the area, secondary regional value chains as a result of preferential trade
findings are the absence of financial returns after firms have agreements (PTAs) are found to be more sustainable and
been upgraded (Goger, 2013; Khattak et al., 2015; Khattak competitive value chains as compared to international value
& Park, 2018) and, not receiving enough attention by buyers chains (Morris, Plank, & Staritz, 2016). Local and regional
in terms of orders and financial returns. Hence, collaboration actors in such or similar regional value chains compete with
among stakeholders in financial terms is very important global lead firms. In addition, institutions could be private
(Achabou et al., 2017). and public (Islam, Khattak, & Stringer, 2017; Pritchard,
Now we will move onto the future research agenda. Until Neilson, & Fold, 2017). There is a need for studies
recently, both types of upgrading, social and environmental, analyzing the interaction of various institutional forces with
were studied individually, meaning that one stream of the private governance within chains impacting firms’
researchers was studying the relationship between social environmental upgrading trajectories. As evident by a recent
and economic upgrading and another environmental study about the role of the state becoming more important
upgrading as a stand alone concept and phenomenon. than the private governance in the upgrading of a sector
Although De Marchi et al. (2010) attempted to conceptualize where entrepreneurs are dispersed, and transaction costs
an integration of both the constructs along with the are high (Wong, 2017), signaling the need of more studies
economic upgrading in a working paper, empirical evidence targeted at understanding the role of institutions in upgrading
is still not available. Environmental problems have proved to in GVCS. In the GVC literature, governance and institutions
be strictly correlated with poverty and economic conditions in are considered as two distinct dimensions of GVCs.
developing countries (Dasgupta, Deichmann, Meisner, & However, as identified by Sturgeon (2009), integration of
Wheeler, 2005). Climatic conditions of a country as a result governance and institutions can contribute to the robust
of environmental degradation affects the economic and social explanation of why observed inter-firm relationships have
profile of any country (Cateora, Gilly, & Graham, 2016). evolved in an industry and resultant upgrading. Mayer and
From a community/regional perspective (macro level), firms Pickles (2014) have merged both concepts and define
may engage in production or manufacturing processes which governance as:
do not deplete the natural resources and hence providing “Institutions that constrain or enable market actor
sustainable sources of income and place for living to the behavior, both public in the form of governmental policies,
community. At the micro level, there is a need to study the rules, and regulations and private in the form of social
relationship between environmental and social upgrading norms, codes of conduct adopted by businesses, consumer
“from employees’ perspectives; emphasizing employee’s demand for social responsibility or other non- governmental
rewards (entitlements) through involvement in the institutions and social movements” (Mayer & Pickles, 2014,
environmental upgrading processes and improved health and p.17).
safety conditions at the workplace” (Khattak & Stringer, Nevertheless, upgrading including environmental upgrading
2016, pp. 553-554). Hence, there is a gap that could be could be an outcome of the interplay among institutional
filled in the literature by studying the relationship between actors (both within and outside) within a specific industry.
the two types of upgrading at the firm level. The gap once In summary, GVC is a vibrant research area. However,
filled will ultimately contribute to upgrading literature of GVC. there are a few areas which are not adequately addressed.
Further, financial outcomes of environmental upgrading need Environmental upgrading needs more research and
to be researched to overcome the criticism and confusion unpacking being a highly under-investigated area. Moreover,
associated with financial benefits related to environmental environmental upgrading in GVC has been studied
upgrading. In short, ‘does environmental upgrading lead to individually and not in relation to economic and social
financial returns?’: needs to be researched. Lack of positive upgrading. Hence, the relationship between environmental
financial outcomes could result in demotivation among other and social upgrading in GVCs needs to be researched.
non-upgraded firms even if they are capable of upgrading Financial outcomes of environmental upgrading need to be
and have sound financial resources (Khattak & Stringer, researched to overcome the criticism and confusion related
2016). to the financial benefits of environmental upgrading.
Another dimension which could add value to the Furthermore, the impact of the interaction of multiple and
environmental upgrading area is how institutions, both formal varying institutional structures on environmental upgrading is
and informal, enhance the chances of environmental worth studying. Future researchers may contribute to
upgrading in GVCs. Until now, scholars have successfully environmental upgrading by investigating all the above
established the relationship between environmental upgrading mentioned areas worthy of studying.
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https://www.researchgate.net/profile/Timothy_Sturgeon/
Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 19
Abstract
Purpose – This study investigates the financial ratio of savings banks and the effect of the ratio having influence upon
bankruptcy by quantitative empirical analysis of forecast model to give material of better management and objective evidence of
management strategy and way of advancement and risk control.
Research design, data, and methodology – The author added two growth indexes, three fluidity indexes, five profitability
indexes, and four activity indexes CAMEL rating to not only the balance sheets but also the income statement of thirty savings
banks that suspended business from 2011 to 2015 and collected fourteen financial ratio indexes. IBMSPSS VER. 21.0 was
used.
Results – Variables having influence upon bankruptcy forecast models included total asset increase ratio and operating
income increase ratio of growth index and sales to account receivable ratio, and tangible equity ratio and liquidity ratio of
liquidity ratio. The study selected total asset operating ratio, and earning and expenditure ratio from profitability index, and
receivable turnover ratio of activity index.
Conclusions – Financial supervising system should be improved and financial consumers should be protected to develop
saving bank and to control risk, and information on financial companies should be strengthened.
Keywords: Bankrupt Saving Bank, Discrimination and Analysis, Growth Index, Fluidity Index, Profitability Index.
moment, financial market should have system to keep financial rates were selected according to optimum capital,
financial stability and to get stability at the change of global asset soundness, profitability, liquidity, growth and
financial environment. effectiveness of CAMEL based on financial statement of
Quantitative study on financial stability at global financial 2002 to 2007 saving bank to consist of financial ratio of 1
crisis can prevent bankruptcy and to forecast bankruptcy year, 2-year and 3-year before business suspension. The
model and to lessen social expense at bankruptcy of subject was 30 saving banks being suspended from 2011 to
financial institutions and to prevent bankruptcy and to 2015. The study added two of growth indexes, three of
improve post procedure (Jeong & Oh, 2010). liquidity indexes and five of profitability indexes of CAMEL
In 2000, saving bank adopted CAMEL rating to judge rating to balance sheet as well as income statement (Jeong,
capital adequacy, asset quality, management, earnings and & Cho, 2008) to get fourteen of financial ratio indexes. The
liquidity and others and to rate the bank's management by study distinguished 498 statistics by one year before
the grades of excellent, good, common, weak and risky suspension (D-1 year), two years before suspension (D-2
(Park, 2009). CAMEL is needed to evaluate management of year), three years before suspension (D-3 year) and three
the bank and to forecast bankruptcy. Early warning system years after suspension (D-4 year) to reorganize bankruptcy
was made by using financial institution's financial statement model by suspension time.
(Stuhr & Whicklen, 1974; Korobow & Stuhr, 1975). In the
case of Beaver (1966), the nonperformance forecasting 2.2. Variables
model is applied to quantitative nonperformance forecasting
techniques such as univariate analysis (Beaver, 1966; Kim, Gyeongbuk Nonghyup was bankrupted according to profit
2017) and multi-variate discriminant analysis (Altman, 1968; rate of net worth and fixed asset ratio were (Kim, 2003),
Deakin, 1972; Kassar & Soileau, 2014; Kim, 2017; Laitinen & and fixed asset ratio, interest of lending, and fixed asset
Suvas, 2016) to improve the accuracy of the default forecast. ratio were (Jang & Kim, 2004). Bankruptcy forecast model of
This study made discriminant analysis (Altman, 1968) to Saemaeul Bank varied depending upon total asset increase
investigate financial institutions by variables of financial ratio rate, operating income increase rate, fixed asset profit rate,
of not only CAMEL rating but also precedent studies to do total capital turnover rate, turnover of net worth, sales to
quantitative analysis of bankruptcy of the bank. account receivable ratio and turnover of buying debt (Nam &
This study did quantitative analysis of financial ratio of Jin, 2011).
bankrupt saving bank and bankruptcy model to verify financial The study investigated difference between bankruptcy
ratio. The study gave material for better management as well forecast model and financial rate of bankrupt saving banks,
as objective evidence to advance the bank and to control risks. and two of growth indexes, three of liquidity indexes, five of
profitability indexes and four of activity indexes were used to
determine forecast model of bankruptcy <Table 1>.
2. Methodologies
2.3. Methodology
2.1. Materials This study collected two of growth, three of liquidity, five
The subject was 30 bankrupt saving banks that of profitability and four of activity of not only balance sheet
suspended business from 2011 to 2015 according to but also income statement of 30 saving banks from March
financial statement from March 2008 to December 2014: The 2008 to December 2014. ANOVA (analysis of variance) was
study collected material to verify variables having influence done to select financial ratio having significant difference of
upon bankruptcy based on financial ratio index and forecast D-1 year, D-2 years, D-3 years and D-4 years. The study
models. The study collected material of 15 bankrupt saving selected financial rates having great influence upon
banks in 2011, 8 banks in 2012, 5 banks in 2013, 1 bank discriminant function to investigate cross tab of forecast
in 2014, and 1 bank in 2015. group by group and classification function.
11 variables of four sections excluding capital The study examined difference of 14 indexes of business
appropriateness, asset soundness, management control, suspension D-1 year, D-2 years, D-3 years and D-4 years
profitability and liquidity and profit rate of net worth were of bankrupt saving bank, and investigated relation between
used (Park, 2009), and profit rate of net worth and expense bankruptcy forecast model and fourteen financial ratio to get
rate were also used. Bankruptcy models of 1 year, 2 years causes of bankruptcy and accuracy of forecast group. IBM
and 3 years before were adopted. Bankruptcy forecast SPSS VER. 21.0 was used. First, the study investigated
model of Saemaul Bank from 2000 to 2004 was made with relation and direction of total asset increase, operating
17 financial rates including growth rate, liquidity rate and income increase, fixed asset ratio, net worth ratio, liquidity,
profitability rate of CAMEL to investigate forecast of 1 year, profit of net worth, operating capital profit, total asset
2-years, 3-years and 4-years before bankruptcy model based operating profit, expense, income, total asset profit, total
on management rating grade (Jeong & Cho, 2008). 23 capital turnover, net worth turnover, sales receivable
turnover, and purchase debt turnover.
Bo-Hyung Lee, Sang-Ho Lee / Journal of Distribution Science 16-11 (2018) 21-27 23
Second, the study examined financial ratio and difference Correlation results were <Table 3>. Total asset increase
of D-1 year, D-2 years, D-3 years and D-4 years of had positive relation with operating income increase, and
bankrupt saving bank. ANOVA was done. fixed asset ratio had positive relation with not only net worth
Third, the study investigated effect of D-1 year, D-2 profit but also net worth turnover. Net worth ratio had
years, D-3 years and D-4 years of the bank to examine positive relation with liquidity, total asset operating income
accuracy of the functions. and total asset profit. Net worth profit had negative relation
with net worth turnover, and total asset operating profit had
very much positive relation with total asset profit. Total asset
3. Empirical Analysis
turnover had positive relation and very much positive relation
3.1. Descriptive analysis with purchase debt turnover.
F of difference of the group was less than 0.5 and table results and 8 significant results. Financial ratio varied
4 to differ depending upon business suspension time. The depending upon suspension time <Table 4>.
results of the study showed that there were 6 insignificant
Table 5: Discriminant analysis on financial ratio and suspension time of bankrupt saving banks
Relation between discriminant function and independent variable
Independent variables
1 2 3
Net worth .733 .362 .087
Total asset profit .602 .395 .036
Liquidity .591 .162 .253
Total asset operating income .523 .445 .015
Revenue .445 .211 -.105
Total asset turnover -.057 -.031 -.027
Purchase debt turnover .041 -.005 -.015
Operating income increase .186 .350 -.311
Trade receivable turnover -.250 .279 .131
Expense -.123 -.234 -.180
Total asset increase .240 .389 -.521
Fixed asset ratio .111 .205 .482
Net worth turnover .050 .183 .273
Net worth profit .035 -.075 -.186
Eigen value .367 .074 .016
Descriptive dispersion(%) 80.3 16.1 3.6
Rc(Rc2) .518(.269) .262(.068) .127(.016)
Wilks lambda (p) .670(.000) .917(.022) .984(.790)
ⓒ(D-3year) of total asset was larger than ⓐ(D-1year) discriminant has correlation of .518 and shared distribution
(p<.05), and ⓒ(D-3year) of operating income increase was of 26.9% to contribute the most. So, large financial ratio of
larger than ⓐ(D-1year). ⓑ(D-2year) of net worth was larger first discrimination had good discrimination.
than that of ⓐ(D-1year) (p<.05), and ⓒ(D-3year) was larger Financial ratio with high discrimination between
than ⓐ(D-1year) and ⓓ(D-4year) was larger than ⓐ discriminant function and independent function included net
(D-1year). Total asset operating income was larger than that worth rate, total asset profit rate, liquidity rate, total asset
of ⓑ(D-2year) (p<.05), and that of ⓒ(D-3year) was larger operating profit rate, income rate, receivable turnover rate,
than that of ⓐ(D-1year) and that of ⓓ(D-4year) was larger total asset increase rate and operating income increase rate
than that of ⓐ(D-1year). Income ratio of ⓑ(D-2year) was in order. They were important factors to distinguish effects
larger than that of ⓐ(D-1year) (p<.05) and that of ⓒ upon D-1year, D-2year, D-3year and D-4year group of the
(D-3year) was larger than that of ⓐ(D-1year), and ⓓ banks.
(D-4year) had more difference than ⓐ(D-1year). Total asset The study investigated D-1year, D-2years, D-3years and
profit of ⓑ(D-2year) was larger than that of ⓐ(D-1year) and D-4 years group by financial rate of the banks <Table 6>:
that of ⓒ(D-3year) was larger than that of ⓐ(D-1year) and The discriminant functions classified the banks into D-1year
that of ⓓD-4year) was larger than that of ⓐ(D-1year). of 61.3%, D-2year of 33.3%, D-3year of 35.8% and D-4year
Receivable turnover of ⓐ(D-1year) was larger than that of of 53.7%.
ⓐ(D-1year) (p<.05). Receivable turnover of ⓐ(D-1year) was
larger than that of ⓓ(D-4year) (p<.05). Table 6: Classification of suspension time of bankrupt saving
banks
3.4. Test results (unit : bank, %)
Bankrupt saving bank forecast
The study investigated variables of financial ratio having Sections group Total
influence upon group of D-1year, D-2year, D-3year and D-1year D-2year D-3year D-4year
D-4years before suspension of bankrupt banks to verify 68 16 15 12 111
D-1year
accuracy of the function between groups and to do 61.3 14.4 13.5 10.8 100.0
discriminant analysis. Financial ratio being independent Bankrupt 8 40 38 34 120
D-2year
variable was <Table 5>. saving 6.7 33.3 31.7 28.3 100.0
The study found out three of discriminant functions, and bank 13 21 43 43 120
groups D-3year
both first function and second function were (p<0.5)(Table 5). 10.8 17.5 35.8 35.8 100.0
Eigenvalues were 80.3%, 16.1%, and 3.6% to explain 9 14 45 79 147
D-4year
discriminant function. Rc indicates correlation between 6.1 9.5 30.6 53.7 100.0
discriminant function and group, and Rc2 does distribution Accuracy rate : 46.2%
between discriminant function and group, and first
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Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36 29
Abstract
Purpose - Research on community empowerment based on superior commodities to improve the economic resilience of the
tourist village of Lumajang Regency is an investigative descriptive study to obtain an overview of the problems of community
economic development, especially regarding economic resilience. The output of this research activity is the formation of
integrated and comprehensive strategic programs and activities in order to improve economic empowerment and food security
of the community around the tourist village.
Research design, data, and methodology - This research method applies several methods of analysis such as the Loqation
Quotion (LQ) method, SWOT analysis, Trend analysis, and analysis of Community Economic Empowerment in the agricultural
sub-sector.
Results - This research has strategic values and objectives in addition to providing important information to improve food
security of tourism villages in Lumajang district in particular and disadvantaged communities in Indonesia in general. Through
this supportive community economic empowerment programs, Lumajang District has an agricultural area and at the same
time as a nature-based tourism area that supports it.
Conclusion - Village tourism community empowerment activities are taken based on existing superior commodities. The existing
tourism village program in Lumajang district can be used as one of the references for the upcoming tourism village program.
independent village, and make the opportunity to the village in society (Edwards, 2015).
economy in a better direction (Xu, Huang, & Zhang, 2018).
One district in Indonesia that makes tourism as a leading
sector is Lumajang district (Balthazar et al., 2016). Through 3. Research methods
the Lumajang Regent Regulation Number 79 of 2014
regulates the program of one sub-district of a tourist village This study uses multi-methods analysis that provides a
in Lumajang district. In 2018 80 tourist destinations have comprehensive picture to answer the problems in research.
been identified and 37 of them are ready to be marketed.
This policy and direction of development efforts to the 3.1. Investigative Research Method
tourism sector, carried out to create regional competitiveness,
attract investors and the long term must provide The main problem faced by developing countries is the
socio-economic benefits to the wider community (Balthazar development of income inequality, poverty, widening gaps
et al., 2016). There is the dependence of Lumajang district between developed countries and developing countries
community objectively on natural use (Hakim & Soemarno, (Merchant, Kumar, & Mallik, 2017). The implementation of
2017). Their life needs are supported by the availability of community economic empowerment in many countries
natural resources, especially in the agricultural sector. including in Indonesia places too much emphasis on the
Through the community economic empowerment program importance of the role of natural capital and modern
Lumajang district based on superior commodities is expected economic capital such as man-made capital goods,
to improve economic resilience. For this reason, technology and management, and often ignores the
development planning is needed that can be used as a importance of social capital such as local institutions, local
guide in formulating integrated development strategies, wisdom, local norms and customs (Jorgensen, 2015). The
especially regarding strategies to improve the economic strategy answers the problem of social orientation conditions
resilience of rural tourism communities (Veselovsky et al., for commodities in the traditional economic sector in terms
2015). This study was designed to be able to identify the of technology utilization (Singla, Sethi, & Ahuja, 2018). The
economic problems of the Lumajang district community and researcher Investigation methods try to enter local social
develop the economic potential of the community based on conditions through observation and participation in their lives
superior commodities to improve economic resilience as an (Walsham, 2002).
effort to alleviate poverty in rural communities through
community empowerment. 3.2. Data analysis method
From the formula, the calculation results are obtained with economic problems and challenges (Slee, 2015). Identify
the following classification: problems and formulate strategies in problem solving based
• If the LQ value is > 1, then j area for sector i has on the community participation process.
specialization
• If the value of LQ = 1, then the j > area for sector i
has specialization 4. Research result
• If the LQ value is < 1, then area j for sector i has no
specialization
4.1. Location Quotient Base Analysis
This method is a calculation of the relative ratio of added Location Quotient (LQ) is an analytical tool to determine
value of a sector in an area to the value added contribution whether there is an area specialization for a particular
of the sector concerned at a provincial ornational scale so sector. LQ analysis is intended to look at sectors that are
that it can be known which commodities are prospects to be the base sector and the non-base sector, so that the region
developed (Wahyudi, 2017). The unit that is used as a sees the advantages of the sector that can be sold and
measure to produce the LQ coefficient can use units of the developed to drive the economy in the region.
amount of labor, or production, or other units that can be This method calculates the relative ratio of added value /
used as criteria. The more basic sectors in an area will production value of a sector in an area to the value added /
increase revenue flows to the region, increase demand for value ofproduction of the sector concerned at the provincial or
goods and services in them and generate non-base sector national scale so that the prospect and not commodity can be
volumes. In other words, the base sector is directly related to known. Units that are used as a measure to produce LQ
external demand, while the non-base sector relates indirectly, coefficients can use units of the amount of labor, or production,
namely through the base sector first (Khuong & Nhu, 2015). or other units that can be used as the following criteria:
commodities which were categorized as superior commodities 4.1.5. Forestry Commodity Base Sub-Sector
(75%), and the rest were categorized as non-superior
The results of the calculation of the average LQ within a
commodities (25%). If it is ranked according to the highest
period of 5 years from 2013-2017 in Lumajang District
LQ value, arabica coffee is the most superior commodity
revealed that out of 10 forestry commodities, the whole was
(highest of the others), hereinafter is papaya, coconut, clove,
categorized as non-superior commodity (100%). If it is
and tobacco. So that it can be said that these commodities
ranked according to the highest LQ value, Sengon was the
werevery important for the economy of the community in
highest non-superior commodity and the next were damar,
terms of the plantation sub-sector in Lumajang District rather
mahogany, mixed jungle, and sono. So that it can be said
than in East Java Province. Livestock Commodity Sub-Sector.
that these commodities didnot contribute to the economy of
The results of the calculation of the average LQ within a
the community in terms of the forestry sub-sector in
period of 5 years from 2013-2017 in Lumajang District
Lumajang District than in East Java Province.
revealed that of the 12 commodities, the whole was
categorized as non-superior commodity (100%). If it was 4.2. Analysis Based on SWOT
ranked according tothe highest LQ value, buffalo was the
highest non-superior commodity and the next werehorses, The formulation of development strategies and empowerment
ducks, pigs, beef cattle. So it can be said that these of rural tourism based on superior commodities to realize
commodities were commodities that did not contribute to the economic resilience is carried out in three stages of
economy of the community in terms of the livestock implementation. The stage includes; (a) data collection and
sub-sector in Lumajang District than in East Java Province. management, (b) data analysis phase related to superior
products in Lumajang regency, (c) the stage of developing
4.1.4. Fisheries Commodity Base Sub-Sector strategies based on internal and external evaluation of the
The results of the calculation of theaverage LQ in the sector and then the direction of the empowerment program
period of 5 years from 2013-2017 in Lumajang District will be carried out.
revealed that of the 4 fishery commodities there were 3
4.2.1. Sub-Sector Development Strategy
commodities that were categorized as superior commodities
(75%), and the rest were categorized as non-superior Then in more detail was done a SWOT sub-sector
commodities (25%). If it is ranked according to the highest analysis of agriculture on the leading sectors and general
LQ value, the pond is the most superior commodity (highest strategy recommendations that can be done by the region in
of the others), next is the pond, and sea culture. So that it the framework of developing and empowering the
can be said that these commodities were very important for the community, especially the regional superior sub-sector for
economy of the community in terms of the fisheries sub-sector regional food security that covers sub-sectors in the
in Lumajang Regency rather than in East Java Province. agricultural sector (Table 1):
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Yugang He / Journal of Distribution Science 16-11 (2018) 37-45 37
Abstract
Purpose - Recently, large quantities of factors have affected the signing of the Free Trade Agreement between two
countries. Due to this background, this paper selects South Korea as an example to explore the determinants of Free Trade
Agreement from Asian countries.
Research design, data, and methodology - A cross sectional data of 2016 will be employed and some variables such as
real income and GDP will be used to run an empirical analysis under the linear probability model, probit model and logit
model.
Results - The findings show that the Asian countries’ exchange rate regime, real income, GDP and so forth can increase
the probability of signing the Free Trade Agreement with Asian countries. Conversely, the distance can lower the probability
of signing the Free Trade Agreement with Asian countries. Meanwhile, although the Asian countries’ import, consumer price
index and population also can affect the probability of signing the Free Trade Agreement with Asian countries, the estimated
coefficients are not statistically significant at 5% level.
Conclusions - According to the empirical results, this paper provides a new scope for South Korea’s government to sign the
Free Trade Agreement with other Asian countries.
Keywords: Free Trade Agreement, Determinants, Linear Probability Model, Probit Model, Logit Model.
Table 1: Current Situation of South Korea’s Free Trade Agreement with Asian Countries
Sector 1 Country Sector 2 Country and Organization
India
Korea-China-Japan FTA
China
Turkey
Singapore RECP
Malaysia
Indonesia Countries and Israel
Countries that have
Thailand organizations that are
signed
Philippines under negotiation ASEAN (additional liberalization)
Brunei
Vietnam India CEPA (Improvement)
Laos
Myanmar
China (Follow-up of Service and investment)
Cambodia
Note: www.fta.go.kr.
In this paper, we select some factors which are regarded scholars have been studied this proposition in different ways.
as the determinants such as real GDP, exchange rate Their results are shown as follows.
regime, import, export, foreign direct investment, distance, Yu, Cheng, and Yang (2010) employ the global trade
foreign exchange reserve, employment, real income, ratio of analysis project model to simulate various scenarios of free
higher education input to GDP and ratio of manufacturing trade in terms of China and Australia. They also try to
industry input to GDP that may affect the signing of the evaluate the impact of the Free Trade Agreement on GDP
Free Trade Agreement with South Korea. Meanwhile, the and dairy trade. Their findings also provide some significant
linear probability model, the probit model and the logit model decision-making references for both countries’ policy makers.
are employed to analyze the determinants of Free Trade Kitwiwattanachai, Nelson, and Reed (2010) applies the
Agreement in South Korea from Asian countries with as extension from a standard computable general equilibrium
cross sectional data of 2016. Via the empirical analysis, the mode to study the Free Trade Agreement. They find that a
findings indicate that the local country’s exchange rate preferred strategy for member regions is the East Asian
regime, real income, GDP, export, foreign direct investment, Free Trade Agreement (multilateral agreement), which will
foreign exchange reserve, employment, ratio of high yield higher gains in welfare and greater economic impacts
education industry input to GDP and ratio of manufacturing than any of the other possible bilateral agreements between
industry input to GDP can rise up the probability of signing Association of Southeast Asian Nations and China, between
the Free Trade Agreement between South Korea and Asian Association of Southeast Asian Nations and Japan, between
countries. Conversely, the distance between South Korea Association of Southeast Asian Nations and Korea. Lakatos
and Asian countries can lower the probability of signing the and Walmsley (2012) emphasize the impacts of the
Free Trade Agreement between South Korea and Asian reduction of barriers to trade on investment in a dynamic
countries. Meanwhile, although the Asian countries’ import, general computable equilibrium framework. They present and
consumer price index and population also can affect the compare two alternative views or models of investment
probability of signing the Free Trade Agreement between which yield different investment creation and diversion
South Korea and Asian countries, the estimated coefficients effects. Medvedev (2012) uses a comprehensive database of
are not statistically significant at 5% level. preferential trade agreements in a panel setting to
The remainder of this paper gives: Sector two focuses on investigate the effects of preferential trade agreements on
the difference between this paper and others. Sector three net foreign direct investment inflows of member countries.
mainly provides the methodology of this paper. Sector four Preferential trade agreements membership is related with a
presents the empirical analysis results of this paper. Sector positive change in net foreign direct investment inflows and
five offers the conclusion of this paper. foreign direct investment gains increase with the market size
of preferential trade agreements partners and their proximity
to the host country.
2. Literature Review Yang and Martinez-Zarzoso (2014) take use of the
theoretically justified gravity model in terms of trade to study
The Free Trade Agreement has been regarded as the the effect of the Free Trade Agreement on exports between
mainstream approach to promoting the regional economic Association of Southeast Asian Nations and China. Their
integration. However, in reality, there are a great deal of results indicate that the Free Trade Agreement between
factors that affect the signing of Free Trade Agreement Association of Southeast Asian Nations and China leads to
between two countries. For this reason, a large number of
Yugang He / Journal of Distribution Science 16-11 (2018) 37-45 39
substantial and significant trade creation. Thangavelu and data on the utilization of free trade agreement schemes in
Narjoko (2014) examine the impact of foreign direct Korea's imports from the Association of Southeast Asian
investment flows into Association of Southeast Asian Nations Nations countries. The theoretical framework proposes that a
in a gravity model using the bilateral foreign direct depreciation of exporters' currency against importers'
investment data from 2000 to 2009. Their empirical results currency enhances the free trade agreement utilization by
indicate that the Free Trade Agreements have positive improving the value-added ratio, and such effects are
impact on foreign direct investment inflows. Wignaraja (2014) stronger for products with higher demand elasticity. Qi and
conducts the comparative and firm-level analysis of the Zhang (2018) attempt to examine both the causes and
determinants of Free Trade Agreement in Indonesia, consequences of this delayed conclusion by running
Malaysia and Philippines. They find that the likelihood of simulation experiments on a computable general equilibrium
firms using important Association of Southeast Asian Nations model, to see how the free trade agreement affects the
plus one Free Trade Agreements is positively associated world economy not only on the two countries involved, but
with acquiring knowledge about Free Trade Agreements, also on the rest of the world with a particular reference to
building technological capabilities, and membership in New Zealand. Based on the simulation results, policy
industrial clusters. Chang and Xiao (2015) examine implications are generated. Xiang, Kuang, and Li (2017)
differences in welfare implications between free trade area provide a comprehensive and prospective empirical analysis
and customs union for member countries differing in their of the economic impacts of the China-Australian Free Trade
market sizes. Their key findings show that unless the Agreement on global coal output, trade, consumption and
difference in market size is too large and rules of origin are welfare by using a computable partial equilibrium model.
too restrictive, a free trade area can be welfare-improving to Based on data from 2014, the simulated results indicate that
countries with market size differential. the China-Australian Free Trade Agreement has a significant
Leung (2016) attempts to examine the effect of Free trade creation effect. The China-Australian Free Trade
Trade Agreements in terms of bilateral vertical specialization Agreement will increase Australia’s coal exports to China by
in manufacturing between United States and its trading 35.7% and China’s exports to Australia by 19.9%. However,
partners. A bilateral vertical specialization variable is the impacts of China-Australian Free Trade Agreement on
constructed using input-output analysis before being modeled global coal production and price are relatively limited.
in an augmented gravity equation. His findings show that Results also demonstrate that the China-Australian Free
North American countries are by far the most significant Trade Agreement will cause an annual net welfare loss of
trade partners with the United States, followed by other US$ 200 million for China and a net welfare gain of US$
Asian and Oceanic countries. The average treatment effect 569.3 million for Australia. Moreover, Chinese consumers
of a free trade agreement is 0.94, which shows that the and Australian coal producers are the biggest beneficiaries
bilateral trade increases, on average, by 155% from a free of China-Australian Free Trade Agreement.
trade agreement. Missios, Saggi, and Yildiz (2016) also Zhang, Cui, Li, and Lu (2018) draw on the institutional
study this proposition. They find that customs is a negative economics and the resource-based view to examine the
factor that impacts the signing of Free Trade Agreement. impact of regional institutional changes on firm exports.
Meanwhile, the Free Trade Agreement can induce the Specifically, they treat the establishment of the
non-member to voluntarily decrease its import tariffs. China-Association of Southeast Asian Nations-Free Trade
Anderson and Yotov (2016) take use of the panel data Area as an example. Their difference-in-difference analysis
gravity methods and the endowments general equilibrium of a four-year panel of seven hundred China’s listed firms
model. They estimate the large Free Trade Agreements lends support to their arguments that regional institutional
effects on bilateral trade volume in two digit manufacturing changes aimed at increasing economic incentives for
goods from 1990 to 2002. They find that some countries intraregional business exchanges will stimulate firm exports
gain above five percentage of real manufacturing income, in the regional market and that private firms, more
conversely, some lose less than 0.3 percentage. Global technologically competent firms, and firms with richer
efficiency of manufactures trade rises 0.9% based on a regional exporting experience are affected more strongly by
distance function measure of iceberg melting. this institutional influence. Cui, Song, and Zhu (2018) study
Hayakawa, Kim, and Yoshimi (2017) investigate how quantitatively analyzes the impact of a Free Trade
exchange rates affect the utilization of a free trade Agreement among China, Japan, and South Korea using big
agreement scheme considering the importance of rules of data analytic. Using game theory and the computable
origin. Exchange rates affect exporters' compliance with rules general equilibrium approach, it proposes a compromise
of origin by changing the so-called value-added ratio, which between two countries for agricultural protection, to reduce
is defined as the non-originating input price or export possible divergences and confrontations. Their findings show
product price. They present theoretical underpinnings on this that game results differ among the three countries as per
potential linkage with a model of pricing-to-market and interest indexes. Compared to full tariff exemption, a Free
provide an empirical examination using rich tariff-line-level Trade Agreement with agricultural protection not only
40 Yugang He / Journal of Distribution Science 16-11 (2018) 37-45
stimulates economic growth in the three countries but also with other countries. Due to this context, this paper sets
reduces Japan and South Korea’s agricultural concerns and South Korea as an example to study the determinants of
impact on employment. They also evaluate the impacts of signing the Free Trade Agreement from Asian countries.
the trilateral Free Trade Agreement on manufacturing and Signing a Free Trade Agreement or not is a binary variable.
services industries. Their results show that China will Therefore, the paper will employ three econometric
increase imports of energy-intensive products from Japan approaches (Linear Probability Model, Probit Model and Logit
and South Korea, which may reduce domestic output and Model) to study the impact of some economic variables on
generate environmental benefits. Implementing the trilateral signing a Free Trade Agreement with Asian countries.
free trade agreement with agricultural protection may reduce The linear probability model with multiple regressors gives:
carbon emission in Northeast Asia by 6.53 million tons. This
study can promote economic integration in Northeast Asia
log log log
and coping with climate change. Doan and Xing (2018) use
log log log log
a stochastic gravity model to estimate efficiency levels of log log log
Vietnam’s exports with its major trading partners. Export log log
efficiency is defined as the ratio of actual exports to the log log
maximum possible volume. In addition, They also investigate
the impact of Free Trade Agreements and rules of origin on ∙log
export efficiency, focusing on Vietnam’s exports to its major (1)
trading partners during the period from 1995 to 2013. Their
empirical results suggest that the volume of Vietnam’s actual denotes a binary variable; denotes a constant,
exports is far below the estimated efficient level, and that
are coefficients; denote independent variables;
there is considerable room for increasing Vietnam’s exports.
log ×log denote independent
Those findings imply that Vietnam should enter more Free
variables; denotes each country in Asia; denote the
Trade Agreements with trading partners and adopt lenient
white noise.
rules of origin in Free Trade Agreement negotiations and
The expected value gives:
that attracting export-oriented foreign direct investment and
improving the mix of exports could enhance the country’s log log log log log
trade efficiency substantially. log log log log log log
From the analysis of literature review, it can be known log log
that a menu of scholars employ different varieties of log
methods such as the global trade analysis project model, ×log Pr log log
theoretically justified gravity model and so forth to study the log log log log log log log
determinants of Free Trade Agreement of a country. In this log log log
paper, the linear probability model, the probit model and the log log
logit model are employed to analyze the determinants of ∙ log
Free Trade Agreement in South Korea from Asian countries. (2)
Of course, this is also a biggest innovation of this paper. So for the linear probability model gives:
Pr log log log log log Pr log log
log log log log log log log log log log log
log log log log log log
log log log
∙log log
log log log log ∙log
log log log log log (6)
log log log
log
Where is a binary variable (If is equal to one,
∙log
South Korea has signed with country . Conversely, if
(4) is equal to zero, South Korea does not have signed
with country .). is the floating exchange
Where the dependent variable is binary; is the
rate regime (if country implements the floating exchange
cumulative standard normal distribution function, and
rate regime, the value of is one. Otherwise, the value of
log ∙log are regressors. The model is
is zero). denotes the gross domestic
best interpreted by computing predicted probabilities and the
products of country ; denotes the total amount of
effect of a change in a regressor. The predicted probability
export from South Korea to country ; denotes the total
that , given values of log ⋯
amount of import from South Korea to country ;
∙log , is calculated by computing the ,
log
denotes the foreign direct investment from South Korea to
country ; denotes the distance from South Korea to
∙ log , and then looking up this in the normal
country ; denotes the population of country ;
distribution table. The coefficient is the change in the
denotes the foreign exchange reserve of country ;
arising from a unit change in , holding constant
denotes the consumer price index of country ;
log ∙log . The effect on the
denotes the employment figure of country ; denotes
predicted probability of a change in a regressor is computed
by (1) computing the predicted probability for the initial value the real GDP per capita of country ; denotes the low
of the regressors, (2) computing the predicted probability for income countries; denotes the low and middle
the new or changed value of the regressors, and (3) taking income countries; denotes the upper middle income
their difference. countries; denotes the high income countries;
The population logit model of the binary dependent denotes the ratio of higher education input
variable with multiple regressors gives: of GDP; denotes the ratio of manufacturing
input of GDP; ∙log denotes the product of
Pr log log log log log
log log log log log log and log ; is a constant, are
log log coefficients; is the white noise.
log
∙log 4.2. Variable Description
log ∙log
log ∙ log
The most important variables available to South Korea via
the economic variables in Asian countries’ data set are
(5) listed in Table 2.
The most important variables available to South Korea’s
The logit regression is similar to probit regression except
government and country through signing the Free Trade
that the cumulative distribution function is different.
Agreement in the Asian data set are listed in Table 2.
These are the variables we will focus on in the empirical
models of whether South Korea signs the Free Trade
4. Empirical Analysis Agreement or not with country .
4.1. Basic Model
4.3. Regrssion Results
The model used in this paper is a combination of linear
probability model, probit model and logit model. The general A part of variables used in this paper are statistically
form gives: processed by taking the logarithm. Then, the linear
probability model, the logit model and the probit model will
be used to conduct an empirical analysis. The empirical
results show in Table 3.
42 Yugang He / Journal of Distribution Science 16-11 (2018) 37-45
Table 2: Variables Included in Regression Models of Signing the Free Trade Agreement Decisions
Variable Definition
If the country implements the floating exchange rate, the value will be one; otherwise, the value will be zero
log Real GDP of each country
log Volume of export between South Korea and each country
log Volume of import between South Korea and each country
log Foreign direct investment of South Korea in each country
log Distance from South Korea’s capital to each country’s capital
log Population of each country
log Foreign exchange reserve of each country
log Consumer price index of each country
log Employment figure of each country
log Real income of each country which is represented by real DGP per capita.
log Low Income (log )
log Low and Middle-income ( log )
log Upper middle income log
log High Income log
Real value of ratio of higher education input to GDP
Real value of ratio of manufacturing industry to GDP
∙log Product of floating exchange rate regime and real GDP
Note: All data used in this paper are soured from World Bank, National Bureau of Statistical of each country, Organization for Economic
Co-operation and Development and United National related databases. Income standard satisfies the standard of World Bank.
Table 3: Signing the Tree Trade Agreement Regression Using the Asian Countries Data
Dependent variable: Signing=1 if South Korea signs the Free Trade Agreement with country ; Signing=0 if South Korea does not sign
the Free Trade Agreement with country ; 672 observations.
LPM Logit Probit Probit Probit
Regression Model Regressor
(1) (2) (3) (4) (5)
0.089*** 0.711*** 0.412*** 0.392*** 0.287***
(0.015) (0.127) (0.112) (0.081) (0.055)
[5.933] [5.598] [3.679] [4.840] [5.218]
0.059 0.557 0.532 0.375 0.448
log (0.042) (0.452) (0.437) (0.481) (0.597)
[1.405] [1.232] [1.217] [0.780] [0.750]
0.049*** 0.481*** 0.257*** 0.356*** 0.366***
log (0.011) (0.113) (0.058) (0.089) (0.091)
[4.455] [4.257] [4.431] [4.001] [4.022]
0.058*** 0.599*** 0.361*** 0.325*** 0.355***
log (0.015) (0.116) (0.072) (0.081) (0.082)
[3.867] [5.164] [5.014] [4.012] [4.329]
0.072*** 0.744*** 0.394*** 0.411*** 0.436***
log (0.019) (0.201) (0.093) (0.087) (0.089)
[3.789] [3.701] [4.237] [4.724] [4.899]
0.173*** 1.453*** 0.883*** 0.886*** 0.887***
log (0.042) (0.337) (0.161) (0.153) (0.162)
[4.119] [4.312] [5.484] [5.791] [5.475]
0.592*** 5.532*** 2.228** 2.631*** 2.726***
log (0.131) (0.915) (0.678) (0.552) (0.722)
[4.519] [6.046] [3.286] [4.766] [3.776]
0.153*** 1.982*** 1.541*** 1.134*** 1.372***
log (0.033) (0.262) (0.191) (0.135) (0.138)
[4.636] [7.565] [8.068] [8.403] [9.942]
-0.073 -0.776 -0.391 -0.362 -0.344
log (0.051) (0.414) (0.282) (0.191) (0.188)
[-1.431] [-1.874] [-1.387] [-1.895] [-1.830]
0.035 0.261*** 0.293*** 0.271 0.282
log (0.019) (0.043) (0.062) (0.164) (0.164)
[1.842] [6.070] [4.725] [1.652] [1.720]
Yugang He / Journal of Distribution Science 16-11 (2018) 37-45 43
Table 3 provides regression results which are based on associated with an 0.58 percentage point increase (the
these variables. The base specifications, reported in columns coefficient is 0.058) in the probability of signing the Free
(1) through (3), include the income variables plus the Trade Agreement. The real income between 3.599 and
macroeconomic variables indicating whether the Free Trade 4.089 is associated with an 0.72 percentage point increase
Agreement is signed. At present, most governments (the coefficient is 0.072) in the probability of signing the
commonly employ the cutoff values, for real income, so the Free Trade Agreement. The real income exceeding 4.089 is
base specification for that variable uses binary variables for associated with an 1.73 percentage point increase (the
whether the income is high (>4.089), upper middle (>3.599 coefficient is 0.173) in the probability of signing the Free
and <4.089), low and middle (>3.003 and <3.599), or low Trade Agreement. A country with a low real income also
(>3.002). This case is omitted to avoid perfect has a more difficult time signing the Free Trade Agreement,
multicollinearity. The regressor in the first three columns are all else being constant. The coefficient on floating exchange
similar. The regressions in columns (1) through (2) differ rate in regression (1) is 0.089, indicating that the difference
only in how the acceptance probability of signing the Free in acceptance probabilities for floating exchange rate and
Trade Agreement is modeled, using a linear probability others is 8.9 percentage points, holding constant the other
model, a logit model, and a probit model, respectively. variables in the regression. This is statistically at the 1%
Because the regression in column (1) is a linear significance level (t=5.933). an increase in GDP, export,
probability model, its coefficients are estimated changes in foreign direct investment, foreign exchange reserve and
predicted probability arising from a unit change in the employment of 0.1 are estimated to increase the probability
dependent variable. Accordingly, an increase in real income of signing the Free Trade Agreement by 5.92, 1.53, 3.58,
of 0.1 is estimated to increase the probability of signing the 3.56 and 2.33 percentage points. However, the impact of
Free Trade Agreement by 0.59 percentage points (the import, population and consumer price index on signing the
coefficient on real income in column (1) is 0.059, and Free Trade Agreement between two countries is not
(0.059×0.1=0.0059). Similarly, having a large real income statistically significant.
increases the probability of signing the Free Trade The logit and probit estimates reported in columns (2)
Agreement. The real income lowering 3.002 is associated and (3) yield similar conclusions. The regressions in columns
with an 0.49 percentage point increase (the coefficient is (4) through (5) investigate the sensitivity of the results in
0.049) in the probability of signing the Free Trade column (3) to changes in the regression specification.
Agreement. The real income between 3.002 and 3.599 is Column (4) modifies column (3) by including additional
44 Yugang He / Journal of Distribution Science 16-11 (2018) 37-45
characteristics that may affect on signing the Free Trade increase the probability of signing the Free Trade Agreement
Agreement between two countries. These characteristics help between two countries. The fourth is that the related
to predict whether the Free Trade Agreement between two countries should vigorously develop their economy, because
countries is signed (the estimate is positive and the an increase in the real GDP can increase the probability of
coefficient is statistically significant at the 1%). However, signing the Free Trade Agreement between two countries.
controlling for these characteristics does not change the The fifth is that the related countries expand their export
estimated coefficient on floating exchange rate regime or the volume, because an increase in the export can increase the
estimated difference in acceptance probabilities in an probability of signing the Free Trade Agreement between
important way. Column (5) examines whether there are two countries. The sixth is that the related countries should
interactions. The result show that the coefficient of a country increase their foreign direct investment, because an increase
with a floating exchange rate regime is not statistically in the foreign direct investment can increase the probability
significant. of signing the Free Trade Agreement between two countries.
The seventh is that the related countries lower their
unemployment rate, because an increase in the employment
5. Conclusion can increase the probability of signing the Free Trade
Agreement between two countries. The eighth is that the
With the deepening of economic globalization, the related countries should enlarge the amount of foreign
distance between two countries has become more and more exchange reserve, because an increase in the foreign
closed. Simultaneously, the Free Trade Agreement plays an exchange reserve can increase the probability of signing the
important role in promoting the regional economic integration. Free Trade Agreement between two countries. The ninth is
Based on this background, this paper sets South Korea as that the related countries should enlarge the high education
an example to explore the determinants of Free Trade input and the manufacturing input, because an increase in
Agreement with a cross sectional data in Asian countries. both of them can increase the probability of signing the
Meanwhile, the linear probability model, the probit model and Free Trade Agreement between two countries.
the logit model will be employed to conduct an empirical
analysis. The results show that the Asian countries’
exchange rate regime, real income, GDP, export, foreign References
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also can affect the probability of signing the Free Trade the trilateral FTA among China, Japan, and South Korea
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estimated coefficients are not statistically significant at 5% Doan, T. N., & Xing, Y. (2018). Trade efficiency, free trade
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some suggestions will be proposed as follows. The first is Hayakawa, K., Kim, H. S., & Yoshimi, T. (2017). Exchange rate
that the distance between two countries is still a block for and utilization of free trade agreements: Focus on rules of
two countries to sign the Free Trade Agreement. Therefore, origin. Journal of International Money and Finance, 75,
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related countries should implement the exchange rate regime assessment. Journal of policy modeling, 32(2), 286-301.
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and foreign direct investment flows into ASEAN. Journal of of regionalization: Examining the effect of the China-ASEAN
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Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 47
Abstract
Purpose - In this research, the expectation level of service of Incheon International Airport was investigated. Service
expectation level is critical to the customers’ satisfaction and should be managed. Regarding the expectation level of service,
the concepts have been defined and introduced by some researchers including Zeithaml, Berry, and Parasuraman (1993).
However, due to the difficulties of measuring the level, researches on the expectation level of service have been limited.
The main reason of difficulties of measuring the effects is that desired service, adequate service, perceived service,
predicted service which are the conceptual components of the expectation level of service are psychologically described
concepts and thus are hard to set up standards and to measure numerically. All that one can discern is that desired service
level is higher than adequate service level or perceived service level is lower than predicted service level under the certain
conditions, etc.
Research design, data, and methodology - In this research, the level of service and factors affecting the level are
investigated using the case of an Airport. The main idea of research is to investigate whether a supposed factor that is
alleged to affect the expected service level is working empirically. The supposed factor is service provider’s promise to
provide certain level of service to customers.
Results - The research results can be summarized as follow. First, service provider’s promise, in this case the Airport’s
Service Quality Award by Airports Council International which can be regarded as objective promise to provide the certain
level of service to customers is turned out to be influential to factors affecting expectation level of service. Second, service
provider’s promise affects to move the customers’ expectation level of service upward especially the service of delivering the
necessary information to customers in the airport correctly and swiftly.
Conclusions - The implications of the research results are, first, customers’ expectation level of service in influenced by
service provider’s promise, second, airport’s service award increases the level of customers’ service level and as a result for
the airport to meet the customers’ expectation level of service more efforts should be made..
Keywords: Expectation Level of Service, Service Quality Award, Factors Affecting Service Expectation Level, Airport Explicit
Service Promise, Airport Distribution Channel.
JEL Classification: M31, M37, N75, O15, R41.
을 촉발시키는 등 고객 유치에 커다란 역할을 한다. 스만족 관련 연구에서 매우 유용하게 사용되고 있다.
고객만족을 제공된 상품 또는 서비스에 대한 소비경험이라 생산 측면에서의 서비스에 초점을 두는 연구에서는 기대서
는 과정에 중점을 두는 시각은 소비경험 이전에 소비자가 갖 비스에 대한 실증연구가 활발하게 이루어졌으며 대표적인 분
는 기대와 소비 후 지각된 결과와의 차이에 대해 갖는 반응으 야가 IT서비스 분야(Yen, Gwinner, & Su, 2004), 소매서비스
로 본다(Choi, Park, & Lim, 2017). 이러한 시각은 각각의 소 분야(Gagliano & Hathcote, 1994; Grewal, Baker, Levy, &
비과정의 비교평가를 중요하게 보며 기대한 데에 비해 성과가 Voss, 2003), 혹은 일정한 수준의 서비스를 설정할 수 있는
높은 경우 만족이라고 하고 기대한 바에 비해 성과가 낮을 경 분야 등이다(Feng, 2017). 이러한 분야에서 생산 측면의 서비
우를 불만족이라 한다(Oliver, 1980; Bearden & Teel, 1983). 스 관련 기대수준 관련 연구는 소비자는 물론 생산자 측면에
고객의 만족을 이끌 수 있는 길은 기대를 낮추거나 지각된 결 서 제공하게 되는 서비스 수준에 대한 지각이 형성되어 있어
과를 높이는 것이다. 최근에 약진하고 있는 저비용항공사의 경 이를 기반으로 한 실증연구가 가능하게 된다고 판단된다(Quan
우 상대적으로 낮은 가격에 기하여 고객의 기대수준은 낮은데 & Youn, 2016).
비해 항공기 탑승의 기본목적인 목적한 바 장소 이동은 무리 지각된 서비스 관련 연구는 대체로 4가지 연구방향이 있다
없이 이루어진다는 차원에서 만족도는 상승한다는 점이 시장 고 분석되며, Parasuraman et al.(1988)의 기대서비스와 성과
점유를 넓혀갈 수 있는 요인이라고 볼 수 있다. 이러한 차원에 에 기한 만족이론이 대표적이다. 이 이론은 서비스품질 관련
서 고객의 기대서비스 수준에 영향을 미치는 요인에 대한 연 체계적 이론 수립을 한 점이 인정되고 있으나, 만족과 태도를
구는 꼭 필요하다고 할 수 있다. 혼동하고 있다는 점 그리고 고객만족이 서비스품질 제고로 이
기대서비스 수준에 영향을 미치는 요인 중에서 특히 서비스 어진다고 보기보다 고객만족은 재구매로 이어진다고 보는 것
제공자가 통제할 수 있는 요인들이 있고 이를 파악해 낼 수 이 실질적이라는 비판을 받고 있기도 하다. Parasuraman et
있다면, 공항이용객의 서비스 기대를 유지관리하는 데 매우 중 al.(1988) 모형의 한계점을 지적하며 Teas(1993)는 규범적 기
요한 시사점이 될 수 있을 것이다. 이런 차원에서 본 연구에서 대(Normative expectation) 개념을 도입하여 모형의 기준을 좀
는 공항의 기대서비스 수준에 영향을 미치는 요인들에 대하여 더 명확히 하고자 하였으며, Carman(1990)은 지속성의 중요성
살펴보고자 한다. 을 강조하였다. Douglas and Connor(2003)는 환대산업에서 고
객과 서비스매니저 사이의 기대서비스 수준 관련 갭(gap)에
대해 연구한 바 있으며 서비스매니저가 고객의 기대서비스에
2. 이론적 배경 및 선행연구 대한 이해를 높일 것이 필수적이라는 점을 제시하고 있다.
Walker and Baker(2000)는 기대서비스에 대한 다차원적 접근
을 시도한 바 있다. 국내에서는 Cheong(2002)이 기대서비스
2.1. 선행 연구
수준에 대해 연구하면서 고객의 내적 요인, 외적 요인, 상황적
요인이 유형적 단서 이외에는 기대서비스 수준에 대부분 영향
기대서비스 관련 선행연구들을 분석해 보자면, 기업이 고객이
을 미치는 결과를 제시하고 있다.
원하는 서비스에 대처하는 방식에 대한 연구인 Parasuraman,
Parasuraman et al.(1988)의 기대-성과 패러다임에서 서비
Berry and Zeithaml(1991)의 연구 발표 이후 Zeithaml et al.
스 품질은 결국 성과로 측정되는 것이 합리적이라는 Cronin
(1993)은 기대서비스 수준 관련 이론적으로 정리를 하였으며
and Taylor(1992)는 성과모형에 기한 서비스품질 관련 모델을
이후 개념연구에 치중하거나 특정 산업분야에 이를 적용해 보
제시하고 있다. 한편 서비스에 있어 고객의 경험이 중요한 역
고자 하는 연구들이 대부분을 차지하고 있다고 판단된다. 그것
할을 한다는 Schmitt(1999)의 주장 이후 기대서비스에 대한 경
은 기대서비스 수준이라는 개념이 인간인 소비자의 인지에 바
험이 미치는 영향 관련 실증연구가 수행되어 오고 있다. Yen
탕을 두고 있기 때문에 이를 계량화하거나 측정하기 어렵기
et al.(2004)는 고객의 참여가 기대서비스 수준 및 서비스 실패
때문인 것으로 판단된다. 기대서비스 역시 서비스품질 및 측정
의 경우에 대해 논하고 있으며, 연구 결과로 고객은 본인이 서
그리고 궁극적으로는 서비스에 대한 만족 여부를 논하기 위한
비스제공에 참여할 경우 상대방보다는 자신에게서 귀책사유를
방안의 하나이다. 기대서비스 관점에서 선행연구들을 요약정리
찾으려는 경향을 보인다는 등의 결과를 제시하고 있다. 이밖에
해보자면 Table 1과 같다.
공항 관련 고객의 참여 관련 실증연구가 수행된 바 있다
Table 1에서 기대서비스 관련 기대의 개념은 기대이론에 기
(Fodness & Murray, 2007).
원을 두고 있다(Tolman, 1932). 기대이론은 서비스 품질, 서비
Table 1: Summary of Service Research from the Point of View of Service Expectation
Service Expectation Expectation Theory by Tolman(1932)
Production quality Garvin(1987), I.S.O. Standard
Expectation-Performance Model Parasuraman, Zeithaml, & Berry (1988)
Measuring Model Normative expectation Teas(1993)
Perceived Service Quality
(Garvin, 1987) Performance Model Cronin & Taylor(1992)
Experience Model Schmitt(1999)
Expectancy-disconfirmation
Transaction-specific satisfaction
Customer Satisfaction paradigm(Oliver, 1993)
Satisfaction Type
(Oliver, 1981) Anderson, Fornel, & Lehmannl(1994),
Cumulative satisfaction
Johnson et al.(1996)
Source : Based on Extant Studies Researcher Reorganized.
Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 49
한편 서비스에 대한 고객만족 측면에서 개별거래 측면에서 비스와 희망서비스 수준 그리고 적정 서비스 사이에서 현실적
의 만족과 반복적 거래에 기한 만족을 구분하여 전자의 경우 상황을 반영하여 예측하게 되는 추정치이다.
기대-성과 모형을 적용하고 후자의 경우는 누적적 경험이 브 허용영역(zone of tolerance)이란 말 그대로 고객이 감내하
랜드화하거나 서비스에 대한 기준으로 소비자의 인식에 각인 는 수준으로 희망서비스 수준과 적정서비스 수준 사이
되어 서비스평가에 작동하게 된다고 본다(Oliver, 1993). 이와 (in-between)에 존재하는 영역이다. 희망서비스 수준과 적정서
관련한 실증 연구로는 호텔(Armstrong, Mok, Go, & Chan, 비스로 기대하는 수준 사이의 구간은 제공되는 서비스가 실패
1997), 프랜차이즈 음식점(Akbaba, 2006; Marković, Raspor, & 수준이라 하더라도 잘 드러나지 않는 인지되지 않는 지대(no
Šegarić, 2010) 등이며, 기대수준에 대한 평가척도가 상대적으 notice zone)이다.
로 가능하다는 점에서 실증분석이 이루어지고 있다. 만일 제공된 서비스가 적정서비스 수준보다 낮은 수준이라
한편 공항관련 연구 중에서 공항의 서비스 관련 연구로는 면 소비자는 그 서비스를 정상적이라고 받아들이려 하지 않을
Fodness and Murray(2007)의 고객의 시각에서 바라본 공항의 것이며 만족 역시 낮은 수준일 것이다. 이에 비해 제공받은 서
기대서비스에 대한 연구결과로 서비스품질에는 위계적 관계의 비스가 희망 수준 이상이라면 소비자의 만족도는 매우 높을
다차원적이며 주요한 품질은 기능, 상호작용 그리고 다양성을 것이다. 그런데, 희망 수준은 대체로 변화 수준이 적지만 적정
들고 있다. Bezerra and Gomes(2016)는 공항 서비스에 대하 서비스에 대한 기대수준은 동일한 소비자라도 상황이나 다른
여 품질측정을 위해서는 다양성을 염두에 두고 수행하여야 하 요인들에 의해 쉽게 영향을 받아 변할 수 있는 여지가 커서,
며 자신들이 수립한 측정모델을 제시하고 있다. 공항관련 서비 허용영역은 상당히 신축적이다(Zeithaml et al., 1990). 따라서
스 분야에 대한 연구는 대부분 서비스품질 측정에 대한 것이다. 허용영역의 움직임은 희망서비스보다는 주로 적정서비스 수준
본 연구에서 다루고자 하는 공항의 서비스는 반복적 거래 의 변동에 따라 더 많은 영향을 받는다. 허용영역은 그 밖에도
보다는 개별거래라는 측면이 강하고 경험에 기한 역할보다는 가격이나 해당 서비스에 대한 축적된 경험 등에 영향을 받는다.
공항에 대한 선험적 기대가 작용하는 비중이 더 크게 작용할
것이란 점, 그리고 성과에 기한 재구매 보다는 성과에 기한 서 2.3. 서비스 기대의 영향요인 분석
비스품질 향상에 초점을 맞추어야 하는 당위성을 갖는 공항의
상황을 고려할 때 성과측정 모델보다는 기대-성과 모델이 더 서비스에 대한 기대는 이미 살펴본 것과 같이 희망서비스와
적합하다고 판단된다. 적정서비스가 있고 그 사이의 구간이 허용영역이다. 이러한 계
층적 서비스 기대 수준에 영향을 미치는 요인들 각각에 대한
2.2. 기대 서비스 연구는 이론적으로 제시되어 왔다. 특히 Zeithaml, Berry, and
Parasuraman(1993)은 기대서비스에 영향을 미치는 요인관계
서비스에서 소비자의 기대란 제공될 어떠한 서비스(service 를 Figure 1과 같이 도식한 바 있다.
performance)에 대해 소비자가 가지고 있는 사전적 신념 Figure 1에서 희망서비스에 영향을 미치는 요인으로는 지속
(pretrial belief)으로서 기대는 실제 서비스를 평가하는 표준 적 서비스 강조요인, 개인적 욕구, 명확한 서비스 약속, 절대
(standard) 혹은 준거(reference)가 된다(Cheong, 2002). 소비 적 서비스 약속, 구전 그리고 과거경험이며, 적절한 서비스에
자의 서비스 수준에 대한 기대는 3가지 부분으로 구성될 수 영향을 미치는 요인으로는 일시적 서비스 강조요인, 인식된 서
있으며, 그것은 희망서비스, 적정서비스 그리고 허용영역(zone 비스 대안, 자신이 인식한 서비스역할 그리고 상황적 요인 그
of tolerance)이다(Zeithaml et al., 1990). 희망서비스 혹은 바 리고 예측된 서비스를 들고 있다. 이때 예측된 서비스는 다시
람직한 서비스(desired service)란 제공받을 서비스에 대하여 명확한 서비스 약속, 절대적 서비스 약속, 구전 그리고 과거경
희망하는 수준으로 여기에는 소비자의 원함(wants)과 소망 험의 여부 및 정도에 따라 영향을 받는 것으로 보고 있다. 결
(hopes)이 영향을 미치게 된다. 희망서비스와 연관된 개념으로 국, 적절한 서비스에 영향을 미치는 요인들로는 일시적 서비스
이상적 수준의 서비스(ideal service)가 있다. 이상적 수준의 서 강조요인, 인식된 서비스 대안, 자신이 인식한 서비스역할 그
비스는 소비자가 기원하는 서비스 수준이며(wished-for) 현실성 리고 상황적 요인, 명확한 서비스 약속, 절대적 서비스 약속,
보다는 희망 차원에서 기대하는 바람직한 서비스 수준을 가리 구전 그리고 과거경험이라고 볼 것이다. 이러한 기대서비스의
킨다고 볼 수 있다. 보통 희망서비스 수준은 이상적 수준의 서 종류는 모두 기대서비스의 영역 안에 포함되는 것이며 허용범
비스보다 낮은 수준에서 형성된다고 본다. 위를 두고 상하위치에 포진하게 된다. 연구목적을 위하여 볼
적정서비스(adequate service)란 소비자가 불만 없이 받아들 때 이러한 서비스 수준에 대한 계량화, 특히 희망서비스 수준
일 수 있는 수준의 서비스로 허용 가능한 최소한의 기대수준 에 대한 계량적 측정이 어렵다는 점이 한계로 작용하고 있다.
또는 수용할 수 있는 서비스 수준의 가장 낮은 수준을 가리킨 한편, Kurtz and Clow(1998)는 서비스 기대에 대한 영향요
다. 소비자는 희망서비스 수준에 대해 인식하고 있지만, 그것 인을 Figure 2와 같이 도식화하고 있다.
이 항상 충족될 수 있는 건 아니라는 사실을 알고 있다. 적정 Zeithaml, Berry, and Parasuraman(1993)와 Kurtz and Clow
서비스 수준은 소비자가 경험 등을 바탕으로 인식하게 되는 (1998)의 도식모형을 고려하여 공항의 기대서비스 수준에 영
예측된 서비스 수준(predicted service level)에 의해 형성된다. 향을 미치는 요인들을 추출해 보자면, 인식된 서비스 대안은
예측된 서비스 수준(predicted service level)이란 소비자가 존재하지 않는다고 볼 것이며, 서비스 강조 요인 혹은 서비스
해당 서비스 제공자에 대해 실제로 기대하는 서비스 수준이다. 약속이라 볼 수 있으며 이러한 강조 혹은 약속은 회사의 촉진
예측된 서비스 수준은 통상적으로 이상적 서비스 수준과 적정 요인이라 볼 수 있다. 그리고 보면 다른 요인들 중 공통되는
서비스 수준 사이에 위치하게 된다. 예측된 서비스란 서비스 요인이면서 공항에 적용이 가능한 요인들로는 상황적 요인, 구
접점에서 받게 될 서비스 수준에 대한 예측으로서, 이상적 서 전 그리고 과거경험이 된다. 이하 각 요인에 대해 살펴본다.
50 Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56
- Service Staff
- Typological Clues
Service Philosophies Conditional Factors - Other Customers
- Firm Image
- Waiting Time
Past Experience
3.3. 연구방법
4. 분석결과
본 연구수행을 위해서 인천공항 이용객들을 대상으로 설문
조사를 실시하였다. 설문지의 구성은 Table 2와 같다. 설문은
공항의 서비스 강조요인 혹은 서비스약속은 이용객의 서비
공항여건을 반영하기 위하여 Bezzerra and Gomes(2016)을 참
스 기대수준에 전체적으로 영향을 미치는지 여부에 분석결과
조하였으며, 기대서비스 수준 관련하여서는 Zeithaml et al.
를 요약하자면 Table 3과 같다.
(1993), Cheong(2002)를 참조하였다.
Variance analysis
21(5)
Sum of squares df Mean square F p-value
Between group 1.503 1 1.503 3.582 .050
Within group 80.559 192 .420
Total 82.062 193
가하고 있는 반면, 인근 아시아 국가들 소재 국제공항들의 거 determinants of consumer satisfaction and complaint
센 도전에 직면하고 있어 공항의 주요한 수입원의 하나인 환 reports. Journal of marketing Research, 20(1), 21-28.
승고객 유치 및 관광객 유치에도 적지 않은 어려움에 직면하 Bezerra, G. C. L., & Gomes, C. F. (2016). Measuring
고 있고 따라서 이를 극복하기 위한 방안의 하나로 공항의 서 airport service quality: A multidimensional approach.
비스수준 관련 제고가 필요하고 이를 위한 방안의 하나로 이 Journal of Air Transport Management, 53, 85-93.
용객의 기대서비스 수준에 영향을 미칠 수 있는 요인에 대한 Carman, J. M. (1990). Consumer perceptions of service
이해가 필요하다고 생각되었기 때문이다. quality: An assessment of SERVQUAL dimensions.
연구결과 공항의 서비스강조 혹은 서비스약속이라 할 수 있 Journal of retailing, 66(1), 33.
는 서비스수상 실적은 2가지 측면에서 이용객들의 기대서비스 Cheong, E. S. (2002). A Study on the Factors Effect’s
수준에 영향을 미치는 것으로 나타나고 있다. 첫 번째가 서비 Perceived Expectation Level of Service. Ph.D
스직원의 서비스에 대한 기대감, 유형적 단서 그리고 정보탐색 dissertation, Dankook university.
이 서비스수준에 유의한 영향을 미친다는 것이며, 두 번째로는 Choi, N. H., Park, S. M., & Lim, A. Y. (2017). Roles of
서비스수상 실적이 부분적으로 기대서비스 수준을 상향시키며 Consumer’s Social Relationship and Perceived Justice
특히 정확하고 신속한 정보 관련 기대수준이 상향조정되고 있 Type on Service Recovery Satisfaction. International
다는 것을 알 수 있다. Journal of Industrial Distribution and Business, 9(1),
연구결과의 학술적 기여로는 Zeithaml, Berry, and 77-88.
Parasuraman(1993)와 Kurtz and Clow(1998)이 이론적으로 제 Cronin Jr, J. J., & Taylor, S. A. (1992). Measuring service
시한 기대서비스에 영향을 미치는 요인에 대하여 실증분석을 quality: A reexamination and extension. The journal of
하여 밝혀보았다는 점이며 기대서비스에 대한 연구방법의 한 marketing, 56(3), 55-68.
가지 유형을 제시하였다고 볼 수 있을 것이다. 실무적으로도 Douglas, L., & Connor, R. (2003). Attitudes to service
공항의 경우 서비스 강조요인 혹은 서비스약속이 있을 때 서 quality–the expectation gap. Nutrition & Food Science,
비스기대 수준에 영향을 미치는 요인들이 증가한다는 실증분 33(4), 165-172.
석결과는 의미가 크다고 볼 수 있다. 그것은 전세계 공항 가운 Feng, Z. (2016). The Effect of the Products’ Review on
데 서비스부문 최우수상 수상이란 사실이 이용객들로 하여금 Consumers’ Response. International Journal of Industrial
공항이 제공하는 서비스에 대한 기대수준을 높이고 또한 개별 Distribution and Business, 7(2), 13-20.
서비스에 대하여 민감하게 반응하게 된다고 해석될 수 있기 Fodness, D., & Murray, B. (2007). Passengers'
때문이다. 이러한 결과는 현재의 실적에 안주할 수 없고 종사 expectations of airport service quality. Journal of
자들로 하여금 다시 도전적인 자세로 업무에 임하게 만드는 Services Marketing, 21(7), 492-506.
효과가 있을 것이다. Fornell, C., Johnson, M. D., Anderson, E. W., Cha, J., &
본 연구에서는 기대서비스 수준 관련 연구를 수행하며 특정 Bryant, B. E. (1996). The American customer
요인이 기대서비스 수준에 영향을 미친다는 점에 대하여 실증 satisfaction index: Nature, purpose, and findings. The
분석을 수행하여 결과를 도출하였다. 이와 관련 공항이용객을 Journal of Marketing, 60(4), 7-18.
포함한 고객의 서비스에 대한 인식을 계량적으로 측정할 수 Gagliano, Bishop K., & Hathcote, J. (1994). Customer
있는 측정방안에 대한 연구 혹은 측정기법을 개발하기 위한 expectations and perceptions of service quality in retail
연구가 수행된다면 기대서비스 관련 좀 더 정교하고 체계적인 apparel specialty stores. Journal of Services Marketing,
연구가 수행될 수 있을 것이라 기대해 본다. 8(1), 60-69.
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Abstract
Purpose - As the importance of salesperson attitudes and behaviors enhancing customer perception and loyalty have
increased, many retail companies put emphasis on internal marketing activities. The issue also has captured the interest of
academics, but most of the previous research tends to be limited to investigating antecedents of salesperson job satisfaction
and commitment. Based on the consumer-brand relationship concepts, this study aims to examine the effects of the
salesperson-brand relationships on customers’ service evaluation and store loyalty.
Research design, data, and methodology - In a structural equation model, it is hypothesized that salesperson brand
identification influences salespersons’ brand trust and affect, which are the two dimensions of consumer-brand relationships.
Salespersons’ brand trust and affect are expected to increase salespersons’ customer orientation, which in turn influences
customers’ service evaluations and store loyalty. To test this hypotheses a set of data collected from department stores in
Seoul is utilized.
Results - First, it was found that salesperson brand identification is a significant antecedent to salespersons’ brand trust and
affects, the two dimensions of salesperson brand relationships. Second, salespersons’ brand trust and affect were found to
enhance salespersons’ customer-oriented behaviors. Third, salespersons’ customer orientation showed a significant effect on
customers’ service evaluation. When a salesperson makes more effort to provide useful information for fulfilling customer
needs, customers evaluate the salesperson’s service more positively. Finally, customers’ service evaluation had a positive
impact on customers’ store loyalty.
Conclusions - This study provides significant academic and practical implications. First, based on the theory of
consumer-brand relationships, the concept of salesperson-brand relationships was introduced and found to be an effective
motivator of salespersons’ customer oriented attitudes and behaviors. Therefore, the two dimensions of brand relationships,
brand trust and affect, should be considered as the critical factors both in developing theoretical research and improving
long-term company performance. Also, internal marketing activities should focus on maximizing employees’ brand
identification. That is, retail companies need to put emphasis on sharing their brand values and personality with internal
customers to strengthen the brand relationships with salespersons and to enhance customer responses.
마지막으로 고객의 서비스 평가가 긍정적일수록 점포 충성 대해 심리적으로 의지하는 매장 직원이 고객 만족을 중시하는
도가 향상할 것이라는 가설 6은 표준경로계수 0.855(t=23.190, 태도를 지닌다는 것이 확인되었다. 넷째, 판매원과 브랜드의
p<.01)를 보여 지지되었다. 매장 직원의 서비스를 긍정적으로 애착 수준이 높을수록 고객 지향성이 높아진다는 결과는 브랜
평가한 고객은 해당 점포를 재방문하거나 주변 사람들에게 방 드가 자신을 행복하게 해준다고 느끼는 매장 직원일수록 방문
문을 추천할 의향이 더욱 큰 것으로 확인되었다. 고객과의 상호작용 과정에서 고객의 욕구 충족을 위해 유용한
정보와 조언을 주는데 더 많은 노력을 들인다는 점을 알려준
다. 이러한 결과는 긍정적인 판매원-브랜드 관계가 판매원의
5. 연구결과 토론 및 시사점 자발적인 고객 지향적 행동을 유발하는 심리적, 내재적 동기로
작용한다는 점을 시사한다.
다섯째, 고객 지향적인 판매원의 서비스는 고객의 호의적인
5.1. 연구결과 요약 및 시사점
평가로 연결되는 것을 알 수 있었다. 이는 판매원과 브랜드 관
계가 판매원의 태도와 행동에 영향을 미침으로 고객의 긍정적
본 연구는 유통 매장 판매원과 브랜드의 관계가 판매원의
반응으로 연결된다는 점을 보여준다. 마지막으로 판매원 서비
고객 지향성 및 고객의 점포 충성도에 미치는 영향을 파악하
스에 대한 고객의 평가는 해당 점포에 대한 충성도를 높이는
였다. 백화점 판매원과 매장 방문 고객을 대상으로 실시한 설
것으로 파악되었다. 즉 판매원-브랜드 관계는 고객의 긍정적인
문조사를 바탕으로 연구모형을 분석한 결과, 판매원, 브랜드
평가를 넘어 매장 재방문, 추천 등을 유도하는 성공적인 소비
간의 신뢰, 애착 관계는 판매원이 자사 브랜드에 대해 지각하
자-브랜드 관계 구축의 기반이 된다는 점을 알 수 있었다.
는 동일시 수준의 영향을 받는 것을 알 수 있었다. 또한 판매
본 연구는 유통현장의 판매 직원을 비롯한 내부 고객과의
원의 브랜드 신뢰, 애착 수준은 판매원의 고객 지향성에 영향
관계를 효과적으로 관리하기 위한 실무적 시사점을 제공한다.
을 미치고, 나아가 고객의 서비스 평가와 점포 충성도에 긍정
먼저 판매원이 인식하는 브랜드 동일시 수준이 브랜드 신뢰
적인 효과를 발휘한다는 점이 파악되었다.
향상에 긍정적인 영향을 미친다는 점은 매장 직원의 심리적
최근 내부 브랜딩의 중요성이 강조됨에도 불구하고 직원과
의존성을 높이기 위한 브랜드 정체성 공유의 중요성을 확인시
브랜드 관계, 고객 충성도의 영향 구조를 분석하는 연구는 여
켜준다. 둘째, 브랜드 동일시는 직원과 브랜드의 정서적 연결
전히 매우 부족한 상황이다. 본 연구는 소비자-브랜드 관계에
감을 향상시킨다는 결과 또한 내부 마케팅이 브랜드 비전과
한정되어 진행되어온 브랜드 관계 연구를 내부 고객인 판매원
의미를 공유하는 방향으로 진행되어야 함을 알려준다. 따라서
과의 관계로 확장하여 분석하였다는 점에서 기업의 내·외부 통
기업은 고객접점 직원의 채용 단계부터 자사 브랜드가 추구하
합 브랜드 관계 이론의 기반을 제공한다. 또한 판매원-브랜드
는 비전과 이미지에 공감하고 일치감을 느끼는 인재를 확보하
관계를 신뢰, 애착의 두 차원으로 분석하여 판매원의 브랜드
고 동일시 수준을 높일 수 있도록 지속적인 내부 커뮤니케이
동일시, 고객 지향성 등과의 영향 관계 구조를 파악하여 결과
션 활동을 추진하여야 한다.
를 도출하였다는 점에서 학술적 가치를 지닌다고 볼 수 있다.
셋째, 브랜드에 대한 내부 직원의 신뢰가 고객 지향적 행동
연구모형 분석 결과를 바탕으로 다음과 같은 시사점 제시가
에 영향을 미친다는 분석 결과는 직원의 기업에 대한 신뢰를
가능하다. 첫째, 판매원의 브랜드 동일시 수준이 높을수록 브
강화함으로써 기업 성과 향상에 효과적인 이상적인 행동을 유
랜드에 대한 신뢰 수준이 높아지는 것으로 나타났다. 즉 소비
도할 수 있음을 암시한다. 넷째, 판매원의 브랜드 애착 또한
자-브랜드 관계와 유사하게 내부 직원의 브랜드 자아 일치성
고객 지향적 행동을 유발하는 주요 요인이라는 분석 결과는
이 자사 브랜드 신뢰를 강화하는 유의한 변수임을 알 수 있었
직원의 능동적인 참여를 유도하기 위해 외재적, 금전적 보상에
다. 두 번째 가설에서는 판매원-브랜드의 애착 관계가 판매원
만 의존하기보다 심리적, 정서적 관계 강화를 추구하는 것이
의 브랜드 동일시 수준이 높을수록 강화되는 것이 검증되었다.
효과적일 수 있음을 시사한다. 예를 들어 일하는 즐거움을 중
이는 소비자-브랜드 관계에서 소비자가 브랜드와 자신의 가치
시하는 사우스웨스트항공은 자사 브랜드 비전과 미션을 알리
관, 성격이 일치한다고 지각할수록 긍정적인 브랜드 관계를 유
는 다양한 형태의 컨텐츠를 제작해 내부적으로 공유함으로써
지한다는 기존 연구 결과와 일맥상통한다(Malär et al., 2011).
직원들의 자율적이고 유연한 고객 대응을 유도하는데 성공하
또한 향후 내부 마케팅 연구에서 직원의 브랜드 동일시 요인
였다(Miles & Mangold, 2005).
을 중요 변수로 고려하여야 함을 의미한다.
다섯째, 판매원의 고객 지향성이 고객의 서비스 평가를 향
셋째, 판매원이 브랜드를 신뢰할수록 고객 지향적 태도가
상시킨다는 결과는 접점 현장 직원의 고객 지향적 태도가 고
강해지는 것을 알 수 있었다. 즉 자신이 속한 기업의 브랜드에
Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64 63
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Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72 65
Abstract
Purpose – The purpose of this research is to investigate the effect of ex ante governance mechanisms that can be
exercised by franchisers on franchise contract compliance and various relationship outcomes. There are many previous
studies on control mechanisms in inter-firm relationship, however, most studies focus on ex post governance mechanisms
and identify the effects of behavior control and outcome control on performances. Based on transaction cost theory and
agency theory, this study defines the ex ante governance mechanisms of franchisers as contractual completeness and extra
contractual incentives. The author have examined the two ex ante control mechanisms on contract compliance, recontract
intention, multi-shop running intention and opportunistic behaviors of franchisee.
Research design, data, and methodology – In this study, 137 questionnaires of food and beverage franchise stores were
collected through a specialized research company. The reliability and validity of the variables were analyzed using SPSS
18.0 and AMOS 18.0 programs and hypotheses were verified through the structural equation modeling.
Results – As a result of hypothesis testing, contractual completeness and extra contractual incentives have a positive effect
on the contract compliance of the franchisee. It is shown that franchisee’s contract compliance has a positive effect on
recontract intention and multi-shop running intention and has a negative effect on opportunistic behaviors.
Conclusions – This study examines the ex ante governance mechanisms such as contractual completeness and extra
contractual incentives, which is relatively rare compared to ex post governance mechanism in B2B relationship. According to
the results of this research, these two tools can be used as ex ante control mechanisms for franchise headquarters to use
their franchisees. In addition, franchisee’s contract compliance affects various relationship outcomes between franchisor and
franchisees.
Keywords: Ex Ante Governance Mechanisms, Contractual Completeness, Extra Contractual Incentives, Contract Compliance,
Relationship Outcomes.
는 대다수의 연구들은 사전통제에 해 다루기보다는 대부분이 연구의 이론적 배경으로 둔다. 왜냐하면 두 이론 모두 거래상
계약 이후에 발생하는 사후통제가 관계성과에 미치는 영향에 대방 또는 대리인의 기회주의적 행동(opportunistic behavior)
대해 다루고 있다(Antia et al., 2006; Bello & Gilliland, 1997; 이를테면, 속임수를 통한 이익추구, 계약사항의 자의적 해석,
Heide, Wathne, & Rokkan, 2007; Murry & Heide, 1998; 책임회피 등을 억제하기 위해 적절한 통제시스템이 필요하다
John, 1984; Wang, Dou, & Zhou, 2012). 사후통제란, 행동통 고 주장하고 있기 때문이다(Crosno & Brown, 2015).
제와 결과통제로 나눌 수 있는데(Crosno & Brown, 2015), 행
동통제(behavioral control)는 바람직하고 수용가능 한 거래상대 2.1. 거래비용이론과 통제
방의 행동양식을 보증하기 위해 행동을 구조화 하고 규제하는
것이며(Peterson, 1984; Snell, 1992), 결과통제는 산출된 결과 거래비용이론은 거래관계에서 발생하는 제한된 합리성과 정
에 초점을 맞추어 과정이 아닌 결과만을 감시하고 평가하는 보의 비대칭성에 따른 외부의 거래위험과 상대방의 기회주의
것을 말한다(Henderson & Lee, 1992). 또한 최근 들어서는 두 에 대해 어떻게 대처하느냐 하는데 초점을 두고 있다. 거래비
통제기재(행동통제 및 결과통제)의 상호작용 효과에 대해 설명 용이론에서는 기업은 거래를 체결하고 유지해 나가는데 들어
하려는 시도가 늘고 있다(Wang et al., 2012). 일반적으로 행 가는 거래비용을 최소화하길 원한다는 것을 전제로 하고 있는
동통제는 거래상대방의 행동에 대한 자유도를 떨어뜨리기 때 데, 여기서 말하는 거래비용이란 구체적으로 협상, 정보수집
문에 갈등을 유발하고 기회주의적 행동성향을 높이고, 반대로 및 처리, 협약준수 감시, 거래파트너 교체로 인한 교체비용
결과통제는 특정한 목표를 달성하기 위한 운영 자율성을 확보 (John, 1984) 등으로 나눌 수 있다.
해주기 때문에 기회주의적 성향을 줄이는 것으로 알려져 있다. 시장에 기반을 둔 계약(market-based transaction)는 보이지
하지만 Wang et al.(2012)의 연구에 따르면, 판매사원에 대한 않는 손에 의지하기 때문에 계약에 대한 안전장치 확보, 적응,
행동통제와 결과통제를 동시에 하는 경우 기회주의적 행동성 성과평가에 대한 문제점을 지닌다(Williamson, 1975). 따라서
향을 줄이고 판매원의 문제해결력도 줄인다고 밝히고 있다. 거래상대방이 계약내용을 성실히 이행하고 성과를 내고 있는
이렇듯 기업관점에서 거래비용이나 모니터링 비용을 줄이기 지에 대한 결과통제(output control)를 필요로 한다. 물론, 시장
위해 사전통제를 하는 것이 사후통제를 하는 것보다 훨씬 더 에 기반한 계약이 아닌 내부화(hierarchical exchange)를 한다
효과적임에도 불구하고, 전술한 연구들은 실재 거래가 발생한 면 이러한 문제는 줄어들 수 있지만 내부화를 하는 경우에는
이후에 취할 수 있는 사후통제만을 연구의 범위로 삼고 있으 직원이나 대리인에 대한 또 다른 형태의 통제 즉, 조정
며 거래 이전단계에서의 통제 방법이나 수단에 대해서는 다루 (coordination)이나 행동통제(process control)가 필요하다
지 않고 있다. 따라서 본 연구는 기존 통제메커니즘에 대한 연 (Williamson, 1991).
구들이 간과하고 있는 기업 간 거래에서의 사전통제메커니즘
(ex ante governance mechanism)에 대해 살펴보고, 사전통제 2.2. 대리인이론과 통제
가 거래파트너와의 행동성과에 미치는 영향을 규명하고자 하
였다. 대리인이론의 초점은 어떻게 하면 주인(principal)이 의사결
아울러 기존 사전통제와 관련한 연구들이 주로 제조업체와 정권을 가지고 있는 대리인의 활동을 효과적으로 통제할 수
유통업체, 제조업체와 대리점 간의 관계에서 통제메커니즘을 있는가 하는데 있다(Anderson & Oliver, 1987; Eisenhardt,
연구하였다면, 본 연구는 프랜차이즈 산업의 가맹본부와 가맹 1985). 기업 활동에서 대리인을 활용하는 경우 발생할 수 있
점간 관계에 초점을 맞추어 사전통제 효과를 규명 하였다. 다 는 문제를 대리인문제(agency problem)이라고 하는데, 대리인
양한 기업 간 거래유형 중 프랜차이즈 산업을 선정한 이유는 문제는 대리인이 주인의 목표와 일치하는 방향으로 행동할 수
첫째로 가맹본부와 가맹점 간의 거래는 거래의 독점성이 인정 도 있고 반대로 자기이익을 취하는 방향으로도 행동할 수 있
되는 관계로 상호간 의존성이 매우 높기 때문에 다양한 통제 기 때문에 발생한다(Bergen et al., 1992). 아울러 대리인 문제
기제가 존재할 수 있다고 판단하였기 때문이고, 둘째로 거래관 는 주인이 대리인의 성과에 대한 정보가 적을 때 극대화되며,
계에 있는 두 거래당사자 중 한쪽의 힘이 너무 크면 통제기제 반대로 주인과 대리인의 목표가 일치하는 계약을 했을 때 줄
가 큰 의미가 없기 때문이다. 연구자는 프랜차이즈 산업에는 어든다. 그러나 계약을 체결하는 단계에서 정확하게 주인과 대
가맹사업법과 가맹점주협의회와 같은 이익단체가 존재하기 때 리인의 목표를 일치 시킬 수는 없기 때문에 주인은 대리인의
문에 가맹본부의 힘에 대항력을 주고 있어 다른 기업 간 거래 행동을 통제함으로써 정보의 비대칭성을 극복한다(Bergen et
관계에 비해 힘의 불균형이 비교적 적다고 판단하였기 때문이 al., 1992; Brickley & Dark, 1987).
다. 대리인이론에 대한 연구들은 크게 두 가지 형태의 통제메커
니즘에 대해 다루고 있는데 하나는 행동통제(과정통제)이고 다
른 하나는 결과통제(산출통제)이다. 행동통제와 결과통제 중
2. 선행연구 고찰 어떠한 것을 선택하느냐 하는 문제는 첫째로, 대리인의 행동을
통해 바람직한 결과를 창출해내기 위한 과정에 대해 주인이
마케팅 경로에서 통제란 계약관계에 있는 거래파트너 또는 얼마나 많은 지식을 가지고 있는지에 따라 결정된다(Anderson
대리인(직원, 대리점 등)을 감시(monitoring)하거나, 지시 & Oliver, 1987; Eisenhardt, 1985; Ouchi, 1979). 둘째로, 주인
(directing), 평가(evaluating), 또는 보상(compensating)하는 일 이 대리인의 행동을 관찰하거나 대리인의 결과를 측정하는데
련의 활동을 말한다(Anderson & Oliver, 1987). 마케팅경로 상 있어 얼마나 어려움이 있는지(Tremblay, Cote, & Balken,
통제메커니즘을 다루는 연구들은 대부분이 거래비용이론 2003), 마지막으로 주인과 대리인 사이의 관계목표가 얼마나
(transaction cost theory)이나 대리인이론(agent theory)을 해당 명확한지에 따라 결정된다(Eisenhardt, 1985; Ouchi, 1979).
Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72 67
적인 또는 부수적으로 발생한 혜택이나 수익이라고 판단하기 따르지 않는 가맹점들의 성과가 더 낮다고 한다. Su(2012)의
때문이다 Gilliland and Bello(2001)의 연구에서는 공급자와 판 연구에서는 본부에 대한 만족과 성과는 가맹점의 재계약의도
매자 간 계약 외 인센티브를 경제적 인센티브와 관계적 인센 를 높인다고 하였으며, Park and Ko(2010)은 가맹점의 가맹본
티브로 나누었으며 이러한 두 가지 계약 외 인센티브가 재무 부에 대한 협력관계가 서비스 품질에 영향을 미치고, 서비스
적 성과에 영향을 미친다고 주장하였다. 전술한 연구들을 바탕 품질은 고객만족, 가맹점 만족도, 재계약의도와 같은 비재무성
으로 계약의 완전성과 계약 외 인센티브와 가맹점의 계약준수 과에 영향을 미친다고 하였다. 국내 식음료 프랜차이즈 산업을
정도 사이에 다음과 같은 가설을 세울 수 있었다. 대상으로 한 Kim and Yi(2016)의 연구에서 가맹본부에 대한
몰입수준의 증가는 관계지속의도, 다점포 운영의도, 확장브랜
H 1: 계약의 완전성은 계약준수 수준에 정(+)의 영향을 미칠 드 운영의도에 차별적인 영향을 미치는 것으로 나타났다. 결
것이다. 국, 가맹점의 계약준수는 가맹본부에 대한 신뢰나 몰입을 증가
H 2: 계약 외 인센티브는 가맹점의 계약준수 수준에 정(+)의 시키고 의존성을 높이는 역할을 하는 것으로 판단되며 전술한
영향을 미칠 것이다. 선행연구들을 바탕으로 다음과 같은 가설을 세웠다.
2.4.2. 가맹점의 계약준수 수준이 프랜차이즈 시스템 관계성 H 3: 가맹점의 계약준수는 재계약의도에 정(+)의 영향을 미
과에 미치는 영향 칠 것이다.
H 4: 가맹점의 계약준수는 다점포운영의도에 정(+)의 영향
본 연구에서는 프랜차이즈 시스템 관계성과로 가맹점의 거
을 미칠 것이다.
래지속의도, 재계약의도 그리고 기회주의적 행동을 제시하고자
H 5: 가맹점의 계약준수는 가맹점의 기회주의적 행동에 부
한다. 계약준수(contract compliance)는 계약의 상대가 바라는
(-)의 영향을 미칠 것이다.
것을 하기로 결정하고 따르게 되는 인지적인 과정이나 결속
및 동기부여의 결과로(Davis, Lassar, Manolis, Prince, &
Winsor, 2011). 가맹점의 계약준수는 명시적인 계약의무를 준
3. 연구방법론
수하는 것 뿐 아니라 거래관계에서의 암묵적인 규범에서 파생
된 관계적 기대를 준수하는 것 역시 포함한다. Brill(1994)는 3.1. 자료수집
계약준수를 기회주의와 협력을 양극단에 둔 연속형 척도로 표
현하기도 하였는데, 계약을 전혀 준수하지 않는 것을 기회주의 본 연구는 가맹본부의 사전통제가 계약준수와 다양한 관계
로 계약을 가장 잘 준수하는 것을 협력으로 간주하였다. 성과 변수들에 미치는 영향에 대해 살펴보고자 하는 연구로,
가맹점의 계약준수는 가맹본부나 가맹점 모두의 관점에서 현재 외식프랜차이즈 가맹점을 운영하고 있는 가맹점 점주 또
시스템 성과에 매우 중요한 영향을 미친다. Elango and Fried 는 매니저 등을 대상으로 설문을 시행하였다. 우리나라 프랜차
(1997)의 연구에 따르면 가맹점의 계약준수 성향의 증가는 프 이즈 가맹본부의 70% 이상이 외식프랜차이즈이기 때문에 외
랜차이즈 시스템 효과성이 높아지기 때문에 가맹본부 입장에 식프랜차이즈가 설문의 대표성을 가질 수 있을 것이라는 판단
서 해당 프랜차이즈 시스템의 성장을 위한 향후 투자에 긍정 하에 전문 리서치업체를 통해 총 150부의 설문지를 회수하였
적인 영향을 미친다고 한다. 가맹본부의 투자는 신뢰 수준을 으며, 회수된 자료 중 불성실한 응답 13부를 제외하고 총 137
강화시키고 가맹점의 결속력을 강화시켜 기회주의적 행동을 부의 설문지를 실증분석에 활용하였다.
억제하는 효과가 있다(Heide, 1994). 응답자 기초통계는 <Table 2>의 내용과 같다. 평균적인 응
가맹점의 계약준수는 가맹점 관점에서의 관계성과에도 큰 답자의 연령은 41.9세로 남자는 63명, 여자는 74명이 응답하
영향을 미칠 수 있는데, Fenwick and Strombom(1998)의 연구 였다. 업종은 치킨(38개, 27.7%)와 음료/커피/아이스크림(29개,
에 의하면 가맹본부의 계약정책을 잘 따르는 가맹점들에 비해 21.2%)가 가장 높았으며 종업원의 수는 평균 3.54명이었다.
3.4. 가설검증결과 하자면 다음과 같다. 우선, 계약의 완전성과 인센티브 조항은
가맹점의 계약준수 수준을 높이는 것으로 나타나 가설 1과 가
본 연구에서 설정한 가설을 검증하기 위해서 구조방정식 연 설 2는 지지되었다. 두 번째로 계약준수수준은 재계약의도를
구모형을 이용하였으며 AMOS 18.0 통계패키지를 사용하였다. 높이고 다점포운영의도를 높이는 것으로 나타나 가설 3과 4는
연구모형 분석결과 모형의 적합도는 χ2=227.953, df=203, χ2/df 지지되었다. 마지막으로 가맹점의 계약준수 수준이 높아지면
=1.665, RMR=0.059, GFI=0.823, IFI=0.895, TLI=0.877, CFI= 기회주의적 행동이 줄어드는 것으로 나타나 가설 5 역시 지지
0.892로 권고치인 0.9 이상에는 미치지 못했으나 모든 지수에 되었다.
서 0.8이상의 양호한 수치를 보여 수용할 수 있는 것으로 판 본 연구의 시사점은 학문적인 시사점과 실무적인 시사점으
단하였다(Hair et al., 2006). 아래의 <Table 5> 내용을 살펴보 로 나눌 수 있다. 우선 학문적 시사점을 기술하자면 다음과 같
면, 본 연구에서 설정한 가설1부터 가설 5까지 모든 가설이 다. 첫째, 본 연구는 거래비용이론과 대리인 이론에서 제시하
지지된 것을 알 수 있다. 는 사전통제기재 중 계약의 완전성과 인센티브 조항이 계약준
수수준에 미치는 영향을 검증함으로써 국내 식음료 프랜차이
3.5. 대안모형 추가분석 즈 산업에서 사전통제 메커니즘으로서 해당 변수들이 사용될
수 있다는 점을 밝혔다. 아마도 국내연구로는 이러한 사전통제
추가적으로 본 연구에서 사전통제기재로 선정한 계약의 완 기재의 역할을 밝힌 최초의 연구일 것이라 생각된다.
전성과 계약에 포함된 인센티브 조항이 재계약의도, 다점포운 둘째, 프랜차이즈 가맹점의 계약준수수준이 높아지면 다양
영의도, 기회주의적 행동에 미치는 직접효과에 대한 대안모형 한 관계성과 변수들에 영향을 미친다는 사실을 규명함으로써
을 검증하였다. 검증결과, 계약의 완전성은 기회주의적 행동에 계약준수(contract compliance)라는 변수의 중요성을 규명하였
부의 영향을 미치는 것으로 나타났으며(β=-0.502, p<0.01) 나 다. 아울러 추가분석을 통해 계약의 완전성이 기회주의에 미치
머지 변수들 간의 유의미한 효과는 없었다. 아울러 자유도 값 는 영향을 제외하고 계약준수를 거치지 않고 계약의 완전성이
의 변화에 따른 카이제곱 값의 차이를 살펴본 결과 본 연구에 나 계약 외 인센티브는 관계성과 변수들에 직접적인 영향을
서 제안한 연구모형이 대안모형에 비해 더 우수한 것으로 나 미치지 않는다는 사실을 밝힘으로써 아직까지 국내 프랜차이
타났다(χ2=326.270, df=197, χ2/df=1.656, RMR=0.054, GFI= 즈 관련 연구에서 크게 주목받지 못했던 변수인 계약준수가
0.828, IFI=0.900, TLI=0.879, CFI=0.897). 앞으로 중요한 변수로 다루어질 수 있는 파생연구를 만들어
낼 수 있을 것으로 생각된다.
본 연구의 실무적 시사점은 다음과 같다. 첫째, 본 연구에서
4. 연구결과 토론 및 시사점 는 계약이전 단계에 있는 가맹본부들에게 계약준수 수준을 높
일 수 있는 두 가지 방법 즉, 계약의 완전성을 높이는 것과 추
4.1. 연구의 요약 및 시사점 가적인 인센티브를 제공하는 것을 제시하고 있다. 국내 프랜차
이즈 산업은 가맹사업법에 적용을 받기 때문에 ‘표준계약서’가
본 연구는 국내 외식프랜차이즈 산업에서 가맹본부의 사전 사용되고 있고 이러한 계약서의 내용에서는 가맹본부의 준수
통제 메커니즘으로서의 계약의 완전성과 인센티브 조항의 역 사항(제5조), 가맹점 사업자의 준수사항(제6조), 불공정 거래행
할에 대해 규명하였으며, 계약준수 수준이 다양한 관계성과 변 위의 금지(제7조) 등 가맹본부와 가맹점 간 역할과 의무에 대
수에 미치는 영향에 대해 규명하였다. 본 연구의 결과를 요약
Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72 71
해 세부적으로 기술하고 있으나 가맹운영을 유지하는데 있어 and subsequent performance. Management Science,
예외적인 상황이나 돌발적인 상황이 발생했을 때 어떻게 대처 51(12), 1734-1752.
해야 하는지에 대한 내용은 결여되어 있다. 따라서 예측하기 Antia, K. D., Bergen, M. E., Dutta, S., & Fisher, R. J.
어려운 상황에 직면하는 경우 가맹본부와 가맹점 사이의 역할 (2006). How does enforcement deter gray market
이나 책임이 모호하고 분쟁의 소지가 될 수 있다. 또한 교육 incidence? Journal of Marketing, 70(1), 92-106.
및 훈련(제19조), 광고(제23조), 판촉(제24조) 등 가맹본부의 Argyres, N. S., Bercovitz, J., & Mayer, K. J. (2007).
영업활동 지원에 대한 내용은 계약으로 규정하고 있으나, 인센 Complementarity and evolution of contractual provisions:
티브에 대한 내용은 어디에도 찾아볼 수 없다. 표준계약서에 An empirical study of IT services contracts. Organization
가맹점과 본부의 역할과 책임에 대해 더 명확하게 기술하거나 Science, 18(1), 3-19.
인센티브 조항을 특약으로 추가될 수 있도록 한다면 가맹점의 Aulakh, P. S., Kotabe, M., & Sahay, A. (1996). Trust and
계약준수 수준을 높일 수 있을 것으로 판단된다. performance in cross-border marketing partnerships: A
둘째, 본 연구는 가맹점의 계약준수 수준에 영향을 미치는 behavioral approach. Journal of International Business
다양한 관계성과 변수들에 대해 설명하고 있으며 이러한 결과 Studies, 27(5), 1005-1032.
는 가맹본부가 가맹점의 계약준수 수준을 점검해야 하는 당위 Bagozzi, R. P., & Yi, Y. (1988). On the evaluation of
성을 가맹점주들에게 제시한다고 볼 수 있다. 일부 프랜차이즈 structural equation models. Journal of the Academy of
가맹점들은 본부의 계약점검에 대해 영업통제나 지나친 간섭 Marketing Science, 16(1), 74-94.
으로 생각하는 경향이 있는데, 본 연구의 결과는 가맹계약 준 Bello, D. C., & Gilliland, D. I. (1997). The effect of output
수에 대한 수준이 높아지면 기회주의적 행동이 줄어들고 본부 controls, process controls, and flexibility on export
에 대한 재계약의도나 다점포 운영의도 더 나아가 재무적인 channel performance. Journal of Marketing, 61(1), 22-38.
성과까지 높여주는 긍정적인 효과가 있음을 가맹점주들에게 Bergen, M., Dutta, S., & Walker Jr, O. C. (1992). Agency
알려줌으로써 본부의 계약점검의 당위성을 부여할 수 있는 근 relationships in marketing: A review of the implications
거가 될 것으로 보인다. and applications of agency and related theories. Journal
of Marketing, 56(3), 1-24.
4.2. 한계점 및 향후연구 Brickley, J. A., & Dark, F. H. (1987). The choice of
organizational form the case of franchising. Journal of
본 연구의 시사점에도 불구하고 본 연구는 많은 한계점을 Financial Economics, 18(2), 401-420.
가지고 있다. 첫째, 본 연구에서는 사전통제 메커니즘으로 계 Brill, J. E. (1994). Beyond managerial opportunism:
약의 완전성과 인센티브 조항과 같은 변수를 제시하였으나 프 Supplier power and managerial compliance in a
랜차이즈 계약에서 다른 변수들 역시 있을 것으로 판단된다. franchised marketing channel. Journal of Business
이를테면 계약의 일방성, 배타적 영업권 부여와 같은 변수들 Research, 30(3), 211-223.
역시 계약준수 수준을 높이고 기회주의를 줄일 수 있는 변수 Challagalla, G. N., & Shervani, T. A. (1996). Dimensions
가 될 수 있을 것이라 판단되며 앞으로의 연구에서 다루어야 and types of supervisory control: Effects on salesperson
할 것이다. 둘째, 본 연구에서는 가맹본부의 통제메커니즘 중 performance and satisfaction. Journal of Marketing,
에 사전통제만 다루고 있으나 일반적으로는 사후통제가 더 많 60(1), 89-105.
이 쓰이는 통제수단이다. 따라서 향후 연구에서는 거래관계에 Clee, M. A., & Wicklund, R. A. (1980). Consumer behavior
서 사전통제와 사후통제의 차별적인 효과나 사전통제와 사후 and psychological reactance. Journal of Consumer
통제의 상호작용효과에 대해 규명하는 연구가 필요하다. 마지 Research, 6(4), 389-405.
막으로 본 연구는 식음료 가맹점주들을 대상으로 설문을 하였 Crosno, J. L., & Brown, J. R. (2015). A meta-analytic
다. 따라서 본 연구의 결과가 일반 프랜차이즈나 대리점과 제 review of the effects of organizational control in
조업체 관점에서도 적용이 되는지에 대해 일반화 가능성을 확 marketing exchange relationships. Journal of the
대하기 위한 향후 연구가 필요할 것으로 보인다. Academy of Marketing Science, 43(3), 297-314.
Davies, M. A., Lassar, W., Manolis, C., Prince, M., &
Winsor, R. D. (2011). A model of trust and compliance in
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Appendix 73
Appendix
Guide for Authors; The Journal of Distribution Science(JDS)
Print ISSN: 1738-3110 / Online ISSN: 2093-7717
"Code of Ethics" authors are expected to adhere to the 2. The Preparation of Manuscripts(Main Document)
guidelines outlined in this section.
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Please write your text in good English(American or British
All authors are requested to disclose any actual or usage is accepted, but not a mixture of these) or Korean.
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could in appropriately influence, or be perceived to influence, authors are encouraged to write concisely. As a guide,
their work. articles should be between 5,000 and 7,000 words in length.
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KODISA applies the Creative Commons Attribution- 1.1.2., ...), 1.2., etc.(the abstract is not included in section
NonCommercial 4.0 International(CC BY-NC 4.0) to works numbering). Use this numbering also for internal cross-
we publish(read the human-readable summary or the full referencing: do not just refer to "the text". Any subsection
license legal code). This license was developed to facilitate may be given a brief heading. Each heading should appear
open access – namely, free immediate access to, and on its own separate line.
unrestricted reuse of, original works of all types. Under this
license, authors agree to make articles legally available for
3.1.1. Introduction
reuse, without permission or fees, for virtually any purpose. State the objectives of the work and provide an adequate
Anyone may copy, distribute or reuse these articles, as long background, avoiding a detailed literature survey or a
as the author and original source are properly cited. summary of the results.
Appendix 75
description of the illustration. Keep text in the illustrations authors, list the first six authors followed by et al. and
themselves to a minimum but explain all symbols and the year of publication. In subsequent citations use the
abbreviations used. first author et al. Citations may be made directly(or
parenthetically). Groups of references should be listed first
3.2.9. Tables alphabetically, then chronologically. For example, Kim and
Number tables consecutively in accordance with their Lee(2008) suggest ..., or Lee and Cormier(2009) find that
appearance in the text. Place footnotes to tables below the ..., or A study of distribution economics(Youn, 2007) has
table body and indicate them with superscript lowercase shown that ...' When citing a list of references in the
letters. Avoid vertical rules. Be sparing in the use of tables text, put the list in alphabetical order and separate
and ensure that the data presented in tables do not authors by semicolons; for example, "Several
duplicate results described elsewhere in the article. studies(Kim & Lee, 2008; Lee & Cormier, 2009a, 2009b;
Youn & Kim, 2003) support this conclusion." To cite a
3.3. Citation and References direct quotation, give pages after the year, separated by
a comma and a space. For example: "Smith argues that
Per JDS’s "Citation and Reference Style Guides", authors
for something to happen it must be not only 'favorable
are expected to adhere to the guidelines of APA
and possible but also wanted and triggered'(2008, p.38)".
Style(American Psychological Association).
Text: Citations in the text should follow the referencing
3.3.2. List of References
style used by the American Psychological Association. You
are referred to the Publication Manual of the American References should be arranged first alphabetically and
Psychological Association, Sixth(6th) Edition, ISBN then further sorted chronologically if necessary. More than
978-1-4338-0561-5. Details concerning this referencing style one reference from the same author(s) in the same year
can also be found at http://linguistics.byu.edu/faculty/ must be identified by the letters "a", "b", "c", etc., placed
henrichsenl/apa/apa01.html. after the year of publication.
References List: references should be arranged first
Reference to an article in journals:
alphabetically and then further sorted chronologically if
Kim, P. J.(2009). A study on the risk management of
necessary. More than one reference from the same author(s)
Korean firms in Chinese market. Journal of Distribution
in the same year must be identified by the letters 'a', 'b', 'c',
Science, 7(2), 5-28. doi:10.1037/0278-6133.24.2.225
etc., placed after the year of publication.
Lee, J. W., & Cormier, J. F.(2010). Effects of consumers’
Web references: As a minimum, the full URL should be
demographic profile on mobile commerce adoption.
given and the date when the reference was last accessed.
Journal of Distribution Science, 8(1), 5-11.
Any further information, if known(DOI, author names, dates,
Youn, M. K., Kim, Y. O., Lee, M. K., & Namkung, S.(2006).
reference to a source publication, etc.), should also be
Domestic restrictions on the opening of retail stores.
given. Web references can be listed separately(e.g., after
Journal of Distribution Science, 6(2), 121-160.
the reference list) under a different heading if desired, or
doi:10.1080/14622200410001676305
can be included in the reference list.
Reference to a book(ISBN):
3.3.1. Citation in Text
Greenberg, P.(2001). CRM at the speed of light(5th ed.).
Please ensure that every reference cited in the text is Emeryville, CA: Lycos Press.
also present in the reference list(and vice versa). Any Youn, M. K., & Kim, Y. O.(2016). Principles of
references cited in the abstract must be given in full. distribution(2nd ed.). Seoul, Korea: Doonam
Unpublished results and personal communications are not Publishing.
recommended in the reference list, but may be mentioned in
the text. If these references are included in the reference list Reference to a book(ISBN): digital version
they should follow the standard reference style o Shoton, M. A.(1989). Computer addiction? A study of
f the journal. computer dependency [DX Reader version]. Retrieved
May 22, 2017 from http://www.ebookstore.tandf.co.uk
All citations in the text should refer to: /html/indix.asp
- Single author: the author's name(without initials, unless
Reference to a chapter in an edited book:
there is ambiguity) and the year of publication;
Burton, R. R.(1982). Diagnosing bugs in a simple procedure
- Two authors: list all authors' names with "and" separating
skill. In D. H. Sleeman, & J. S. Brown, Intelligent tutoring
the two authors and the year of publication;
systems(pp.120-135), London, UK: Academic Press.
- More than three up to five authors: at first citation list
all authors' names with "and" separating the last two
Reference to a thesis for doctorate(or master's thesis):
authors and the year of publication; If more than six
Appendix 77
Kim, Y. M.(2001). Study on factors of introduction of supply 4.2. Author Names and Affiliations
chain management of Korean companies.(Doctorial
Where the family name may be ambiguous(e.g., a double
dissertation, Jungang University). Retrieved May 22,
name), please indicate this clearly. Present the authors'
2017 from http://www.static.cc.gatech.edu/~asb/thesis/
affiliation addresses(where the actual work was done) below
For published conference proceedings: on-line publication the names. Indicate all affiliations with a lower- case letter
Lee, J. W., & Kim, Y. E.(2007). Green distribution and its immediately after the author's name and in front of the
economic impact on the distribution industry. Proceedings appropriate address. Provide the full postal address of each
of the Second International Conference of KODISA. affiliation, including the country name, and, the e-mail
Korea, 105, 12-32. doi:10.1073/pnas.0805417015 address of each author. Note: This information should be
provided on a separate sheet and authors should not be
For published conference proceedings: as a book identified anywhere else in the manuscript.
Katz, I., Gabayan, K., & Aghajan, H.(2007). A multi-touch
surface using multiple cameras In J. Blanc-Talon, W. 4.3. Corresponding Author
Philips, D. Popescu, & P. Scheuunders(Eds.), Lectures Clearly indicate who will handle correspondence at all
Notes in Computer Science: Vol. 4678. Advanced stages of refereeing and publication, also post-publication.
Concepts for Intelligent Vision Systems(pp.97-108). Ensure that telephone(with country and area code) are
doi:10.1007/978-3-540-74607-2_9 provided in addition to the e-mail address.
For magazine articles: 4.4. Abstract
Youn, M. K.(2010, July). Distribution science in medical
industry. Medical Distribution Today, 39(4), 86-93. A concise, factual and structured abstract is required.
About 200 words in total are recommended(However, the
For newspaper articles: Korean Papers: About 350 words). The abstract should state
Kim, Y. E.(2011, May 30). New challenges and opportunities briefly 1) the purpose of the research, 2) research design,
for traditional markets. Korea Distribution News, pp. data and methodology, 3) the principal results, and 4) major
A1, A4. conclusions. An abstract is often presented separately from
the article, so it must be able to stand alone. For this
For newspaper articles: on-line
reason, non-standard or uncommon abbreviations should be
Broody, J. E.(2007). Mental reserves keep brain agile. The avoided, but if essential they must be defined at their first
New York Times, Retrieved May 22, 2017 from mention in the abstract itself.
http://www.nytimes.com
4.5. Keywords
For newspaper articles: non-authored
Korea Distribution News(2011). Future of traditional markets. Immediately after the abstract, provide a maximum of 5
Korea Distribution News, 21 January, Section 3-4. keywords. These keywords will be used for indexing purposes.
Seoul, Korea.
4.6. JEL Code
For internet resources:
Kim, D. H., & Youn, M. K.(2012). Distribution knowledge, Immediately after keywords, provide a maximum of 5 JEL
research, and journal. Proceeding of 2012 Summer codes. These codes will be used for indexing purposes.
International Conference of KODISA, Seoul,
4.7. Acknowledgements
Korea(pp.73-78). Retrieved May 22, 2017 from
http://www.kodisajournals.org/index.php?mid=Conferences Collate acknowledgements in a separate section at the
&document_srl=8862 end of the title page and do not, therefore, include them on
China National Petroleum Corporation(2009). 2009 Annual the main document(manuscripts) or otherwise. List here
Reports. (Research Report No. 09. 6) Retrieved May those individuals who provided help during the research(e.g.,
22, 2017 from http://www.cnpc.com.cn/resource/english providing language help, writing assistance or proof reading
/images1/2009.pdf the article, etc.).
4.1. Title It is hoped that this list will be useful during the final
checking of an article prior to sending it to the journal's
Concise and informative. Maximum 12 words. Titles are Editor for review. Please consult this Guide for Authors for
often used in information-retrieval systems. Avoid abbreviations further details of any item. For email submissions you have
and formulae where possible.
78 Appendix
prepared 3 files: 3) References are in the correct format for this journal
File 1. The Title Page 4) All references mentioned in the Reference list are cited
Ensure that the following items are present: in the text, and vice versa
- Full detail of authors
- One author designated as corresponding author: • E-mail
address • Full postal address • Telephone and fax numbers 6. After Acceptance
- The title page must contain “Submission Declaration
6.1. Proofs
Statement” in its cover letter as follows:
One set of page proofs(as PDF files) will be sent by
“We hereby confirm that the manuscript has no any e-mail to the corresponding author(if we do not have an
actual or potential conflict of interest with any parties, e-mail address then paper proofs will be sent by post) or, a
including any financial, personal or other relationships with link will be provided in the e-mail so that authors can
other people or organizations within three years of beginning download the files themselves. The author(s) may list the
the submitted work that could inappropriately influence or be corrections(including replies to the Query Form) and return
perceived to influence. them to the Publisher in an e-mail. Please list your
We confirm that the paper has not been published corrections quoting line number. If, for any reason, this is
previously, it is not under consideration for publication not possible, then mark the corrections and any other
elsewhere, and the manuscript is not being simultaneously comments(including replies to the Query Form) on a printout
submitted elsewhere.” of your proof and return by fax, or scan the pages and
Note: Author identification: Every effort should be made to e-mail, or by post. Please use this proof only for checking
ensure that submission material outside of the title page file the typesetting, editing, completeness and correctness of the
contains no clues as to author identity. Footnotes containing text, tables and figures. Significant changes to the article as
information pertaining to the identity of the author or accepted for publication will only be considered at this stage
institutional affiliation should be on separate pages. The with permission from the Editor. We will do everything
complete title of the article and the name of the author(s) possible to get your article published quickly and accurately.
should be typed only on the title page file to ensure Therefore, it is important to ensure that all of your
anonymity in the review process. Subsequent pages should corrections are sent back to us in one communication:
have no author names, but may carry a short title at the please check carefully before replying, as inclusion of any
top. Information in text, citations, references, or footnotes subsequent corrections cannot be guaranteed. Proofreading is
that would identify the author should be masked from the solely your responsibility. Note that the Publisher may
manuscript file. These may be reinserted in the final draft. proceed with the publication of your article if no response is
In addition, the author's name should be removed from the received.
document's Properties, which in Microsoft Word is found in
6.2. Offprints
the File menu. When submitting a revised version of a
manuscript, please be sure to submit a blind version of your The corresponding author, at no cost, will be provided
response letter detailing changes made to the manuscript as with a PDF file of the article via e-mail. For an extra
this is letter can be accessed by reviewers. charge, paper offprints can be ordered via the offprint order
form which is sent once the article is accepted for
File 2. The Main Document(Manuscript) publication. The PDF file is a watermarked version of the
The text of the paper, including abstract, text, references published article and includes a cover sheet with the journal
and notes, tables, figure captions, figures, but without the cover image and a disclaimer outlining the terms and
names of authors, or any acknowledgements. Check that conditions of use.
you have removed all author identification(names and
affiliations) and any acknowledgements from the main Offprints Publishing Office: Korea Distribution Science
document that you are going to submit. Please make sure Association(KODISA)
that authors' names are not included in the document/file Address: Hanshin Officetel Suite 1030, 2463-4 Shinheung-
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provided Beneficiary Name: Korea Distribution Science Association
2) Manuscript has been "spellchecked" and "grammar- SWIFT Code: KOEXKRSE
checked" Bank Name: HANA BANK
Appendix 79
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