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Journal of Distribution Science, Vol. 16 No.


The Journal of Distribution Science(JDS) is an official journal of Korea Distribution Science

The Journal of Distribution Science(JDS) is published monthly on the following dates: January 30,
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November 30, and December 30.

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Journal of Distribution Science, Print ISSN: 1738-3110 / Online ISSN: 2093-7717

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Journal of Distribution Science Vol. 16 No. 11 is published on November 30, 2018.

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JDS Editorial Board Members
Senior Editor-in-Chief Wujin Chu, Seoul National University, Korea. E-mail:
Distribution Science Yong-Ki Lee, Sejong University, Korea. E-mail:
Hee-Joong Hwang, Korea National Open University, Korea.
Chief Distribution Management
Jesús C. Peña-Vinces, University of Seville-Spain, Spain
Distribution Science
Associate Thoo Ai Chin, Universiti Teknologi Malaysia, Malaysia
Editors Dong-Ho Kim, SUNY Empire State College, USA.
Distribution Management
Devinder Pal Singh, Punjabi University Regional Centre, India
Dmitri Blueschke, Alpen-Adria-Universitat Klagenfurt, Austria
Rajasekhara Mouly Potluri, American University of Nigeria, Nigeria
Luis Enrique Pedauga, University of León, Spain
Anel Kireyeva, Institute of Economics of MES, Kazakhstan
Logistics & SCM
Chang-Gon Kim, Sunchon National University, Korea
Muhammad Ayub Siddiqui, Bahria University, Pakistan
Distribution Information
Yong-Gyu Jung, Eulji University, Korea
Science Technology(DIT)
Distribution Masao Mukoyama, University of Marketing and Distribution Science, Japan
Science & Nailya K. Nurlanova, The Institute of Economics, Kazakhstan
Innovation Wee-Yeap Lau, University of Malaya, Malaysia
Neil Pyper, Coventry University, United Kingdom
Strategy &
Young-Eun Park, Prince Sultan University, Kingdom of Saudi Arabia
Distribution Barry Unger, Boston University, USA
Channel Hoe-Chang Yang, Jangan University, Korea
Management Sang-Bum Park, Korea Aerospace University, Korea
Editors Dilshodjon Rakhmonov, University of World Economy and Diplomacy, Uzbekistan
Myung-Seong Yim, Sahmyook University, Korea
Development &
Geun-Ha Suh, Busan Economy Promotion Agency, Korea
Material & Seung-Chang Lee, Small & Medium Business Corporation, Korea
Acquisition Yudi Sutarso, Perbanas Business and Banking School, Indonesia
Management Lin Shao, QiLu University of Technology, China
Dongjin Shin, Paichai University, Korea.
Distribution Consumer
Jooh Lee, Rowan University, USA
Management Behavior & CRM
Nak-Hwan Choi, Chonbuk National University, Korea
Marketing and Steve Burt, University of Stirling, United Kingdom
Information Chux Gervase Iwu, Cape Peninsula University of Technology, South Africa
Management Emira Spahaj, University of Tirana, Albania
Wholesaling, & Hardius Usman, Sekolah Tinggi Ilmu Statistik, Indonesia
Retailing Seul-Ki Lee, Sejong University, Korea
Joon-Hyung Park, Nottingham University Business School China, China
Social Issues Kang-Young Lee, Chungbuk National University, Korea
Silvia Gaia, University of Essex Colchester, United Kingdom
Managing Editor: Myoung-Kil Youn, Eulji University, Korea.
Assistant Managing Editor: Shuai Su, Shandong University of Political
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E-mail: / Homepage:
Vol.16 No.11 November 2018

Part 1 : English

• For English Not as an International But as an Intercultural Language among Students

in Distribution Science Business English Programs
Kang-Young Lee ·········································································································· 5

• A Systematic Literature Review of the Environmental Upgrading in Global Value Chains and
Future Research Agenda
Amira Khattak, Luisa Pinto ······················································································ 11

• A Study on Financial Ratio and Prediction of Financial Distress in Financial Markets

Bo-Hyung Lee, Sang-Ho Lee ··················································································· 21

• Community Empowerment Models of Tourism Village Based on Superior Commodities:

Realizing Economic Resilience
Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun ···················· 29

• A Study on the Determinants of Free Trade Agreement in South Korea: Evidence from Asian
Yugang He ·················································································································· 37
Part 2 : Korean

• A Study on the Customers’ Service Expectation Level:

The Effects of Distribution Service Excellence Awards for an Airport
Jeong-Lee Chun, Sang-Beom Park ········································································· 47

• A Study on Salesperson Brand Relationships, Customer Orientation, and Customer Store Loyalty
Soonhwa Choi ············································································································ 57

• An Empirical Study on Governance Mechanisms and Relationship Outcomes in Franchise System

Ho-Taek Yi ·················································································································· 65
Kang-Young Lee / Journal of Distribution Science 16-11 (2018) 5-10 5

Print ISSN: 1738-3110 / Online ISSN 2093-7717

For English Not as an International But as an Intercultural Language among

Students in Distribution Science Business English Programs

Kang-Young Lee*

Received: November 03, 2018. Revised: November 09, 2018. Accepted: November 10, 2018.

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
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.

Keywords: English as an Intercultural language, the EIcL Teaching Paradigm.

JEL Communications: C60, F01, H8.

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: 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

understanding’ of the EIcL mainstreams, learners’/speakers’/ York, NY: Routledge.

users’ intercultural knowledge, behaviors, and attitudes along Green, R. (2017). Strategies that promote English as an
with their critical thinking are all put into danger. Intercultural Language (EIcL) in the Korean
university EFL classroom. Korea TESOL Journal,
13(1), 65-96.
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Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 11

Print ISSN: 1738-3110 / Online ISSN 2093-7717

A Systematic Literature Review of the Environmental Upgrading

in Global Value Chains and Future Research Agenda
Amira Khattak*, Luisa Pinto**

Received: October 08, 2018. Revised: October 30, 2018. Accepted: November 10, 2018.

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
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.

JEL Classifications: F23, F36, L23, F01, F02.

1. Introduction this whole restructuring processes. One such change, is the

emergence of functionally integrated but globally dispersed
Significant changes have taken place in the world industrial networks which now constitute more than 80% of
economy during the last two to three decades and the world trade (UNCTAD, 2013). This phenomenon of the
especially in the ways and means of production and changing character and geography of the international
international trade among countries and businesses in production and trade has given rise to a whole new field of
general. There is no doubt that information technology, the analysis; Global Value Chain (GVC), in the discipline of
low cost of communication and reduced global trade barriers political economy (Bair, 2009). The GVC analysis provides
are a few among many of the primary drivers behind such an essential analytical and methodological tool to explain the
changes. Similarly, the role of global firms in the form of dynamics of economic globalization and international trade
Multinational Corporations (MNCs) cannot be neglected in (Bair, 2009; Gereffi, Humphrey, & Sturgeon, 2005; Neilson,
2008; Quan, 2008). It has attracted attention from different
* First Author, College of Business Administration, Prince Sultan researchers and research institutions including
University, Saudi Arabia, Tel: +966-11-494-8074, non-governmental organizations such as the Industrial
E-mail: Performance Centre at Massachusetts Institute of Technology
** Co-Author, College of Business Administration, Prince Sultan (MIT), the Institute of Development Studies (IDS) in Sussex,
University, Saudi Arabia, E-mail: / Polytechnic the Centre for Development Research in Copenhagen,
Institute of Viseu, Portugal, E-mail:
12 Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19

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).

3.2. Economic, Social, and Environmental Upgrading

3. GVC Framework
Related to governance is upgrading, which is defined as
GVCs are “the internationalized structures of production, “the process by which actors (principally firms) seek to
trade and consumption pertaining to specific products” reposition themselves along the chain in order to increase
(Palpacuer, Gibbon, & Thomsen, 2005, pp. 411). There are the benefits (e.g., security, profits, technology or knowledge
four key structures, or dimensions, that shape GVCs (Gereffi transfer) that they receive from participating in it” (Bair,
1994; Gereffi & Fernandez-Stark, 2016). The first of these is 2008, p.5). Upgrading results in higher profits due to shifting
the input–output structure, which comprises a set of products to high value-added activities (Gereffi, 1999). Participation in
and services linked together in a sequence of value-adding the GVCs provides supplier firms from developing countries
economic activities. The second is geography, which access to resources which they generally lack. These
examines the spatial dispersion of concentrations of include access to international markets, market intelligence,
production and distribution networks in order to determine knowledge, technology, and strategic resources. As a result,
ways in which firms use geographical regions to gain access participation in GVCs enables supplier firms to improve their
to resources. The third dimension is governance, which productive capacity for achieving economic upgrading
measures authority and power relationships that determine through improved product quality, process innovation and
how material, financial and human resources are allocated garnering marketing skills. There are four types of economic
and coordinated within the chain. Governance refers in upgrading namely process, product, functional and chain
particular to the lead firms or channel captains that upgrading (Humphrey & Schmitz, 2001). Process upgrading
coordinate the activities along the chain. The final dimension involves transforming inputs into outputs more efficiently or
is institutions; this comprises institutional arrangements, both introducing innovative technology. Product upgrading refers
national and international in nature, that shape the to moving into sophisticated product lines with increased unit
globalizing processes (Palpacuer et al., 2005). If viewed in values, in which production processes may or may not
its simplest form, the GVC is a simple model, yet the remain the same (Sturgeon, 2006). Functional upgrading
governance and institutional dimensions transform a involves achieving the ability to undertake new functions in
potentially simple heuristic model into an analytical tool the chain or abandoning existing ones, whereas, chain
(Kaplinsky & Morris, 2001; Neilson, 2008). upgrading occurs when economic actors move into more
value adding chains.
3.1. Governance There is a well-developed literature on the economic
upgrading (Bazan & Navas-Aleman 2004; Cammett, 2006;
Much of the theoretical and empirical research on global Gereffi, 1999; Humphrey & Schmitz, 2004; Kishimoto, 2004;
industries from a GVC perspective has focused on Schmitz, 2004, 2006) in GVCs. Recently, the social and
governance structures (Bair, 2008; Gibbon, Bair, & Ponte, environmental dimensions of the globalization of production
2008; Sturgeon, 2009). The concept of governance is central and trade have started receiving more attention (Barrientos,
to the GVC framework (Humphrey & Schmitz, 2002). The Gereffi, & Pickles, 2016; Goger, 2013; Khattak & Stringer,
central contentions of the GVC approach are that there are 2017; Pinto, Gouveia, & Ferreira, 2014; Pinto, 2017;
different types of globalized coordinated networks and, Poulsen, Ponte, & Lister, 2016). The social upgrading
differences among the networks are due to differences in domain has progressed much faster than the environmental
the governance structures. upgrading one especially under the umbrella of ‘Capturing
Governance in GVCs is important for several reasons; the Gains Initiatives’ of The University of Manchester. There
access to some markets becomes possible through the lead is considerable research conducted in this area especially
firms governing the networks; governance is critical in from the perspective of the relationship between social and
understanding the income distribution along the chain; and economic upgrading. Despite this extensive research in the
firms can, for example, identify those points where entry into social upgrading area, the relationship between the social
the chain will give them higher returns on investments and economic upgrading is still a somewhat enigmatic due
to different and conflicting findings across various industries
14 Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19

(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.

Table 1: Environmental Upgrading Research and Findings

Authors Environmental Upgrading Research and Findings
Conceptualization of environmental upgrading and its relationship with economic and social
De Marchi et al. (2010)
upgrading-conceptual paper
De Marchi et al. (2013) Environmental upgrading is dependent on the bargaining power and value appropriation within GVCs
Environmental initiatives do not necessarily yield to higher profits. Relationships within GVCs and power
Goger (2013)
dynamics decide about the financial outcomes of environmental upgrading
Lead firms (buyers) play a critical role in the environmental upgrading of supplier firms. Environmental
Khattak et al. (2015) upgrading processes include social component as a critical factor which means the environmental
upgrading process is incomplete without the involvement of employees
The role of suppliers could not be neglected in the environmental upgrading processes. Thus, strategic
Khattak and Stringer
intent of suppliers, coupled with capabilities, can provide a competitive advantage to firms and pave ways
toward environmental upgrading
Environmental upgrading in GVCs is more likely to occur where the lead firms are consumer-oriented and
Poulsen et al. (2016)
reputational risks are high
Small firms in a very weak position in GVC embark upon environmental upgrading on their own and not
Khattak and Stringer pushed by their buyers or lead firms. Such firms obtain environmental certifications in an attempt to make
(2017) themselves competitive for receiving orders. Financial returns out of self-initiated upgrading are not
Firms have embraced environmental upgrading due to compliance with the environmental standards
imposed by buyers in Western countries. The absence of financial returns discourage non-upgraded
Achabou et al. (2017)
supplier firms from indulging in environmental initiatives due to the absence of financial and technical
assistance (costs) for the environmental upgrading
To improve environmental upgrading, the GVC stakeholders should have a stronger collaboration and
Poulsen et al. (2018)
alliances (role of institutional actors)
Environmental upgrading is positively related to the type of relationship, for example, lead firms push their
Golini et al. (2018) strategic and capable partners (suppliers) to upgrade environmentally and where lead firms have a weak
relationship with the suppliers, supplier’s role is crucial in environmental upgrading
Lead firms play a major role in the environmental upgrading. Main challenges in environmental upgrading
are lack of technical and financial support by the local and international organizations; and changing
Khattak and Park (2018)
mindset of employees across all the levels of an organization. Major outcomes of the environmental
upgrading are cost savings and reputational outcomes
Source: Authors
16 Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19

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.
Amira Khattak, Luisa Pinto / Journal of Distribution Science 16-11 (2018) 11-19 17

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Print ISSN: 1738-3110 / Online ISSN 2093-7717

A Study on Financial Ratio and Prediction of Financial Distress

in Financial Markets
Bo-Hyung Lee*, Sang-Ho Lee**
Received: October 14, 2018. Revised: November 01, 2018. Accepted: November 10, 2018.

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
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.

JEL Classifications: C32, G21, G32.

1. Introduction to worsen saving bank's management environment and

produce red and to make saving bank bankrupt (Yang,
Saving bank grew up based on petty loan for the people 2011). Local saving banks that expanded investment of loan
to keep high position. The bank that relied upon high of PF (project financing) reduced their number from 147 in
interest loan of 20 to 30% for the people lost 2000 to 87 in 2014.
competitiveness in the latter half of the 1980s at loan Financial institutions' insolvency is not a sudden
expansion of commercial bank and low interest rate to occurrence at a particular point in time, but it has been a
worsen financial soundness. In 1997, saving bank's complex phenomenon and has been showing signs of
management environment worsened at Asian Financial Crisis financial mismanagement several years ago (Kim, 2017;
to lessen number of the bank by restructuring (Park, 2009). Mohammadi & Esmaeilioghaz, 2017; Shirzad, Mohammadi, &
The financial crisis triggered by poor sub-prime mortgage Haghighi, 2015). In addition, the legal bankruptcy or inability
made Hedge Fund bankrupt in August 2007, and loss of of financial institutions to pay for creditors, shareholders, and
banks was expanded rapidly and 2007 sub-prime mortgage stakeholders contributed to a balanced social destruction
event made Lehman Brothers bankrupt to have influence (Zhao, 2016)
upon world finance and economy in the UK and Spain and Financial institutions expanded mutual connection at global
other European countries to create global financial crisis and market and innovated financial technique, and financial
market can be instable to have influence upon financial
* 1st Author, Professor, department of foundation and business market and economy in the world (Jeong & Oh, 2010).
administration, Chodang University, Korea. Financial institutions in Korea expanded turnover at global
E-mail: financial crisis to systemize to be short of risk control.
** Corresponding Author, Professor, department of practical art,
Financial institutions were bankrupted to let management
Songwon University, Korea.
lose moral and to worsen local financial environment. At the
Tel: +82-61-260-7323, E-mail:
22 Bo-Hyung Lee, Sang-Ho Lee / Journal of Distribution Science 16-11 (2018) 21-27

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

Table 1: Selection of the variables

Index number of index Variables Estimation
Total asset increase [(current total asset- previous term total asset) ÷ previous term total asset] × 100
Growth 2 Operating income [(current operating income - previous term operating income)
increase ÷ previous term operating income] × 100
Fixed asset ratio (fixed asset ÷ net worth) × 100
Liquidity 3 Net worth rate (net worth ÷ total asset) × 100
Liquidity (liquid asset ÷ liquid debt) × 100
Net worth profit (current net income ÷ net worth) × 100
Total asset profit (operating income ÷ total asset) × 100
Profitability 5 Expense [expense(labor cost + expense) ÷ operating income)] × 100
Income rate (operating income÷operating expense) × 100
Total asset profit rate (current net profit ÷ total asset) × 100
Total capital turnover (sales ÷ total asset) × 100
Net worth turnover (sales ÷ net worth) × 100
Activity 4
Receivable turnover (sales ÷ receivable) × 100
Buying debt turnover (sales ÷ buying debt) × 100

Table 2: Descriptive statistics

Section(N=498) Min Max Mean Standard error Standard deviation
Total asset increase -51.38 617.86 11.09 2.13 47.55
Operating income increase -69.75 649.76 12.13 2.59 57.77
Fixed asset ratio -6207.14 10461.86 123.36 37.27 831.65
Liquidity Net worth ratio -45.13 15.82 3.31 0.30 6.69
Liquidity ratio 67.70 121.92 102.47 0.32 7.23
Net worth profit ratio -11354.43 4725.19 3.70 29.54 659.20
Total asset operating income ratio -50.62 8.21 -1.49 0.21 4.65
Profit Expense rate 2.03 59.58 13.08 0.29 6.58
Income rate 11.08 535.07 91.43 1.49 33.23
Total asset profit rate -49.95 8.55 -1.51 0.21 4.75
Total asset turnover 1.19 19.31 6.02 0.14 3.02
Net worth turnover -8097.49 12048.04 91.21 41.48 925.69
Receivable turnover 1.85 36.66 9.24 0.24 5.28
Purchase debt turnover 0.98 17.50 6.25 0.14 3.10

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.

The study examined standard deviation of mean and 3.3. ANOVA

dispersion to verify financial ratio of variables of 30 banks
ANOVA inspected difference between financial ratio and
from March 2008 to December 2014. Mean, standard
before business suspension of bankrupt bank. Significance of
deviation and mean deviation of four of activity indexes were
Levene of net worth, liquidity, total asset operating income,
<Table 2>.
income and expenditure, total asset profit and receivable
3.2. Correlation was less than 0.5 and Dunnett T3 post test was done, and
significance of total asset increase of Levene was larger
Correlation analysis investigated relation and direction of than .05 to do Scheffe post test.
variables of 14 financial rates of bankrupt saving banks.
24 Bo-Hyung Lee, Sang-Ho Lee / Journal of Distribution Science 16-11 (2018) 21-27

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 3: Correlation Analysis

Section  1 2 3 4 5 6 7 8 9 10 11 12 13 14
1. Total asset increase 1                          
2. Operating income increase .831** 1                        
3. Fixed asset ratio .011 .030 1                      
4. Net worth ratio .163** .137** .063 1                    
5. Liquidity .137** .089* .022 .829** 1                  
6. Net worth profit -.003 -.017 -.801** -.037 -.024 1                
7. Total asset operating profit .173** .177** .054 .728** .589** -.020 1              
8. Expense -.048 -.074 .014 -.355** -.465** -.035 -.180** 1            
9. Income and expenditure .141** .321** .048 .415** .361** .022 .597** -.313** 1          
10. Total asset profit .176** .176** .073 .728** .577** -.033 .980** -.158** .593** 1        
11. Total capital turnover -.066 .021 -.066 -.056 -.043 .047 -.204** -.123** .072 -.206** 1      
12. Net worth turnover .018 .033 .896** .049 .033 -.897** .045 -.001 .033 .058 -.045 1    
13. Receivable turnover -.087 -.001 -.040 -.094* -.088* .027 -.202** -.111* -.030 -.213** .824** -.028 1  
14. Purchase debt turnover -.045 .036 -.057 .078 .069 .040 -.079 -.164** .138** -.081 .988** -.034 .807** 1
* p<.05, ** p<.01
Table 4: Difference of business suspension time of bankrupt saving banks depending upon financial ratio
 Section N mean standard deviation standard error Levene (p) F (p) post hoc result
ⓐ D-1year 111 -3.246 24.557 2.331
Total asset ⓑ D-2year 120 12.701 25.838 2.359 1.473 6.055 ⓒ>ⓐ
increase ⓒ D-3year 120 22.895 76.373 6.972 (.221) (.000) (Scheffe)
ⓓ D-4year 147 10.956 40.869 3.371
ⓐ D-1year 111 -1.844 42.664 4.049
Operating income ⓑ D-2year 120 15.361 36.622 3.343 1.372 3.831 ⓒ>ⓐ
increase ⓒ D-3year 120 23.161 85.943 7.845 (.250) (.010) (Scheffe)
ⓓ D-4year 147 11.022 51.155 4.219
ⓐ D-1year 111 -1.859 8.140 0.773 ⓑ>ⓐ
ⓑ D-2year 120 4.630 2.478 0.226 11.303 34.095 ⓒ>ⓐ
Net worth ratio
ⓒ D-3year 120 4.759 4.027 0.368 (.000) (.000) ⓓ>ⓐ
ⓓ D-4year 147 4.940 7.625 0.629 (Dunnett T3)
ⓐ D-1year 111 97.921 8.134 0.772 ⓑ>ⓐ
ⓑ D-2year 120 103.675 5.003 0.457 4.671 21.639 ⓒ>ⓐ
ⓒ D-3year 120 103.304 5.619 0.513 (.003) (.000) ⓓ>ⓐ
ⓓ D-4year 147 104.242 7.823 0.645 (Dunnett T3)
ⓐ D-1year 111 -4.255 7.264 0.689 ⓑ>ⓐ
Total asset ⓑ D-2year 120 -0.643 1.649 0.151 18.748 18.921 ⓒ>ⓐ
operating profit ⓒ D-3year 120 -0.472 1.984 0.181 (.000) (.000) ⓓ>ⓐ
ⓓ D-4year 147 -0.930 4.550 0.375 (Dunnett T3)
ⓐ D-1year 111 75.024 53.406 5.069 ⓑ>ⓐ
Income and ⓑ D-2year 120 94.623 22.360 2.041 6.173 12.547 ⓒ>ⓐ
expenditure ⓒ D-3year 120 96.888 19.539 1.784 (.000) (.000) ⓓ>ⓐ
ⓓ D-4year 147 96.759 24.988 2.061 (Dunnett T3)
ⓐ D-1year 111 -4.652 7.462 0.708 ⓑ>ⓐ
ⓑ D-2year 120 -0.633 1.667 0.152 23.060 23.774 ⓒ>ⓐ
Total asset profit
ⓒ D-3year 120 -0.483 2.138 0.195 (.000) (.000) ⓓ>ⓐ
ⓓ D-4year 147 -0.676 4.390 0.362 (Dunnett T3)
ⓐ D-1year 111 10.470 5.880 0.558
Receivable ⓑ D-2year 120 9.542 5.521 0.504 4.266 4.766 ⓐ>ⓓ
turnover ⓒ D-3year 120 9.267 5.609 0.512 (.005) (.000) (Dunnett T3)
ⓓ D-4year 147 8.041 3.983 0.329
Bo-Hyung Lee, Sang-Ho Lee / Journal of Distribution Science 16-11 (2018) 21-27 25

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
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
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
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
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
26 Bo-Hyung Lee, Sang-Ho Lee / Journal of Distribution Science 16-11 (2018) 21-27

4. Summary this study, expenditure and total asset operating income

were not important. Receivable turnover was used (Jang,
1998) and net worth was used (Jeong, 1998). Liquidity, net
4.1. Summary
worth, total asset profit, income and expenditure and total
asset operating income were used (Nam, 1998). In this
The study did quantitative analysis on financial ratio and
study, fixed asset ratio was not used. Purchase debt
bankruptcy forecast models of 30 bankrupt banks from 2011
turnover was used (Kang & Hong, 1999).
to 2015 according to financial statement from March 2008 to
Financial institutions did not include growth at discriminant
December 2041. The findings of bankruptcy forecast were:
variables and bankruptcy could be judged by growth and
First, total asset increase had positive relation with
profitability after Asian Financial Crisis (Jeong & Cho, 2008).
operating income increase, and fixed asset ratio had positive
In this study, not only total asset increase but also operating
relation with net worth turnover. Net worth ratio had positive
income increase of growth index, and not only net worth but
relation with liquidity, total asset operating profit and total
also liquidity ratio of liquidity index were used. Not only total
asset profit. Net worth profit had negative relation with net
asset operating profit but also income and expenditure of
worth turnover, and total asset operating profit had much
income index, and receivable turnover of activity index were
high positive relation with total asset profit. Total capital
used. A study on bankruptcy forecast model needs to
turnover had much positive relation with receivable turnover
consider growth, profitability and liquidity in the future.
as well as purchase debt turnover.
Second, the bank's financial ratio varied depending upon
suspension time. At post-hoc test, D-3years had the largest 4.2. Suggestion
difference with D-1year, and D-3year and D-1year of
operating income increase had the largest difference. This study investigated 7-years financial statement in
Net worth ratio of D-2years was larger than that of March, June, September and December from 2008 to 2014.
D-3years and D-1year, and that of D-3years was larger than Forecast of bankruptcy model was the highest at one year
that of D-1year, and that of D-4years was larger than that before bankruptcy, and was low 2 years and 3 years before
of D-1year. Liquidity of D-2year was larger than that of suspension. And, it was high 3 years after suspension. At
D-1year, and liquidity of D-3year was larger than that of short forecast time, management environment was worsened
D-1year, and that of D-4year was larger than that of to have bad financial ratio, and to be high 3 years after
D-1year. Total asset operating income of D-2year was larger suspension. So, the bank needed supervising system to
than that of D-1year, and total asset operating income of keep financial transparency and to elevate management
D-3year was larger than that of D-1year, and that of system.
D-4years was larger than that of D-1year. Total asset profit The study gave advancement and risk control of the
of D-2year was larger than that of D-1year, and that of banks:
D-3year was larger than that of D-1year, and that of First, financial supervising shall be developed and
D-4year was larger than that of D-1year. Receivable turnover financial consumers shall be protected. Financial supervising
of D-1year was larger than that of D-4years. system has relation with financial market and consumers to
Third, discrimination between discriminant function and increase market risk and consumer's loss at failure of
independent variable was high in order of net worth ratio, financial supervision and to develop it to get stability and
total asset profit ratio, liquidity, total asset operating income, soundness.
revenue, receivable turnover, total asset increase and Information on financial companies shall be collected and
operating income increase. The factors can be important to bankrupt financial institutions shall be put in order.
judge effect of 4 groups of 4 groups by suspension time. Information sharing of financial safety net shall increase to
The study classified into D-1year of 61.3%, D-2year of minimize burden of the people economy and to supervise
33.3%, D-3year of 35.8%, and D-4year of 53.7% to have financial institutions. Legal system shall prevent management
accuracy of 46.2%. from moral hazard.
Bankruptcy of the bank varied depending upon net worth
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Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36 29

Print ISSN: 1738-3110 / Online ISSN 2093-7717

Community Empowerment Models of Tourism Village Based on Superior Commodities:

Realizing Economic Resilience
Arie Eko Cahyono*, Moh. Usman Kurniawan**, Sukidin***, Sri Kantun****
Received: October 15, 2018. Revised: October 31, 2018. Accepted: November 10, 2018.

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
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.

Keywords: Economic Resilience, Multy Method Analysis, Empowerment.

JEL Classifications: C10, J60, R10, R20, O30.

Madrigal, & Skoufias, 2018). Poverty in Indonesia and

1. Introduction
around the world focuses on rural areas. As the World Bank
Contained in the report of the United Nations notes, three quarters of the world's poor are farmers in rural
Development Program with ASEAN and China, on Financing areas (Clemens & Kremer, 2016). This statistic reflects three
Sustainable Development, an estimated 36 million people in out of five people, who live in rural areas where agriculture
Southeast Asia still live below the poverty line, of which 90 is the main job.
percent live in Indonesia and the Philippines (Cengiz et al., Poverty in rural areas in developing countries is
2017). Poverty in Indonesia is influenced by uneven income exacerbated by natural disasters. Both concepts are
and poverty dominated by rural and coastal areas (Cuesta, connected by damage caused by natural disasters which
damage infrastructure including sanitation, electricity and
* Author, Lecturer, Institute Teacher Training and Education of water facilities (Sawada & Takasaki, 2017). Many of the
PGRI Jember, Indonesia, Tel: +62-856-5585-9880, farmers are women who are also responsible for household
E-mail: duties and can be revoked from making the same decisions
** Co-Author, Lecturer, Institute Teacher Training and Education of and wages (Park & White, 2017).
PGRI Jember, Indonesia, Tel: +62-823-172-6619, One of the efforts to empower the community to reduce
E-mail: poverty that is being implemented is the concept of
*** Co-Author, Lecturer at Department of Economic Education, Faculty community empowerment with the establishment of a tourist
of Education and Teacher Training, University of Jember, Indonesia,
village (Tolkach & King, 2015). Tourism villages can be one
way to alleviate poverty, reduce unemployment, reduce
**** Co-Author, Lecturer at Department of Economic Education, Faculty
inequality and create jobs (Cahyono & Putra, 2017). Because
of Education and Teacher Training, University of Jember, Indonesia,
E-mail: by building a tourist village, it will help to create an
30 Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36

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

The analysis method in this study was carried out using

2. Theoretical background and literature review several analytical methods, namely:

Community empowerment is a concept of economic 3.2.1. Location Quotient (LQ)

development that summarizes social values. This concept
Location Quotient (LQ) is an analytical tool to determine
reflects the new paradigm of development, namely those
whether there is an area specialization for a particular sector
who are people-centered, participatory, empowering, and
(Slaper, Harmon, & Rubin, 2018). LQ analysis is intended to
sustainable (Boley et al., 2014). The concept of human
look at sectors thatare the base sector and the non-base
empowerment is the subject of itself. The empowerment
sector, so that the regions see the advantages of sectors
process that emphasizes the process of giving people the
that can be sold and developed to drive the economy in the
ability to be empowered, encourage or motivate individuals
region or district (Andayani & Miftahuddin, 2018). The base
to have the ability or empowerment to determine their life
sector is activities that export goods and services outside
choices (Steiner, 2016). Empowerment must be aimed at the
the economic boundaries of the region concerned (Gunawan,
groups or layers of lagging society. Conceptually, community
Cahyono, & Santoso, 2018). While non-base sectors are
empowerment is an effort to improve the dignity of the
activities that provide goods and services to meet the needs
layers of society who are now unable to escape the poverty
of people who live within the economic boundaries of the
trap and underdevelopment (Scheyvens, 1999).
region (Slaper, Harmon, & Rubin, 2018).
Community empowerment carried out is economic
empowerment. Economic empowerment is intended as an LQ = (Eij / Ej) / (Ein / En)
effort to improve the ability of individuals as the guarantor of
negative impacts of growth, bearers of development burden, Information :
and sufferers of environmental damage (Kabeer, 2012). The Eij = Job opportunities in sector i in the region j
aim of community economic empowerment is to increase the Ej = Job opportunities in the region j
capacity and performance of self-help groups in technical Ein = Job opportunities in sector i in the country n
and management skills to improve productivity and income En = Job opportunities in the country n
Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36 31

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.
• 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
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:

4.1.1. Sector and Base of Regional Revenue Sub-Sector

3.2.2. SWOT analysis
SWOT analysis is the identification of various factors
Calculation of base value (dynamic LQ and static LQ)
systematically based on logic that can maximize strenghts
showed that the base sector in Lumajang district is the
and opportunities, but simultaneously can minimize
Agriculture sector. The Agriculture Sector wasthe base sector
Weaknesses and Threats (Phadermrod, Crowder, & Wills,
with the predicate of Excellence for the last five years in
2016). SWOT analysis is used in identifying various factors
2013 to 2017. The agricultural sector is the flagship in Lumajang
systematically to formulate strategies or policies in an
Regency, because this area has vast and fertile agricultural
economic sector. The process of strategic decision making is
land with abundant water content. In addition, some of the
related to the development of mission, goals, strategies and
area is the Semeru mountainous area which is suitable for
policies (Abdel-Basset, Mohamed, & Smarandache, 2018).
agricultural development other than rice such as fruits,
Thus strategic planning by analyzing the strategic factors
vegetables, horticulture, or other sub-sectors such as livestock.
that are owned in the current conditions makes SWOT analysis
known as analysis the situation both internally and externally. 4.1.2. Food Crop Commodity Base Sub-Sector
The advantages of SWOT analysis are simple,
collaborative, flexible and integrative. SWOT analysis is easy The results of the calculation of the average LQ in the
to understand, participatory, it can be used for any size of period of 5 years from 2013-2017 in Lumajang District note
organization, and even be used for your self. The existence that of 72 food crop commodities there were41 commodities
of internal and external factors with their positive and that fall into the category of superior commodities (75.6%),
negative sides also resulted in the SWOT instrument being and the rest were categorized as non-superior commodities
quite complete and comprehensive (Shabanova et al., 2015). (24.4%). If it was ranked according to the highest LQ value
then zalacca was the most superior commodity (highest of
3.2.3. Analysis of community economic empowerment the others) hereinafter was papaya, cucumber, watermelon,
and banana. So that it can be said that these commodities
The approach used in the analysis of community
were commodities that play a major role in the economy of
economic empowerment is to examine the state of the
the community in terms of the food crops sub-sector in
economy in a participatory manner to participate in
Lumajang District rather than in East Java Province.
improving and analyzing their knowledge about their own
lives and conditions so that they can make plans and 4.1.3. Plantation Commodity Base Sub-Sector
actions (Ottomano et al., 2016). Another approach in
participatory community economic empowerment analysis is The results of the calculation of the average LQ withina
participatory learning methods that emphasize the period of 5 years from 2013-2017 in Lumajang District
participatory learning process of rural communities in facing revealed that of the 7 commodities there were 4 plantation
32 Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36

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):

Table 1: Lumajang District Food Crop SWOT Matrix

Strength (S) Weaknes (W)
The availability of land with potential to be Infrastructure and economic institutions are still
seen from the suitability of the land lacking
There is a general policy on the The ability and knowledge of farmers in processing
development of the agricultural and agriculture and technology absorption are still low
plantation sectors Farmer capital ownership is still relatively small
Reach with international markets such as The level of damage to production is still high
close neighbors Marketing (Post Harvest) is still minimal
A climate that supports product development Production results are still volatile
Opportunity (O) Strategy (SO) Strategy (WO)
Good climate for agricultural development Optimizing existing land use, opening new Optimizing existing land use
Rapid progress in the field of plant biotechnology markets Increased industry which empties into the food
Increased demand for agricultural products Increasing the field of biotechnology agriculture sector
Free trade allows investors to develop Improving sustainable agriculture systems
agribusiness There is cooperation with the private sector in
Capital assistance for small, medium and terms of agricultural development.
micro entrepreneurs Increased knowledge and The ability of farmers

Treat (T) Strategy (ST) Strategy (WT)

Reluctance of the new workforce in the Increasing the empowerment and independence Increasing the productivity of farmer groups
agricultural sector of the peasant community through the Optimizing community economic institutions
Pest attacks that reduce production improvement of farmer human resources such as cooperatives rooted from the bottom
Farmer's independence is lacking, so there Utilization of agricultural land functions in Improving the welfare of farmers
are still many farmers working on it accordance with spatial and regional plans
Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36 33

Table 2: Community Development Program

Development Program Problems
Infrastructure and economic Program for improving infrastructure facilities for economic institutions, functions of farmer groups
institutions are still lacking and cooperatives
The ability and knowledge of farmers
in processing agriculture and the Farmer human resource improvement program, technical skills training for farmers
absorption of technology are still low
The development program for access to capital through central and regional assistance, as well
Farmer capital ownership is still
as access to financial institutions / banks with small capital costs also access investors and
relatively small
business partners
Farmers' welfare is still low Mentoring program for technical capabilities of intercropping plants
Improvement program for superior value added products, skill enhancement training for making
salak and banana based derivative products. Food-based industry development program by
The low increase in value added continuously developing product derivatives to get high added value Food distribution
improvement program, through strengthening food institutional capacity and improving rural
infrastructure support the food distribution system, to ensure the community's affordability of food
Marketing (Post Harvest) is still The program to develop market access for agricultural products through the development of
minimal mutually beneficial partnerships between farmers and entrepreneurs is not a monopoly

4.3. Policy Program a) Counseling about social entrepreneurship in the

community aims to be able to utilize social groups to
Based on the analysis, document review and field survey, become organizations that can generate profits so that
it can be concluded that the leading sub-sector that gives they can be used properly. Communities can be
the highest contribution is the food crop sector. Based on motivated to use the latest technology through
the strategy and policy direction that can be formulated, the increasing their awareness of the importance and
development program that can be carried out by Lumajang survival of each (Ahmed et al., 2016).
District Government is related to improvement and b) Socialization of social entrepreneurship programs in the
empowerment of superior commodity-based rural community.
communities to realize economic resilience. It needsto c) Providing assistance to the zalacca plantation
identify economic problems faced, development prospects communities for the implementation of social
and constraints faced in the development program of entrepreneurship programs. The Lumajang community
economic potential or superior products of tourism villages in with most of the livelihoods in the agrarian sector
Lumajang Regency (Table 2). Problems and solutions for usually has certain characteristics, namely patience,
development in the economic sector of Lumajang Regency accepting what they are, and tend to work with a
community in the food crop sector: short-term mindset (working to meet the needs of one's
In connection with the increase in Value added program, own family). These characters have an unfavorable
superior products in rural communities are developing impact, which is easily deceived by others and a less
business models currently based on social entrepreneurship. competitive climate emerges. So that the abundant
Social business, which is a pro-profit business entity that agricultural and plantation yields cannot be enjoyed
focuses on social missions (Kim & Youn, 2015). The main optimally by the community as the owner of natural
focus of activities is to make a profit, but the main goal is resources.
not to maximize financial returns for capital providers but to d) Mentoring activities need to be established by
provide financial benefits to low-income groups and grow organizations or communities in the community
social enterprises by reinvesting. This effort aims to foster according to their work base (Yim, 2017). If they make
social value and the emotional value felt by consumers has a living as farmers, then they join the farmers'
a positive impact on product loyalty (Yang & Kim, 2018). organization (Zulauf, Rhew, & Kim, 2016). This social
The social business model will become a pattern for doing business model with other businesses trying to get
social entrepreneurship in Lumajang Regency. The subjects profit. However, these profits are not returned entirely
and objects of this activity are the people who are in tourist to investors, but are managed to help the
villages in Lumajang Regency. operationalization of other activities that are purely
Implementation of a program to increase value added of social activities.
superior products with skill enhancement training in the e) Counseling about the role of women in the public
manufacture of salak and banana based derivative products. sector is carried out with the aim of increasing
The activities carried out are: awareness of women that the role of women is not
merely as a housewife, but can also help the family
34 Arie Eko Cahyono, Moh. Usman Kurniawan, Sukidin, Sri Kantun / Journal of Distribution Science 16-11 (2018) 29-36

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Yugang He / Journal of Distribution Science 16-11 (2018) 37-45 37

Print ISSN: 1738-3110 / Online ISSN 2093-7717

A Study on the Determinants of Free Trade Agreement in South Korea:

Evidence from Asian Countries*
Yugang He**
Received: October 19, 2018. Revised: November 01, 2018. Accepted: November 10, 2018.

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
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.

JEL Classification: C19, C54, F11.

1. Introduction order to break through regional protection and tariff barriers,

the free trade agreement is signed as a policy tool to
With economy globalization, it is much easier for a remove these barriers so as to conduct the international
country to engage in international economic activities. economic activities. The Free Trade Agreements are legally
However, because of the state protectionism and tariffs, the binding contracts between two or more countries, with the
international economic activities have been prevented. In aim of promoting the economic integration. One of their
objectives is to eliminate trade barriers (tariffs or complicated
* The paper was presented initially at 2018 International Conference rules) and allow the free flow of products and services
on Business and Economics (ICBE2018) and the 15th between countries. Since the last 1990s, South Korea as a
International Conference of KODISA as well as the 2nd China- developed country in Asia has always played an important
Japan-Korea Free Trade Zone Rule of Law Forum Seminar that role in launching the international economic cooperation. At
was held in Jinan, Shandong province, China, October 12-14, present, the most effective way is to sign a Free Trade
2018. The paper has been recognized as one of excellent Paper Agreement between two countries. The current situation of
Awards at ICBE2018 conference. This paper is a substantially Free Trade Agreement between South Korea and Asian
revised and expanded version of the paper presented at countries gives in Table 1.
ICBE2018 conference. I have taken into account all the As Table 1 shows, until today, South Korea has signed
comments of Editors, Session Chairs and Reviewers in the
the Free Trade Agreement with thirteen countries in Asia.
revised manuscript. I greatly appreciate Editors, Session Chairs
Moreover, South Korea and some international organizations
and Reviewers for their valuable comments, interest in and
support of this research. are negotiating whether or not to sign the Free Trade
** First Author, Candidate of PH.D., Department of International Agreement. As a matter of fact, there are a quantity of
Trade, Chonbuk National University, South Korea. factors that may impact South Korea on signing the Free
Tel: +82-0632702214. E-mail: Trade Agreement with other Asian countries.
38 Yugang He / Journal of Distribution Science 16-11 (2018) 37-45

Table 1: Current Situation of South Korea’s Free Trade Agreement with Asian Countries
Sector 1 Country Sector 2 Country and Organization
Korea-China-Japan FTA
Singapore RECP
Indonesia Countries and Israel
Countries that have
Thailand organizations that are
Philippines under negotiation ASEAN (additional liberalization)
Vietnam India CEPA (Improvement)
China (Follow-up of Service and investment)

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:

   log  log  log  log  log 

3. Theoretical Framework log  log  log  log log  log   
  log      log   
The Free Trade Agreement has broken the original log             
national borders and regional boundaries to carry out more  ×log 
economic activities. It is a useful method to break down the        log   log   log   log
  log   log   log   log   log
Regional Protection Policy* which impedes the economic
  log   log  
development. At present, the Free Trade Agreement is often
    log       log  
treated as an important world-wide policy to promote the
     ∙log   
economic globalization and regional economic integration. A (3)
large number of countries have facilitated their own
economic development by signing a Free Trade Agreement The regression coefficient  is the change in the
probability that    associated with a unit change in
 , holding constant the other regressors, and so
* Regional Protection Policy: it is a kind of macro-control whose
forth for      .
purpose is to implement the policy intention of the central
government's macro-control, enhance the marginal use efficiency The population probit model with multiple regressors
of fiscal funds and promote the effective allocation of resources. gives:
Yugang He / Journal of Distribution Science 16-11 (2018) 37-45 41

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

-0.017** -0.196*** -0.154** -0.169** -0.171**

log (0.006) (0.031) (0.062) (0.055) (0.049)
[-2.833] [-6.323] [-2.484] [-3.073] [-3.490]
0.025 0.281 0.177 0.158 0.179
log (0.017) (0.192) (0.187) (0.153) (0.185)
[1.471] [1.464] [0.947] [1.033] [0.968]
0.356*** 3.679*** 2.547*** 2.675*** 2.777***
log (0.096) (0.499) (0.486) (0.491) (0.484)
[3.708] [7.373] [5.241] [5.448] [6.185]
-0.019 -0.183*** -0.105** -0.099 -0.102
log (0.015) (0.043) (0.031) (0.116) (0.141)
[-1.267] [-4.256] [-3.387] [-0.596] [-0.723]
0.223* 2.515*** 1.981*** 2.016*** 2.125***
log (0.081) (0.386) (0.391) (0.397) (0.389)
[2.753] [6.516] [5.066] [5.078] [5.463]
0.533*** 0.534***
    (0.096) (0.094)
[5.552] [5.681]
0.851*** 0.851***
    (0.162) (0.162)
[5.253] [5.253]
 ∙log (1.649)
1.572*** 3.226** 2.743*** 2.214*** 2.546**
Constant (0.253) (0.945) (0.298) (0.301) (0.779)
[6.213] [3.414] [9.205] [7.355] [3.268]
Note: ( ) indicates the standard error. [ ] indicates the statistic value.

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’
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Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 47

Print ISSN: 1738-3110 / Online ISSN 2093-7717

A Study on the Customers’ Service Expectation Level:

The Effects of Distribution Service Excellence Awards for an Airport
공항의 기대서비스 수준에 관한 연구:
유통서비스기관 평가결과의 효과를 중심으로
Jeong-Lee Chun (천정이)*, Sang-Beom Park (박상범)**
Received: September 17, 2018. Revised: October 30, 2018. Accepted: November 10, 2018.

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.

1. 서론 Quality, 이하 ASQ)에서 2005년 이후 2016년까지 12년 연속

1위의 자리를 차지했으며, 인천국제공항은 ASQ평가 특별공로
인천국제공항은 국제공항협의회(Airports Council International, 상 수상으로 인지도 및 브랜드 가치 제고 등 가시적 성과를
이하 ACI)에서 발표하는 세계 공항서비스 평가(Airport Service 달성하여, 2017년부터 ASQ 수상 경쟁에는 미 참여하고 있다.
수상 경쟁에는 참여하지 않고 있으나 공항서비스 개선을 위해
* First Author, Dept. of Business Administration, Korea Aerospace 공항서비스 평가(ASQ)에는 비공개 참여하고 있다. 공항의 서
University, Korea, E-mail: 비스는 인프라 등 외적인 요인이 상당부분 작용하는 측면이
** Corresponding Author, Professor, Dept. of Business Administration, 있지만(Lyu, 2018), 공항이 제공하는 서비스수준 및 이에 대한
Korea Aerospace University, Korea. 평가는 여행객들의 관심을 유발하고 이용해 보고자 하는 욕망
Tel: +82-2-300-0352, E-mail:
48 Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56

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)
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


- Derived expectation EXPECTED - Advertising
- Personal service philosophies SERVICE - Personal selling
- Contracts
Desired Service - Other communications


- Emergencies Tolerance
- Price
- Service problems

Adequate Service PREDI-

- Personal
SERVICE - Expert


- Bad weather PERCEIVED
- Catastrophe SERVICE
- Random over-demand
Source : Zeithaml, Berry, & Parasuraman (1993).
Figure 1: Nature and Determinants of Customer Expectations of Service

Customer Expectations of Service

Internal Factors External Factors Firm-Product-Factors

- Personal Needs - Competitive Alternatives - Promotion
- Level of involvement - Social Conditions - Price
- Past Experience - Word-of-mouth - Distribution

- Service Staff
- Typological Clues
Service Philosophies Conditional Factors - Other Customers
- Firm Image
- Waiting Time

Source: Kutz & Clow, Service Marketing, 1998.

Figure 2: Factor Affecting Level of Service Expectation

2.4. 기대서비스 영향 요인 평가 최근 들어 나타난 현상 중의 하나는 여행을 통한 자기실현 욕

구라 볼 수 있다.
2.4.1. 개인적 요인
- 관여도
개인적 요인으로 들 수 있는 것은 개인적 욕구(니즈), 개인
이 관여하는 수준, 과거의 경험과 같은 내적 요인으로 서비스 소비자는 해당 서비스에 자신의 관여도가 어느 정도인지 느
에 대한 기대수준에 영향을 미친다. 끼는 바에 따라 기대수준에 영향을 받는다. 보통 관여도는 두
가지 측면에서 기대수준에 영향을 미친다고 본다. 우선, 관여
- 개인적 니즈 도가 높아질수록 이상적 서비스 수준과 희망서비스 기대 수준
소비자의 서비스에 대한 개인적 욕구는 매슬로우(Maslow)가 사이의 간격이 줄어들게 된다. 둘째, 관여도가 높아질수록 허
제시한 욕구 5단계 모델을 유추적용해 볼 수 있는데, 그 중 용영역의 간격이 좁아지게 된다. 고관여의 경우 소비자가 해당
가장 높은 단계는 자기실현의 욕구이다. 자기실현 욕구 충족을 서비스에 대한 식견과 경험이 축적되어 있다고 볼 수 있으며
위해 개인이 추구하고자 하는 행위는 다양한 형태가 있겠으나 이에 따라 이해도가 높고 과정에 대한 예측이 분명할 것이다.
Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 51

- 과거의 경험 을 크게 미치는 요인들의 하나로 서비스 관련 유형적 단서

(tangible cues)를 들 수 있다. 예컨대, 서비스기업의 물리적
소비자의 해당서비스에 대한 과거 경험은 특정 기업에 대한
외양 등은 제공받게 될 서비스와 관련된 품질의 단서로서, 해
경험이거나 동일하거나 유사한 서비스를 제공하는 다른 기업
당 서비스가 어떨 것이며 또 어떠해야 할 것인지를 추론하게
의 서비스에 대한 경험을 포함할 수 있고 또는 관련 유사한
해 주는 단서로서 기업의 약속으로 볼 수 있다.
서비스에 대한 경험 역시 포함시킬 수 있다. 과거의 경험은 희
망 기대 및 예측된 기대수준 형성에 영향을 미친다. 일반적으
- 기업 이미지
로 경험이 풍부할수록 기대수준이 높아지는 경향이 있다.
좋은 이미지의 기업에 대한 고객들의 기대서비스 수준은 상
2.4.2. 기업요인 승한다. 기업 이미지가 높을 경우 서비스에 대한 예측된 기대
수준이 희망서비스 수준 혹은 이상적 서비스 수준에 근접하는
기업이 한 약속은 고객의 서비스 기대수준에 직ㆍ간접적으
경향이 있다. 반면, 이미지가 별로 높지 않을 경우 예측된 서
로 영향을 미친다. 기업이 고객에게 전달하는 광고나 안내책자
비스의 기대수준은 적정서비스 수준에 더 가까이 접근한다. 기
등에서 제시하는 메시지 역시 서비스에 대한 고객이 갖게 될
업 이미지는 서비스 기대수준의 허용 영역에도 영향을 미치다.
희망수준에 영향을 미칠 수 있다. 기업은 고객에게 한 약속
소비지가 어떤 기업에 대해 이미지를 좋게 갖고 있을 때는 부
(promise)을 보장하기 위해 광고홍보, 인적 판매, 가격책정 등
정적 이미지를 갖고 있을 때보다 서비스 실패 관련 좀 더 관
의 마케팅 활동에 병행하게 되며 이러한 활동이 고객의 기대
대해질 수 있다. 즉 허용영역이 커진다고 본다.
수준에 다시 영향을 미칠 수 있게 된다. 특히 서비스경진대회
참가 등은 기업이 스스로 자신있다고 생각하는 자사의 서비스
2.4.3. 상황적 요인
수준을 객관적으로 평가받기 위한 목적의 일환이며 그 결과
수상실적 등은 일반 소비자로 하여금 해당 기업의 서비스에 상황적 요인은 서비스를 제공받는 당시의 여건 중에서 영향
대한 기대수준에 미치는 영향이 있을 것이다. 이와 같은 기업 을 미칠 수 있는 요인으로 소비자의 기대에 영향을 미칠 수
의 서비스수상 실적 등은 일반적으로 기업이 고객에게 내세우 있는 것으로, 보통 소비자의 기분(mood), 당시 날씨, 시간적
는 서비스 기대수준 관련 앞으로도 그 수준을 유지하겠다는 제약 등이 있다. 시간적 제한이 있을 때, 소비자들은 사전적으
약속으로 볼 수 있을 것이며 따라서 고객의 기대서비스 수준 로 서비스에 대한 예측 기대수준을 먼저 낮추는 경향이 있다.
에 영향을 미칠 것이라 볼 수 있다. 서비스제공자에게 충분한 서비스를 제공할 만한 시간이 부족
하다고 생각하기 때문이다. 상황적 요인으로 Zeithaml, Berry,
- 서비스 강조 요인 혹은 서비스 약속 and Parasuraman(1993)은 날씨, 재난, 무작위 과잉욕구를 들
고 있으며 Kurtz and Clow(1998)은 동반인이 있는 상황, 주어
인천국제공항은 World Airport Awards(세계 공항 서비스대
진 상황의 특별성 등을 고려하고 있다.
상)에서 2018년 올해의 최우수 공항상, 세계 최고의 공항직원
상 등을 수상하였다. 특히 공항서비스 대상은 공항으로서 가장
2.4.4. 외적 요인
높은 수준의 서비스를 제공한다고 국제적으로 인정을 받았다
는 것이며 이러한 사실에 접한 고객은 인천공항의 서비스수준 고객의 서비스에 대한 기대수준에 영향을 미치는 외적 요인
에 대한 기대가 이전보다 높아질 수 있다. 으로 세 가지를 들 수 있으며, 이들은 각각 구전효과, 경쟁적
대안 여부, 사회적 상황이다. 이러한 외적 요인들은 희망서비
- 가격 스 기대수준과 적정서비스 기대수준 모두에게 영향을 미칠 수
있는데, 주로 경험의 유무에 의해 형성되는 적정서비스 기대
일반적으로 가격이 높을수록 고객의 서비스에 대한 기대수
수준에도 직접적인 영향을 미친다.
준은 높아지고, 허용영역 역시 좁아지게 된다. 그런데 가격은
또한 고객군을 구분하도록 하는 역할을 한다. 서비스 품질보다
- 구전
는 가격의 저렴함을 더 중요시 하는 고객군과 이와 대조적으
로 가격이 높더라도 고품질의 서비스를 원하는 고객군으로 쉽 소비자의 서비스에 대한 기대 형성과 영향요인으로 강력한
게 분리할 수 있다. 요인의 하나가 구전에 의한 커뮤니케이션(WOMC: word-of-
mouth communication)이다. 소비자가 어떤 서비스를 구매하기
- 서비스 직원 전에 주변에서 자문이나 조언을 구하는 것은 통상적인 일이다.
구전으로부터 얻게 되는 정보는 소비자의 예측된 기대 형성
서비스 접점에 서있는 직원의 경우 그 용모나 어투, 태도나
또는 이를 강화하거나 낮추는 역할을 한다. 특별히, 해당 서비
자세, 설명력 등이 소비자의 서비스 기대수준에 차이를 가져올
스에 대한 경험이나 관련 지식이 부족할 경우 구전에 의한 정
수 있다. 서비스직원은 기업을 대표하여 고객과 직접 접하고
보가 이상적 서비스 수준 혹은 희망서비스 수준 형성에 미치
있게 되며 이들을 통해서 기업의 이미지가 투영되고 고객들의
는 영향은 결정적일 수 있다.
서비스 수준에 대한 기대 역시 다르게 된다.
구전에는 개인차원 원천, 전문가차원 원천, 파생된 원천의 3
가지 원천이 있다. 개인적인 원천으로는 친척, 친지, 동료 등
- 유형적 단서 이 있으며 주로 개인 네트워크 범위이내이다. 전문가 원천으로
고객은 앞으로 제공받게 될 서비스에 대하여 가능한 정보를 는 해당 분야의 전문가에게서 얻게 되는 정보이다. 파생된 정
통하거나 여러 가지 단서들을 통해 추론하게 된다. 이 때 영향 보원천은 제3의 정보원천이라고도 한다.
52 Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56

- 경쟁적 대안 Implicit Promises

- Tangible Assets
공항의 경우 막대한 인프라가 투입되어야 하는 국가적 정책
- Service Staff
결정의 산물이며, 이에 따라 경쟁적 대안을 고려하는 것은 별 - Firm Image
의미가 없다고 판단된다. (Public corporation)
Explicit Service
- 사회적 상황 Service Personal Needs Expectation
Promises -Technical
사회적 상황이란 서비스 제공이 수행되고 있는 여건에 대해 -Service Social Conditions Quality
전반적인 사회적 분위기, 상황을 가리키며, 공항의 경우 여행 Quality -Functional
Award Conditional Factors Quality
을 가는 것이 사회 전반에 걸쳐 보편화되어 간다거나 붐을 이
루는 등 관련 여건의 변화를 반영하는 것이 바람직할 것이다. Word-of-Mouth

Past Experience

3. 연구설계 Figure 4: Research Model 2

본 연구의 목적은 기업 등 서비스제공자가 고객에게 표방하 위의 연구모델 1은 공항 관련 기대서비스에 영향을 미치는

는 자신의 서비스에 대한 수준 관련 객관적 평가인 세계 공항 요인들이 서비스 수준에 미치는 영향에 대하여 도식화한 것이
서비스 평가부문 최우수상 수상실적이 고객의 기대서비스 수준 다. 이에 비하여 모델 2의 경우 인천공항이 세계공항 서비스
에 영향을 미치는지 여부에 대하여 살펴보고자 한다. 그것은 평가에서 대상을 수상한 사실이 이용객에 대한 객관적 서비스
기대서비스 수준에 대한 계량적 분석이 어려운 것이 사실이나 수준에 대한 약속이라 보고 그 영향을 측정해 보고자 하는 것
실제로 특정 요인이 기대서비스에 영향을 미치는지 여부 나아 이다.
가 기대서비스수준을 높이는지 여부를 검증한다는 의미이다.
3.2. 가설
3.1. 연구모델
본 연구는 공항 이용객들의 기대서비스 수준 형성에 영향을
본 연구의 주제인 기대서비스 수준은 희망서비스, 적정서비 미치는 요인들에 대한 연구이다. 특히 공항의 서비스 강조요인
스, 예측된 서비스가 개념적으로 구분이 되나 이를 구분해서 혹은 서비스약속이라고 할 수 있는 우수공항 수상실적이 이용
측정하기는 어렵다. 그런 측면에서 본 연구에서는 희망서비스 객의 기대수준에 영향을 미치는지 여부 그리고 어떻게 영향을
와 적정서비스를 포함한 서비스수준을 기대서비스로 묶어 분 미치는지에 대해 분석해 보고자 한다. 이러한 가설은 Zeithaml
석해 보고자 한다. 이미 살펴본 기대서비스에 영향을 미치는 et al.(1993)이 제안한 기대서비스 수준 개념 및 이에 영향을
요인들을 공항의 경우에 적합하도록 정리하여 연구모델을 도 미칠 것으로 제시한 요인들에 대한 검증을 위한 것이다.
식해 보자면 Figure 3, Figure 4와 같다.
가설 1: 공항의 서비스 강조요인 혹은 서비스약속은 이용객
의 서비스기대 수준에 유의한 영향을 미칠 것이다.
Implicit Promises
- Tangible Assets 가설 1-1: 공항의 서비스 강조요인 혹은 서비스약속은 개
- Service Staff
- Firm Image 인욕구에 따른 이용객의 서비스 기대수준에 유
(Public Corporation) 의한 영향을 미칠 것이다.

가설 1-2: 공항의 서비스 강조요인 혹은 서비스약속은 관

Personal Needs
Service Expectation 여에 따른 이용객의 서비스 기대수준에 유의한
- Technical Quality 영향을 미칠 것이다.
Social Conditions
- Functional Quality
가설 1-3: 공항의 서비스 강조요인 혹은 서비스약속은 과
Conditional Factors 거경험에 따른 이용객의 서비스 기대수준에 유
의한 영향을 미칠 것이다.
가설 1-4: 공항의 서비스 강조요인 혹은 서비스약속은 서
비스직원에 따른 이용객의 서비스 기대수준에
Past Experience 유의한 영향을 미칠 것이다.

Figure 3: Research Model 1 가설 1-5: 공항의 서비스 강조요인 혹은 서비스약속은 유

형적 단서에 따른 이용객의 서비스 기대수준에
유의한 영향을 미칠 것이다.

가설 1-6: 공항의 서비스 강조요인 혹은 서비스약속은 경

Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 53

영주체가 공사라는 점에 따른 이용객의 서비스 서비스 강조요인 혹은 서비스약속이 서비스 기대수준에 영

기대수준에 유의한 영향을 미칠 것이다. 향을 미치는지 여부에 관한 종합적 분석을 위해 설문을 크게
2가지로 구분하여 작성하였으며, 하나는 인천공항이 World
가설 1-7: 공항의 서비스 강조요인 혹은 서비스약속은 사 Airport Awards(세계 공항 서비스대상)에서 올해의 최우수공항
회상황에 따른 이용객의 서비스 기대수준에 유 상, 세계 최고의 공항직원상 등을 수상하였다는 점을 알리지
의한 영향을 미칠 것이다. 않고 공항 이용 및 공항에 대한 기대에 대하여 조사할 수 있
가설 1-8: 공항의 서비스 강조요인 혹은 서비스약속은 구 도록 디자인하였으며, 다른 하나는 인천공항이 World Airport
전에 따른 이용객의 서비스 기대수준에 유의한 Awards(세계 공항 서비스대상)에서 올해의 최우수공항상, 세계
영향을 미칠 것이다. 최고의 공항직원상 등을 수상하였다는 점을 알리고 공항 이용
및 공항에 대한 기대에 대하여 조사하였다.
가설 1-9: 공항의 서비스 강조요인 혹은 서비스약속은 정 설문지는 공항 현장에서 이용객들을 상대로 하여 배포 및
보탐색에 따른 이용객의 서비스 기대수준에 유 응답을 하도록 안내하여 알리지 않은 설문지 368부, 알린 설
의한 영향을 미칠 것이다. 문지 347부를 회수하여 분류를 거친 나머지를 분석에 투입하
였다. 분석은 이용과 관련된 변인이 기대서비스 수준에 영향을
가설 2: 공항의 서비스 강조요인 혹은 서비스약속은 기대서 미치는지 여부를 파악해 보기 위하여 회귀분석을 실시하였으
비스 수준을 높이거나 낮추는데 유의한 영향을 미 며, 전반적인 기대수준을 높이는지 여부를 파악해 보기 위하여
칠 것이다. 일원이차분산분석을 실시하였다.

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.

Table 2: Outline of Questionnaire Components

Question Remarks
Personal Needs Grasping the desire of travel : main purpose of airport use
Involvement Frequency of travel
Past Experience Past experience of airport use
Air-port Service Staff Appearance, attitude, behavior of airport service staff
Firm Factors Tangible Assets External features of airport
Use Public Corporation Firm image, Top class manager
Conditional Social Condition Social perception on airport
External Word-of-Mouth Word-of-mouth from neighbors
Factors Information Search Self-search information
Facilities, system Airport infrastructure
Appropriate installations Airport infrastructure
Airport design User friendly design
Technical Business handling time Appropriateness of business handling time
quality Information Swiftness, accuracy of delivered information
Expectation Security check Fast and perfect check
Level Prices Prices using facilities in the airport
of Safety of departure process Trustfulness of departure process handling
Service Voluntary help Kindness of service provider
Efficient business handling Capabilities of service provider
Functional Fast service Competence of service provider
quality Attitude and posture Service mind of service provider
Kindness Service mind of service provider
Knowledge on information Information capabilities of service provider
54 Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56

Table 3: Results of Analysis

Without explicit service promisees With explicit service promises
Standard regression Standard regression
t value p-value t value p-value
coefficient coefficient
1 personal needs .291 2.929 .004 .325 3.384 .001
2 Involvement .204 2.005 o.48 .244 2.476 .015
3 Past experience .351 3.619 .000 .116 1.155 .251
4 Service staff .054 .520 .604 .393 4.204 .000
5 Tangible assets .162 1.581 .117 .554 6.550 .000
6 Public corp. .350 3.090 .003 .555 6.576 .000
7 Social cond’n .220 2.174 .032 .518 5.960 .000
8 Word-of-mouth .305 3.090 .003 .412 4.451 .000
9 Info. search .155 1.511 .134 .442 4.858 .000

Table 4: Results of Analysis of the service promise on expectation level of service

95% confidence level of average
N Average Stnd. Dev. Stnd. Error Min. Max.
Lower limit Upper limit
1 334 4.36 .634 .065 4.23 4.49 3 5
2 317 4.18 .660 .066 4.05 4.31 2 5
Total 651 4.27 .652 .047 4.18 4.36 2 5

Variance analysis
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

Table 3에서 서비스 강조요인 혹은 서비스약속이 없을 때에 5. 결론

는 서비스직원, 유형적 단서, 구전(정보수집)이 기대서비스 수
준에 통계적으로 유의한 영향을 미치지 않는 것으로 나타나고 고객만족은 기업의 성장은 물론 현상유지를 위해서도 가장
있다. 이에 비하여 서비스 강조요인 혹은 서비스약속이 있을 필요로 하는 덕목이다. 고객만족을 통해서 재구매로 이어지고
때에는 서비스직원, 유형적 단서, 그리고 구전(정보수집) 모두 새로운 고객을 확보해 볼 수 있기 때문이다. 고객은 자신이 제
가 기대서비스 수준에 통계적으로 유의하게 영향을 미치는 결 공받을 서비스에 대하여 기대했던 수준을 넘는 서비스를 받을
과를 보이는 것으로 나타나고 있다. 이러한 사실에 기하여 공 때 만족하고 그 이하일 때 불만족이게 된다. 따라서 기대서비
항의 서비스 강조요인 혹은 서비스약속은 서비스기대수준에 스 수준이 너무 높으면 이를 만족시키기 그만큼 어려워진다는
유의한 영향을 미친다고 결론을 내릴 수 있다. 여기서 재미있 것이며 이와 반대로 기대서비스 수준이 낮다는 것은 만족으로
는 사실은 이용객이 과거에 공항을 이용한 경험이 있을 경우 이어지도록 하기 상대적으로 수월하다는 의미이기도 하다. 이
에는 공항의 서비스 강조요인 혹은 서비스약속이 서비스기대 러한 측면에서 기대서비스 수준에 영향을 미치는 요인을 찾아
수준에 통계적으로 유의한 영향을 미치지 않고 있다는 결과를 내고 확인하는 것은 고객의 서비스만족을 위한 기본적이고 확
보인다는 점이다. 즉 공항을 이용해 본 이용객의 경우 공항의 실한 방법을 안다는 것과 다를 바 없고 서비스기업의 지속가
서비스 강조요인 혹은 서비스약속에 대하여 기대서비스 수준 능성 확보 및 성장을 위해서 반드시 필요한 일이라 볼 수 있
관련 별다른 의미를 부여하지 않는다는 사실을 알 수 있다. 다.
다음으로 서비스강조 요인 혹은 서비스약속이 서비스 기대 그러나 기대서비스 수준을 포함한 서비스수준을 계량적으로
수준 상향에 영향을 미치는지 여부에 대한 종합적 분석을 위 측정한다는 것은 매우 어려운 일이다. 이러한 측정상 어려움은
해 일원배치분산분석을 실시하였으며, 그 결과 기대서비스 수 기대서비스 수준에 대한 연구의 한계로 작용해 온 것이 사실
준 관련 문항들은 통계적으로 유의한 수준의 변화가 있다고 이다. 본 연구에서는 기대서비스 수준을 계량적으로 측정하기
할 수 없으나 비행스케줄 등 신속하고 정확한 정보제공 관련 보다는 기대서비스 수준에 영향을 미치는 요인들에 대한 유의
기대서비스 수준에는 통계적으로 유의한 영향을 미치는 것으 성 분석을 실시하였다. 그것은 기대서비스 수준에 영향을 미치
로 나타나는 것으로 나타나고 있으며 그 결과는 다음 Table 4 는 요인에 대한 확인만으로도 기대서비스 관련 이론에 대한
에 요약되어 있다. 실증분석의 일환으로 볼 수 있을 것이기 때문이다.
실증분석의 대상으로 인천국제공항을 선정하였다. 그것은
인천공항이 국내외 여행객의 증가로 인하여 수요가 부단히 증
Jeong-Lee Chun, Sang-Beom Park / Journal of Distribution Science 16-11 (2018) 47-56 55

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.
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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
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Parasuraman(1993)와 Kurtz and Clow(1998)이 이론적으로 제 Cronin Jr, J. J., & Taylor, S. A. (1992). Measuring service
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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
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석결과는 의미가 크다고 볼 수 있다. 그것은 전세계 공항 가운 Feng, Z. (2016). The Effect of the Products’ Review on
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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
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효과가 있을 것이다. Fornell, C., Johnson, M. D., Anderson, E. W., Cha, J., &
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Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64 57

Print ISSN: 1738-3110 / Online ISSN 2093-7717

A Study on Salesperson Brand Relationships, Customer Orientation,

and Customer Store Loyalty*
판매원 브랜드 관계, 고객 지향성 및 고객 점포 충성도에 관한 연구
Soonhwa Choi (최순화)**
Received: September 28, 2018. Revised: October 20, 2018. Accepted: November 10, 2018.

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.

Keywords: Salesperson Brand Relationship, Customer Orientation, Store Loyalty.

JEL Classifications: M12, M31, M54.

1. 서론 기업 성장을 결정하는 핵심적인 역할을 한다. 특히 최근 옴니

채널을 통한 구매가 빠르게 확산됨에 따라 오프라인 매장 직
소매유통 현장에서 판매 직원의 태도와 행동은 고객 만족과 원이 방문 고객에게 전달하는 서비스 가치는 유통업체의 경쟁
력을 좌우하는 주요 변수로 인식되고 있다(Berger-Remy &
* This study was supported by the research grant of Dongduk Michel, 2015). 이와 함께 선진기업들은 고객접점 직원을 대상
Women’s University in 2017. 으로 브랜드 비전과 미션, 정체성을 명확하게 전달하는 내부
** Department of International Business, Dongduk Women’s 마케팅에 많은 투자를 하고 있다(Sirianni, Bitner, Brown, &
University, Korea. Mandel, 2013).
Tel: +82-2-940-4448. E-mail:
58 Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64

Michel, Merk, and Eroglu(2015)은 유통업체 판매원의 동기 2. 선행연구 고찰

와 몰입도를 향상시키는 주요 요인으로 판매원과 브랜드 관계
의 중요성을 강조하였으며, Ahearne, Rapp, Hugues, and
2.1. 판매원-브랜드 관계
Jindal(2010), Sirianni et al.(2013)은 브랜드와 자아 동일시가
높은 직원일수록 보다 효과적으로 고객과 상호작용하고 브랜 소비자는 상품 구매, 사용 과정에서 경험하는 브랜드 가치,
드 메시지를 명확하게 전달한다는 점을 밝힌 바 있다. 이처럼 의미를 바탕으로 브랜드와의 관계를 형성하게 된다(Fournier &
고객과 직접 만나 브랜드 가치를 전달하는 판매원 역할의 중 Alvarez, 2012; Pimentel & Reynolds, 2004). Keller(1993)는
요성이 커지고 내부 마케팅의 필요성에 대한 인식이 확산됨에 기업이 소비자 마케팅의 궁극적인 목표로 긍정적이고 강한 브
도 불구하고 내부 직원의 브랜드 태도 및 관계에 관한 연구는 랜드 관계를 설정하고, 브랜드 인지도와 아이덴티티, 연상 등
외부 고객과의 관계 마케팅 연구에 비해 현저히 부족하다. 바람직한 관계 형성을 위해 필요한 요소를 단계적으로 설명한
내부 고객이 기업의 마케팅, 브랜딩 활동의 성공에 영향을 바 있다. 바람직한 브랜드 관계에서 고객은 수동적으로 브랜드
미치는 기업의 주요 자산으로 여겨지는데 반해 기존 내부 마 혜택을 제공받는 입장이 아니라 이상적인 목적을 지향하는 브
케팅 연구는 종업원 교육 및 동기부여, 직무 만족도 등의 관계 랜드 발전에 기여하는 능동적 파트너로 해석된다(Fournier,
분석에 집중된 경향이 있다(Michel et al., 2015; Kausel & 1998; Keller, 1993).
Slaughter, 2011). Svensson(2007)의 경우 브랜드를 경험하고 브랜드 관계 연구는 소비자와 브랜드 관계에 치중하여 진행
관계를 구축하는 주체로서 직원의 역할을 강조하였다. 그러나 되었으나, 기업의 시장 지향성이 강조되고 고객접점 직원의 영
관련 연구는 직원과 기업의 심리적 연결이 판매 노력에 미치 향력이 커짐에 따라 내부 직원, 특히 판매원과 브랜드 관계에
는 효과, 고객접점 직원의 브랜드 신뢰가 옹호 행동에 미치는 대한 연구의 필요성도 증대되었다. 최근에는 고객을 장기적인
영향, 자체 브랜드와 판매원 관계의 영향을 분석하는데 머무는 관계 파트너로 인식하듯 직원을 기업의 이익 달성을 위해 필
수준이다(Ahearne et al., 2010; Badrinarayanan & Laverie, 요한 구성원에서 나아가 긍정적, 장기적인 관계 형성의 대상으
2013; Michel, et al., 2015). 특히 한국 유통시장에서 고객접점 로 인식해야 한다는 관점도 대두되었다(Michel et al., 2015).
직원과 브랜드 관계에 관한 연구는 부재한 상황으로, 업체간 Michel et al.(2015)은 고객-브랜드 관계를 판매원-브랜드 관
경쟁이 치열해짐에 따라 관련 연구의 필요성은 더욱 증대되고 계로 확장해 기업은 판매원이 기업 브랜드와 긍정적인 관계를
있다. 형성하도록 노력해야 함을 강조했다. 대형 화장품, 패션, 보석
본 연구는 판매원-브랜드 관계(salesperson brand 매장의 판매 직원을 대상으로 실시한 인터뷰, 설문조사 등을
relationship)가 고객 평가와 점포 충성도에 미치는 영향을 파 바탕으로 판매원과 브랜드의 관계 구조를 분석한 결과, 강력한
악하는데 주목적을 두며, 소비자-브랜드 관계 이론을 바탕으로 판매원-브랜드 관계는 조직 몰입도를 효과적으로 향상시키는
판매원-브랜드 관계를 분석하고자 한다. 이러한 접근은 소비자 것으로 나타났다. King and Grace(2010)는 판매원과 기업 브
에 대한 기업의 인식이 거래의 대상인 구매자에서 나아가 관 랜드의 호의적 관계는 긍정적 입소문 등 브랜드 발전을 위한
계의 대상으로 진화하듯 내부 직원을 업무적인 피고용인을 넘 자발적 지원 행동을 유도하고 그에 따른 높은 고객 만족과 경
어 신뢰와 애착 관계 파트너로 여겨야 한다는 관점에 근거를 영 성과를 이끌어낸다고 주장하였다.
둔다(Chaudhuri & Holbrook, 2002; Keller, 1993). 브랜드 관계는 대인관계와 마찬가지로 상대에 대한 논리적
또한 본 연구는 판매원-브랜드 관계가 경쟁우위 창출을 위 판단과 감정적 반응을 기반으로 구축된다(Chaudhuri &
한 기업 고유의 내부 자원으로, 효과적인 내부 마케팅을 통해 Holbrook, 2002; Morgan & Hunt, 1994). Webster(2000)는 브
강화될 수 있다고 가정한다. 이와 함께 본 연구는 내부 직원이 랜드 관계의 특성이 고객이 반복적인 경험을 통해 파악하는
지각하는 자사 브랜드와의 동일시를 브랜드 관계의 선행 변수 브랜드의 인지적, 정서적 가치를 바탕으로 결정된다고 분석하
로 설정하였다. 소비자의 브랜드 자아 동일시는 브랜드 관계를 였다. 즉 브랜드 관계는 단순히 제품, 브랜드로부터 기대할 수
결정하는 주요 변수로 확인된 바 있으므로(Bardi & Schwartz, 있는 기능적, 물리적 혜택을 넘어 보다 감성적이고 복합적인
2003; Malär, Krohmer, Hoyer, & Nyffenegger, 2011), 내부 고 가치를 포괄하는 개념으로 해석된다.
객과 브랜드 관계를 강화하기 위해 고려해야 하는 주요 요인 내부 고객으로서 판매원이 브랜드와 형성하는 관계 또한 인
으로 작용할 것으로 예상된다. 지적, 정서적 차원으로 구분된다. Michel et al.(2015)은 소비자
한편 Michel et al.(2015)은 성공적인 판매원-브랜드 관계가 와 브랜드의 관계를 설명하는 브랜드 신뢰와 애착의 개념을
기업의 장기적 발전을 위해 요구되는 판매원의 태도와 행동을 적용하여 판매원이 자신이 속한 기업 브랜드를 신뢰하고 정서
유도하는 동기 요인이 될 수 있다고 설명했다. 고객의 욕구 충 적 애착을 느낄수록 기업의 장기적 발전을 위한 몰입 행동을
족과 충성도 향상을 위한 기업간 경쟁이 치열해진 환경 속에 보이는 것으로 해석하였다.
서(Thakor & Joshi, 2005), 본 연구는 호의적인 판매원-브랜드
관계가 판매원의 고객 지향적 행동을 유발하는 동기 요인으로 2.2. 고객 지향성
작용할 것으로 기대한다.
나아가 본 연구는 판매원의 고객 지향성과 고객의 평가와 고객 지향성(customer orientation)은 고객의 니즈와 욕구 충
점포 충성도의 관계를 분석하고자 한다. 내부 마케팅에 관한 족을 중심으로 제품, 서비스를 제공하고 상호작용하는 기업 및
대부분의 기존 연구가 직원의 직무 만족, 몰입도와의 관계 분 임직원의 태도를 의미한다(Deschpande, Farley, & Webster,
석에 그친 것과 비교해 본 연구에서는 고객접점 판매원과 브 1993). 기업간 경쟁이 치열해지고 소비자 영향력이 증대함에
랜드의 관계가 고객 평가와 충성 행동에 미치는 영향을 파악 따라 시장 지향적 경영, 고객 지향적 마케팅의 중요성이 강조
함으로 이론적, 실무적으로 보다 가치 있는 시사점을 제시할 되었다. 이와 함께 고객접점 직원의 고객 지향적 태도와 행동
수 있을 것으로 보인다. 이 고객 만족을 극대화하고 경영 성과를 향상시키는 근본적인
Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64 59

요인으로 인식되고 있다. Table 1: Summary of Literature Review on Related Variables

소매유통 환경에서 판매 직원의 고객 지향성은 고객의 욕구 Findings of Previous
Variables Sources
파악과 충족을 우선시하여 의사결정에 도움을 주는 활동으로 Literature
정의된다(Spiro & Weitz, 1990). 이는 단기적인 수익 창출에 Conceptualized based on Fournier &
집중하는 판매 지향적 전략과 대조되는 개념으로, 고객 니즈 consumer-brand relationship Alvarez(2012)
파악과 욕구 충족을 바탕으로 만족스러운 관계를 형성하고 장 Salesperson theory Keller(1993)
기적인 성과 달성을 추구한다는 의미를 지닌다. Deschpande Brand
Relationship Composed of rational and Chaudhuri &
et al.(1993)은 고객 지향적 판매원일수록 고객의 진정한 관심 emotional relationships, such Holbrook(2002)
과 욕구 파악에 집중하여 긍정적인 고객 관계를 형성할 가능 as brand trust and affect Michel et al.(2015)
성이 크다고 설명하였다. Helping customers make
Boles, Babin, Brashear, and Brooks(2001)에 의하면 판매 Deschpande et al.
purchase decisions to fulfill
지향성에 비해 고객 지향성을 유도하려면 더 높은 수준의 동 (1993)
their needs
기부여가 필요하다. Thakor and Joshi(2003)는 고객 지향적 행
Salesperson Motivated by non monetary
동을 이끌어내기 위해서는 금전적 보상과 같은 외부적 보상 Thakor & Joshi
Customer or intrinsic factors as well
뿐 아니라 고객 만족을 중시하는 진정성, 성취 욕구 등 내부적 (2003)
Orientation as extrinsic incentives
동기 요인이 작용하여야 한다는 점을 밝혔다. 예를 들어 자신
Enhances customers’ service
의 행동으로 인해 고객이 만족감을 표현할 때 판매 직원의 성 Rindfleisch &
satisfaction and customer
취 욕구가 충족되어 고객 지향적 태도와 행동이 더욱 강화되 Moorman(2003)
는 것으로 나타났다.
Influenced by salesperson
고객 지향성은 내외부 마케팅의 효과를 향상시킨다. 고객
service quality, physical
지향적 기업의 직원들은 직무 모호성과 혼란, 갈등이 줄고 만 Mohamud(2017)
Customer environment, atmosphere,
족도가 높은 것으로 나타났다(Babin & Boles, 1996; Kohli &
Store Loyalty etc.
Jaworski, 1990). 또한 Rindfleisch and Moorman(2003)은 직원
Induces customers’ brand Becker et al.(2018)
의 고객 지향적 행동이 고객에게 정서적 즐거움을 제공하여
supportive behaviors Prashar et al.(2015)
판매원과 서비스에 대한 고객 만족도를 높이고 궁극적으로 장
기적 고객 관계 유지, 기업의 경쟁우위 확보에 영향을 미치는
것으로 분석하였다.
3. 연구방법론
2.3. 점포 충성도
3.1. 가설 및 모형
Keller(1993)에 의하면 충성도는 개인이 제품, 기업, 브랜드
등 소비 대상에 대해 호의적, 지속적으로 반응하는 태도적, 행 본 연구는 판매원-브랜드 관계가 판매원의 고객 지향성, 고
동적 반응을 의미한다. 제품, 브랜드 사용에 만족하고 감정적 객 서비스 평가와 점포 충성도에 미치는 영향을 분석하는 목
애착을 경험한 소비자는 대안보다 높은 가격을 기꺼이 지불하 적을 지닌다. 먼저 본 연구는 판매원-브랜드 관계를 신뢰와 애
는 등 충성적인 행동을 보일 가능성이 커진다(Keller, 1993; 착 관계로 구분하고자 한다. 이는 기존 연구에서 소비자-브랜
Mohamud, 2017). 드 관계를 브랜드 경험에 따른 소비자의 이성적 판단, 감정적
점포 충성도(Store loyalty)는 소비자가 특정 점포에 대해 지 연결 관계 차원으로 정의한 것과 일관된다. 브랜드 자산 모델
니는 호의적 태도로, 점포 충성도가 높은 소비자는 반복적인 을 제안한 Keller(1993)는 제품, 서비스, 기업 활동 등에 대한
매장 방문과 구매 행동을 보인다(Becker, Lee, & Nobre, 고객의 인지적 판단과 정서적 반응이 긍정적일수록 브랜드 관
2018; Dick & Basu, 1994; Prashar, Verma, Parsad, & Vijay, 계가 견고해진다고 주장하였다. Morgan and Hunt(1994),
2015). 점포 충성도에 대한 기존 연구들은 충성 고객이 주변 Chaudhuri and Holbrook(2002)도 소비자-브랜드 관계를 브랜
사람들에게 해당 점포를 추천하고 점포를 방문하는 다른 소비 드 신뢰와 애착으로 구분한 바 있다.
자들과 공동체 활동에 참여하는 등 다양한 충성 행동을 실천 소비자와 기업, 브랜드의 관계 수준이 마케팅의 결과이듯,
한다는 점을 발견하였다(Verma & Prashar, 2017). 내부 직원과 기업, 브랜드의 신뢰, 애착 관계는 내부 마케팅,
점포를 방문한 고객의 평가는 판매원, 매장의 물리적 환경, 브랜딩의 결실로 해석할 수 있다. 내부 브랜딩은 기업이 내부
점포 이미지 등 전반적인 경험을 바탕으로 결정되며, Oliver 고객인 임직원을 대상으로 기업의 비전, 브랜드 의미와 이미지
(1996)는 판매 직원의 서비스에 대한 고객의 긍정적 평가를 등을 전달하는 일련의 과정으로, 전 임직원의 일체감을 높이고
고객 충성도의 핵심 선행변수로 설명하였다. 특히 최근 신규 목적의식을 강화하기 위해 실천된다(Bergstorm, Blumental, &
고객 확보 비용이 증가하고 관계 마케팅의 중요성이 증대함에 Crothers, 2002).
따라 판매 직원의 고객 응대 역량을 강화하는 기업들의 노력 Cooper and Thatcher(2010), Mael and Ashforth(1992)는 자
이 커지고 있다. Capaldo and Giannocaro(2015)는 고객이 매 신이 속한 조직과 일체감, 일치성을 느끼는 구성원이 조직을
장에서 제품을 비교, 선택하는 의사결정 과정에서 효과적인 정 더욱 호의적으로 인식하고 조직의 목표와 상응하는 행동을 보
보와 서비스를 제공하는 판매원이 고객으로부터 긍정적인 평 인다고 분석하였다. 기업과 브랜드의 가치관, 이미지가 자신의
가를 받게 되어 상호의존적 관계가 구축된다고 분석하였다. 이 가치, 라이프스타일과 유사하다고 인식하는 직원은 기업, 브랜
상의 선행연구를 정리하면 다음 Table 1과 같다.
60 Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64

드에 대해 긍정적으로 평가하고 감정적인 연결감을 지닐 가능 Figure 1은 본 연구가 제시하는 연구모형을 보여준다.

성이 크다. 즉 브랜드 동일시 수준이 높은 직원은 기업과 브랜
드를 신뢰하고 감정적 애착 관계를 형성한다고 가정할 수 있다.

가설 1: 판매원의 브랜드 동일시는 판매원의 브랜드 신뢰에

정(+)의 영향을 미칠 것이다.
가설 2: 판매원의 브랜드 동일시는 판매원의 브랜드 애착에 Source: Own
정(+)의 영향을 미칠 것이다. Figure 1: Research Model

소비자-브랜드 관계 품질이 향상할수록 소비자는 브랜드에 3.2. 연구 대상

몰입하게 되고 기업 성장을 지원하는 행동을 보일 가능성이
커진다(Keller, 1993). 내부 고객과 브랜드의 긍정적인 관계도 본 연구에서 제안된 가설은 서울 소재 대형 백화점 5곳의
기업의 장기적 발전을 위한 구성원의 능동적 행동으로 이어진 판매 직원 및 방문 고객을 대상으로 수집한 자료를 사용하여
다. Thakor and Joshi(2003)는 자신이 소속된 조직 및 자사 브 검증되었다. 각 백화점의 화장품, 남성/여성패션, 골프/아웃도
랜드에 대한 호의적 평가와 이미지는 고객 지향성 등 조직이 어 매장에서 설문조사를 실시하였으며, 매장별 판매원 1명, 고
추구하는 바람직한 행동을 유발하는 효과적인 동기 요인으로 객 1~2명에게 현장에서 설문지를 전달하고 수거하였다. 총
작용한다고 설명했다. 200개 매장(화장품 50개, 남성/여성패션 100개, 골프/아웃도어
Amabile, Hill, Hennessey, and Tighe(1994)는 조직 구성원 50개)에서 200명의 판매원과 389명의 고객이 조사에 참여하였
이 금전적, 외부적 요인보다 심리적, 내면적 요인으로 동기부 으며, 한 매장에서 2명의 고객이 설문에 참여한 경우 각 고객
여될 때 보다 적극적이고 도전적인 행동을 실천한다고 분석하 자료에 해당 매장 직원의 자료를 매칭하였다. Table 2는 응답
였다. 기업 브랜드에 대한 직원의 신뢰와 애착은 직무 몰입도 자의 성별과 연령 분포를 보여준다.
를 높이고, 이는 외부 고객에 대한 긍정적인 태도와 행동을 강
Table 2: Demographic Characteristics of Respondents
화하는 요인으로 작용한다(Michel et al., 2015). 본 연구는 브
랜드 신뢰, 애착 수준이 높은 판매원일수록 고객 지향적 행동 Salesperson Customer
을 실천하는데 보다 적극적일 것으로 예상한다. Male 38 (19.0%) 84 (21.6%)
Female 162 (81.0%) 305 (78.4%)
가설 3: 판매원의 브랜드 신뢰는 판매원의 고객 지향성에 Under 20s 76 (38.0%) 76 (19.5%)
정(+)의 영향을 미칠 것이다. 30s 57 (28.5%) 106 (27.2%)
가설 4: 판매원의 브랜드 애착은 판매원의 고객 지향성에 Age 40s 50 (25.0%) 71 (18.3%)
정(+)의 영향을 미칠 것이다. 50s 17 (8.5%) 78 (20.1%)
Over 60s 0 (0%) 58 (14.9%)
매장의 판매 직원이 고객 개개인의 필요와 욕구에 집중해
맞춤화된 제안과 정보를 제공할 때 고객은 호의적으로 평가하 3.3. 변수 측정
고 높은 만족도를 보인다(Spiro & Weitz, 1990). Goff, Boles,
Bellenger, and Stojack(1997)은 단기적 성과 위주인 영업 지 판매원의 브랜드 신뢰는 해당 브랜드에 대한 판매원의 믿음
향적 판매가 고객의 부정적 평가로 이어지는 반면, 고객 니즈 과 확신을 의미하며, Michel et al.(2015)이 판매원-브랜드 관계
충족에 충실한 고객 지향적 판매원의 태도는 고객 만족 수준 연구에서 사용한 3개 항목(“나는 이 브랜드를 신뢰한다”, “이
을 향상시킨다는 점을 밝힌 바 있다. 즉 판매원의 고객 지향이 브랜드에 의존한다”, “이 브랜드를 생각하면 안심이 된다”)으로
고객의 서비스 평가를 향상시키는 것으로 가정할 수 있다. 측정하였다. 판매원의 브랜드 애착은 해당 브랜드에 대한 긍정
적 정서로 정의되며, 3개 항목(“이 브랜드는 나를 행복하게 해
가설 5: 판매원의 고객 지향성은 고객의 서비스 평가에 정 준다”, “이 브랜드와의 관계가 특별하다고 느낀다”, “이 브랜드
(+)의 영향을 미칠 것이다. 에 대해 다른 많은 브랜드에게 지니지 않는 감정을 느낀다”)을
사용하여 분석하였다(Chaudhuri & Holbrook, 2001; Michel et
서비스에 대한 긍정적인 고객 평가는 유통업체가 고객 관계 al., 2015).
를 유지해 장기적 이익을 창출하도록 한다. 서비스 경험에 만 판매원이 지각하는 브랜드 동일시는 판매원 개인이 자신과
족한 고객은 해당 점포, 브랜드에 대한 호의적 태도를 형성하 자사 브랜드의 이미지가 일치한다고 지각하는 정도를 의미하
게 되어 재방문 및 재구매 의향을 지닐 뿐 아니라, 긍정적인 며, 기존 연구에서 적용되었던 항목(“이 브랜드의 이미지는 나
입소문을 확산시키고 주변인들에게 점포 방문을 추천하는 등 의 가치관과 기준”, “나의 성격”, “나의 라이프스타일에 잘 맞
기업의 지속적인 성장을 지지하는 행동을 보이는 것으로 나타 는다”)으로 측정하였다(Rio, Belen del, & Victor, 2001). 판매원
났다(Dick & Basu, 1994). 본 연구는 매장에서의 판매원 서비 의 고객 지향성은 고객 욕구 충족을 중시하는 판매원의 태도
스를 긍정적으로 평가하는 고객이 높은 수준의 매장 충성도를 로 정의되며, Michel et al.(2015)이 사용한 3개 항목(“고객들이
보일 것으로 예상한다. 나의 도움으로 브랜드를 더 잘 알게 되었다고 칭찬할 때”, “나
의 조언이 유용했다고 말할 때”, “나의 조언 덕분에 브랜드를
가설 6: 고객의 서비스 평가는 고객의 점포 충성도에 정(+)
잘 살펴보게 되어 기쁘다고 표현할 때 성취감을 느낀다”)을 활
의 영향을 미칠 것이다.
용하여 측정하였다.
Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64 61

고객의 서비스 평가는 판매원이 제공하는 서비스에 대한 매 4.2. 가설 검증

장 고객의 인식 수준으로 정의하고, 기존 연구에서 인용한 3개
문항(“매장 직원들의 근무태도가 좋다”, “나의 만족에 신경을 쓰 본 연구가 제시한 가설은 AMOS 22.0을 사용하여 검증되었
는 것 같다”, “내가 특별한 고객으로 느끼도록 한다”)을 사용하 다. 검증 결과는 Table 5에 제시되어 있으며 적합도 지수가
여 측정하였다(Lin & Hsieh, 2011; Ou, Shih, Chen, & Tseng, 대체적으로 권장 기준을 충족하는 것을 확인할 수 있다. 먼저
2012). 마지막으로 점포 충성도는 특정 점포에 대한 고객의 호 가설 1과 가설 2는 각각 판매원의 브랜드 동일시가 판매원-브
의적 행동 의향으로 정의되며 Cronin, Brady, and Hult(2000)가 랜드 관계의 두 차원인 브랜드 신뢰, 애착에 미치는 영향을 제
사용한 3개 문항(“이 매장에서 다시 쇼핑할 의향이 있다”, “주변 시하였으며, 표준경로계수 0.808(t=15.484, p<.001), 0.842
사람들에게 이 매장을 추천할 것이다”, “이 백화점을 다시 방문 (t=18.659, p<.001)로 분석되어 채택되었다. 즉 브랜드와 자신
한다면 이 매장을 또 방문할 의향이 있다”)으로 측정하였다. 의 가치, 라이프스타일이 유사하다고 인식하는 판매원일수록
자사 브랜드와 높은 수준의 신뢰와 감정적 애착 관계를 형성
하고 있음이 확인되었다.
4. 연구결과 판매원과 브랜드의 신뢰 및 애착 관계가 판매원의 고객 지
향성에 미치는 영향을 제시한 가설 3, 가설 4는 각각 표준경
4.1. 측정 모형 검증 로계수 0.446(t=6.608, p<.001), 0.261(t=4.073, p<.001)을 보여
지지되었다. 따라서 브랜드와 강한 신뢰, 애착 관계를 지닌 판
가설 검증에 앞서 SPSS 21.0과 AMOS 22.0을 사용하여 연 매원이 보다 고객 지향적인 태도로 서비스를 제공한다는 점을
구모형의 신뢰성, 타당성을 분석하였으며, 분석 결과는 Table 알 수 있었다. 다음으로 판매원의 고객 지향성과 고객의 서비
3에 제시되어 있다. 최대우도추정법을 사용한 확인적 요인분 스 평가의 관계에 관한 가설 5는 경로계수 0.151(t=2.848,
석, Cronbach’s α 및 합성 신뢰도 측정 결과 각 변수의 내적 p<.01)로 분석되어 채택되었다. 즉 고객의 욕구 충족을 중시하
일관도와 수렴타당성이 적정한 것으로 나타났다. 또한 Table 4 여 정보와 조언을 전달하기 위해 노력하는 고객 지향적인 판
에 나타난 것과 같이 AVE 제곱근이 상관계수보타 큰 것으로 매원일수록 고객들로부터 보다 긍정적인 평가를 받는 것으로
분석되어 판별타당성이 확보되었음을 확인하였다(Bagozzi, Yi, 파악되었다.
& Phillips, 1991).

Table 3: Results of Confirmatory Factor Analysis

Construct Item Standardized Loadings S.E. t-value Cronbach α Composite Reliability
SBI1 1.000
Salesperson Brand
SBI2 1.044 0.040 25.947 0.915 0.918
SBI3 1.011 0.045 22.242
SBT1 1.000
Salesperson Brand Trust SBT2 1.230 0.075 16.402 0.851 0.863
SBT3 1.260 0.064 19.728
SBA1 1.000
Salesperson Brand Affect SBA2 0.962 0.036 26.609 0.905 0.908
SBA3 0.914 0.043 21.325
SCO1 1.000
Salesperson Customer
SCO2 1.079 0.030 36.040 0.958 0.941
SCO3 1.030 0.032 32.020
CSE1 1.000
Customer Service
CSE2 1.011 0.038 26.343 0.974 0.956
CSE3 0.909 0.040 22.677
CSL1 1.000
Customer Store Loyalty CSL2 0.998 0.020 49.592 0.956 0.876
CSL3 0.974 0.020 49.455
χ2=400.256(df=120, p=.00), GFI=0.905, NFI=0.948, RFI=.934, TLI=.953, CFI=0.963, RMSEA=0.078

Table 4: Correlation Coefficients between Constructs

SBI 0.888
SBT 0.664 0.823
SBA 0.734 0.792 0.876
SCO 0.562 0.588 0.612 0.941
CSE 0.120 0.072 0.110 0.150 0.879
CSL 0.053 -0.003 0.051 0.130 0.809 0.964
Note: Diagonal line is square root of AVE.
62 Soonhwa Choi / Journal of Distribution Science 16-11 (2018) 57-64

Table 5: Results of Hypothesis Tests

Hyp. Path Standardized Coefficient t-value p
1 Salesperson Brand Identification → Salesperson Brand Trust 0.808 15.484 p < .001
2 Salesperson Brand Identification → Salesperson Brand Affect 0.842 18.659 p < .001
3 Salesperson Brand Trust → Salesperson Customer Organization 0.446 6.608 p < .001
4 Salesperson Brand Affect → Salesperson Customer Organization 0.261 4.073 p < .001
5 Salesperson Customer Organization → Customer Service Evaluation 0.151 2.848 p < .01
6 Customer Service Satisfaction → Customer Store Loyalty 0.855 23.190 p < .001
χ2=566.081(df=129, p=.00), GFI=0.868, NFI=0.928, RFI=0.914, TLI=0.933, CFI=0.943, RMSEA=0.092

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

객만족의 주요 요인으로 작용한다는 점을 보여준다. 마지막으 construct validity in organizational research.

로 판매원의 고객의 서비스 평가는 유통업체의 장기적 성과를 Administrative Science Quarterly, 36(Sept.), 421-458.
좌우하는 점포 충성도에 유의한 영향을 미친다는 점을 알 수 Bardi, A., & Schwartz, S. H. (2003). Values and behavior:
있었다. 즉 강력한 고객 관계를 구축하기 위해서는 외부 마케 Strength and structure of relations. Personality and
팅에만 치중하기보다 브랜드에 대한 신뢰와 애착을 지닌 내부 Social Psychology Bulletin, 29(10), 1207-1220.
직원이 자발적으로 고객 지향적 태도와 행동을 보이도록 내부 Becker, K., Lee, J., & Nobre, H. (2018). The concept of
브랜딩 프로그램을 개발하고 실행하여야 한다. luxury brands and the relationship between consumer
and luxury brands. Journal of Asian Finance,
5.2. 한계점 및 향후 연구 방향 Economics, and Business, 5(3), 51-63.
Berger-Remy, F., & Michel, G. (2015). How brand gives
향후 연구에서는 연구의 이론적, 실무적 가치를 높이기 위 employees meaning: Towards an extended view of brand
해 다음과 같은 시도를 고려할 수 있을 것이다. 먼저 본 연구 equity. Recherche et Applications en Marketing, 30(2),
는 판매원-브랜드 관계에 영향을 미치는 요인으로 판매원의 1-28.
브랜드 동일시를 고려하였지만 향후에는 보다 다양한 선행변 Bergstrom, A., Blumental, D., & Crothers, S. (2002). Why
수를 발굴하여 판매원-브랜드 관계 강화를 위한 포괄적인 시 internal branding matters: The case of Saab. Corporate
사점을 제시하여야 한다. 예를 들어 기업 내부적인 브랜드 정 Reputation Review, 5(2/3), 133-142.
보 공유 활동, 내부 커뮤니케이션 방식, 조직문화 유형 등을 Boles, J. S., Babin, B. J., Brashear, T. G., & Brooks, C.
선행변수로 고려하면 이론적, 실무적으로 풍부한 지식을 확보 (2001). An examination of the relationships between
할 수 있을 것이다. retail work environments, salesperson selling orientation-
또한 본 연구는 브랜드 관계를 신뢰, 애착의 두 가지 차원 customer orientation and job performance. Journal of
으로 분류하여 분석하였으나 향후 연구에서는 보다 다차원적 Marketing Theory and Practice, 9(3), 1-13.
접근이 가능할 것으로 보인다. 예를 들어 소비자-브랜드 관계 Capaldo, A., & Giannoccaro, I. (2015). How does trust
유형을 가족, 친구, 표면적 관계 등으로 분류한 Fournier(1998) affect performance in the supply chain? The moderating
의 연구처럼 판매원과 브랜드 관계를 다양한 형태로 해석한다 role of interdependence. International Journal of
면 기업의 특수 상황에 최적화된 내부 브랜딩 전략을 고안할 Production Economics, 166(1), 36-49.
수 있을 것으로 보인다. Chaudhuri, A., & Holbrook, M. B. (2002). Product-class
마지막으로 향후 연구는 판매원-브랜드 관계 이론의 완성도 effects on brand commitment and brand outcomes: The
를 높이기 위해 고객 평가 및 충성도를 포함한 다양한 형태의 role of brand trust and brand affect. Brand Management,
결과 변수를 고려할 필요가 있다. 예를 들어 내부 직원간 공동 10(1), 33-58.
체의식, 창의적 협력 등 내부 고객과의 성공적인 브랜드 관계 Cooper, D., & Thatcher, S. (2010). Identification in
로 기대할 수 있는 성과를 파악하여 영향 관계를 분석하면 보 organizations: The role of self-concept orientations and
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35(4), 516-538.
Cronin Jr, J. J., Brady, M. K., & Hult, G. T. M. (2000).
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Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72 65

Print ISSN: 1738-3110 / Online ISSN 2093-7717

An Empirical Study on B2B Governance Mechanisms and

Relationship Outcomes in Franchise Systems
B2B 거래관계에서 통제메커니즘과 관계성과에 대한 연구*
: 프랜차이즈 채널을 중심으로
Ho-Taek Yi (이호택)**
Received: October 10, 2018. Revised: October 30, 2018. Accepted: November 10, 2018.

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

Keywords: Ex Ante Governance Mechanisms, Contractual Completeness, Extra Contractual Incentives, Contract Compliance,
Relationship Outcomes.

JEL Classifications: L14, L81, M10.

1. 서론 mechanism)에 제시하고 있다(Antia, Bergen, Dutta, & Fisher,

2006; Aulakh, Kotabe, & Sahay, 1996; Bello & Gilliland,
마케팅 경로관리 분야의 연구들은 기업 간 거래관계 또는 1997; Challagalla & Shervani, 1996; Douthitt & Aiello, 2001;
교환관계(exchange relationship)에서 관계성과를 높이기 위한 John, 1984). 이러한 연구들은 주로 거래비용이론(transaction
하나의 수단으로 거래상대방에 대한 통제메커니즘(governance cost theory)이나 대리인이론(agent theory)을 바탕으로 하고
있는데 거래비용이론과 대리인이론은 각각 통제메커니즘에 대
* This work was supported by the Ministry of Education of the 해 ‘계약관계에 있는 거래상대방의 바람직한 행동을 강화하고
Republic of Korea and the National Research Foundation of Korea 기회주의적 행동을 통제하는데 있어 사전통제(ex ante
(NRF-2016S1A5A8018076) governance)를 함으로써 사후적 비용(ex post cost)을 최소화
** Assistant Professor, Dept. of Business Administration, Keimyung 할 수 있다’고 한다(Bergen, Dutta, & Walker, 1992, p.8).
University, Daegu, Korea. 그런데 실제로 기업 간 거래에서 통제메커니즘을 다루고 있
Tel: +82-53-580-6667, E-mail:
66 Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72

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

2.3. 사전통제 (Kashyap et al., 2012), 계약상대방 또는 대리인의 긍정적이고

호의적인 반응을 유발할 수 있다.
전술했던 바와 같이 거래비용이론이나 대리인이론에서는 크
게 두 가지 통제메커니즘을 제시하고 있는데, 하나는 사전통제 2.4. 가설설정
이고 다른 하나는 사후통제이다(Bergen, et al., 1992, p.2). 사
후통제에 비해 사전통제 방법에 대해서는 연구가 되어 있지 2.4.1. 가맹본부의 사전통제가 가맹점의 계약준수 수준에 미
않으므로 본 연구에서는 사전통제 메커니즘에 대해 연구하였 치는 영향
다. Anderson and Dekker(2005)의 연구에서는 사전통제의 대 앞서 언급했던 바와 같이 본 연구에서는 가맹본부의 사전통
표적인 수단으로 명시적 계약(explicit contracts)을 들고 있는데 제기재로 계약의 완전성과 계약 외 인센티브를 제시하고자 한
어떠한 계약도 완벽할 수 없고 계약당사자들 사이에 충분한 다. 우선 계약의 완전성(contract completeness)이란 계약서 내
의견교환이나 동의가 있었던 계약도 시간의 지남에 따라 위험 에 계약과 관련된 내용이 명시화된 정도를 의미하는데(Gong
성이 존재한다(Anderson & Dekker, 2005, p.1734). et al., 2007), 계약은 광범위한 거래선을 규정하는 단순한 계
아래의 <Table 1>은 사전통제 메커니즘과 관계성과를 연구 약도 있지만 예측 가능한 우발적인 상황에 대한 거래쌍방의
한 선행연구들을 요약한 것이다. Kashyap, Antia, and Frazier 책임과 구제를 가능한 정확하게 규정하는 명시적인 계약까지
(2012)는 사전통제에 대한 기존 연구문헌들을 바탕으로 사전 매우 다양하기 때문에 계약의 완전성 역시 계약주체와 상황에
통제 수단으로 계약의 완전성(contractual completeness), 계약 따라 달라진다(Wuyts & Geyskens, 2005, p.103).
의 일방성(contractual one-sideness), 계약 외 인센티브(extra 상대적으로 계약의 완전성 수준이 높은 계약조건을 수락한
contractual incentives)를 제시하였다. 계약의 완전성이란 계약 다는 것은 가맹점 입장에서 더 높은 수준의 관계책임을 가지게
과 관련된 내용들이 계약서 내에 명확하게 기술되어 있는 정도를 된다고 볼 수 있다(Gong et al., 2007; Lusch & Brown, 1996).
의미하는데(Gong, Shenkar, & Nyaw, 2007), 기업은 계약상대방 계약의 완전성이 높으면 거래관계에서 자유도가 줄어들기도
또는 대리인의 계약의무에 대해 계약서 상 세부적으로 명시함 하는데(Anderson & Dekker, 2005), Gong et al.(2007)의 연구
으로써 역할모호성을 줄일 수 있고, 계약불이행이나 기회주의적 에 따르면 기업 간 계약에서 계약서의 내용이 거래주체의 자
행동 발생을 억제할 수 있다(Argyres, Bercovitz, & Mayer, 2007). 율성을 제약하는 정도가 높고 계약자로서의 역할에 대한 지각
두 번째로 계약의 일방성(contractual one-sideness)은 계약 수준이 높아지면 계약내용을 준수하려는 성향이 증가하고 기
조건이 계약당사자인 쌍방 중 한쪽에 유리하게 되어 있는 정 회주의적 성향의 행동이 줄어든다고 한다.
도를 말하는데(Klein, 1980), 계약의 주도권을 가지고 있는 업 둘째로 계약 외 인센티브(extra-contractual incentives)란 명
체 입장에서는 대리인이나 계약상대방이 성과를 내지 못했을 시적인 계약 내용은 아니나 가맹점이 가맹본부로부터 받을 수
때 이에 대한 엄격한 불이익 또는 배상의 책임을 계약조항에 있는 금전적인 혜택을 말한다(Kashyap et al., 2012). 기업 간
추가하고 싶어 한다. 일반적인 마케팅 경로 상, 거래의 주도권 거래에서 금전적인 인센티브는 상대방의 즉각적인 협력과 순
을 가지고 있는 업체에게 유리한 계약조건이 있는 계약을 대 응을 유도해 낼 수 있는 촉매 역할을 하는데(Potluri, Challa, &
리인이나 거래상대방이 받아들인다면 이는 위험성 있는 계약 Challagundla, 2014) 제조업체와 유통업체 관계에서 제조업체
을 기꺼이 받아들이면서도 거래를 하겠다는 의지의 표현으로 가 제공하는 인센티브가 적절하다고 판단한다면 유통업체는
볼 수 있으며 따라서 이러한 경우 기회주의적 행동이 줄어들 제조업체의 요구에 순응하도록 동기부여 될 수 있다(Leonidou,
수 있다(Clee & Wicklund, 1980). 하지만 프랜차이즈 시스템에 Talias, & Leonidou, 2008). Heide(1994)는 거래관계에서 인센
서는 계약의 일방성은 자칫 대리인(가맹점주)들에 대한 불신 티브는 목표를 공유하고 지속시킬 수 있기 때문에 협력을 이
(distrust)의 표시로 비춰질 수 있으며 따라서 이들의 대리인들의 끌어내는 중요한 요소라고 했다.
기회주의적인 행동을 유발할 수 있다(Jap & Ganesan, 2000). 하지만 계약서 상 명시되어 있는 인센티브 조항은 거래파트
또한 ‘가맹사업거래의 공정화에 관한 법률(이하 가맹사업법)’에 너 입장에서는 당연한 것으로 판단할 수 있고 모든 거래에 공
의해 이러한 조항은 불공정거래로 분류될 수 있으므로 국내 통적으로 적용되는 것이므로 거래상대방의 니즈를 충족시키지
프랜차이즈 환경에 적용하기는 어려워 보인다. 못하고 동기부여를 이끌어내지 못하는 경우가 발생한다(Murry &
세 번째로 계약 외 인센티브를 들 수 있는데 계약불이행에 Heide, 1997, p.58). 이러한 상황에서 계약 외 인센티브는 계약
따른 불이익이나 배상의 책임을 계약서 조항에 넣는 것을 꺼 이 충족시키지 못하는 거래상대방의 니즈를 충족시키고 동기
려하는 경우, (계약 성과에 따른) 인센티브 조항을 넣기도 한 부여를 통해 협력을 유도할 수 있는 요소가 된다(Gilliland &
다. 인센티브는 계약준수에 대한 동기부여를 높이고 기회주의 Bello, 2001). 계약 외 인센티브는 계약으로 규정한 내용이 아
적 행동에 대한 동기부여를 억제시키는 역할을 하기 때문에 니기 때문에 거래 상대방 입장에서는 이를 거래관계에서 추가

Table 1: Empirical Studies in Ex Ante Governance Mechanisms to Relationship Outcome

Author(Year) Control Mechanism Relationship Outcome Empirical Context
Achrol & Gundlach (1999) Contractual Safeguards Opportunism Computer Industry
Commitment, Performance,
Jap & Ganesan (2000) Explicit Contract Chemical Industry
Conflict, Relationship Satisfaction
Contractual Completeness,
Kashyap et al. (2012) Compliance, Opportunism Automotive Industry
Contractual one-sideness,
Lusch & Brown (1996) Explicit and Normative Contracts Wholesaler Performance Wholesalers of Durable/ Nondurable goods
Wuyts & Geyskens (2005) Detailed Contract Drafting Opportunism computer equipment, electronic industry
68 Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72

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.

Table 2: Descriptive Statistics of Respondents

Classification Frequency % Classification Frequency %
General Korean Food 5 3.6 1 person 10 7.3
Meat-related Korean Food 11 8 2 persons 34 24.8
Japanese/Chinese Food 3 2.2 3 persons 29 21.2
Pub 2 1.5 4 persons 29 21.2
Types of of
Kimbab 18 13.1 5 persons 16 11.7
Franchise Employees
Pizza/Hamburger 15 10.9 6 persons 12 8.8
Chicken 38 27.7 7 persons 3 2.2
Bakery 16 11.7 More than 8 4 2.9
Coffee/Ice Cream 29 21.2 20s 9 6.6
1 year or less 15 10.9 30s 19 13.9
Transactions Less than 1~2 years 20 14.6 40s 50 36.5
with current Less than 2~3 years 26 19 50s 55 40.1
Franchising Less than 3-5 years 32 23.4 60s- 4 2.9
HQ Less than 5-7 years 18 13.1 Male 63 46
Less than 7-10 years 26 19 Female 74 54
Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72 69

3.2. 변수의 조작적 정의 및 측정 소개한 소극적 기회주의 행동인 업무태만행동 척도 중 판매전

후 서비스 활동에 시간할애 회피정도, 영업시간 외 업무시간
본 연구에서 변수를 측정하기 위해 사용된 측정문항은 모두 할애 정도, 가맹본부 지원활동 보다 내 운영매장 매출증대에
기존의 연구들이 보편적으로 사용하고 있는 설문문항을 프랜 집중하는 정도 등 3개 문항으로 측정하였다.
차이즈 산업의 특성에 맞게 일부 수정하였으며 5점 척도를 사
용하였다. 먼저, 계약의 완전성은 Anderson and Dekker(2005) 3.3. 신뢰성 및 타당성 측정
와 Kashyap et al.(2012)의 연구를 바탕으로 계약서 내 가맹본
부와 가맹점 사이의 책임과 권한의 명시 정도, 의견이 다를 때 다항목 측정변수들의 내적일관성을 측정하기 위해 Cronbach’s
해결할 수 있는 방법의 명시 정도, 계획되지 않은 일이 발생했 alpha test를 진행하였으며, 신뢰성 분석을 실시한 항목들에
을 때 해결방법의 명시정도, 업무성과에 대한 기대 제시정도 대해 <Table 3>과 같이 확인적 요인분석을 시행하였다. 이 과
등으로 측정하였다. 계약 외 인센티브는 Gilliland and Bello 정에서 적합도를 떨어뜨리는 항목은 제거하였다(Hair, Black,
(2001)의 연구에서 사용하였던 문항을 수정하여 판매노력 제 Babin, Anderson, & Tatham, 2006). 확인적 요인분석 결과 모
2 2
고를 위한 인센티브 제공정도, 판촉행사 시 추가적 금전지원 형의 적합도는 χ =310.602, df=194, χ /df=1.601, RMR=0.047,
제공 정도, 지역본부 단위에서 시행하는 판촉행사에서도 추가 GFI=0.834, IFI=0.910, TLI=0.889, CFI=0.907를 나타냈으며,
적 자금지원 정도, 인센티브의 매출증대 도움 정도, 신제품 판 대부분의 적합도 지수들이 권고치 이상을 보이는 것으로 나타
매를 높이기 위한 추가 인센티브 지원 정도 등으로 측정하였 나 수용할 수 있는 것으로 판단하였다(Kline, 1998). 척도들의
다. 가맹점의 계약이행은 Tyler and Blader(2000)의 연구를 바 집중타당성을 판단하기 위해 평균분산추출값과 개념신뢰도를
탕으로 계약서상 규칙과 절차의 준수노력, 가맹본부의 정책준 계산하였고, 허용수준인 0.5와 0.7을 상회하는 것을 확인하였
수 노력, 가맹본부의 지시사항 수행정도 등으로 측정하였다. 다(Bagozzi & Yi, 1988).
관계성과 변수 중 재계약의도는 현재 관계에 대한 만족, 지 가설검증에 앞서 변수 간의 개략적인 상관관계를 파악하고,
속적 관계유지 의도, 계약만료 후 가맹본부와의 재계약 고려정 판별타당성을 판단하고자 상관관계분석을 시행하였다. <Table
도 등 3개 문항으로 측정하였으며(Kim & Yi, 2016), 다점포운 4>에서 제시하고 있는 바와 같이 가설로 설정한 변수 간 상관
영의도는 응답자의 가맹본부의 현재 운영 중인 프랜차이즈 브 관계들은 전반적으로 가설과 일치하는 방향을 보이고 있었으
랜드의 추가점포 개설 가능성, 가맹본부의 타 브랜드 점포 개 며, 변수의 AVE값이 모든 변수에서 상관관계의 제곱값보다 크
설 가능성, 계약만료 전 추가점포 개설가능성, 다점포 운영에 게 나타나 판별타당성이 확보되는 것을 확인할 수 있었다
대한 수익기대 등으로 측정하였다(Kim & Yi, 2016). 마지막으 (Fornell & Larcker, 1981).
로 기회주의적 행동은 Wathne and Heide(2000)의 연구에서

Table 3: Results of Validity and Reliability Test

Item Construct st. estimate S.E. C.R. AVE CR Cronbach's a
CC1 0.696 -  - 
CC2 Contractual 0.689 0.213 4.456
0.528 0.884 0.846
CC3 Completeness 0.721 0.294 5.732
CC4 0.796 0.263 5.149
ECI1 0.79 -  -
ECI2 Extra 0.772 0.127 9.428
ECI3 Contractual 0.762 0.135 9.28 0.599 0.929 0.868
ECI4 Incentive 0.755 0.112 9.189
ECI5 0.792 0.112 9.723
CP1 0.693 - - 
CP2 0.719 0.224 4.942 0.511 0.843 0.837
CP3 0.733 0.171 6.209
OB1 0.857 -  -
OB2 0.878 0.114 8.645 0.589 0.870 0.865
OB3 0.514 0.093 5.885
RI1 0.766 -  - 
RI2 0.772 0.283 5.465 0.537 0.856 0.844 
RI3 0.655 0.216 5.412
MRI1 0.895 -  -
MRI2 Multi-shop 0.745 0.079 10.416
Running 0.676 0.937 0.887
MRI3 Intention 0.778 0.072 11.167
MRI4 0.864 0.057 13.173
2 2
Model fit: x =310.602, df=194, x /df=1.601, RMR=0.047, GFI=0.834, IFI=0.910, TLI=0.889, CFI=0.907
70 Ho-Taek Yi / Journal of Distribution Science 16-11 (2018) 65-72

Table 4: Results of Correlation Analysis Matrix

Construct M st.d. (1) (2) (3) (4) (5) (6)
Contractual Completeness (1) 4.078 0.410 1 .180* .063 -.224* .063 .466*
Contract Compliance (2) 4.070 0.420   1 .116 -.270* .324* .080
Recontract Intention (3) 3.284 0.800     1 -.095 .370* .333*
Opportunistic Behavior (4) 2.922 0.905       1 -.186* -.132
Multi-shop Running Intention (5) 3.973 0.534         1 .133
Extra Contractual Incentive (6) 3.791 0.589           1
**p<0.01; *p<0.05

Table 5: Results of Hypotheses Test

H Path st. estimate S.E. C.R. Result
H1(+) Contractual Completeness → Contract Compliance 0.412** 0.134 2.728 Supported
H2(+) Extra Contractual Incentive → Contract Compliance 0.403** 0.084 2.990 Supported
H3(+) Contract Compliance → Recontract Intention 0.467** 0.146 3.544 Supported
H4(+) Contract Compliance → multi-shop Running Intention 0.231** 0.289 2.222 Supported
H5(-) Contract Compliance → Opportunistic Behavior -0.347** 0.327 -3.148 Supported
Model fit: x2=337.953, df=203, x2/df=1.665, RMR=0.059, GFI=0.823, IFI=0.895, TLI=0.877, CFI=0.892
**p<0.01; *p<0.05

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

Guide for Authors; The Journal of Distribution Science(JDS)
Print ISSN: 1738-3110 / Online ISSN: 2093-7717

1. Introduction appropriately influence or be perceived to influence. We

confirm that the paper has not been published previously, it
The Journal of Distribution Science(JDS) is an official and is not under consideration for publication elsewhere, and the
public journal published by the Korea Distribution Science manuscript is not being simultaneously submitted elsewhere.” 
Association(KODISA). The JDS is an international peer-
reviewed journal, which is devoted to distribution economics, 1.3. Publication Ethics and Publication Malpractice
distribution management and science, and interdisciplinary
The journal is committed to upholding the highest
topics. The journal is published twelve issues per year
standards of publication ethics and takes all possible
(monthly) in English and Korean. The mission of JDS is to
measures against any publication malpractices. All authors
bring together the latest theoretical and empirical distribution
submitting their works to the journal for publication as
management research in international markets.
original articles attest that the submitted works represent
their authors’ contributions and have not been copied or
​1.1. Submission
plagiarized in whole or in part from other works. The
A​uthors are requested to submit their papers electronically authors acknowledge that they have disclosed all and any
by e-mail attachments to Editorial office: actual or potential conflicts of interest with their work or
or using online paper submission on the journal website, partial benefits associated with it. In the same manner, the;jsessionid=OmW1LmKU journal is committed to objective and fair double-blind
10OAEcCha7KjEnm8T0T5k21j1CuJ8JKGY1CjhchpggiLooztzjZ peer-review of the submitted for publication works and to
OliTT.JAMSWAS1_servlet_engine1?lang=en US. The attached prevent any actual or potential conflict of interests between
files should be in MS Word, Word Perfect or RTF format. the editorial and review personnel and the reviewed material.
Any supplemental files should also be in Microsoft Word, RTF, Any departures from the above-defined rules should be
Word Perfect, or Excel format. PDFs are not acceptable. reported directly to the Editors-in-Chief, who is unequivocally
Authors are requested to submit the text, tables, and artwork committed to providing swift resolutions to any of such a
in electronic form to this address. The Publisher and Editor type of problems. Further to the above, the journal is
regret that they are not able to consider submissions that following the highest standards of publication ethics and the
do not follow these procedures. All correspondence, Code of Conduct for Journal Editors. By joining and
including notification of the Editor's decision and requests for supporting the Committee on Publication Ethics(COPE) the
revision, takes place by e-mail.  journal will help support the ethical imperative in promoting
publication ethics and providing advice for editors and
1.2. Submission Declaration  publishers( 
Submission of an article implies that the work described
has not been published previously(except in the form of an 1.4. Plagiarism Policies and Ethical Guidelines
abstract or as part of a published seminar, lecture or The Journal of Distribution Science(JDS) uses the
academic thesis), that it is not under consideration for iThenticate software to detect instances of overlapping and
publication elsewhere, that its publication is approved by all similar text in submitted manuscripts. You can be reassured
authors and tacitly or explicitly by the responsible authorities that JDS is committed to actively combating plagiarism and
where the work was carried out, and that, if accepted, it will publishing original research. To find out more about
not be published elsewhere including electronically in the CrossCheck visit
same form, in English or in any other language, without the iThenticate is also available to authors and researchers
written consent of the copyright-holder. Each submission who wish to check their papers before submission.
must contain “Submission Declaration Statement” in its cover iThenticate compares submitted documents to extensive data
letter as follows: “We hereby confirm that the manuscript has repositories to create a comprehensive Similarity Report,
no any actual or potential conflict of interest with any which highlights and provides links to any significant text
parties, including any financial, personal or other matches, helping to ensure that you are submitting an
relationships with other people or organizations within three original and well-attributed document. iThenticate for
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74 Appendix

"Code of Ethics" authors are expected to adhere to the 2. The Preparation of Manuscripts(Main Document)
guidelines outlined in this section.  
2.1. Language 
1.5. Conflict of Interest
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. 
potential conflict of interest including any financial, personal
or other relationships with other people or organizations 2.2. Word Count 
within three years of beginning the submitted work that While no maximum length for manuscripts is prescribed,
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. 
1.6. Copyright 2.3. Style of Presentation
Upon acceptance of an article, authors will be asked to 1) Use A4 sheet size.
complete a "Journal Publishing Agreement Form" of the 2) Margins should be one inch(2.5cm) at the top, bottom,
Publisher(for more information on this and copyright see and sides of the page. Acceptance of the agreement will 3) Font type should be 12-point Times New Roman
ensure the widest possible dissemination of information. An throughout the document.
e-mail will be sent to the corresponding author confirming 4) Double-space all body text, including abstract, references,
receipt of the manuscript together with a "Journal Publishing end notes and appendices.
Agreement Form" or a link to the online version of this 5) Number all pages in your manuscript, starting with the
agreement. Abstract Page.
The corresponding author will be responsible for the 6) Manuscript text should be left-aligned. 
1) Ensuring that all authors are identified on the copyright 2.4. Use of Word Processing Software 
agreement, and notifying the editorial office of any
It is important that the file be saved in the native format
changes in the authorship.
of the word processor used. The text should be in
2) Warranting and indemnifying the journal owner and
single-column format. Keep the layout of the text as simple
publisher on behalf of all co-authors.
as possible. Most formatting codes will be removed and
Although such instances are very rare, you should be replaced on processing the article. Do not embed
aware that in the event that a co-author has included "graphically designed" equations or tables, but prepare these
content in his or her portion of the article that infringes the using the word processor's facility. Do not import the figures
copyright of another or is otherwise in violation of any other into the text file but, instead, indicate their approximate
warranty listed in the agreement, you will be the sole author locations directly in the electronic text and on the manuscript.
indemnifying the publisher and the editor of the journal To avoid unnecessary errors you are strongly advised to
against such violation. use the "spell-check" and "grammar-check" functions of your
The journal will permit the author to use the article word processor.
elsewhere after publication, including posting the final
post-acceptance manuscript version on the author's personal
3. The Presentation of Manuscripts
web pages or in an institutional repository maintained by the
institution to which the author is affiliated, in other works or 3.1. Article Structure
for the purposes of the author's teaching and research,
provided acknowledgement is given to the Journal as the Divide your article into clearly defined and numbered
original source of the publication. sections. Subsections should be numbered 1.1.(then 1.1.1.,
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

3.1.2. Literature Review  kappa. The numbers identifying mathematical expressions

Provide an adequate background with detailed literature should be placed in parentheses. 
survey or a summary of the results of previous studies.
3.2.4. Footnotes 
3.1.3. Methodology  Footnotes should be used sparingly. Number them
Provide sufficient detail to allow the work to be consecutively throughout the article, using superscript Arabic
reproduced. Methods already published should be indicated numbers. Many word processors build footnotes into the
by a reference: only relevant modifications should be described. text, and this feature may be used. Should this not be the
case, indicate the position of footnotes in the text and
3.1.4. Results  present the footnotes themselves separately at the end of
Provide sufficient detail to allow the results to be the article. Do not include footnotes in the Reference list. 
meaningful and informative.
3.2.5. Table Footnotes 
3.1.5. Discussion  Indicate each footnote in a table with a superscript
This should explore the significance of the results of the lowercase letter. 
work, not repeat them. A combined Results and Discussion
3.2.6. Artwork 
section is often appropriate. Avoid extensive citations and
discussion of published literature.  1) Make sure you use uniform lettering and sizing of
your original artwork.
3.1.6. Conclusions  2) Save text in illustrations as "graphics" or enclose the
The main conclusions of the study may be presented in a font.
short Conclusions section, which may stand alone or form a 3) Only use the following fonts in your illustrations: Arial,
subsection of a Discussion or Results and Discussion section. Courier, Times, Symbol.
4) Number the illustrations according to their sequence
3.1.7. Appendices  in the text.
If there is more than one appendix, they should be 5) Provide captions to illustrations separately.
identified as A, B, etc. Formulae and equations in 6) Produce images near to the desired size of the
appendices should be given separate numbering: Eq.(A.1), printed version.
Eq.(A.2), etc.; in a subsequent appendix, Eq.(B.1) and so 7) Submit each figure as a separate file. Please do not:
on. Similarly for tables and figures: Table A.1; Fig. A.1, etc. 8) Supply embedded graphics in your word processor
​3.2. Tables, Figures, and Artwork 9) Supply files that are optimized for screen use(like
3.2.1. Abbreviations 
10) Supply files that are too low in resolution;
Define abbreviations that are not standard in this field in 11) Submit graphics that are disproportionately large for
a footnote to be placed on the first page of the article. the content. 
Such abbreviations that are unavoidable in the abstract must
be defined at their first mention there, as well as in the 3.2.7. Color Artwork 
footnote. Ensure consistency of abbreviations throughout the Please make sure that artwork files are in an acceptable
article.  format(TIFF, EPS or MS Office files) and with the correct
resolution. If, together with your accepted article, you submit
3.2.2. Mathematical Formulae 
usable color figures then the Publisher will ensure that these
Present simple formulae in the line of normal text where figures will appear in color in the printed version. For color
possible. In principle, variables are to be presented in italics. reproduction in print, you will receive information regarding
Use the solidus(/) instead of a horizontal line,(e.g., X p /Y m). the costs from the Publisher after receipt of your accepted
Powers of e are often more conveniently denoted by exp. article. Please note: Because of technical complications
Number consecutively any equations that have to be which can arise by converting color figures to "gray
displayed separate from the text(if referred to explicitly in the scale"(for the printed version should you not opt for color in
text).  print) please submit in addition usable black and white
versions of all the color illustrations.
3.2.3. Other Symbols 
Greek letters and unusual symbols should be identified in 3.2.8. Figure Captions 
the margin. Distinction should be made between capital and Ensure that each illustration has a caption. Supply
lower case letters; between the letter O and zero; between captions separately, not attached to the figure. A caption
the letter I, the number one and prime; between and k and should comprise a brief title(not on the figure itself) and a
76 Appendix

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 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
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
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
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.
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 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 providing language help, writing assistance or proof reading
/images1/2009.pdf the article, etc.).

4. The Information of Title Page 5. The Checklist of Submission

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-
properties.  dong Sujeong-gu, Seongnam-city, Gyeonggi-do,
Further Considerations Tel:(+82 31) 740-7292 Fax:(+82 31) 740-7361
1) All information about all figure captions and all E-mail:
tables(including title, description, footnotes) has been Bank Account Number(Beneficiary): 470-910012-72205
provided Beneficiary Name: Korea Distribution Science Association
2) Manuscript has been "spellchecked" and "grammar- SWIFT Code: KOEXKRSE
checked" Bank Name: HANA BANK
Appendix 79

Journal Publishing Agreement Form

To: The Journal of Distribution Science,
on behalf of Korean Distribution Science Association(KODISA)
・Section 1: In consideration of the undertaking set out in Section 2 and upon acceptance by the Editor for
publication in the Journal, the Author(s) grants to KODISA('the Publisher'), subject to Section 5, the exclusive right and
license to publish the Article entitled:


by _________________________________________________________________

to be published in __________________________________________('the Journal')

・This license includes the right to publish, including the right to sub-license appropriate publishing or distribution
rights, the material in the article in both printed and electronic form; the Article may be published in printed, online,
CD-ROM, microfiche or in other media formats.

・Section 2: The Publisher here by undertakes to prepare and publish the Article named in Section 1 in the Journal,
subject only to its right to refuse publication if there is a breach of the Author’s warranty in Section 5 or there are
other reasonable grounds; in such case the Publisher assigns to the Author any and all copyright and other rights in
the Article otherwise assigned to it under this Agreement.

・Section 3: The Editor of the Journal and the Publisher are empowered to make such editorial changes as may be
necessary to make the Article suitable for publication. Every effort will be made to consult the Author if substantive
changes are required.

・Section 4: The Author warrants that the Article is the Author’s original work, has not been published before, and is
not currently under consideration for publication elsewhere; and that the Article contains no libelous or unlawful
statements and that it in no way infringes the rights of others, and that the Author, as the owner of the copyright, is
entitled to make this assignment.

・Section 5: KODISA, as the Publisher, reserves the right to refuse to publish your Article where its publication
creates legal liability, or where circumstances come to light that were not known to the Editor, including prior
publication, conflict of interest, manifest error etc. The Publisher is the ultimate custodian of academic quality and
integrity, and will ensure that this will be done only in exceptional circumstances and on reasonable grounds. In such
circumstances the Article will be returned to the Author together with all rights in it.

Name & Signed by the First Author ______________________________________________

Name & Signed by the Corresponding Author _____________________________________

Date & Place ____________________

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