(The) impacts of change in threat structure on alliance : the case of U.S. - ROK military alliance

이재학 Graduate School of International Studies, Yonsei U 2005 국내석사

Exploring alliance cohesion : The U.S.- Philippines visiting forces agreement under the Duterte Administration

Ali Sofia Senbit 韓國外國語大學校 國際地域大學院 2022 국내석사

This thesis is a qualitative study analyzing U.S.- Philippines alliance cohesion under the Duterte administration based on three levels of analysis. The rationale for analyzing all three levels of analysis is to get a comprehensive understanding of the alliance cohesion trajectory between the two countries. Since coming to power the President's inconsistent policy toward the Visiting Forces Agreement (VFA) signed between the two states has created uncertainty on the bilateral alliance. In less than two years, the administration issued a VFA termination notice, postponed it twice, and at last, it retracted its decision and kept the agreement. Explaining Duterte administration's zigzag behavior with regard to the VFA take into consideration three levels of analysis: first, Duterte decision-making that is influenced by his ideological orientation and anti-American sentiment; second, the Philippines' domestic politics dilemma on the tradeoff between countries sovereignty and the need for Security provision from the U.S.; and lastly, the system level of analysis examines the Philippines alliance security dilemma and how it has impacted the state's alliance behavior. The thesis concludes that all these three factors have affected the bilateral alliance in general and the President's policy on VFA in particular.

동남아시아 정기선사간 전략적 제휴에 대한 인식 차이에 관한 연구

정유석 중앙대학교 글로벌인적자원개발대학원 2016 국내석사

The Tendency of enlargement of Container vessle has been continued ever since the introduction of containerized transport system from 1960. Bigger container vessel enabled the ocean carriers to enjoy enhanced vessel speed and improved vessel space and asset which brought profit increase as well as improvement on service quality. Not only that, bunker fuel and various port charges, labor costs also tend to decrease followed by vessel size enlargement that most of ocean carriers angle for enhancement of service quality and expansion of service network along with strategic alliances. Unlike other study feature the advantages of bigger vessel but according to Jansson, Shneerson(1978) and other study, bigger vessel extend working hours in the port which incurs considerable capital costs and added operation costs and the wrong market grasp by partners in the market could end up raising possibilities of oversupply of container vessel. Continuous ordering of new vessel is worsening market balances of vessel encouraging a lot of panamax size vessels flux into south-east asia market where having slight raise of trade volumes these years causing severe fall in ocean freight by fierce rate competition between carriers giving services on south-east asia area. The purpose of this study is to shed light on globally ongoing trends of building bigger vessels and oversupply of container slots as well as investigating the reduction ratio of south-east asia market. Along with analysis of trends on fleet and ocean freight change I suggested the necessity of active and aggressive strategic alliance in south-east asia ocean market. So as to provide the ocean carriers giving services between south-east asia the optimized form of alliance system which help on decreasing an excessive competition on the route and stabilizing ocean freight for sake of win-win strategies between ocean carriers and traders, the survey research had been conducted on the subject of how the participants recognize south-east asia ocean market and the main factors on influencing efficient apply of strategic alliances. The survey research revealed that firstly, most of carriers admit the oversupply and an excessive competition, and willing to take part in new form of alliances which can prevent the fall of ocean freight. Secondly, most of participants value “trust enhancement” between partners the most among questionnaire items. Vague regulation or unfairness of decision making process makes alliance partners to have misunderstandings during cooperation that clear regulation on the responsibilities and monthly calculations of each partners and fairness on applying decision making process is most important factor on continuing strategic alliances. Thirdly, most of participants put the “establishment of stabilized ocean freight” first among other motives of strategic alliances. More active and compulsory alliances tactics restricting slots, applying penalty regulation are mostly necessary instead of depending on autonomous participation of GRI which is hard to get the positive result on the current oversupplying markets. For that, the close participation of all partners and cooperation with maritime association as well as nations are required above all. IADA(Intra-Asia Discussion Agreement) has been established and operated for many years on south-east asia route, allowing all partners exchange and purchase slots each other. But with the references of ceiling system apllied on S.Korea-Japan main ports continued 9 years, all carriers giving services on south-east asia need to focus on establishing new term of strong alliance system which can endure during hard and competitive ocean markets on the basis of trust and thorough preparation of detailed regulation, so that construct stable ocean markets for each carriers and traders. Furthermore, new settlement of alliances will allow ocean carriers to focus on building convenient and developed customer services and IT services. 컨테이너에 대한 화물 운송체제가 1960년대 도입된 이후 컨테이너선의 대형화가 지속적으로 추진되고 있다. 선박이 대형화가 될수록 선박은 더욱 빠른 스피드의 운항이 가능해지고 더 많은 선복 및 자산을 운용할 수 있게 되며 이러한 선박 규모의 증대를 통해 수익 증대 뿐 아니라 서비스 질 향상 및 MARKET SHARE를 더 많이 가져갈 수 있는 장점을 가지고 있음을 알 수 있다. 그 뿐 아니라 연료유, 각종 항비, 인건비 등의 운항비 역시 선박 대형화에 따라 감소하는 경향이 있어 많은 글로벌 선사들은 전략적 ALLIANCE를 통하여 서비스 질의 향상 및 네트워크 확장을 꾀하고 있다. 많은 기존 연구들이 선박 대형화에 따른 장점을 이야기하고 있는 반면 Jansson, Shneerson(1978) 등의 논문에서는 선박의 크기가 커질수록 선박이 항구에 머무르며 작업하는 시간이 길어지고 큰 자본 비용과 추가 운항비가 발생하게 되는 비규모의 경제에 의한 한계점, 참여 선사들의 잘못된 시장 파악 및 과도한 선점 전략으로 인한 선박 공급 과잉 현상의 발생 가능성 등을 예를 들어 선박대형화가 가져올 수 있는 비규모의 경제를 역설하고 있다. 정기선사들이 끊임없이 대형선박을 발주하는 것은 각 사가 비용 우위를 점하기 위한 당연한 전략이나 컨테이너선 시장 전체적으로는 지속적인 공급 과잉을 초래할 것으로 예측하고 있으며 결국 극동-유럽간 메인 루트를 중심으로 선사 사이에 시작된 선박 대형화 경쟁은 CASCADING 효과를 일으키며 다수의 PANAMAX선박들의 Intra-Asia 지역의 투입을 조장하고 있는 상황이다. 최근 범세계적 경제 불황으로 인하여 수요 증가폭이 대폭 줄고 있는 상황에서의 선복 공급량의 증대는 선복 과잉 공급을 야기시키며 과잉 선복의 공석율을 최소화하기 위한 선사들의 경쟁은 극심한 운임 하락을 초래하고 있어서 현재 해당 동남아시아 및 동아시아 시장을 이끌던 FEEDER LINER들의 존재가 위협을 받고 있는 상황이다. 해당 논문은 문헌연구와 자료 수집을 통해 범세계적으로 진행되고 있는 선박대형화 및 선복 량 증대 현황을 재조명하고, 그에 따른 최근 동남아시아 시장의 투입 선대 증가 추세 및 선복 과다 공급에 따른 해상운임의 감소 추세의 문헌 연구를 통하여 동남아시아 항로에 ALLIANCE를 도입을 제안하며, 각 동남아시아 참여 선사들에 설문을 통하여 현 동남아시아 시장의 수요 공급의 균형에 대한 인식을 조사하고 현 동남아시아 시장에 필요한 ALLIANCE의 요인에 대해 조사하여 동남아시아 시장에 최적화 된 최적의 ALLIANCE의 형태를 제시하여 동남아시아를 운항하는 선사들로 하여금 더욱 안정된 SERVICE를 제공케 함에 목적이 있다. 동남아시아의 선대 투입 변화 추이와 운임율의 변화 추이 분석을 통해 동남아시아 해운 시장에 적극적인 형태의 ALLIANCE의 도입이 필요함을 제시하였고 선행연구의 이론적 고찰을 통하여 효율적인 ALLIANCE 시행을 위한 요소에 대한 요인을 도출하였고, 각 실무 담당자의 ALLIANCE에 대한 동기 및 중요 요인에 대한 연구를 위하여 한국-동남아시아 서비스에 종사하는 운항, 운영, 영업팀의 실무자를 대상으로 실증분석을 실시하였고 그 결과는 아래와 같다 첫째, 한국-동남아시아 루트에 서비스 제공 중인 컨테이너 정기선사들은 현재 루트의 공급 과잉의 현실을 인식하고 있으며 새로운 ALLIANCE의 시행을 통한 운임 하락 방지를 바라고 있다. 둘째, 각 선사들의 실무 담당자들이 최고로 중요시하는 가치는 “협업사간의 신뢰 형성”으로 LINER CONFERENCE의 적극적인 개입을 통하여 새로 시작되는 ALLIANCE의 명확한 규정 및 책임 사항에 대한 책정이 필요하다. 또한 정산 과정에 대한 협회의 적극적인 개입을 통하여 협업사간의 오해를 최소화하는 것이 중요하다. 셋째, 각 선사 실무 담당자들의 ALLIANCE 실시의 동기는 “안정적인 해상운임 확립”의 요인이 강하다. 이미 선복 공급이 과잉되어 있는 해운 시장에서 자율적인 GRI 정책에 의존하는 것 보다는 공급 선복의 적절한 조정을 통한 대처가 필요하며 이를 위해서 각 선사와 해사연구기관의 긴밀한 공조가 필요하다. 한국-동남아시아 항로에는 이미 동남아시아역내 컨테이너 정기선사들의 협의기구 IADA(Intra-Asia Discussion Agreement)가 설립되어 선사간 Slot Purchase 및 Slot Exchange 등의 기본적인 협력이 이루어지고 있다. 하지만 설문을 통하여 회원사의 실무자들이 근본적인 수요와 공급의 조정 및 강력한 제재사항이 없는 협업은 결국 효력이 없음을 공감하고 있음을 확인할 수 있었다. 한국-일본메인포트 사이 지난 8년간 진행되고 있는 Ceiling 제도의 본보기를 통하여 믿음과 철저한 계획 및 시스템을 기반으로 한 새로운 ALLIANCE 체계를 확립하여 각 컨테이너 정기선사와 화주간 상생할 수 있는 해운 환경을 조성하고, 국가의 근간 산업인 해운 산업을 보존하며, 동시에 소모적인 선사간의 경쟁이 아닌 대고객 서비스의 개선과 컨테이너 서비스의 점진적 도약에 힘쓸 수 있는 환경을 만들어 가도록 하여야 한다.

ROK-US alliance in transition : policymakers' perceptions on threats and strategic values

이무영 Graduate School of International Studies, Yonsei U 2007 국내석사

The South Korea-U.S. alliance is on the verge of a profound transformation - politically and militarily - though the alliance is still intact and will continue to function as an effective deterrent against North Korean military aggression in the foreseeable future. The strategic flexibility of U.S. forces stationed in Korea will change the nature of the alliance. The transfer of wartime control will change the institution of the alliance.Several active threats surrounding South Korea have changed into passive ones since the collapse of the Communist bloc. The threat structure perceived by U.S. leaders made the United States reassess the strategic value of South Korea in the post-Cold War era. After the 9/11 terrorist attacks, the United States adopted a new world strategy that places a priority on defending the U.S. mainland against asymmetric threats and on making the world safer for the United States by spreading American values. The South Korea-U.S. alliance has been affected subordinately by changes in the U.S. world strategy. At the same time, South Korea has taken more responsibility for its own national security in proportion to its democracy and economic growth. The endurance of the South Korea-U.S. alliance depends on how partners evaluate the strategic values of their ally. The United States can abandon South Korea any time it sees no strategic value in South Korea. But South Korea cannot easily break up the alliance with the United States, because the political and economic burdens are too big to sacrifice the benefits of the alliance. As South Korea''s President Roh Moo-hyun played a critical role in retaking wartime control and in concluding the free trade agreement, both of which will lead to a change in the alliance, South Korea''s policymakers'' perceptions in the future are as important as U.S. policymakers'' perceptions in shaping the fate of the two countries'' alliance.There are two major challenges for the continuation of the alliance - North Korea and China. The United States tackles North Korea''s nuclear weapons in its framework of an anti-terror operations and South Korea tries to solve the nuclear crisis for the survival of the Korean people. If South Korea accepts the broader role of U.S. forces in Korea to deal with more diverse contingencies than North Korean aggression, the two countries'' policies vis-?-vis emerging China will be an important factor in shaping the future of the alliance.Though the alliance could break up if the common threats disappear, the alliance can continue to exist if both countries find common goals, instead. As South Korea shares the same values with the United States, such as democracy and a free market economy, the alliance can evolve into a regional security partnership that goes beyond Korean security. Common goals (e.g. regional stability) can bond the military alliance. Through this re-definition of the alliance, the two countries can enhance the flexibility of the alliance without damaging their traditional friendship.

Research on the Diversity of R&D Alliance Portfolios: Determinants and Effects on Innovation Performance

Klaus Marhold 서울대학교 대학원 2016 국내박사

Strategic alliances are a valuable tool for firms to exchange technologies or jointly perform R&D and to spread the risks and costs of the innovation process. In many high-tech industries, firms form alliances at an increasing rate. As often a single partner cannot provide all the required inputs, firms pursue more than one alliance at the same time, giving rise to the concept of alliance portfolios. The increased importance of alliance portfolios resulted in research focusing on issues such as interactions between the individual alliances and the management of the portfolio. Within the alliance portfolio focused research, in recent years the concept of alliance portfolio diversity has been given increasing attention and some studies have begun to investigate how diverse alliance portfolios affect the performance of firms. Previous literature, however, has left gaps in the understanding of alliance portfolio diversity. While most literature has focused on effects of alliance portfolio diversity, most research treats the diversity of alliance portfolios as a given fact and did not investigate possible determinants. Only recently, a number of studies have begun to identify the determinants of alliance portfolio diversity using limited definitions and contexts and none so far have investigated them in the context of technological alliance portfolio diversity, an important factor in R&D focused alliance portfolios. This dissertation aims at increasing the understanding of alliance portfolio diversity by investigating three key questions: “What are some of the determinants of alliance portfolio diversity?”, “How do different dimensions of alliance portfolio diversity affect innovation performance?”, and “Which factors moderate the relationship between alliance portfolio diversity and innovation performance?”. Previous literature on alliance portfolio diversity has mostly considered the diversity as an exogenous factor and has only recently acknowledged that it is not a fixed firm characteristic, but rather the reflection of a firm’s strategy to actively influence and deal with its business environment. Chapter 3 examines the determinants of technological alliance portfolio diversity. Following the understanding that the evolution of alliance networks is shaped by both endogenous and exogenous forces, both internal and external factors are investigated. For the internal factor, this dissertation focuses on internal technological diversity, i.e., the diversity of the knowledge and technology held by the firm. Previous literature has also linked alliance portfolio diversity and the uncertainty of the external environment of the firms, leading this dissertation to focus on the uncertainty of the environment, measured as the yearly degree of technological change in the industry, as the external determinant. This allows to complement previous research which had tested uncertainty only in the context of larger, industry-reshaping events on alliance portfolios. The hypotheses are tested on a sample of R&D alliances of US-listed semiconductor firms. The findings of this chapter reveal that internal technological diversity negatively affects technological alliance portfolio diversity. These result falls in line with a stream of research advocating for organizational ambidexterity. Technological alliance portfolio diversity, however, seems unaffected by year-to-year changes in the technological environment of the firm. Alliance portfolio diversity can be categorized in different ways, focusing on either dimensions based on partner characteristics or dimensions based on alliance characteristics. Chapter 4 focuses on these different dimensions of alliance portfolio diversity and their effect on innovation performance. This dissertation defines alliance portfolio diversity using both partner characteristics (partner industrial background) and alliance characteristics (alliance objective). Unlike previous studies which compare the effects of different dimensions of alliance portfolio diversity on innovation performance, this research additionally investigates the interaction of the diversity of alliance partners and the diversity of the alliance objectives. The hypotheses are tested on a dataset of R&D alliances in the US biopharmaceutical industry from 1998-2002. The findings of Chapter 4 imply that firms with diverse alliance partners in particular need to be careful not to focus on too many objectives at the same time. Firms always strive to increase their innovation performance and gain the most benefit from alliances with diverse partner firms. Chapter 5 focuses on factors that can moderate the relationship between alliance portfolio diversity and firms’ innovation performance. Firms have to support their external knowledge acquisition using their internal R&D capabilities. In this context, the firm’s existing knowledge base, R&D focus as well as the possibility to increase R&D spending as a result of available organizational slack can be expected to influence the extent to which a firm can turn the diverse technological resources available within its alliance portfolio into innovative output. The hypotheses of this chapter are tested on a dataset of high-tech firms identified in the Forbes 500 list of companies. Various analysis of the data shows that the interaction of internal technological diversity and alliance portfolio diversity of the focal firm increases the innovation performance. Further tests have been conducted on the influence of organizational slack, however, no statistically significant effect could be found. Overall, this dissertation increases the understanding of the diversity of R&D alliance portfolios by following a comprehensive view. The individual chapters focus on the determinants of this diversity as well as the effects of the alliance portfolio diversity on innovation performance. The hypotheses are tested on three different datasets containing information on the R&D alliances of firms in various high-tech industries including semiconductor and bio-pharmaceutical industries. It is shown that internal technological diversity of the firm reduces the diversity of its alliance portfolio but supports the firm in turning the alliance partners’ resources into innovative output. Alliance portfolio diversity itself has been defined using different approaches focusing on the characteristics of the partner firms or the alliances. This dissertation shows that these different dimensions of diversity should not be viewed separately as their interaction has a strong effect on the innovation performance of the firm. 전략적 제휴는 기업들의 기술 교환, 공동 R&D 수행 및 혁신 과정에 필요한 위험과 비용을 분산하는데 기여한다. 이러한 장점으로 인해 여러 하이테크 산업에서 기업은 점점 더 많은 제휴를 맺고 있다. 개별 파트너가 기업에 필요한 모든 요소를 제공해 줄 수 없기 때문에, 기업들은 동시에 하나 이상의 제휴를 맺게 되는데 이러한 현상은 제휴 포트폴리오라는 개념을 낳게 되었다. 제휴 포트폴리오가 중요하게 여겨지면서 개별 제휴와 포트폴리오의 전체 사이의 상호작용 등을 다루는 연구들이 등장하기 시작했다. 그러한 가운데 최근 연구에서는 제휴 포트폴리오 다양성이 큰 주목을 받고 있다. 제휴 포트폴리오 다양성의 기원 그리고 이러한 다양성이 어떻게 결정되고 기업 성과에 어떠한 영향을 미치는 지가 주목을 받고 있다. 그렇지만 이들 연구에서는 제휴 포트폴리오에 대한 충분한 이해가 이뤄지지 못했다. 대부분의 기존 문헌이 제휴 포트폴리오 다양성의 효과에 주목하고 있지만 마치 제휴 포트폴리오 다양성을 각 기업에게 애초부터 주어진 조건으로 여기고 그 결정요인에 대해 다루지 않았다. 일부 최신 연구들이 제한된 정의와 맥락 하에서 제휴 포트폴리오 다양성의 결정요인에 대해 다루고 있지만 아직 이러한 시도가 R&D 중심의 기술 제휴 포트폴리오까지 미치지는 못했다. 본 학위 논문은 제휴 포트폴리오 다양성에 대한 이해를 증진시키는데 목적을 두고 “제휴 포트폴리오 다양성을 결정하는 요인은 무엇인가?”, “제휴 포트폴리오의 서로 다른 측면이 어떻게 혁신 성과에 영향을 미치나?”, 그리고 “제휴 포트폴리오 다양성과 혁신 성과 사이의 관계를 촉진하는 요인은 무엇인가?”라는 세 가지 주요 질문을 다룬다. 구체적으로 3장에서는 기술 제휴 포트폴리오 다양성을 결정하는 요인을 고찰한다. 제휴 네트워크의 진화가 내생적인 영향과 외생적인 영향에 의해 이루어진다는 점에 착안하여 내부 요인과 외부 요인 양쪽 모두를 조사하였다. 내부 요인으로는 기업이 보유하고 있는 지식과 기술의 다양성을 주로 다루었다. 외부 요인으로는 기존 문헌이 제휴 포트폴리오 다양성과 외부 환경을 연관시켜 다룬 것처럼 본 논문 역시 외부 환경의 불확실성에 초점을 맞춰 산업 내의 기술적 변화를 연 단위로 측정하였다. 이러한 방식은 단순히 산업 내의 거대한 이벤트만을 불확실성으로 다룬 기존 연구 방식을 보완한다. 본 연구의 가설은 미국에 등록된 반도체 기업들의 R&D 제휴 데이터를 통해서 검증하였다. 3장의 결과를 통해 기업 내부의 기술적 다양성이 기술 제휴 포트폴리오 다양성을 확대하는데 부정적인 영향을 끼친다는 점을 확인할 수 있었다. 이러한 결과는 조직의 양손잡이 속성을 대변하는 연구들과 그 맥을 같이한다. 그러나 기술적 환경 변화는 기술 제휴 포트폴리오 다양성에 특별한 영향을 미치지 못했다. 4장은 제휴 포트폴리오 다양성의 여러 측면을 조명하며 제휴 포트폴리오 다양성의 서로 다른 측면이 혁신 성과에 미치는 영향을 확인한다. 기존 문헌은 파트너 측면 및 제휴 측면에서 제휴 포트폴리오의 다양성을 구분하였다. 본 학위 논문 역시 제휴 포트폴리오 다양성을 파트너 측면(파트너가 속한 산업의 다양성)과 제휴 측면(제휴 목적의 다양성)으로 구분하고 있다. 그렇지만 서로 다른 측면의 다양성이 혁신 성과에 미치는 영향을 비교했던 기존 문헌과 다르게 본 연구에서는 파트너 측면의 다양성과 제휴 측면의 다양성의 상호작용에 좀 더 집중하고 있다. 본 연구의 가설은 1998년부터 2002년까지 미국 바이오제약 산업의 R&D 제휴 데이터를 통해 검증되었다. 4장의 결과는 다양한 파트너를 보유한 기업들이 동시에 너무 다양한 제휴 목적을 갖지 말아야 함을 시사하고 있다. 5장에서는 제휴 포트폴리오 다양성과 기업의 혁신 성과 사이의 관계를 조절하는 요인을 조명한다. 기업은 내부 R&D 역량을 활용하여 외부 지식 습득을 뒷받침해야 한다. 그러므로 기업의 현존하는 지식 기반, R&D에 대한 집중도 및 추가적인 투자는 기업의 제휴 포트폴리오 내에 포진한 다양한 기술적 자원을 혁신 성과로 전환시키는데 영향을 미친다. 본 연구의 가설은 포브스 500 리스트 중 다양한 산업의 하이테크 기업들을 대상으로 검증되었다. 기본적으로 제휴 포트폴리오의 다양성은 기업의 혁신 성과와 역-U자의 관계를 보임이 확인되었다. 그러한 가운데 제휴 포트폴리오 다양성과 기업 내부 기술 다양성의 상호작용은 혁신 성과를 증진시키는 것으로 나타났다. 제휴 포트폴리오의 다양성과 기업의 흡수역량 사이의 상호작용 역시 기업의 혁신 성과를 증진시키는 것으로 나타났다. 5장의 결과는 기업들이 다양한 기술 분야의 지식을 보유하거나 그들과 유사한 배경을 가진 파트너들을 거느릴 때 제휴 포트폴리오 다양성으로부터 더 큰 혜택을 볼 수 있다는 것을 시사한다. 전체적으로, 본 학위 논문은 포괄적인 접근을 통해 R&D 제휴 포트폴리오 다양성에 대한 이해를 높이는데 그 목적을 두고 있다. 구체적으로 다양성을 결정하는 요인이나 제휴 포트폴리오 다양성이 혁신 성과에 미치는 영향에 대해 개별적인 장에서 다루고 있다. 본 학위 논문의 가설들은 반도체 및 바이오 제약 산업 등 다양한 하이테크 산업에서의 R&D 제휴 데이터를 활용해 검증되었다. 기업 내부의 기술적 다양성은 제휴 포트폴리오의 다양성을 축소시키는 것으로 나타났지만 한 편으로는 제휴 파트너의 자원을 혁신 성과로 전환시키는 데는 긍정적인 역할을 하는 것으로 나타났다. 제휴 포트폴리오의 다양성은 파트너 기업 혹은 제휴의 특성에 따라 다양한 방식으로 정의되었다. 본 학위 논문은 제휴 포트폴리오 다양성에 대한 여러 가지 측면이 서로 상호 작용함으로써 혁신 성과에 지대한 영향을 미치는 것을 보임으로써 이들이 개별적으로 인식되지 말아야 함을 강조하고 있다.

Increasing innovation through alliance portfolio management : coordinating partners, accommodating diversity, and aligning objectives

김진환 서울대학교 대학원 2016 국내박사

With the increasing importance of innovation outcomes, alliances have become important strategic instruments allowing firms to take advantage of new knowledge for realizing innovation. For example, in some high-tech industries such as computer software and hardware, biotechnology, and telecommunications, forming alliances to support growth and innovativeness is a ubiquitous phenomenon. Firms becoming engaged in multiple simultaneous alliances face new management tasks beyond simply managing the individual alliances. Alliance and innovation literature has expanded the point of view from individual alliances and their resulting performance to also consider the alliance portfolio – all the alliances conducted by a firm – and how to manage and use it to generate performance. Considering the interests in the extant literature and the significance of tasks relating to alliance portfolios, this dissertation includes three different components of alliance portfolio management, namely, ‘coordinating partners’, ‘accommodating diversity’, and ‘aligning objectives’. It is important to realize that these components both individually and collectively contribute to the firm’s innovation outcome. Each component, however, requires a different portfolio management strategy to obtain the best outcome: In terms of coordinating partners, as firms increase the size of their alliance portfolios, the innovation outcome is largely depending on partners’ relationships. In terms of accommodating diversity, firms need to increase their alliance experience and proximity to their partners to accommodate diverse knowledge from their alliance portfolios. In terms of aligning objectives, for more effective innovation, firms should embrace the ambidexterity in their alliance portfolios and support their alliances with an appropriate innovation intent. This dissertation empirically examines the effects of the constituents of each component on innovation outcome to research the influence of alliance portfolio management on realizing innovation. When firms build up their alliance portfolios, they have to coordinate the relationships among their partners as well as the size of their alliance portfolios. The relationships, which include cooperative as well as competitive ties among the focal firm’s partners, affect the flow of knowledge within the focal firm’s alliance portfolio and thus influence the amount of benefits the focal firm gains from its alliance resources. Employing the resource-based view and a social network perspective, Chapter 3 examines the impact of network resources in alliance portfolios on the focal firms’ innovation performance and how structural and competitive embeddedness in alliance portfolios positively or negatively moderates this impact. Results verify that a larger alliance portfolio leads to an improved innovation performance of the focal firm, but, at the same time, relationships among the focal firm’s partners are found to affect the link between alliance portfolio size and focal firm performance. Specifically, in terms of structural embeddedness, a cooperative and densely tied portfolio strengthens the positive impact of alliance portfolio size on the focal firm’s innovation performance. In terms of competitive embeddedness, a portfolio with severe competition among the partners weakens the positive impact and leads to a reduced innovation performance. These findings suggest firms to increase their alliance portfolio size and, at the same time, to keep an eye on their portfolios’ two-sided network characteristics, i.e., the connectivity and competition among their partners. Firms also need to be able to accommodate the diverse knowledge within their alliance portfolios. While an alliance portfolio which consists of diverse partners is usually beneficial to the focal firm, the maximum level of diversity that a firm can handle is determined by its extensive absorptive capacity. Chapter 4 examines the relationship between alliance portfolio diversity and innovation performance and how the absorptive capacity, developed by the focal firm’s alliance experience and the proximity of knowledge between the focal firm and its alliance portfolio, moderates this relationship. Empirical results verify an inverted u-shape relation between alliance portfolio diversity and focal firms’ innovation performance. However, with accumulated alliance experience and higher proximity to partners, focal firms can accommodate more diversity in their alliance portfolios, which contributes to an improved innovation performance. These findings suggest that the maximum level of alliance portfolio diversity which contributes to innovation performance is limited, however, firms can learn to take advantage of higher diversity by building up their alliance experience and placing relatively proximate partners in their alliance portfolios. Finally, firms should align the goals of their alliance portfolios so that they can enhance the effectiveness of their innovation outcomes. Collaborative decision making through alliances contributes to a profound understanding toward market needs and market adaptation. The evaluation of the collaborative output by collaborators with different backgrounds also increases the practicality and marketability of the resulting innovations. Thus, alliance portfolios do not only contribute to immediate innovation outcomes but can also serve to increase innovation effectiveness as well. Chapter 5 investigates the influence of alliances which aim to obtain new knowledge, i.e. exploratory alliances, on firms’ innovation effectiveness. Moreover, this chapter examines some external and internal conditions which strengthen the influence of such alliances on innovation effectiveness. The results of the empirical study verify a positive relationship between the commitment to exploratory alliances and innovation effectiveness as measured by the percentage of revenue from new products. It is also confirmed that exploitative alliances and internal innovation intent positively moderate this relationship. These findings suggest that firms’ alliance portfolios can be aligned for more effective innovation outcomes through external and internal efforts. Externally, firms should organize ambidextrous alliance portfolios, and, internally, firms need to support their alliance objectives with relevant innovation intents. In conclusion, this dissertation highlights major building blocks of alliance portfolio management that contribute to the focal firm’s innovation outcome. This dissertation provides a number of important findings and implications corresponding to each component of alliance portfolio management: First, this dissertation confirms the moderation effect of partners’ relationships on the link between alliance portfolio size and innovation performance and thus suggests firms to pay attention to coordinating their partners. Next, this dissertation investigates the role of alliance experience and proximity in accommodating diversity. This integrative approach to accommodating diversity shows how firms can learn to benefit from diversity in their alliance portfolios. Finally, this dissertation confirms the role of ambidextrous alliances and internal innovation intent in aligning alliance portfolios. This finding suggests firms to balance different types of alliances, i.e., exploratory and exploitative alliances, and to support alliances by integrating them into the companywide strategy. Overall, this dissertation shows that with proper alliance portfolio management, a firm’s alliance portfolio is an important strategic element which contributes to the sourcing of external knowledge and realizing innovation.

제휴 포트폴리오 전략 유형간 특성 비교 연구

최원웅 경희대학교 대학원 2017 국내박사

To expand the market boundary and compete effectively, firms establish strategic alliances. Strategic alliance has emerged as an effective strategic decision that allows diversification of technologies, enhancement of resources and achievement of economies of scale. However, for a successful use of strategic alliance, it is important to understand the necessity of establishing not a single but a multiple alliance relationships simultaneously. Therefore, this study examines how a successful portfolio can be developed and to which extent it affects the strategic directions of alliance firms in today’s competitive global market. From the findings, this study offers meaningful implications for academic and practical applications. This study first examines the typology of alliance portfolio, then draws alliance portfolio strategies at a firm level. Although a large body of previous literature offers industry level explanation of portfolio, this study takes a differentiated approach by focusing on the resources and competencies of alliance firms as the critical drivers of firm performance in drawing alliance portfolio strategies. Alongside the portfolio strategies, this study also offers practical use of each strategies that effectively raise the market competitiveness and enhance the performance of the alliance firm. To offer meaningful implications for the practical use of alliance portfolio strategies, this study identifies what comprises and are required for an effective portfolio strategy by conducting a comparative test based on the characteristics and internal capabilities of alliance portfolio strategy group. Regarding the empirical test for alliance portfolio typology, this study conducts a cluster analysis which is one of non-parametric statistics. Based on the outcome of the analysis, this study then conducts a one way ANOVA to compare the differences between each alliance portfolio characteristics, internal competencies, and firm characteristics. The outcome suggests that alliance portfolios are distinguished into four clusters, which are passive alliance portfolio, exploration alliance portfolio, exploitation alliance portfolio, ambidextrous alliance portfolio. Regarding alliance portfolio strategies, three types of strategies are deduced, which are exploration portfolio alliance strategy, exploitation portfolio alliance strategy, and ambidextrous portfolio alliance strategy. Firms that pursue exploration alliance portfolio consisted mainly of joint technology development and technical alliances, and the number of alliances was more and more widespread than other types. Firms that pursue exploitation portfolio alliance strategy, is mainly composed of co-marketing, co-production, and co-brand. The number of alliances is smaller and the scope of cooperation is narrow than that of exploration alliances strategy. Firms that are pursuing a ambidextrous portfolio alliance strategy is mainly composed of co-marketing, joint technology development, technology alliance, co-production, and co-branding. The number of alliances and variance is the most widespread. Then, to compare the firm characteristics of each types of alliance portfolio strategy, one-way ANOVA is conducted based on the firm size, foreigner share ratio, and the number of patents The result suggests that only the number of patents had significant differences for the portfolio alliance strategy. To compare the differences of internal capabilities of each alliance portfolio strategy, one-way ANOVA was conducted for technological capability, marketing capability, and global capability. According to the result, technological capability was relatively higher for exploration portfolio alliance strategy compared to exploitation portfolio alliance strategy, whereas marketing capability was relatively higher for exploration portfolio alliance strategy and passive portfolio cluster. Global capability was relatively high for ambidextrous alliance portfolio strategy than others. The implications of this study are as follows. Firstly, this study identified by analyzing the pattern of decisions and behaviors that firms had an alliance portfolio strategy at the firm-level. Secondly, it is the empirical test for an alliance portfolio strategy. Firms have an alliance portfolio by signing multiple alliance. Hoffmann (2007) suggested three type of alliance portfolio and conducted a case analysis of Siemons Co., Ltd as an example. However few empirical studies using a large data have been conducted. Thirdly, it presented practical implications for formulating an alliance portfolio strategy by comparing the characteristics and internal capabilities of alliance portfolio strategy. Lastly, in the case of a single alliance, it is discussed that the alliance is pursued to acquire the scarce resource or acquire the supplementary asset. However, from the viewpoint of the alliance portfolio, firms formed multiple alliance strategically focused on competitive advantage rather than complementary asset access.

(A) network analysis of international alliance system : its geographical descriptions and strategic implications for Korea

왕영민 Graduate School of International Studies, Korea Un 2010 국내석사

'Alliance network' or 'networkization of alliance' is a newly transpired concepts after the emergence of international phenomena which cannot be explained from the perspective of conventional philosophies in international relations. It is also signigicant to note that the emergence of such transition is not isolatedly happened in a specific region, but has been witnessed in the rest of the world. Within this context, this study aims to analyze the structure and characteristics of current international alliance network, to figure out the pivotal axis in that network, to verify the contemporary scholars' international systems discussions, and to draw policy implications for Korea based on the understandings of international and regional alliance network structure. To achieve these research purposes, this study applied the social network analysis methods, and find out the following research outcomes. First, the distribution of international alliance network at the present stage reveals to be impartial. The Lorenz Curve of the international alliance network is deviated hugely from its base-line(the Gini-Coefficient: 0.899), And in regard to Ego-network Density, the United Arab Emirates, Syrian Arab Republic, Somalia, Saudi Arabia, and Qatar boast a higher Ego-network Density, imparting they have strengths in the coordination and cooperation on managing a specific international issue. Second, the attempt to search for principal axis in international alliance network results that those countries viewed the principal axises in the international alliance network include the United States of America, Canada, Bahamas, Russia, France, Spain when measured based on the Centrality of network. They play a role as a hub or connector in the international alliance network. Third, this study partially reputes the existing claim of ‘international system’ by the international politics scholars. The actual international system, in terms of international alliance network, does not fulfil the criteria of Multi-polar system and contains the characteristics of Uni-polar system. This study coined a novel term to refer such system to “Multi-polarity having single relative super power.” Fourth, this study brings about Korea's future focus on its possible strategic alliance partners in reflection of network power currently receiving attention. Consequently, Korea can expect a dramatic increase in its network power when Korea is bilaterally allied with those states positioned in the Structural-holes of international alliance network and with the countries of showing high ego-network density at regional level.

Alliance portfolio complexity, market entry timing, and alliance formation in the global airline industry

이진주 Seoul National University 2016 국내박사

Recent studies suggest that the average number of alliances per firm has increased over the years, and their scope extends to various stages of the value chain. As firms face greater challenges coordinating multiple simultaneous alliances across various value chains and functions, this new phenomenon has encouraged scholars and practitioners to shift their attention to understanding the strategic complexity and the impact of alliance portfolios. Possessing an alliance portfolio is an inevitable consequence for all firms because it naturally occurs when managing a set of multiple alliances. Investigating the continuous evolution of an alliance portfolio is very important to better understand alliance dynamics because it heavily influences firms’ value creation activities through its functional focus, the depth of collaboration, the mode of governance, partner selection, and so on. These influences of an alliance portfolio may critically affect future decisions regarding whether a specific firm should add an additional alliance or terminate an existing alliance. This approach calls for attention from scholars to further examine existing alliances as a structural portfolio of interlinkages rather than simply counting the total number of alliances. Nevertheless, most of the prior research on alliances has not paid sufficient attention to the fact that firms in fact evaluate the value of their new alliances based on the continuously evolving context of their alliance portfolios. Contrary to the traditional alliance research, the alliance portfolio-based view considers multiple existing alliances not as a simple set of aggregated individual alliances and but as an evolving portfolio of inter-related relationships. Therefore, alliance portfolio approach goes beyond the single-alliance evaluation approach and can explain why firms decide to form less efficient alliances or give up certain beneficial alliances to maximize the overall gains from their existing alliance portfolios. Particularly when adding volume and diversity to their existing alliance portfolio, firms are challenged to address the unintentional consequences of a state of increased complexity associated with alliance portfolio management. It is important for firms to understand the level of complexity at which firms can maximize the overall gains of their alliance portfolios. The main objective of this study is to advance the alliance literature by developing a new theoretical concept as well as a construct measurement for alliance portfolio complexity. The first study investigates the various theoretical drivers of alliance formation to extend the existing literature on alliance formation, with special attention paid to the moderating effect of alliance portfolio complexity and alliance termination. I show how the bounded pattern of alliance formation can be stronger when the focal firm’s alliance portfolio complexity is low or its alliance termination experience is high. The second study advances international alliance formation and alliance portfolio research by highlighting the role of alliance portfolio complexity and order-of-entry learning effects in international alliance formation. This study sheds light on the various theoretical drivers of alliance formation to extend the existing literature on alliance formation, with special attention paid to order-of-entry learning effects in increasing the benefits and mitigating the costs of alliance portfolio complexity. The results show that early entry order learning exists for direct international alliance experience in both local and global markets. However, indirect entry order learning effects of international operations are limited to only the local market. The implications of this research are substantive with regard to predicting what alliances firms will form and what benefits and costs their cooperative strategies entail.

Ex-post Contingencies and Relational Outcome Discrepancy on Strategic Alliance

장미란 경희대학교 일반대학원 2015 국내석사

Strategic alliance has emerged as a way to increase firm’s competitiveness in today’s rapidly changing business environment. Over the last two decades there has been unprecedented growth in the number of these inter-firm alliances. Alliance partners form strategic alliance to gain resources and capabilities they need to maintain and increase competitiveness in the market. However, the outcome of strategic alliance is not so satisfied. Although alliances are in increasing in popularity, they are difficult to manage, and half of the alliances are failed with unsuccessful outcome. The current study addressed the dynamic factors leading to alliance outcome discrepancies. Applying contingency theory to my research, this study proposed ex-post contingencies during alliance process which are resource endowment change, goal alteration and technological change respectively as the factors that lead to alliance outcome discrepancies. And then, these ex-post contingencies lead to alliance partner’s negative evaluation process such as performance risk toward alliance and frustrated expectation toward alliance. Alliance partner’s negative alliance evaluation ultimately leads to alliance outcome discrepancies. This study suggested overall process that leads alliance outcome discrepancies based on ex-post contingencies in strategic alliance. Secondly, this study set negative evaluation process between ex-post contingencies and alliance outcome discrepancy to more elaborately investigate the whole process leading to alliance outcome discrepancies. Finally, this study focused on high technology alliances whose alliances are so co-evolutionary dynamic in order to find and investigate unexpected various changes during strategic alliance.