Public Policy Concepts in International Arbitration

Tosun, Huseyin Alper University of California, Berkeley ProQuest Disser 2019 해외박사(DDOD)

소속기관이 구독 중이 아닌 경우 오후 4시부터 익일 오전 9시까지 원문보기가 가능합니다.

Arbitration is a popular dispute resolution method. It is distinct from a typical proceeding in that it is a consensual procedure in which the parties select individuals or institutions to render a judgment in a dispute. Thus, parties enjoy a certain level of autonomy in the arbitral settlement proceedings. arbitration is preferable in international commerce because it enables parties to avoid the risk of different national legal cultures that might prevent them from transacting with one another. When a dispute arises, in the light of the complex nature of international trade, question may arise as to whether a dispute is an international or national one. But this is a secondary point. The more critical issue is that an arbitral award is enforceable in different jurisdictions. For a long period, the lack of public interest and lack of a strong judicial enforceability kept international arbitration unpopular and thus negatively impacted international commerce. To promote arbitration and thus international commerce, the international community began ratifying international conventions to improve arbitration perception. In that regard, a watershed moment was the adoption of The Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the "New York Convention"), which took a pro-enforcement stand. Many countries adopted the New York Convention. This in turn created predictability in the enforcement of arbitral awards, which in turn began to engender more and more confidence in international arbitration. But the New York Convention did provide a framework for national courts to refuse enforcement of arbitral awards based on "irregularities" related to the status of the award, the conduct of the arbitral proceedings, and validity of the arbitration agreement. Public policy is also one of the irregularities that the New York Convention lists as a manner of denying the enforcement of arbitral awards. It allows national courts not to give effect to an award that contradicts the fundamental principles of the forum state's legal system. The public policy exception is the focus of this study. Since the New York Convention entered into force, national courts have formulated wide-ranging interpretations of public policy. The public policy exception presents a safety zone in which the national courts can decide whether an arbitral award and its recognition or enforcement is contrary to the public policy of the forum State where its enforcement is being sought. The New York Convention's language allows state courts to enjoy wide discretion on the application of public policy. Public policy is subject to moral, cultural, economic and social essentials of each state. However, as social construction of nations has inevitably changed extremely in the last century, the criteria of public policy is subject to the same progressive manner. But the realities of today's international transaction require a fully functional arbitration system and the finality of an arbitral awards. The more ambiguity there is in the ability to enforce an award based on various states' public policy, it creates the more uncertainty it pertains to the law. This study preliminary focuses on the concept of public policy, whether its application has contravened the New York Convention's pro-enforcement stance, and how the exception has impacted international arbitration and international commerce. This paper also looks into whether there is a standardized application of the public policy globally.

Exploration of alternative designs for judgement analysis application in public policy formulation

심준섭 State University of New York at Albany 2002 해외박사

In formulating a public policy, judgment analysis enables policy makers to assess and accommodate the relative importance of differing viewpoints and concerns of competing actors as an analytic decision aid. Among the important constraints that prevent judgment analysis from being widely applied to the policy formulation process is a methodological limitation inherent in judgment analysis: It requires too many scenarios to be judged in a single judgment task. Addressing this issue, the present dissertation implemented two efficient design concepts--efficient plausible design and augmented representative design--suggested by McClelland (1999) as alternative design frameworks for judgment analysis that balance two conflicting principles: the principles of representative design and statistical efficiency. It developed exploratory systematic sampling techniques for the efficient designs and empirically tested them. Drawing on the extremity of the cases, each technique applied different methodological procedures. The present dissertation also sought to derive a generalizable rule about the minimum number of cases needed to arrive at reliable conclusions about a judgment policy given the judgment task. In doing so, it investigated the effects of important factors on the stability of the model coefficients. Additionally, it tested the applicability of the bootstrap analysis as an alternative method to estimate the stability of the coefficients modeled for a judgment policy given the limited number of observations. As a research method, computer simulation was conducted to investigate the relative efficiency of the efficient designs and to explore the minimum number of cases required. The simulation program was written using Visual Basic as a programming language. Showing their relative efficiency compared to conventional representative design, the efficient designs resulted in substantial improvement by reducing the number of cases necessary to yield a stable judgment policy. Concerning the minimum number of cases, this study proposed a formula that can be used to derive the minimum sample size for the design of a judgment analysis study. Finally, the bootstrap estimates did not approximate the repeated random sampling estimates. Researchers can utilize these techniques in order to reduce time and cost in applying judgment analysis to public policy formulation and to other research areas.

Administering conflicting policy directives in the domestic violence advocacy organization: A qualitative analysis of the intersection between nonprofit management and the public policy process

Wiley, Kimberly K The Florida State University 2016 해외박사(DDOD)

소속기관이 구독 중이 아닌 경우 오후 4시부터 익일 오전 9시까지 원문보기가 가능합니다.

Nonprofit advocacy organizations receiving public dollars are charged with implementing public policy. But when multiple public funding streams intersect in one organization, implementation becomes cumbersome. In this dissertation, the field of domestic violence advocacy organizations serves as a case example of nonprofit organizations simultaneously driving policy development and change while also implementing policy on the ground level. This three paper dissertation answers a series of questions with two different, but related datasets. In Chapter Two Constructing Cohesive Policy Narratives, I use a body of historical documentation of political activity by a national coalition to answer three questions: At what stage in the policy cycle do domestic violence policy advocates and activists interact with public policy? How does each stage of the policy cycle influence their language and behavior when engaging with public policy? And ultimately, how can the narrative policy framework explain shifts in policy narratives when narratives are not in competition but instead are cohesive? I use this analysis to extend the narrative policy framework (NPF) to examine cohesive policies rather than competitive or conflictual policies. The NPF allows me to align policy from different levels of government and various administering agencies. I find that the coalition engages with four stages in the policy cycle - agenda setting, formulation, implementation, and evaluation -simultaneously with multiple policies and policy narratives. Aligning the cohesive narratives in a parallel nature can allow for a clear examination of implementation barriers. In Chapter Three When Accountability Trumps Mission, I interview managers currently working in nonprofit organizations receiving public dollars to answer the question, when multiple policies, each with its own administering public agency and funding streams, are being implemented by a single organization or organizational field, how is management impacted? The study extends the NPF to identify a hidden narrative underlying more overt narratives. This narrative drives nonprofit activities towards accountability tasks and away from mission fulfillment tasks. In Chapter Four, I further this hidden narrative to examine its impact on these organizations. I use qualitative conventional content analysis on the interview data from Chapter Three. Through a lens of administrative burden I ask three questions: How do nonprofit managers respond to burdensome bureaucratic reporting measures when they are at odds? And how do they determine when to comply and when compliance is not possible? What is the outcome for service recipients? I find that the organizations absorb the accountability costs and have generated a compassionate bureaucracy. This compassionate bureaucracy benefits service recipients by providing holistic services funded multiple public funding streams. The three independent studies in this dissertation build on one another. Overall, I find that domestic violence advocacy organizations work to control public policy that impacts their service recipients. When control is out of their hands, they absorb the costs of implementing public policy for the benefit of the service recipient.

Public Policy as an Exception to Compliance with International Obligations : Lessons from and for India

Pandey, Shubhi 서울대학교 대학원 2020 국내석사

International treaties are considered to be an important source of public international law as has been mentioned in Article 38 (1)(a) of the Statute of the International Court of Justice. International treaties usually contain exceptions that are aimed to protect the sovereignty of the states and to ensure higher acceptance of the treaty among the states. Treaties are applicable under public international law as well as under private international law. These exceptions mentioned in international treaties are to be construed narrowly. This practice has been accepted by most of the states across the world. Public policy exception is one such which is found in international treaties. This may or may not be included expressly in the international treaty. It is believed that such exceptions are only to be invoked in extraordinary cases. This exception should not be used as an exception to not comply with international obligations. When states consent to be bound by an international treaty, it is expected of them to perform its obligations in its entirety. This is based on the principle of pacta sunt servanda which signifies that states will perform its obligations under the treaty in good faith. The New York Convention is a multilateral treaty which has been ratified by a number of states. The Contracting States under this Convention have the obligation to recognize and enforce foreign arbitral awards. The public policy exception has been expressly mentioned in the New York Convention under Article V(2)(b) and this is also enshrined in the UNCITRAL Model Law on International Commercial Arbitration 1985. This exception is subject to varied interpretation owing to the fact that it has not been defined in the Convention itself. Public policy exceptions are being increasingly included in bilateral investment treaties and free trade agreements. Public policy exception is one of the grounds for refusal of recognition and enforcement of foreign arbitral awards. Finality of the arbitral award depends largely on its enforcement. Public policy exception, that acts as a bar to the enforcement proceeding, is subject to the interpretation of enforcing state. The enforcing states in many cases invoke the public policy ground to refuse enforcement and ultimately evade its obligations under international law and treaty law. Invoking the public policy exception often creates hindrances for the enforcement of arbitral awards. The state in question in this thesis is India. Indian courts have been criticized for invoking the ground of public policy in refusing enforcement of foreign awards quite often and also for the erratic interpretation of the public policy exception itself. In my thesis, I will consider what is the relevance of treaty obligations under the New York Convention. I will then focus on scenarios in which the refusal of national courts to enforce arbitral awards can be considered as breaching treaty obligations under international law. Then the focus of this thesis will shift to how the Indian judiciary has interpreted and applied the public policy exception under the New York Convention over the years and whether it has reneged from its obligations under the Convention. In the course of my thesis, I will argue that public policy exception is not applied uniformly across borders by national courts and this exception is used by states to not enforce foreign arbitral awards in many cases, which defeats the purpose of the New York Convention as a whole. In that regard, I will analyze the Indian interpretation given to the public policy exception in the light of violent shifts in the positions taken by the Supreme Court of India. I will further analyze whether such violent shifts could bring upon India a state responsibility for breaching treaty obligations under international law. I will focus on instances where enforcement of arbitral awards-meaning to give full force and effect within the country where such enforcement is sought and in its domestic law-is unsuccessful and this lack of relief is attributable to the acts or omissions of the state and whether India has truly fulfilled its obligations under the New York Convention. 국제사법재판소규정 제38조 1항 (a) 조문에서 언급되어 있듯이 국제조약은 국제법의 중요한 법원(法源)으로 인식되고 있다. 국가의 주권을 보호하고 국가 법률에서의 적용력을 높이기 위하여 국제조약은 예외 조문이 포함되고 있다. 조약은 국제사법에서 적용되고 있을 뿐만 아니라 국제공법에서도 적용되고 있다. 국제조약에서의 이러한 예외 조문들은 좁은 의미에서 해석되고 있다. 이러한 해석방식은 전 세계 대부분 국가로부터 받아들여져 있다. 공공정책의 예외는 국제조약에서 찾아볼 수 있는 조문 중 하나이다. 이것은 명시적이거나 비명시적으로 국제조약에 포함될 수 있다. 이러한 예외는 특정된 사례에서만 적용될 수 있다고 인식되어 있다. 이러한 예외는 국제조약을 준수하지 아니하는 예외로 간주할 수 없다. 국가들이 서로 국제조약을 체결할 때, 국가 전체를 주체로 하여 조약의무를 이행하는 것으로 기대된다. 이것은 체결국은 신의칙으로 계약의무를 이행하는 계약준수의 원칙을 기반으로 한다. 뉴욕협약은 체결국 수량이 많은 다자간협약이다. 이 협약을 체결한 협약국은 서로간의 섭외중재판결을 승인하고 이행하는 의무가 있다. 공공정책 예외 조항은 뉴욕협약의 제5조 2항(b)에서 명시적으로 언급되어 있고 UNCITRAL 표준국제 상사중재법중에서도 봉안되어 있다 . 이러한 예외는 협약속에서 명시적으로 해석되어 있지 않았기때문에 다양한 방식으로 해석될 수 있다. 공공정책 예외 조항을 규정한 양국의 투자조약과 자유무역협정이 점점 많아지고 있다. 공공정책 예외 조항은 외국 중재판정을 인정하거나 거부하는, 또한 집행하는 근거중 하나이다. 중재판정의 결과는 그것의 영향을 많이 받는다. 중재판정을 이행하는 의무를 가진 국가의 공공정책 예외에 대한 해석에 따라 공공정책 예외 조항은 중재판정을 이행하는 장애물로 될 수 있다. 대부분 경우에 집행국가는 공공정책 예외 조항을 근거로 하여 집행을 거부하고 궁극적으로 국제법 및 조약법의 의무를 회피하게 된다. 공공정책 예외의 인용이 중재판정의 이행에 대해 장애가 되는 경우가 많다. 본문에서 이러한 문제를 품고 있는 국가는 인도이다. 인도 법원은 경상적으로 공공정책 예외의 규정으로 외국으로부터의 이행청구를 거부하였고 또한 공공정책 예외 조항을 부적절하게 해석하여 비판을 받고 있다. 본문은 뉴욕 협약에 따른 조약 의무의 관련성은 무엇인가에 대해 검토하고 논술하는 것으로 시작된다. 이어서 국내 법원이 외국 중재판정의 이행을 거부하는 것이 국제법 의무의 위반으로 간주되는 사례들에 초점을 맞추었다. 다음 인도 법무부가 지난 몇년동안 뉴욕협약에 따른 공공 정책 예외를 어떻게 해석하고 적용했는지, 협약에 따른 의무를 어겼는지에 대해 논술하였다. 많은 경우에 예외 조항은 국가가 외국 중재판정을 이행하지 않은 이유로 되었고 이는 뉴욕협약의 취지에 위배되는 것으로 본다. 본문은 국내법원에서 한 공공정책의 해석을 기타 각국의 공공정책 예외의 해석으로 통일시키는 것은 어렵다고 본다. 위 주장으로부터 본문은 공공정책 해석에 대한 인도최고법원의 돌격적인 태도변화를 분석하였다. 더 나아가서 본문은 이러한 돌격적인 태도변화가 인도에 미치는 국제법 범위내 계약 이행의무 위반으로 인한 국가책임을 분석하였다. 본문은 국내 법률규정의 흠집이나 누낙으로 인해 섭외중재판정이 집행하기 어렵거나 집행하는데 실패한 경우 및 인도의 뉴욕협약 이행의무의 실제 이행여부를 초점으로 하여, 중재판정을 집행하는 효력을 강화하기 위하여 국가는 국내 법률조문에서 명확히 규정하여야 한다는 결론을 내리게 되였다.

Three Essays on Public Policy Enforcement in China

Huang, Qingyang University of California, Berkeley ProQuest Disser 2023 해외박사(DDOD)

소속기관이 구독 중이 아닌 경우 오후 4시부터 익일 오전 9시까지 원문보기가 가능합니다.

The enforcement of public policies is a critical aspect of governance that is significantly shaped by political and institutional forces. This dissertation studies the public policy enforcement in China, which features both strong state capacity and weak rule of law. Therefore, the relationship between the central and local government is particularly important in understanding public policy enforcement in this setting. Inspired by theoretical insights and the frontier literature in political economy and development economics, I employ reduced-form empirical methods to evaluate key features in China's public policy enforcement. The three chapters of my dissertation discuss three different modes of public policy enforcements in China, each featuring varying roles of the central and local governments. The findings in this dissertation shed light on the complex dynamics of policy enforcement in China's unique political and institutional context and have important implications for policymakers seeking to improve the effectiveness of governance.Although the chapters are ordered to highlight the most important work from my doctoral study as Chapter 1, I would like to introduce the contents of each chapter in reverse order, beginning with Chapter 3 and ending with Chapter 1. The introduction starts with a discussion of the simplest mode of public policy enforcement, in which the central government dictates and vertically implements the policy, in Chapter 3. Moving to Chapter 2, the discussion explores the issue of incentives for local government officials, adding complexity to the enforcement model. Finally, in Chapter 1, the conflict between overlapping government hierarchies is analyzed. Overall, this dissertation presents a comprehensive examination of the challenges involved in public policy enforcement, with a focus on the role of government officials at different levels of the hierarchy.Chapter 3 of this dissertation, which was co-authored with Chang Liu and Li-An Zhou and published in the Journal of Comparative Economics in 2020, evaluates the Universal Salt Iodization (USI) policy implemented in China in 1994. As the largest nutrition intervention policy in human history, the USI policy aimed to eliminate iodine deficiency diseases that could cause severe consequences on the cognitive abilities of future generations. Due to the central government's monopoly on salt production, distribution, and retail, the policy was effectively enforced vertically. To evaluate the policy's impact on children's later-life educational outcomes, we employed a difference-in-differences strategy to compare the educational outcomes of cohorts born before and after USI across counties with different iodine deficiency disorder levels based on population census data combined with county-level information. Our results demonstrate that the USI policy increased primary school enrollment by 0.6 percentage points and was more beneficial for girls and children born in rural areas. These findings further highlight the efficacy of public policies when enforced vertically by the central government.Chapter 2 is coauthored with Qianmiao Chen, Chang Liu, and Peng Wang, and published in the European Journal of Political in 2022. This chapter examines a more prevalent model of policy enforcement in China, where the central government sets general policy targets, and local governments have considerable discretion in their implementation. We use Chinese governments' crisis response to the COVID-19 pandemic as an example of such a model and investigate the role of local government leader' career incentives in determining city-wide lockdown measures. At the onset of the pandemic, most local leaders hesitated to impose lockdowns as their promotions depended on achieving strong numbers for economic growth in their regions, which could be suppressed by such measures. However, when the nation's top leader warned that local leaders who failed to control the disease would be removed from office, many rapidly implemented resolute measures. Nonetheless, our analysis reveals that local leaders with stronger promotion incentives were still more likely to downplay the virus by avoiding or minimizing lockdowns. The findings underscore how local politicians may be incentivized to act slowly during crises, undermining the central government's objectives in critical public policies.Chapter 1 examines a complex scenario in which policy enforcement is limited by the conflict between overlapping government hierarchies, constraining the local governments' ability in effective policy enforcement, even if they have strong incentives. To illustrate this point, I document a real-world example that Chinese central and provincial state-owned enterprises (SOEs) were exempted from local environmental regulations due to an institutional barrier. This exemption pushed local regulators to impose more stringent regulations on private firms. Using rich firm-level panel data and exploiting the decentralization of Chinese central and provincial SOEs, I investigate the direct and spillover effects of removing this regulatory constraint. The results show that polluting SOEs invest more in pollution abatement inputs that do not contribute directly to production, pollutes less, and have lower productivity when decentralized to the prefectural level. Furthermore, private firms in the same prefecture pollute more while increasing output and TFP, especially those with more binding financial constraints. At the aggregate level, decentralizing polluting SOEs in a prefecture reduces total emissions without significantly affecting total industrial output or aggregate productivity. When hypothetically reallocating 10% of emissions from central and provincial SOEs to private firms, I calculate total industrial output gains of 0.74- 3.31%. This chapter highlights the significance of institutional interactions, particularly between central and local governments' policy targets, in shaping policy outcomes.

Quantifying public acceptance of innovation policy : a demand-oriented analysis for renewable energy policy

허성윤 서울대학교 대학원 2014 국내박사

Innovation policies are considered as key to encouraging innovative activity, which may serve as essential and valid means to survive and adapt to our current fast-changing society. To date, innovation policies have mostly focused on supply-side measures by creating and diffusing new technologies. However, since demand also plays a crucial role by being one of the primary sources of innovation, the importance of demand-oriented innovation policies has received much attention recently. Public acceptance is a very important consideration from the perspective of demand-oriented innovation policies, because innovation policies may face social resistance despite their obvious advantages and usefulness. The purpose of this dissertation is twofold. The first is to quantitatively analyze public preferences for an innovation policy and to forecast the level of public acceptance according to variations in policy attribute levels. To achieve this, stated preference data obtained from choice experiments are analyzed using a mixed logit model, one of the discrete choice models (DCMs). The second is to suggest an integrated approach to simultaneously analyze public preferences for multiple policies in a policy category. It is often necessary to understand public preference structure for a certain policy category in order to design overall policy direction. To achieve this, a data classification method is developed to classify various policy alternatives. The multivariate probit (MVP) model, which is also a DCM, is used to analyze these classified data. Empirical analyses are conducted for three renewable energy policies: the Renewable Portfolio Standard (RPS), Renewable Fuel Standard (RFS), and two different types of Renewable Heat Obligations (RHOs), namely RHO schemes aimed at either heat suppliers or building owners. The selected policies represent a strong regulatory component and serve as quantitative policies in the electric power, transport, and heating sectors, respectively. The results of the mixed logit model show that the public assigns great importance to the price attribute, which is critical to maintain relatively high public acceptance. In the case of the RPS, public acceptance will be maintained at above 89.5% if the increase in electricity bills is limited to under 6%. Public acceptance of the RFS varies from 91.2-48.8% when the price of transportation fuels is increased by 0-45%. In case of the RHO for heat suppliers, an increase of 0-30% in heating expenses decreases public acceptance from 99.9-60.3%. Other important attributes having substantial influence on public acceptance of renewable energy policies are new job creation in the RPS, stability of the heat supply in the RHO for heat suppliers, and government subsidy in the RHO for building owners. In the case of the RFS, attributes other than increased fuel price have little effect on public acceptance. The results of the MVP model show that the public is sensitive to increased energy prices in general, because they assign great importance to the price attribute. Moreover, the public’s average preferences for renewable energy policies can change according to the type of RHO. While the public’s level of knowledge about renewable energy policies has a positive effect on their choice of eco-friendly policies, their attitude toward environmental protection has no bearing on the same. Thus, in order to ease public resistance incurred by possible increases in energy prices, governments should map out efficient strategies to improve the public’s knowledge of renewable energy policies. In conclusion, the proposed methodology in this dissertation allows one to not only analyze public acceptance of an innovation policy more quantitatively but also to analyze public preferences for a superordinate policy category simultaneously. The framework of this research can be generally applied to any public innovation policy. Notably, the proposed integrated data classification method can be applied to any category of policies/products having common attributes.

The politics of public sector pensions

Abott, Carolyn Beth Princeton University 2016 해외박사(DDOD)

소속기관이 구독 중이 아닌 경우 오후 4시부터 익일 오전 9시까지 원문보기가 가능합니다.

As Laswell (1950) famously wrote, politics is the study of who gets what, when, and how. My dissertation explores this question in the context of public sector pensions in the United States. I suggest that the relationship between political parties and activists is too complicated to represent with a simplistic "I'll scratch your back if you scratch mine'' heuristic. Democratically controlled state governments do not always act generously towards state employee pensions, and Republican ones do not always act to dismantle them. In the context of political parties, interest groups, and public pensions, Laswell's dictum takes some unraveling. Chapter 2 investigates the "what'' and "when'' of pension policy. I examine the determination of liability and asset levels of these public pension funds by focusing on specific policies that have led to the expansion and contraction of funding levels since 1995. Building on an original dataset constructed from state personnel and pension benefit data, I demonstrate that the roles that legislative and executive partisanship play in these policy decisions is not straight forward and strongly dependent upon the policy environment. Importantly, public sector unions are not substantively responsible for contributing to state fiscal solvency woes, at least via pensions, and often act as bulwarks against poor pension performance when paired with friendly co-partisan state governments. The "how'' of pension policy is explored in Chapter 3. I investigate how and why some public pension plans underestimate their liabilities and overestimate their assets to a greater degree than others. Utilizing an original dataset that expands Novy-Marx & Rauh (2011)'s calculations to encompass 17 years of pension funding, I investigate the distinct influences that transparency and the presence of attentive stakeholders have on the likelihood of accurate financial disclosure. I demonstrate that the degree to which the government distorts the health of a public pension is not just a function of the actual health of the pension, but also of the information environment of the state, the administrative structure of the pension board, the degree to which multiple types of state employees are covered by a single pension plan, and the strength of public sector unions. This suggests that the type of subtle corruption inherent in improper accounting and reporting behavior is not simply a result of political culture or amateur policymakers, but a rational response to concrete political trade-offs. Next, Chapter 4 explores what actual and perceived state-level fiscal crises might mean for public policy and fiscal sustainability, and how policies in other arenas might have their "who, what, when, how'' scrambled by irresponsible pension policy. Using historical S&P's ratings and revised pension data that has been stripped of reporting bias, I investigate whether self-reported or revised data are better at predicting one-year ahead general obligation bond ratings. Though both data fare reasonably well in predicting ratings, the self-reported data appear to outperform revised data in terms of explanatory power. Analyzing borrowing costs directly, however, suggests that creditors may be more savvy, and that actual liability data is better at predicting the size of the interest burden relative to outstanding debt. Finally, Chapter 5 summarizes and concludes with directions for future research.

Civil Society and Pro-Poor Policy : The Case of Sub-Saharan Africa

Odongo Nicholas Ouma 고려대학교 대학원 2023 국내박사

The gulf between theory, concept, policy, and outcome about poverty eradication in Sub-Saharan Africa (SSA) remains wide, congested, and contentious, witnessing many prescriptions, diverse successes, and an even wider scholarship. This study aims at creating an understanding of civil society’s integral role in poverty eradication in Sub-Saharan Africa through its participation in public policy. The study begins by discussing the poverty situation in the continent and continues to describe how markets and government have dominated this domain, critically analyzing both market-based structural and government-based institutional reform interventions in the quest for poverty eradication. In this aspect, political systems, institutions, and economic policies are analyzed considering their successes in addressing poverty. The study introduces and demonstrates civil society and its participation in public policy as a critical factor that enhances pro-poor policies and poverty reduction. While civil society participation in public policy processes and its effect on poverty eradication remains an amorphous phenomenon in many existing debates and literature, I argue that it is indeed the missing link in the fight against poverty in the continent. In an attempt at a formal explanatory analysis of the role of civil society in pro-poor policies, the study discusses mechanisms that sustain the causal relationship between civil society and pro-poor policies. Through a multiple comparative panel regression analysis of 43 African countries between 2000 and 2020, results show that by interacting civil society participation in public policy with institutional factors namely public administration, local government, and democracy, countries experienced reduced out-of-pocket health expenditure per capita, one of the leading causes of household poverty in SSA. This demonstrates how civil society participation in public policy is instrumental and strategic for pro-poor policies; the increase in attaining increased pro-poor policy outcomes may only be accounted for in terms of enhanced civil society participation in public policy. The study discusses the empirical evidence needed to establish the indispensability of and desire to support civil society and institutionalize civil society participatory processes in public policy for the effective and efficient eradication of poverty in Sub-Saharan Africa. The future of poverty eradication and participatory democracy in Sub-Saharan Africa is tied to the ability to expand civil society participation in public policy. 사하라 이남 아프리카(SSA)의 빈곤 퇴치와 관련된 이론, 개념, 정책, 결과 간의 간극은 여전히 크고, 혼잡하며, 논쟁적입니다. 그동안 수많은 처방, 다양한 성공 사례, 그리고 지식이 축적되어 왔습니다. 이 연구는 공공정책과정에의 시민사회 참여를 중심으로 빈곤퇴치에서 시민사회가 수행하는 핵심적인 역할에 대한 이해를 제고하는 것을 목적으로 합니다. 이 연구는 아프리카 대륙의 빈곤 현황을 논의하는 것으로 시작하여 시장과 정부가 어떻게 이 문제를 다루어 왔는지를 설명하면서 빈곤 퇴치를 위한 탐색에서 시장 기반 구조 및 정부 기반 제도 개혁 개입을 비판적으로 분석합니다. 이러한 측면에서 빈곤퇴치에 성공한 정치제도, 제도, 경제정책을 고찰합니다. 이 연구는 시민사회와 시민사회가 공공정책에 참여하는 것을 빈곤타개정책 등장과 빈곤감소의 중요한 요소로 소개하고 보여줍니다. 공공정책과정에의 시민사회의 참여와 빈곤 퇴치에 대한 영향은 많은 기존 토론과 문헌에서 여전히 불분명한 상태로 남아 있지만, 저는 그것이 실제로 아프리카 대륙의 빈곤 퇴치와 관련된 싸움에서 잃어버린 고리라고 주장합니다. 본 연구는 빈곤타개정책에서의 시민사회의 역할에 관한 공식적이고 설명적 분석을 시도하면서 시민사회와 빈곤타개정책 간의 인과관계를 유지하는 메커니즘을 논의합니다. 2000년부터 2020년까지의 기간 동안 43개의 아프리카 국가들의 다중비교패널 회귀분석을 통해 공공정책과정에서의 시민사회의 참여는 공공행정, 지방정부, 민주주의와 같은 제도적 요소와 상호 작용함으로써, 사하라 이남 아프리카에서 가계 빈곤의 주요 요인 중 하나인 1인당 의료비 지출을 줄였다는 것을 보여줍니다.. 이것은 공공정책과정에 대한 시민사회의 참여가 어떻게 빈곤타개정책에 도움이 되고 전략적인지를 보여줍니다. 이는 빈곤타개정책을 강화하는 길은 오직 공공정책과정에 대한 시민사회의 참여를 제고하는 것뿐이라는 사실을 시사합니다. 이 연구는 사하라 이남 아프리카의 빈곤을 효과적이고 효율적으로 근절하기 위해 시민사회를 지원하고 시민사회 참여 과정을 공공정책에서 제도화하는 데 필요한 실증적 증거를 논의합니다. 사하라 이남 아프리카의 빈곤 퇴치와 참여민주주의의 미래는 공공 정책과정에서 시민사회의 참여를 얼마나 확대할 수 있는가에 달려 있습니다.

한국 중앙정부의 행정윤리 정책과 변화 : 유형과 예산규모를 중심으로

김덕수 서울대학교 대학원 2019 국내박사

Studies in administrative ethics have mainly focused on ethical behavior of public officials. However, this research maintains that administrative ethics is not identical to ethics of public officials. It has been indicated that administrative ethics has multifaceted traits so that an ethical public official in an organization may implements unethical public policy. Therefore, administrative ethics needs to include perspectives on the civil society and cover organizational, communal context. In this vein, this research raises four research questions. First, “How the contents of administrative ethics are organized?” Second, “What types of administrative ethics policy have been intended to be enhanced?” Third, “What are the determinant factors of the budget size of the administrative ethics policy?” Fourth, “What factors affects the selection of the policy type?” To deal with these research questions, ethical policies and the budget of each policy are collected. A budget proposal submitted to the National Assembly has been used to collect the data between 1998 and 2019. Every policy which entailed budget could be found on the budget proposal. 1,704 administrative ethics policies are sorted out from these budget proposal. These policies are managed by 18 government ministries including the National Assembly and the Supreme Court which are in charge of constituent policies. To organize the contents of administrative ethics, public administration theory such as the Weberian bureaucracy model (WB), the New Public Administration (NPA), the New Public Management (NPM), and the New Public Service (NPS) are introduced. These theories are reinterpreted as the WB type ethics, the NPA type ethics, the NPM type ethics, and the NPS type ethics. The WB type ethics policy is the traditional administrative ethics which stresses management of public officials’ moral behavior consistent with procedures controlled by rules and regulations. The NPM type is defined as an approach closely related to managing and controlling of efficiency. The NPA type is linked with economic, social, and cultural right of an individual or a homogenous group. The NPS type underlines political rights of the people or a community. The total number of ethics policies has been drastically increased among Kim Dae-jung and Rho Moo-hyun administration, and the number maintained until Moon Jae-in administration. Kim Dae-jung administration had to manage aftermath of the financial crisis in 1997. The Kim Dae-jung government needed to take steps to minimize the damage of the social minorities while enhancing the competitiveness of the Korean economy. Moreover, it was necessary to carry out democracy different from the former administration. This means that several types of administrative ethics policies must be enforced at the same time. In the Roh Moo-hyun administration, the increase in administrative ethics policies became more prominent. The Roh Moo-hyun government tried to overcome authoritarianism, and on the other hand, it also introduced NPM reforms to increase the efficiency of administration. The WB type policy showed a gradual but steady increase, and the NPA type policies were decreasing and increasing repeatedly, but the overall trend was increasing. The NPM type policy has increased dramatically in the Roh Moo Hyun administration, which can be seen as an effort to manage and control efficiency while emphasizing efficiency. The NPS type policy have steadily increased since the Kim Dae-jung administration, but have decreased in the Lee Myung-bak administration. The overall budget for administrative ethics policy has been on the rise for 22 years. The most distinctive feature is that the budget of the Roh Moo-hyun government has greatly increased, but it has fallen sharply in 2009 and returned to the level of year 2003. Year 2009 was the time when the Lee Myung-bak administration submitted their last budget proposal. The compensation for victims related to human rights and democratization was active during the Roh Moo-hyun administration, but in Lee Myung-bak administration it has been reduced, thus the fact affected the overall budget size. In the Park Geun-hye administration, the budget size gradually increased, and in Moon Jae-in administration it is rising to the level of the Roh Moo-hyun administration. The most significant feature in Roh Moo-hyn administration was that the budget size of the NPA type drastically increased and that the budget size of the NPM type also increased. The budget for the NPS type was gradually increasing. In order to analyze the determinants of the budget size of administrative ethics that is related to the third research question, the factors of accountability, political factors, administrative factors and economic factors were considered. In addition, the case of including the president's inaugural year and the case of not including it were both analyzed using the pooled OLS model and the fixed effect model, respectively. There were mixed results in both cases, but there was no change in the sign of the coefficient. The variables that have consistently meaningful effects were the president’s approval rating (-), the administrative factor (+), the political factor (+), and the economic factor (+). This implies that, in order to improve administrative ethics, various situational variables surrounding the policy should be considered rather than focusing on one variable. In order for the administrative ethics policy to be established, it is necessary that the human and financial resources possessed by the government should be sufficiently secured, and political checks are also important.   Fourth, the factors that make public officials choose different types rather than the WB type were analyzed using multinomial logistics regression. The department budget most consistently made the government select a different type than the WB type. Furthermore, the larger the department budgets, the more the NPA type, the NPM type and the NPS type are selected. In other words, Among the types other than the WB type, the larger the budgets, the more tendency to focus on the control and management of organizational efficiency, and with the less the budgets, the more the policy centered on the political rights of citizens and community. However, the larger the individual policy budget, there was the higher the probability of choosing the WB type than the NPM policy. In other words, when a large budget is put into ethics policies, it tends to stresses public officials ethical behavior that complies rules and regulations. On the other hand, as the number of public officials in the ministries that is responsible for the policy increased, the WB type was more to be selected than the NPA type and the NPS type. The implications of the study are as follows. First, this research intended to show that administrative ethics considering civil society can be a subject of research beyond public service ethics that mainly focuses on individual conduct. Second, this study discussed the administrative ethics, which had been studied at a philosophical and normative level, at a level of realistic policy. Third, the research tried to confirm how administrative ethics, which is important in public administration, changed in each period, by identifying administrative ethics not from a legal or institutional point of view, but from an individual policy perspective. Fourth, the analysis focused on the budget which could be regarded as an intention of the government regarding the administrative ethics policy and the practical endeavor. Fifth, the study was conducted to clarify what the contents of accountability and obligation are. 본 논문은 행정윤리를 구성하는 내용이 무엇이고, 행정윤리를 달성하기 위하여 정부는 어떠한 정책적 노력을 기울이고 있으며, 그 노력을 결정하는 요인은 무엇인지를 확인하기 위하여 수행되었다. 따라서 본 논문은 첫째, “행정윤리의 내용을 어떻게 구성할 수 있는가?”, 둘째, “정책 수와 예산규모로 보았을 때 정부는 시기별로 어떠한 내용의 행정윤리를 제고하기 위하여 노력하였는가?”, 셋째, “행정윤리를 제고하기 위한 노력의 산출을 행정윤리 정책으로 보았을 때 그 결정요인은 무엇인가?”, 넷째, “기존에 강조되어 왔던 공직자에 관한 윤리 외의 다른 행정윤리 정책을 선택하게 하는 요인은 무엇인가?”라는 연구문제를 제기한다. 본 연구는 기존에 강조된 공직윤리가 반드시 행정윤리와 반드시 일치하는 것은 아니라는 견지에서 논의를 진행한다. 행정윤리의 초점을 공직윤리에 둔다면, 부패하지 않은 청렴한 공직자에 의해 수립·집행 되는 정책은 윤리적일 것이라는 다소 강한 가정을 하게 된다. 그러나 행정윤리는 다면적인 특징을 가지며, 조직 내에서 윤리적으로 평가받는 공직자가 반드시 윤리적인 정책을 집행하는 것은 아니라는 점은 이미 지적된 바 있다. 국가의 권위와 공직의 정당성은 시민으로부터 기인하기 때문에 공직윤리의 위반은 시민의 신뢰를 저버린다는 점에서 공직윤리는 중요하게 다루어져야 한다. 그러나 한편으로 과연 한국의 행정이 윤리적인 행정인가를 판단하기 위해서는 공직자 개인의 윤리적인 행동 뿐만이 아니라 정부조직과 대시민의 관점에서 윤리적인 정부가 되도록 노력하고 있는가를 확인할 필요가 있다. 첫 번째 연구문제인 행정윤리에 관한 내용을 구성하기 위하여 행정이론을 적용하였다. 행정윤리는 행정에 관한 응용 규범윤리학으로 볼 수 있으므로, 행정이론을 떠나서는 존재할 수 없기 때문이다. 내용을 구성하기 위한 행정이론으로 베버형 관료제, 신행정론, 신공공관리론, 그리고 신공공서비스론이 고려되었다. 이 중에서 베버형 관료제는 공직자의 윤리적 행동에 초점을 두는 시각으로 정당한 절차를 강조하는 기존의 입장과 일치한다. 나머지 신행정론, 신공공관리론, 그리고 신공공서비스론은 헹정윤리의 내용을 구성하기 위하여 적용되었다. 행정윤리적 관점에서 보았을 때 신행정론은 개인 또는 동질적 집단의 경제·사회·문화적 권리 및 사회적 형평을 강조하는 입장이고, 신공공관리론은 효율성에 대한 통제와 관리에 중점을 두는 시각이며, 신공공서비스론은 공동체의 정치적 권리와 시민역량을 강조한다. 이러한 관점을 정교화 하기 위하여 대상부문 차원과 대상행위자 차원으로 나누었다. 대상부문 차원은 개인·동질적 집단과 조직·공동체로 구성하였으며, 대상부문은 국가와 시민사회로 구성하였다. 각각 베버관료제형, 신행정론형, 신공공관리론형, 신공공서비스론형으로 유형화 하였다. 그리고 각 유형의 행정윤리를 제고하기 위한 정책을 행정윤리 정책으로 정의하였다. 두 번째 연구문제를 다루기 위하여 정부가 실질적 집행의도를 가지고 예산을 투입하는 예산사업을 중심으로 1998년부터 2019년까지 행정윤리 정책의 수와 예산규모를 측정하였다. 예산사업을 확인하기 위하여 국회에 제출하는 예산사업설명서를 바탕으로 자료를 구축하였다. 그리고 예산이 투입되는 모든 사업 중에서 위에서 이론적으로 제시한 베버관료제형, 신행정론형, 신공공관리론형, 신공공서비스론형에 적합한 1,704개의 예산사업을 선별하였다. 선별한 결과 구성정책을 담당하는 부처에서 행정윤리 정책을 수립 및 집행하고 있음을 확인하였다. 1998년부터 2019년까지 22년간의 전반적인 추세를 볼 때 김대중 정부와 노무현 정부에서 증대된 행정윤리 정책 수가 현재까지 유사하게 이어져 오고 있음을 확인할 수 있었다. 김대중 정부는 한국 경제의 경쟁력을 제고하면서도 서민들의 피해를 최소화하는 조치를 취해야 했으며, 전 정권과는 차원이 다른 민주주의를 실시할 필요가 있었다. 이는 여러 유형의 행정윤리 정책을 동시에 집행해야 했음을 의미한다. 노무현 정부에서는 행정윤리 정책의 증가세가 더욱 두드러지게 나타났다. 노무현 정부는 권위주의를 타파하기 위해 노력하였으며, 한편으로는 행정의 효율성을 증대하고자 하는 신공공관리론적 개혁도 함께 나타났다. 행정윤리 정책 유형별로 보았을 때 정책 수는 베버관료제형 행정윤리 정책은 완만하지만 꾸준한 증가세를 보였고, 신행정론형 정책은 감소와 증가를 반복하였나 전반적으로는 증가하는 추세에 있었다. 신공공관리론적 행정윤리 정책은 노무현 정부 때 급격히 증가하였는데, 효율성을 강조하는 한편으로 효율성을 관리 및 통제하고자 하는 노력으로 볼 수 있다. 신공공서비스론적 개혁은 김대중 정부에서부터 꾸준히 증가하다가 이명박 정부에서 감소하는 추세를 보였다. 행정윤리 정책 예산규모는 전반적으로 22년간 증가 추세에 있었다고 볼 수 있다. 가장 특징적인 부분은 노무현 정부에서 예산규모가 크게 증가하였는데, 이명박 정부에서 예산을 작성한 2009년에 급격히 감소하여, 노무현 정부 이전 수준으로 복귀했다는 점이다. 노무현 정부에서는 인권과 민주화와 관련된 피해자 보상이 활발히 이루어졌으나, 이명박 정부에 들어서 축소되었다는 부분이 전체 예산규모에 영향을 미쳤다고 할 수 있다. 박근혜 정부에서 예산규모는 점진적으로 증가하였는데 문재인 정부에서 크게 증가하면서 노무현 정부 수준에 이르는 중에 있다. 유형별로 신행정론형 이 노무현 정부에서 크게 증가하였다는 특징이 가장 두드러지게 나타나며, 이 때 신공공관리론형 윤리 정책의 예산규모 또한 증가했다는 사실 또한 확인할 수 있었다. 신공공서비스론형 윤리 정책의 예산은 점진적으로 증가 추세에 있다. 세 번째 연구문제인 행정윤리 관련 정책 예산규모의 결정요인을 분석하기 위하여 책임성 요인, 정치적 요인, 행정적 요인, 경제적 요인을 고려하였다. 그리고 대통령의 취임연도를 분석에 포함시킨 경우와 포함시키지 않은 경우를 각각 합동 OLS 모형과 고정효과 모형을 이용하여 분석하였다. 두 가지 경우에서 혼재된 결과가 나타났는데 계수의 부호가 바뀌는 경우는 없었다. 일관되게 유의미한 영향을 미치는 변수는 책임성 요인인 대통령 지지율(-), 행정적 요인인 부처 공무원 수(+), 정치적 요인인 민주주의의 공고화 여부(+), 경제적 요인인 재정수지(+)였다. 이는 행정윤리의 제고를 위해서는 한 가지에 집중적 노력을 기울이기 보다는 정책을 둘러싼 여러 가지 상황적 변수를 고려해야 함을 의미한다. 행정윤리 정책이 수립되기 위해서는 정부가 보유하고 있는 인력과 자원이 충분히 확보될 필요가 있으며, 정치적 견제가 중요하다는 것이다. 네 번째로 기존의 공직윤리에 초점을 둔 베버관료제형 행정윤리 정책에 비해 다른 행정윤리 정책을 선택하게 하는 요인을 다항선택모형을 이용하여 분석하였다. 부처예산이 가장 일관되게 베버관료제형 보다 다른 유형을 선택하게 하였다. 그리고 계수로 확인했을 때 부처예산이 클수록 신공공관리론형, 신행정론형, 신공공서비스론형 순서로 선택하게 하였다. 즉 부처예산이 클수록 조직효율성에 대한 통제와 관리에 치중하려는 경향을 보이고, 부처예산이 적을수록 시민과 공동체의 정치적 권리에 중심을 둔 정책을 수립한다는 것이다. 그러나 개별 정책예산이 클수록 신공공관리론형 정책보다는 베버관료제형 정책을 선택할 가능성이 높았다. 즉 대규모의 예산이 투입되는 경우에는 여전히 공직윤리에 초점을 둔 정책을 선택한다는 의미가 된다. 한편, 정책을 담당하는 부처의 공무원 수가 많을수록 신공공관리론형과 신공공서비스론형에 비해 베버관료제형 정책을 선택하는 것으로 나타났으나 그 효과는 미미하였다. 연구의 함의는 다음과 같다. 첫째, 그동안 논의의 중심이 된 공직자 통제 중심의 행정윤리를 넘어서서 시민사회를 고려한 행정윤리 또한 연구의 대상이 될 수 있음을 보이고자 하였다. 둘째, 다소 철학적·규범적 수준에서 연구되어왔던 행정윤리를 현실 정책수준에서 확인하여 보다 구체적인 논의를 진행하였다. 셋째, 행정윤리를 법적·제도적 관점이 아니라, 개별 정책적 관점에서 확인하여, 행정에서 중요시하고 있는 행정윤리가 시기별로 어떻게 변화되었는지를 확인하고자 하였다. 넷째, 예산을 중심으로 분석하여, 행정윤리 관련 정책에 관한 정부의 구체적인 의도와 실질적인 노력의 투입을 확인하고자 하였다. 다섯째, 기존의 책임성을 구성하는 설명책임과 의무 중 의무의 내용이 무엇인지 행정이론을 토대로 하여 구체화하고자 하였다.

공공정책자문체계의 구조와 변화 - 정부, 시민, 인공지능을 중심으로 -

이슬기 연세대학교 대학원 2024 국내박사

본 연구는 세 가지 에세이를 통해 서구사회를 중심으로 수행된 공공정책자문체계 연구의 한계를 보완하고, 현대행정에서 공공정책자문체계의 자문생산과 활용으로 대표되는 정책지식의 역할이 어떻게 변화하고 있는지 다루었다. 공공정책자문체계의 변화는 외재화, 민주적 시민소싱, 그리고 인공지능 기반의 알고리즘화 등으로 요약할 수 있으며 세 가지 에세이는 각각의 변화를 다양한 분석방법론을 활용하여 고찰했다. 이에 그 결과를 다음과 같이 요약할 수 있다. 첫째, 중앙행정기관으로서 행정각부의 외부 정책연구를 확대하는 데 영향을 미치는 요인은 행정각부의 정책기획역량과 대통령의 이념성향인 것으로 나타났다. 행정조직은 자체적인 정책기획역량을 향상시키면서도 외부 정책연구를 활발히 활용했으며, 이것은 정부가 외부의 지식생산자와 지식확대적 관계를 형성하고 있다는 것을 의미한다. 한편, 보수적 이념성향의 정권하에서 행정조직은 더 많은 외부 정책연구를 활용하고 있었고, 이는 대통령의 이념성향으로 대표되는 정치적 요인에 따라 정부의 지식활용행태가 달라질 수 있다는 점을 시사한다. 이러한 요인을 고려했을 때, 정부가 복잡하게 변화하는 정책환경에 적절히 대응할 수 있도록 외부 정책연구관리체계를 재정비할 필요가 있다. 우선, 정권 변동과 같은 정치적 요인에 의해 정책연구가 타당한 고려없이 줄어들거나 늘어나지 않도록 정책연구가 행정조직의 자체적인 필요에 대응할 수 있어야 할 것이다. 이와 함께, 지식확대적 관계에 따라 행정조직이 외부의 정책연구를 통해 정책생산역량을 향상시킬 수 있도록 정책연구관리시스템(PRISM)의 개선이 필요하다. 정책연구의 메타정보는 중요한 지식자원이며, 이를 타 연구관리 시스템과 연계하거나 상호운영할 수 있도록 정비할 필요가 있다. 또한, 정책연구에 대한 사후적 평가체계를 마련해 정책연구가 실제 정책형성에 얼마나 기여하였는지 파악하는 평가체계도 필요하다. 둘째, 정책자문의 내용은 해당 자문을 지지할지, 혹은 그 내용에 따라 정책대안을 채택할지에 영향을 주었다. 더불어, 심층 인터뷰를 통해 계량적 연구의 결과를 보완했다. 내용적 특성 중 정보기반성은 정책자문의 지지와 채택이라는 두 가지 종속변수에 모두 유의미한 긍정적 영향을 주었다. 심층 인터뷰를 통해, 실제 제안의 숙성과정에서 중요한 요소로서 체계성, 광범위성, 실현가능성을 꼽을 수 있었다. 그리고 시민의 정책자문 내용이 부처의 정책선호와 부합하는 경우 부처로부터 더 잘 수용되는 것으로도 나타났다. 결과적으로, 시민소싱 정책자문이 공동생산성과 민주주의적 가치를 충분히 담도록 그 방안을 마련해야 한다. 시민소싱의 장점 중 하나는 시민 간의 학습을 촉진하여 더 좋은 제안을 자극한다는 것이다. 그러나 본 연구에서는 시민소싱 플랫폼의 숙의성에 기반한 학습효과는 제한적이었다. 이는 학습을 촉진할만한 구체적인 기능이 시민제안 플랫폼에서 제대로 작동하지 않았다는 점을 보여준다. 이러한 분석은 인터뷰 내용을 통해서도 지적되고 있었다. 따라서 향후 해당 플랫폼 개선 시 시민간의 상호작용을 강화하는 기능의 추가가 필요하다. 시민과 공무원을 매개하고 제안을 통한 소통을 도와줄 수 있는 전문가집단 또는 큐레이팅그룹의 역할도 중요하게 조명할 필요가 있다. 이들은 시민의 언어로 만들어진 제안을 공무원이 이해하기 쉽게 만들기도 하고, 소극적인 공무원의 태도를 변화시키는 데 중요한 역할을 한다. 셋째, 공무원이 제시하는 정책자문보다는 인공지능의 정책자문, 공무원과 인공지능이 협업하여 생산한 정책자문이 더 잘 수용되었다. 더하여 수용태도에 대한 투명성의 긍정적인 영향은 모든 정책자문가의 유형에서 일관된 결과를 보였다. 이를 반영하여, 정부는 인공지능 알고리즘의 지식생산역량을 정책과 행정에 활용하며 동시에 그 역기능을 보완할 수 있는 단계적 접근을 채택할 필요가 있다. 공무원과 인공지능의 협업에 기반한 정책자문 이 높은 수용수준을 보여준 만큼, 인공지능이 공무원의 능력을 보완하고 공무원 역시 인공지능의 역기능을 해소하는 방식의 협업이 필요할 것이다. 정책결정과정에서 활용시, 문제 발생의 위험성과 중대성이 낮은 모니터링 과정이나 자료수집단계에서 인공지능을 우선 활용하고 기술적 노하우와 안전성을 확보한 후 더욱 중요한 정책과정에서 적용할 필요가 있다. 본 연구는 실증적 연구에 기반하여 기존 정책자문체계의 이론적 한계를 보완했고 이론적 지식 축적에 기여했다. 여러 선행연구가 서구사회를 중심으로 논증한 공공정책자문체계의 외재화 현상을 한국적 맥락에서 설명하여 이론적 보편성을 높이는데 공헌했다. 또한, 실제 데이터에 기반한 계량분석과 질적분석뿐 아니라 관찰연구의 한계를 보완할 수 있는 실험연구를 함께 수행함으로써 타당성 높은 실증연구를 제시했다. The policy-making process involves the collaborative efforts of various stakeholders to address complex social problems. During this process, policymakers require comprehensive knowledge about the nature, severity, efficacy, desirability, and feasibility of potential policy alternatives to effectively tackle the problems at hand. A diverse array of actors offers policy advice and policy knowledge to policymakers both within and outside the policy-making process. The importance of policy advice and knowledge extends beyond democratic nations to include authoritarian or dictatorial regimes. Even the most authoritarian governments need policy advice from others to ensure confidence in their decisions and to justify their actions. In order to grasp the significance of policy advice and knowledge, it is crucial to examine who generates it, how it is utilized, and its impact on the actual public policy. Policy advice and knowledge can often be highly politicized, with political motivations driving the use of policy advice for gaining votes or other political advantages, rather than analyzing the effectiveness and efficiency of the proposed policies. Policy advice can also be scientific and technical, necessitating specialized knowledge or expertise available to only a few individuals, such as in the field of quantum mechanics. This advice and knowledge are generated by various knowledge communities, including policy researchers, scientists, doctors, lawyers, consulting firms, think tanks, research organizations, interest groups, and even ordinary citizens. Over the past two decades, the Korean government has increasingly relied on policy advice from various external sources. Since 1999, when data collection began, the number of advisory bodies within the government has steadily increased. The number of government committees, both administrative and advisory bodies, grew from 319 in 1999 to 615 in 2023, reflecting an average annual increase of 2.8%. Notably, 90% of these committees are advisory in nature. Citizen’s policy suggestions have also risen since the suggestion system was introduced in 2001, with 154,168 suggestions recorded in 2010. The Sotong24 website (http://sotong.go.kr) offers a comprehensive statistics of policy suggestions at the central government level. Despite the government's extensive use of helpful policy advice from various external sources, there is the lack of detailed analysis and academic study of this practical phenomenon. To understand the intricate process of making policy advice and knowledge into public policy and to extend theoretical perspectives, research on public policy advisory systems (public PAS) has been actively examined. Nevertheless, there remains the lack of studies examining the impact of changes within public PAS and the policy advice and knowledge public these systems generate. Since Halligan’s work on PAS, numerous efforts have been made to understand changes in these systems through approaches such as internalization, externalization, and politicization, as well as top-down or bottom-up. There is still a lack of analytical and comprehensive understanding of the process by which policy advice and knowledge are produced through PAS. There are three main limitations relating the existing literature. First, there is the lack of empirical examination regarding changes in PAS and their impact. Unlike in the past, governments rely not only on civil servants for policy advice but also seek external advice from a diverse array of advisors located outside of government. These advisors include private consulting firms, think tanks, academic experts, researchers, interest groups, and ordinary citizens. Their capacities and roles are expanding, the advisory systems within governments are becoming increasingly diverse. While existing literature suggests that the growing capacity and influence of external actors are leading to the externalization of public PAS, empirical research on the specifics of these changes, how they are evolving, and the factors driving them is limited. Second, research on PAS has focused on Western societies predominantly, resulting in the scarcity of generalized theories and models. Studies on public PAS have primarily centered on Anglo-American or European countries, examining these systems within the framework of Western social and political contexts. The lack of research on the development of policy advisory systems in Asian countries and societies limits the academic meaning of policy advisory systems and prevents their theoretical expansion. This limitation not only hinders the contextual understanding of PAS but also impedes empirical investigation of whether the various changes and expansions claimed in the literature are isolated phenomenons or universal trends in modern administrative states. Given that understanding how PAS are structured and evolve is a key research question in this field, it is necessary to analyze the changes and their patterns in non-Western countries. Therefore, identifying changes of PAS in non-Western countries is important not only for contextual understanding, but also for conducting the more comprehensive empirical analysis of PAS’s change on global scale. Third, new opportunities and challenges are emerging for policy knowledge production, which is an essential function of the public PAS. Firstly, with the increased involvement of ordinary citizens in policy process, they have become the key advisors who produce meaningful policy insights. While many citizen’s suggestions are limited to complaining about current policies, they also offer useful information about policy landscapes and propose innovative solutions to existing problems. Citizens' suggestions and ideas can thus serve as valuable policy advice and knowledge, including proposals for new public services, policies, and solutions to local issues. Additionally, artificial intelligence (AI) is emerging as an alternative to address the inherent limitations of human rationality in policy analysis and decision-making. AI has the capacity to overcome human limitations through its capability to gather, analyze, and learn from extensive datasets across various sectors. The use of AI as a policy knowledge production mechanism can enable rational analysis and contribute to the transparency of policy knowledge, but it also has the potential to reinforce unconscious biases and reinforce historical discrimination. Despite emergence of AI as a rational advisor in public PAS and ongoing debates about its application, there is the lack of academic and empirical examination of the policy advice and knowledge produced by AI. In particular, understanding whether and how AI-generated policy knowledge differs from human-generated knowledge in terms of policy acceptance is a fundamental question about the effectiveness and adoption of AI in policy-making process. Given these issues, the objectives of this study can be categorized into three parts. First, it aims to identify and analyze the factors influencing the externalization of public PAS in Korea. This includes examining government policy research data to describe trends in external policy consultations and budget allocations, and analyzing the factors driving changes in external policy consultations within the public PAS. Second, the study seeks to evaluate whether the content of policy advice significantly influence its incorporation into actual policies. In order to address gaps in existing research, the study focuses on the advice of ordinary citizens rather than advisors within the government. The author emphasizes the role of citizens who have become pivotal figures within PAS, exploring how their advice is utilized and impacts policymaking in the government. Third, the study investigates into the attributes of AI-generated policy knowledge, both as a substitute and collaborator in policy knowledge production. Specifically, it examines that how human-generated policy knowledge compares with AI-generated knowledge in terms of acceptance, and examines whether policy knowledge produced through collaboration between humans and AI can be accepted by the general public. The first essay focuses on the executive branch, examining the extent to which central government agencies utilize policy advice produced outside of government, whether the quantitative level of utilization is expanding, and what factors are driving the increased use of external policy advice. The main findings can be summarized as follows. First, the advice-consumer factors had little impact on the government's externalization of policy advice. Only the minister's tenure had a negative effect on the amount of external policy research payment, indicating that the impact of the advice-consumer factor was limited. This confirms that the need for policy advice is greater in the first year of a minister's tenure in the executive branch in terms of personal demand, and that the level of external policy research utilization decreases with increasing seniority. Given the relatively short tenure of ministers in the Korean government, the externalization of policy advice may reflect a situation in which ministers seek advice in the short term in response to the excessively fast ministerial turnover cycle, rather than for the purpose of obtaining policy advice needed to implement actual policies. As a result, the short tenure of ministers may lead to uncontrolled production of external policy research or short-term knowledge production without continuity. Second, the study found that policy capacity factors significantly influence governments' use of external policy advice. Specifically, an increase in policy planning capacity was associated with both a higher number and greater financial expenditure in external policy advice contracts. In contrast, policy implementation capacity was linked to a decrease in the number and expenditure of external policy advice contracts. These findings challenge the conventional view in the literature on the externalization of public PAS, suggesting that the relationship between government policy capacity and the use of external policy advice is not a zero-sum game. That is, policy implementation capacity, which is the practical capacity to manage and operate policy implementation, had negative effect on the use of external policy advice. However, policy planning capacity, which is the capacity to plan the policies of government departments and provide practical advice to ministers, had a positive-sum relationship with external policy advice. These results support the knowledge expansion theory, which argues that administrative organizations actively interact with the external environment to expand their policy knowledge in response to complex problems. In short, it appears that the Korean government is enhancing its internal capacity for generating policy knowledge in response to increasingly complex policy challenges, while also utilizing external sources of policy knowledge to complement its own capacity. However, this study does not provide insight into how actually external policy research is utilized by the government. the Korea government shows the utilization status of policy research through the Policy Research Information Service & Management (PRISM), but most of them are only one page long, which is not enough to understand how policy research had been utilized. Therefore, it is necessary to present more systematically how external policy research had been utilized and what its effectiveness was. At the same time, ministries should be able to appropriately reflect external policy research into policy content and policy processes. To this end, it is necessary to organize and evaluate externally produced policy research in a more systematic way and to manage the overall process of reflecting the results in actual policies. This can also help manage the situations where external policy research may be overproduced due to the short tenure of ministers. Third, the first essay also indicates that contextual factors, particularly political factors, play a significant role in the externalization of policy advice within public PAS. Specifically, the author observes that the externalization of policy advice by the executive branch is more prominent during conservative presidencies compared to liberal ones, depending on the ideological stance of the government leader. This finding supports the importance of contextual factors highlighted in previous studies and suggests that policy research can be subject to the same neoliberal marketization as observed in public services. The second essay focuses on citizens as primary producers of policy advice and examines whether specific contents of citizen-generated policy advice correlate with citizen support for the advice and actual adoption of policies. As public PAS increasingly includes contributions from various non-governmental actors, understanding how such advice shapes policy-making becomes increasingly important. Do the specific contents of policy advice lead to support and adoption of policy advice in practice? The analysis of this essay shows that the answer is yes, that is, the content of policy advice influences whether people support the advice or government adopts policy alternatives based on its content, and the study demonstrates this relationship with empirical data. Based on the interview results, citizen’s suggestions that are well organized, cover a wide range of issues, feasible, and align with the government's policy preferences are more likely to be adopted or accepted as policy. The specific implications of second essay include the following. First, the specific contents of policy advice are related to support for policy advice. Features such as informativeness, comprehensiveness, political neutrality, long-term perspective, and the experience as citizen with expertise are found to positively correlate with public support of policy advice. Interestingly, citizens were less likely to support policy advice that expressed a particular political ideology or was based on an ideological orientation. This shows that equipping a peer review and consent process through a policy suggesting platform helps to ensure the neutrality of policy proposals and advice. This finding supports the literature that partisan proposals are less likely to be favored by citizens than non-partisan proposals. As political polarization and ideological conflicts intensify, the expansion of citizen-sourcing platforms with the peer review process will be necessary to ensure neutral policy advice. Second, specific contents that positively influenced policy adoption included informativeness, well organizing, and feasibility. Policy advice that was well-informed, well organized, and considered feasible was more likely to be adopted based on its content. The in-depth interviews confirm that well organized and feasible suggestions are more likely to be adopted as actual policy. These findings suggest conditions for the content of policy advice that may be important to policymakers. Therefore, it is imperative for future citizen-sourcing based suggesting platforms to prioritize the production of policy advice that genuinely contribute to policy realization. Third, among the contents of policy advice, informativeness consistently had a positive effect on both support and adoption of policy advice. This finding highlights that both citizens and policymakers have positive attitudes toward well-informed policy advice, which supports existing research that argues policy advice should be analytically rigorous and evidence-based. Moreover, it reemphasizes the importance and meaning of 'evidence-based' policy, which is one of the main debates surrounding policy today. At the same time, it shows that policy advice of ordinary citizens can be well-informed that go beyond capturing the needs and experiences of actual policy users, and citizens function as critical policy advisors. While these findings underscore the positive impacts of citizen-sourcing platforms in producing policy advice from outside of the government, the study also highlights several policy challenges that must be addressed for the future development of such platforms. First, policy suggestions through citizen-sourcing platforms need to be organized observant of a specific format. In other words, a specific writing format should be provided to ensure that citizen’s policy suggestions influence the support and adoption of policy advice. Second, citizen-sourcing platforms should be designed to enhance learning. One of the benefits of citizen-sourcing is to facilitate interaction among ordinary citizens to generate better policy alternatives and ideas through deliberation and collective intelligence. However, this study found limited learning effects based on the deliberative nature of the citizen-sourcing platform, which partly suggests that the specific features that would have facilitated learning were not present in this case (Innovation Suggestion Talk Platform). The in-depth interviews also pointed out the high frequency of low-quality suggestions and suggested that the platform could work as a good citizen engagement mechanism if it provided adequate training and learning opportunities. For future improvements or the design of new platforms, it is crucial to incorporate features that enhance direct citizen-to-citizen connections and foster active interaction. For instance, introducing a service that connects suggestion submitters and discusser via mobile devices to facilitate real-time online discussion spaces for ongoing conversations on specific topics could be beneficial. In addition to the current peer review and commenting functionalities, it would be possible to organize periodic contests for proposals on specific topics. Third, the study proposes enhancing the roles of expert groups and curating teams to facilitate connections between citizens and officials through policy suggestions and advice. The in-depth interviews revealed that the forum member’s role in mediating between citizen’s policy advice and officials was significant. Even when some suggestions were initially weak, forum members would enhance them and eventually secure their adoption. In some cases, even if forum members failed, they persuaded officials over a three-year period if they thought the proposal was important to citizens. This highlights how expert groups contributed to fostering the deliberative nature of the citizen-sourcing platforms studied in this research, and this roles can be strengthened to overcome some of the drawbacks of citizen-sourcing policy advice. First, it is necessary to expand the deliberative discussion time available to expert groups so that they have more time to improve the quality of citizen suggestions. Moreover, educating experts on the overall workings of citizen-sourcing process is critical, because they possess expertise in their specialization but may lack familiarity with administrative processes or government budgeting. In particular, when dealing with citizen’s suggestions which include important issues, providing lectures and training on such topics by other experts will also be a way to increase the deliberation of the expert group. The third essay of this study examines the role of AI as one of the emerging changes in public PAS. The essay aimed to examine public acceptance of policy advice generated by humans, AI, and their collaboration, to derive the applicability and implications of AI in PAS. In order to achieve this, the author employed an survey experiment as one of the method commonly used in experimental research. The main findings of third essay include the following. First of all, public attitudes toward policy advice vary significantly based on the source of the advice. This study categorized policy advisor into three groups; public officials, AI, and collaboration between public officials and AI. In comparison to policy advice from public officials alone, the general public showed greater acceptance of AI-generated advice. Similarly, the policy advice producing by collaboration between public officials and AI was more acceptable than advice solely from public officials. However, there was no significant difference in public acceptance between AI-generated policy advice and human-AI collaboration advice. Second, public acceptance of policy advice is higher for transparent policy advice than non-transparent policy advice and the relationship between transparency of policy advice and public acceptance was statistically significant. This result shows that transparency has a positive and significant effect on the acceptance of policy advice. In particular, in this study, the transparency of advice content and the policy advisor factor had a negative interaction effect on the dependent variable. However, the independent effect of transparency had a stronger overall impact on the public acceptance compared to this negative interaction effect. Generally, this finding aligns with previous research suggesting that transparency can enhance trust in both AI and public officials, thereby positively affecting the acceptance of policy advice. Third, in order to enhance the robustness of the results, the author conducted a regression model including control variables and the manipulation check question in addition to the one-way ANOVA to compare the means between experimental groups. These methodological approaches were chosen to ensure a comprehensive and rigorous examination of the data, thereby strengthening the robustness of our results. The results of regression and one-way ANOVA were not significantly different, confirming the significance of the independent variables on the dependent variable even when considering control variables. Based on the above results of analysis, several policy implication can be suggested. The government needs to facilitate the policy knowledge function of AI in the public sector. The high level of acceptance of AI-generated policy advice in this study shows that the public is receptive to the recommendations of AI. The data analysis and prediction capabilities of AI have already surpassed human capabilities, and the public has shown positive attitudes toward this. This provides favorable conditions for the government to easily adopt the analytical capabilities of AI in the public sector. Therefore, the government needs to actively introduce AI technology to the tasks related to policy advice, such as data collection, analysis, and evaluation. However, given the limitations and problems associated with AI, its introduction demands the meticulous and careful implementation strategy. Since eXplainable AI (XAI) technologies has not been sufficiently advanced and complete, cautiously adopting AI in the policy-making process would be an appropriate option to mitigate the adverse effects of AI. For example, AI-enabled systems can be used in the areas including pattern discovery and data collection to clarify policy goals in the agenda-setting stage, monitoring data collection and analysis of policy activities in the process of policy implementation, and feedback collection and analysis of policy performance. In the future, it is necessary to complement these operational know-how and limitations to gradually expand the application of AI in other policy-making stages. As a preliminary step for the phased application of AI in the public sector, it is crucial to prepare a detailed plan outlining a strategic introduction and roadmap for AI, as well as clear guidelines that can be applied in the initial application phase. On the one hand, there was no significant difference of advice acceptance between human-AI collaboration advice compared to AI-generated advice. This suggests that collaboration between public officials and AI may be more desirable than relying on AI alone for policy advice. Through collaboration, humans can complement or mitigate averse effect of AI. Therefore, governments should clearly define the purpose of AI introduction; to complement rather than replace public officials, addressing the limitations of both human and AI. The introduction and application of AI should be based on the principle of collaboration and complementarity between humans and AI. The academic contributions of this research can be summarized as follows. First, through the analysis of the Korean government’s utilization of policy advice and historical trends, the study empirically demonstrates that the externalization of the public PAS, as hypothesized by the literature, is the real phenomenon. While the scope of analysis is limited to governmental policy research, the Korean government has consistently expanded the policy research conducted by external knowledge producers. The externalization trend is supported by supplementary statistic data, such as the proliferation of government advisory committees consisting of external advisors, increased amounts of budget allocated to external policy research, and statistics indicating a rise in policy suggestions from the general public. The key driving factor leading this externalization is the policy capacity of government organizations. Particularly in recent times, the government has integrated externally generated policy knowledge into its own analytical capacities to strengthen their knowledge production capacities. Second, the study found that not only the specific contents of citizen-sourcing policy advice is significant, but also the citizens who participated in the deliberative process facilitated co-productive interactions and played an important role in the public PAS. As new knowledge producers, ordinary citizens presented various policy alternatives and ideas. Some of them were accepted and adopted as actual policies, and had a great impact. The impact of citizens as policy advisors was measured through a detailed analysis of the content of their policy advice. The results revealed that proposals generally well organized, addressed a wide range of issues, were more likely to be implemented, and were in line with the government's policy preferences were more likely to be accepted by fellow citizens and the government than those that were not. This was supported by the both quantitative data and qualitative in-depth interviews. Third, the author suggested that AI can be applied as an alternative advisor to overcome the limited rationality of humans and function as a new producer of policy knowledge. The findings show that the policy advice of human-AI collaboration and AI-generated is more accepted than advice by public officials alone. This empirical evidence supports the potential effect of collaboration between humans and AI, indicating their partnership is possible not only for street-level administrative but also for activities related to generating policy knowledge. Finally, The study aimed to enhance the academic value by addressing some limitations and methodology of the previous literature. The theoretical model for analyzing driving factors of externalization was elaborately constructed using multidimensional variables. Based on this, this study complement the empirical finding of previous studies that simply investigate the changes in the number of public officials. Also, the study conducted a mixed-methods approach integrating qualitative and quantitative research. An experimental design was used to address methodological biases caused by observational surveys, thus presenting empirical findings with high internal validity. Despite the academic and policy implications of this study, there are still some limitations. These are closely related to the future research suggested by this study. Specific future research, along with the limitations of this study, can be presented as follows. First essay analyzed the phenomenon of externalization in the Korean government, focusing on the policy research field. However, the policy research field is one of the many channels through which the government can obtain policy advice from external policy advisors. Therefore, generalizing the changes observed this study to entire government may lead to the error of treating micro-level analysis as the same as macro-level changes. Although this study has provided a complementary picture of the growing role of external policy advisors in different areas of government, it is not a complete solution, and further research is needed to address the externalization of government PAS more broadly. For example, studies that cover the policy advisory activities of local governments and public organizations as well as government ministries are needed. In addition to policy research, future research should also deal with the use of government advisory committees and various expert committees operated by local governments. Second, there are methodological limitations that need to be addressed in the measuring process of citizen-sourcing. Second essay onducted a content analysis of citizen-generated policy advice to analyze the policy alternatives and ideas in the policy suggestions. While the author have added a coding book as and appendix to show the measurement process, it partially failed to solve the problem of arbitrary measurement in the process of quantifying qualitative data. The future research needs to address these methodological limitations. Specifically, it is necessary to conduct content analysis with multiple people and provide a clear definition of the analysis criteria, and it is possible to reduce researcher subjectivity by simplifying the scale Third, it is necessary to clearly present the interaction effects of the policy advisor factor and the transparency factor as independent variables in comparing policy advice generated by AI and human. This study did not assume the interaction effect of two independent variables, however they are interacted and affected the dependent variable. In particular, each of the independent variables positively affected to the dependent variable, but the interaction effect was found to be negative. Therefore, It is imperative to conduct a clear analysis and interpretation of these relationships in future studies. Finally, There are several issues to be treated when applying and conducting the experimental design in public administration study. Balance checks ensure that each experimental groups are randomly assigned, and imbalances between the groups may indicate a violation of randomization and reduce the validity and reliability of the results. Although this study did not have significant imbalances, future studies should pay more attention to randomization between experimental groups. In addition to this, the manipulation check questionnaire serves to verify that the vignettes presented in the survey worked as an experimental manipulation. In this study, only 954 out of 2,800 respondents passed the manipulation check (34.1% pass rate), and future studies should increase the number of respondents who passed the manipulation check. Careful consideration should be given to the wording and illustrations of the vignettes to make it easier for respondents to understand. Also, different types and locations of the manipulation check questions could be used to increase the pass rate.