Technical level
APCTP is operating with characteristics of international basic research institute and the technical level of accountability about APCTP can be described as follows. First, APCTP was pivoted on internationally famous theoretical physicists including Nobel prize winner operated from the beginning. 1957 Nobel prize winner, Yang Chenning was appointed as the first present and was propagated the importance of theoretical physics and basic science into Korean society. The second president Robert Replein (Nobel prize winner in 1998), served as the president of KAIST, led globalization of domestic basic research and activated popularization of science. As a result of these efforts, APCTP hosted R&D investment for young scientist groups from MP and enhanced the Korea’s level of basic science.
Second, Junior Research Groups (JRG), first adopted ‘human centralized’ residing research program, were made up for the excellence of joint research regarding characteristics of theoretical physics. APCTP has fully supported young scientists’ independent research through JRG and limitation of support period for individual researchers made new researchers in-took and circulated continuously and now total 35 researchers (Korean 16, foreigner 19) have been participated until 2013 now. Providing the beneficial with research immersed environment and international research network led production of best research performance and through its support, giving independent role of their research to young and promising scientists in basic science fields led them to do creative research and become next generation leader. Excellent research papers are produced through international joint research group. Despite being young scientists under 40 year old, they produced excellent results which are better than national average and the main R&D program performance (MEST
2012). On the base of these results, the leaders of these research group held good position such as tenured professors in Chinese Science Foundation Graduate School and in Germany Alexander Friedrich University, principal researchers in IBS and heavy ion accelerator research institute and so on. That means APCTP contributed to the raising the next generation researchers in the theoretical physics fields.
Third, APCTP contributed to training young scientists from South-east Asian developing countries and raising next generation basic science researchers in Asia pacific area and cooperating with South-east Asian countries through the Young Scientist Training Program. As a result of these efforts, continuously the member countries are getting increased and Kazakhstan currently jointed and many other countries expressed their intention of participation to APCTP.
Fourth, outreach program separated from academic activities enabled physicists to meet scientists and the public and performed scientific communication using physics. These activities of APCTP as the supreme Asia Pacific physicist network contributed to the expansion of ground of theoretical physics and disseminated the importance of basic science and secured communication channels with scientists, pre-scientists, youngsters and the public in cooperation with the regional governments and the public organizations.
Managerial level
The accountability of managerial level faced by APCTP is as follows. First, it related to identity and portfolio of programs. APCTP has characteristics as basic research institute and international cooperation agency supporting developing countries as well. This mixed characteristics caused the confusion in the identification of status and then the clearance of this confusion and expansion of international joint research were recommended in the external evaluation (MOSF
2011). Along this, the legal status of APCTP has been unstable since it was established because of absence of the qualification process. Therefore, in the parallel with strengthening basic science supported by government policy, APCTP needs to identify himself as basic research institute and enhance its reputation in basic research area. Related to this problem, the mixture of research and cultural activity programs in the structure of programs is another problem. There are too many kind of programs in this center regarding the designated budget. Self evaluation indicated AP scholar and chair professor program need to be merged to the academic program in higher level (MEST
2011b). APCTP defined its identity as a research oriented organization and restructured programs with putting an emphasis on research program rather than science culture activities.
Second, it is related to operation of program. This could be reviewed in terms of overlapping, efficiency and propriety, monitoring system and governance.
In regard to overlapping, JRG and YST as residence researcher program have differences between former focused on excellence and latter as young scientists training program involved by member countries. In the case of academic activities program, ‘theme research’, ‘season school’, ‘international academic conference and workshop’, ‘focus program’ have different objectives, objects, the beneficial, and contents each other. Web journal ‘cross road’ aims to communicate with the public and has a structured differentiation with other programs and tries to expand the base and popularize science through scientific writing with diverse genres.
Regarding to efficiency and propriety, YST of residence researcher program needs to be changed into ODA training program for the member countries to secure budget and enhancement of competitiveness. There are differences between ‘AP scholar’ and ‘chair-professor’ within visiting program of academic activities program in terms of visiting period, supporting contents, inviting level, and so on. Operation of visiting programs are fragmented, it is necessary to integrate them for enhancing its efficiency and flexibility in budget usage and operation.
In the case of Physics Outreach Program, sharing budget with government, regional government, education organization, science related institute/party, publisher and increase of program implementation efficiency in the operation through cross support of administrative staff, exchange of information about program operation, expansion of PR effect and participants are requested.
Residence researcher program was monitored through regular review and advice of science committee involved world level researchers and its result was reflected to operation of this program. Academic program and international cooperation program of academic activities are deliberated and reviewed by representative members of theoretical physics communities, who conduct survey for the beneficial of main academic program. Physics Outreach Program is planned through regular review and advice in the meeting by members of group for science culture activities about web journal, science communication and regional science culture festival. ‘Crossroad’ is regularly reviewed and advised by members of science culture group and then is upgraded effectively in the operation of program.
In the reflection of simplification of program and focus on research program, the governance of APCTP needs to be changed for the efficient support to research and the strengthening of status. The delegated mission to Korean secretary general from foreigner president needs to be restored because of the election of Korean president in 2013.
Third, it is related to management of performance. Even though it is not perfect to evaluate performance of the theoretical physics using the general indicators, APCTP produced superior performances to those of other national R&D programs as shown in Table
3. According to the performance evaluation of S&T promotion fund program in 2011, this pointed out that APCTP achieved the designated goal but its goal seemed to lack challenge (
MEST 2011). The evaluation in 2012 pointed out that the expansion of international joint research group for the jumping up to international research institute and the strengthening of academic program and cooperation in link with south east countries and under developed countries are requested and the approval method of objectivity for the measurement of satisfaction of its performance need to be established (MEST
2012). Therefore the setting and operation of new indicators for the program performance are required.
Fourth, it is related to the budget. The implementation of budget was determined on the base of yearly plan and progressed under quarterly management. But the budget source change of APCTP program from S&T promotion fund to general budget account and securement of new budget with new growth strategy are needed.
“Regarding the shortage of budget, the performance is good. While the fund is getting shorter, the budget source change into general budget account is necessary very soon to keep the current program scale” (interview with budget deliberation expert, June.19.2014)
Government planned to enhance the effectiveness of S&T promotion fund source as focusing on the promotion of science culture and moved less relevant programs to the general budget account gradually. Ministry of Strategy and Finance (MOSF) also indicated it is necessary to classify the differences between the fund programs and general budget programs and move less relevant programs in the fund to the general budget account. APCTP was started in 1997 as a program in the general budget account and moved to that fund in 2003 for the flexibility of budget operation and the strengthening of science culture promotion. But it is a pressing situation to return to the general budget account for the shrinkage of the fund volume and strengthening of research program.
Institutional level
In the R&D program, institutional accountability appears as an institutional response embracing technical and managerial accountability, and has bigger causal effects on the performance of the program than accountabilities in other levels. The institutional accountability to the APCTP will be reviewed in terms of bureaucratic, legal, professional, and political accountability regarding open innovation aspect. The review of institutional accountability of APCTP contains monitoring and controlling the effect of external actors, regulation, law, institutions and circumstances.
Bureaucratic accountability
First, the support of the relevant ministry in charge of the APCTP seemed to be negligible meanwhile. During last government, since Ministry of Science and Technology, which was dedicated to Science and Technology, was merged to Ministry of Education, Science and Technology (MEST) focused on the education, the APCTP like other S&T programs was not supported appropriately. Even though the change of APCTP’s budget source was suggested in 2010 and 2013 by Parliament, The veto of MOSF made it failed. Thus, this case clearly shows a lack of support from the relevant ministry. However, since the role of Ministry of Science, ICT and Future Planning (MSIP), which focuses on Science and Technology, came to be highly conspicuous during the Park Geun-hye government and Fundamental Technology Division, which is in charge of this program, is working actively, it is expected that the support from MSIP will be done significantly contrary to a relatively lack of support.
Second, even though the APCTP is a kind of international organization, most funding came from MSIP except for contributions of developing countries and support from local governments. In addition, the budget for the APCTP is not an institutional base but as a program so that APCTP program has many projects and activities. Thus, the operation of the APCTP in project level is not influenced by government officials, but the key factor influencing its operation is the internal structure of the APCTP including the president of the center, the secretary general and the administration bureau, and so on. The reason why the APCTP was able to develop sustainably in this structure is that many roles of the center was entrusted to Korean secretary general during foreign President’s incumbency and long-term tenure of the secretary general enabled the center to be operated consistently without frequent replacement. In addition, appointing a person of high reputation such as a Nobel Prize laureate as president of APCTP facilitated the funding from the government and the direction of the program was evolved into strengthening not only regional cooperation but also research capacity. Moreover, its contribution to popularization of science in the local community led to funding
2 from related local governments, Gyeongsangbuk-do and Pohang-si.
Third, work to be endorsed by APEC is in progress. APEC’s endorsement is one of the diplomatic activities so that the support of governments and public institutions is important. Consequently, cooperation among MSIP (Fundamental Technology Division and Multilateral Cooperation Division), Gyeongsangbuk-do, and Pohang-si is required. The APCTP needs to present national importance through the mid and long-term development plan and its specific effects.
Legal accountability
This section examines legal accountability as below. First, the APCTP was established as a private institution, a form of a member country centered foundation, under Civil Code Section 32. Then, private-governmental partnership was established as the government started to support the program. A private research center can be operated flexibly unlike government-affiliated research institutes. In addition, a private research institute has advantages in that it keeps a favorable position for benefits from international organization and international human resource network can be constituted freely from government’s interference. This gives an implication of desirable conciliation of private and government as a part of open innovation.
Second, it can be concerned with status as an international organization. Without any specific legal support to date, the APCTP has functioned as a research and innovation platform for theoretical physicists (approximately 3000 of total visiting researchers, etc.) and a great deal of achievement including cooperation in Asia-Pacific region seemed to be accomplished. Recent reinforcement of budget accountability and change of the division managing APCTP from cooperation division to a basic research division in ministry caused more difficulty in an increase of APCTP’s budget. The strengthening of domestic legal footing can help to obtain more budget but be likely to hinder privately led development of APCTP. As a consequence, if the establishment of the APCTP is legally supported by an agreement with international organizations such as APEC rather than domestic laws, it will secure budget more easily and achieve private-led development sustainably.
Third, there are many difficulties in securing additional budget because the budget is funded from S&T Promotion fund. It is a recent trend that the government is transferring projects, which are less relevant to creation of scientific culture, into the general account to improve the effectiveness of limited fund resources, focusing on creation of scientific culture.
“It is a recent trend that the budget of Science and Technology Promotion Fund is reduced every year. Thus, it is virtually impossible secure additional budget since the APCTP compete with representative science and technology organization such as the Korean Federation of Science and Technology Societies and the Korean Academy of Science and Technology to secure more from limited budget.”(Interview with the President of the APCTP, July 9, 2014)
However, the APCTP is the only major R&D program among programs that requested a change of a budget source in 2015. In addition, while ‘Northeast Asia R&D hub establishment project’ which aims at invitations of excellent international organizations such as Max Planck POSTECH/Korea Research Initiative and ‘the establishment of global cooperation foundation’ which aims at support for developing countries’ science and technology are funded from the general account, the APCTP is the only program that is funded from S&T promotion Fund. It is expected that the completion of Max Planck project will cause pressure on budget. However, since the APCTP is funded from S&T Promotion Fund, it has difficulty with budget increase. In addition, its evaluation for the fund program does not match with APCTP characteristics so that it can act as impediments to strengthening research capabilities. The budget for creation of scientific culture accounts only for 17% for the APCTP so that it is required to be transferred into the general account and to secure a new budget source.
Professional accountability
First, the APCTP was established not in a top-down approach by APEC but in a bottom-up approach by leading participation of theoretical physicists. The field of theoretical physics requires a high level of expertise and its research is carried out by researchers’ autonomy so that professional accountability is strongly realized in this field than any other fields., the APCTP, originated autonomously from this field, has been operated by professional accountability. The APCTP is not long-term resident cooperation research using research equipment, but rather it carries out cooperation research through constant meetings without requiring any specific equipment. Thus, the APCTP, a form of a platform, could achieve relatively great performance considering its budget by deriving voluntary cooperation among researchers.
Second, the APCTP has continuously grown through private leadership. Through scientists’ autonomous activities and cooperation, a role of the APCTP as a platform has been maximized, so that many achievements have been accumulated. The first and second presidents of the APCTP as Nobel Prize laureates disseminated the importance theoretical physics and basic science to Korea and actively promoted globalization of Korea’s basic science and popularization of science. The third president of the APCTP as the president of the Max Planck Institute strengthened research capabilities and enhanced the status of basic science including creation of emerging research groups through cooperation with Germany. The new president as the first Korean president (Term: from July, 2013 to July, 2016) served as a secretary general for many years and was elected as the president of the Association of Asia Pacific Physical Societies (AAPPS) so that a favorable environment for Asia-Pacific academic collaborative research and international cooperation projects was created.
“The APCTP seems to enter a adulthood period, passing through an adolescent period. The new president of the APCTP was elected in return for leadership and trust that Korea has showed the international society. However, we feel burdensome because it is very hard to build trust, but it can be gone like a flash. We are going to do our utmost to establish the foundation for the world-leading research institute in theoretical physics.”(Interview with the President of the APCTP, July 9, 2014)
Since present member countries consist of not only Australia, China, and Japan but also developing countries such as Laos, Malaysia, the Philippines, Mongolia, Vietnam, and Thailand, the APCTP has grown sustainably, playing leading roles such as training emerging workforce based on Korea’s expertise.
Third, in addition to scientists and engineers who were in charge of leading roles, professional accountability of secretary general and staffs of the administration bureau functioned as important roles in the development of the APCTP. The role of the APCTP includes a supporting activity with understanding research administration, school administration, and international cooperation. Both the secretary general, who manages APCTP’s activities like a responsible prime minister, and staffs of the APCTP played the following important roles. Even though the APCTP is located within Pohang University of Science and Technology (POSTECH), it maintains independence and completes ‘Pohang System’ through cooperation with universities and nearby Pohang Accelerator Laboratory (PAL).
Political accountability
First, let’s examine the hosting of the APCTP. The APCTP was established with the desire of counteracting absence of world-class theoretical physics research institute in Asia-Pacific region, conducting world-class research, and cultivating competent human resources through international cooperation among 10 countries including Korea, China, and Japan. Establishing APCTP was a remarkable executive case of open innovation in the Asia-Pacific region. In addition, it was established in Korea because China wanted to check Japan’s sole lead, Australia has a geographical disadvantage, and Vietnam and the Philippines, which consider Korea as a role model, supported actively. The APCTP was located in Seoul when established, but the crisis of leadership caused it to move from Seoul to inside of POSTECH through open invitation for a new place. Compared to Seoul and Daejeon, Pohang is similar to the case of International Centre for Theoretical Physics (ICTP), which is located in Trieste, Italy. In addition, Gyeongsangbuk-do and Pohang-si’s promise of active support caused favorable results.
Second, let’s examine political support from a national ultimate decision maker. President Kim Young-sam’ commitment caused the APCTP to secure official support when established. In the Lee Myung-bak government, one of the main science and technology policy was that basic research occupied 50% of R&D budget and establishment of Institute for Basic Science and installation of heavy ion accelerator were progressed. The Park Geun-hye government set up Basic Research Promotion Master Plan (’13~’17)’ and made clear that they will strengthen support for promising new researchers of basic research and revitalize international cooperation. The APCTP will be able to exploit such will to promote basic research for strengthening its status.
Third, let’s look at political accountability in the level of National Assembly. In National Assembly, Education and Science Technology Committee’s review report on ‘Agenda of 2010 Settlement of Accounts and Approval for Reserve Fund Expenditure’ said that since the APCTP program is similar to another program transferred into the general accounts in 2010, it is necessary to examine whether to transfer the APCTP program into the general accounts (’11. 8.). In 2013, through a relevant permanent committee, Science, ICT, Future Planning, Broadcasting, and Communications Committee’s resolution (’13.12.10.), the agenda was submitted to Special Committee on Budget and Accounts, but MOSF, a budget department, did not accept the transference. For the transference, there is a need to actively assert that they should screen programs and support intensively the program in accord with fund’s purpose, highlighting that S&T promotion Fund is deteriorating, and transfer programs which do mainly aim science and technology promotion including the APCTP into the general budget account in cooperation with amicable politicians.
Forth, let’s examine political accountability regarding local government or local politicians. The APCTP is funded directly from Pohang-si and Gyeongsangbuk-do and it does not seem to have any problems with increasing budget because of it regional characteristics as a political support base of both President Lee Myung-bak and Park Geun-hye. A wise role of local politicians is important to develop the APCTP since spread of awareness that the APCTP is a local program tends to make central government’s interest distracted. This advocative atmosphere of central and local government enabled APCTP as a hub of open innovation among industry, academia and local government.
Finally, in the level of an international organization, for agenda-setting to be an APEC endorsed specialized institute, a process securing understanding and cooperation of other member countries is more important that an official procedure. Consequently, to draw support and participation of APEC member countries and neighboring countries, it is necessary to make the best use of APEC’s official project. In addition, MSIP’s practical cooperation is required in this process.