20 newly industrializing countries state developmental state Johnson, 1982; Amsden, 1989; Rodan, 1989; Wade, 1990; Onis, 1991; Amsden, 2001; Amsden an

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1 101/3, pp C * 陳良治 NSC H MY

2 20 newly industrializing countries state developmental state Johnson, 1982; Amsden, 1989; Rodan, 1989; Wade, 1990; Onis, 1991; Amsden, 2001; Amsden and Chu, 2003; Weiss, 2003; Stubbs, 2009 public research institute Choi, 1986; Lee et al., 1991; Lall, 1996; Kim, 1997; Mathews, 2002; Breznitz, 2007; Mazzoleni and Nelson, 2007; Chu et al., 2009 technological catch-up Nelson, 1991; Hobday, 2001 firm-level

3 21 intervention redirect 2 neo-liberal World Bank,

4 22 developmental state Johnson, 1982; Amsden, 1989; Wade, 1990 getting the market price wrong Onis, 1991; Stubbs, 2009 Lall, 1992, 1996; Kim, 1997; Amsden and Chu, 2003; 2010 technological innovation technological learning 3 Dahlman et al., 1987; Amsden, 1989; Hobday, 1995; Kim, 1997 Crane, 1977 Katrak, 1998: 337 Choi, 1986; Lall, 1996; Kim and Nelson, 2000 Lall, 1996; Amsden and Chu, 2003 Amsden, 1989; Hobday, 1995; Katrak, 1998; Mazzoleni and Nelson, Viotti, 2002: 653

5 23 Mathews and Cho, 2000; Hsu, 2004; Breznitz, 2007 ITRI model Noble, 2000; Hsu et al., 2003; Chu et al., 2009 Toren and Galni, 1978 Choi, 1986; Lee et al., 1991; Katrak, 1998; Mathews, 2002; Mazzoleni and Nelson, Blackledge, 1972; Baark, 1987; Katrak, 1998 Kim 1999 Breznitz 2005

6 24 Toren Galni 1978 Rush Chang 1999 commercialization capability market timing industrial technology requirements Mazzoleni Nelson 2007 pragmatically-oriented high science the state matters Friedman, 1986 social-society relation Weiss, 1998 neo-development state embedded state Evans, 1995; Weiss, 1998; Amsden and Chu, 2003; O Riain, Rush et al., 1995

7 25 platform state 2010: 7 5 Poong, 2005: 3 Toren and Galni, 1978; Kim and Leslie, 1998; Mazzoleni and Nelson, 2007 Hobday 2001: 25 firm-level Nel : 17 18

8 26 son, 1991; Hobday, 2001 Wade, 1990; Lall, 1996; Amsden and Chu, 2003; 2010 Mathews, 2002; 2003 Liu, 1993; Mathews and Cho, 2000; Gardner Publications, Amsden, Amsden, 1977

9 ~ Brown & Sharpe ~20 Jacobsson, 1985; Liu and Brookfield, 2000 Westphal 1978: 37

10 NC, numerical control 1982 gap absorptive capacity Cohen and Levinthal, 1990

11 :

12 : low reliability low manufacturability 1980~1990 CNC CNC computer numerical control 1980 CNC CNC CNC 1980 CNC mecha-tronic CNC : 64

13 31 22 CNC Fransman, 1986 CNC Fransman low commercializability CNC CNC ~1985 CNC

14 convergence 1992 PC-based

15 Darmstadt University

16 M

17 ; Liu and Brookfield, 2000; Chen, instigator gatekeeper coordinator facilitator 15 40

18 p2 2 Yeh and Chang, 2003;

19 37 M5 1 M24 1 leap-

20 38 frogging M18 1, S12 1

21 P27 1 P % 15% P P2 1

23 41 S13 2 M22 1 Breznitz, 2005:

24 42 Kim et al., Teubal, 1984; Mazzoleni, Pavitt, 1984 codified knowledge Pavitt, 1984; Breschi and Malerba, 1997; Malerba, 2004 tacit knowledge Lissoni, 2001; von Tunzelmann and Acha, capital goods firm reputation Teubal, 1984 Teubal, 1984; Mazzoleni, 1997

25 43 incremental Dosi, 1988; Malerba, 2005; von Tunzelmann and Acha, 2005; Chen, 2009 CNC 22 22

26 collective synergy 23 Breznitz and Zehavi, 2010 A : :

27 : B. Amsden, Amsden 1977 The Division of Labour Is Limited by the Type of Market: The Case of the Taiwanese Machine Tool Industry, World Development 5(3): Asia s Next Giant: South Korea and Late Industrialization. New York: Oxford University Press The Rise of the Rest : Challenges to the West from Late-industrializing Economies. New York: Oxford University Press. Amsden, Amsden and Wan-Wen Chu 2003 Beyond Late Development: Taiwan s Upgrading Policies. Cambridge: MIT Press. Baark, Erik 1987 Commercialized Technology Transfer in China : The Impact of Science and Technology Policy Reforms, The China Quarterly 111: Blackledge, James 1972 The Role of the Research Institute in Industrial Growth. Denver: Denver Research Institute, University of Denver. Breschi, Stefano and Franco Malerba 1997 Sectoral Innovation System: Technology Regimes, Schumperterian Dynamic, and Spatial Boundaries, pp in Charles Edquist (ed.), Systems of Innovation: Technologies, Institutions, and Organizations. New York: Pinter. Breznitz, Dan 2005 Development, Flexibility and R&D Performance in the Taiwanese IT Industry: Capability Creation and the Effects of State-Industry Coevolution, Industrial and Corporate Change 14(1): Innovation and the State: Political Choice and Strategies for Growth in Israel, Taiwan, and Ireland. New Haven: Yale University Press. Breznitz, Dan and Amos Zehavi 2010 The Limits of Capital: Transcending the Public Financer-Private Producer Split in Industrial R&D, Research Policy 39(2): Chang, Pao-Long, Chiung-Wen Hsu, and Chien-Tzu Tsai 1999 A Stage Approach for Industrial Technology Development and Implementation: The Case of Taiwan s Computer Industry, Technovation 19(4):

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29 47 wan, Tijdschrift voor Economische en Sociale Geografie 95(2): Hsu, Po-Hsuan, Joseph Z. Shyu, Hsiao-Cheng Yu, Chao-Chen Yuo, and Ta-Hsien Lo 2003 Exploring the Interaction between Incubators and Industrial Clusters: The Case of the ITRI Incubator in Taiwan, R&D Management 33(1): Jacobsson, Staffan 1985 Technical Change and Industrial Policy: The Case of Computer Numerically Controlled Lathes in Argentina, Korea and Taiwan, World Development 13(3): Johnson, Chalmers 1982 MITI and the Japanese Miracle: The Growth of Industrial Policy, Stanford: Stanford University Press. Katrak, Homi 1998 Economic Analyses of Industrial Research Institutes in Developing Countries: The Indian Experience, Research Policy 27(4): Kim, Dong-Won and Stuart W. Leslie 1998 Winning Markets or Winning Nobel Prizes? KAIST and the Challenges of Late Industrialization, Osiris 13: Kim, Linsu 1997 Imitation to Innovation: The Dynamics of Korea s Technological Learning. Boston: Harvard Business School Press. Kim, Linsu and Richard Nelson 2000 Technology, Learning and Innovation: Experiences of Newly Industrializing Economies. Cambridge: Cambridge University Press. Kim, Yonungbae, Byungheon Lee, and Yooncheol Lim 1999 A Comparative Study of Managerial Features between Public and Private R&D Organizations in Korea: Managerial and Policy Implications for Public R&D Organizations, International Journal of Technology Management 17(3): Lall, Sanjaya 1992 Technological Capabilities and Industrialization, World Development 20(2): Learning from the Asian Tigers: Studies in Technology and Industrial Policy. New York: St. Martin s Press. Lee, Dal-Hwan, Zong-Tae Bae, and Jinjoo Lee 1991 Performance and Adaptive Roles of the Government-Supported Research Institute in South Korea, World Development 19(10): Lissoni, Francesco 2001 Knowledge Codification and the Geography of Innovation: The Case of Brescia Mechanical Cluster, Research Policy 30(9): Liu, Chung-Yuan 1993 Government s Role in Developing a High-tech Industry: The Case of Taiwan s Semiconductor Industry, Technovation 13(5):

30 48 Liu, Ren-Jye and Jonathan Brookfield 2000 Stars, Rings and Tiers: Organizational Networks and Their Dynamics in Taiwan s Machine Tool Industry, Long Range Planning 33(3): Malerba, Franco 2004 Sectoral Systems of Innovation: Concepts, Issues and Analyses of Six Major Sectors in Europe. Cambridge: Cambridge University Press Sectoral System: How and Why Innovation Differs across Sectors, pp in Jan. Fagerberg, David Mowery, and Richard Nelson (eds.), The Oxford Handbook of Innovation. New York: Oxford University Press. Mathews, John 2002 The Origins and Dynamics of Taiwan s R&D Consortia, Research Policy 31(4): Mathews, John and Tong-Song Cho 2000 Tiger Technology: The Creation of a Semiconductor Industry in East Asia. New York: Cambridge University Press. Mazzoleni, Roberto 1997 Learning and Path-Dependence in the Diffusion of Innovations: Comparative Evidence on Numerically Controlled Machine Tools, Research Policy 26(4 5): Mazzoleni, Roberto and Richard Nelson 2007 Public Research Institutions and Economic Catch-up, Research Policy 36(10): Nelson, Richard 1991 Why Do Firms Differ, and How Does It Matter? Strategic Management Journal 12(S2): Noble, Gregory 2000 Conspicuous Failures and Hidden Strengths of the ITRI Model: Taiwan s Technology Policy toward Hard Disk Drives and CD-ROMs, Report , The Information Storage Industry Center, University of California, San Diego. Onis, Ziya 1991 The Logic of the Developmental State, Comparative Politics 24(1): O Riain, Sean 2004 The Politics of High-tech Growth: Developmental Network States in the Global Economy. New York: Cambridge University Press. Pavitt, Keith 1984 Sectoral Patterns of Technical Change: Towards a Taxonomy and a Theory, Research Policy 13(6): Poong, Hwei-Luan 2005 Implications of Dual Status for Taiwan s Nonprofit Institutes for Economic Affairs: III s Dilemma in e-industrialization, Issues & Studies 41(3): Rodan, Garry 1989 The Political Economy of Singapore s Industrialization: National State and Inter-

31 49 national Capital. London: Macmillan. Rush, Howard, Michael Hobday, John Bessant, and Erik Arnold 1995 Strategies for Best Practice in Research and Technology Institutes: An Overview of a Benchmarking Exercise, R&D Management 25(1): Stubbs, Richard 2009 What Ever Happened to the East Asian Developmental State? The Unfolding Debate, The Pacific Review 22(1): Teubal, Morris 1984 The Role of Technological Learning in the Exports of Manufactured Goods: The Case of Selected Capital Goods in Brazil, World Development 12(8): Toren, Nina and Dan Galni 1978 The Determinants of the Potential Effectiveness of Government-supported Industrial Research Institutes, Research Policy 7(4): Viotti, Eduardo 2002 National Learning Systems: A New Approach on Technological Change in Late Industrializing Economies and Evidences from the Cases of Brazil and South Korea, Technological Forecasting and Social Change 69(7): von Tunzelmann, Nick and Virginia Acha 2005 Innovation in Low-tech Industries, pp in Jan. Fagerberg, David Mowery, and Richard Nelson (eds.), The Oxford Handbook of Innovation. New York: Oxford University Press. Wade, Robert 1990 Governing the Market: Economic Theory and the Role of Government in East Asian Industrialization. Princeton: Princeton University Press. Weiss, Linda 1998 The Myth of the Powerless State: Governing the Economy in a Global Era. Cambridge: Polity Press States in the Global Economy: Bringing Domestic Institutions Back In. New York: Cambridge University Press. Westphal, Larry 1978 Industrial Incentives in Republic of China (Taiwan). Washington: The World Bank. World Bank 1993 The East Asian Miracle: Economic Growth and Public Policy. New York: Oxford University Press. Yeh, Ching-Chiang and Pao-Long Chang 2003 The Taiwan System of Innovation in the Tool Machine Industry: A Case Study, Journal of Engineering and Technology Management 20(4):

32 50 The Evolving Roles of the State and Public Research Institutes in the Technological Upgrading Process of Industries: The Case of Taiwan s Machine Tool Industry Liang-chih Chen Assistant Professor Graduate Institute of Building and Planning, National Taiwan University ABSTRACT Most literature on industrialization of East Asian newly industrializing countries (NICs) focuses on the NIC states as the dominant factor explaining latecomers accelerated technological catch-up. Through studying the dynamics within the public-private interactions during the upgrading process of Taiwan s machine industry, this paper rejects the emphasis on the decisive role of the state or, more specifically, its public research institute (PRI), in directing the process of late industrialization, and argues that, in the case of the Taiwan s MT industry, it is the bottom-up efforts of local firms, which ingeniously utilized and redirected the state s poorly formulated policy measures to work in their favor, that made possible the emergence of a seemingly constructive role of the state in the upgrading of an NIC industry. In addition, this study shows how a PRI with inherent limited capabilities has benefited from the improvement of its relationship with the private partners and gradually found its functional position in supporting the technological advancement of the industry. Key Words: developmental states, public research institutes, technological upgrading, machine tool industry, Taiwan

學界將台灣視為發展型國家的原因, 在於台灣在過去數十年的高度經濟成長, 以及擁有良好的政府技術官僚作為國內產業發展的推手及後盾 (Amsden,1989 Wade,1990) 而學者

學界將台灣視為發展型國家的原因, 在於台灣在過去數十年的高度經濟成長, 以及擁有良好的政府技術官僚作為國內產業發展的推手及後盾 (Amsden,1989 Wade,1990) 而學者促進或阻礙發展 : 國家代理機構在軟體產業發展中的角色 ( 摘要 ) 作者 : 政大社會學研究所三年級彭思錦指導老師 : 劉雅靈博士民國一百年九月學界將台灣視為發展型國家的原因, 在於台灣在過去數十年的高度經濟成長, 以及擁有良