臺灣博碩士論文加值系統

本研究利用美國專利商標局(U.S. Patent and Trademark Office, USPTO)的專利資料，分析台灣、韓國與日本主要TFT-LCD廠商在1991-2006年技術創新能力的表現以及技術發展之動態變化。除此之外，更進ㄧ步藉著GMM計量方法探討影響廠商技術創新能力形成之決定因素，以及使用Tobit計量方法分析廠商技術多角化之決定因素，最後再利用相關分析瞭解廠商技術多角化與進入上游之間關係的密切程度。
本研究之主要貢獻，首先為本文的模型設定能清楚解釋廠商在TFT-LCD技術領域創新能力形成之決定因素為何。我們的實證結果顯示技術創新能力具有累積性，且無論是先進廠商或後進廠商，研發投入與外部學習行為皆是對技術創新能力形成相當重要的決定因素。而在廠商特性變數的部份可發現，在TFT-LCD技術領域裡，規模越大或廠齡越久的廠商未必具有絕對優勢的創新能力，因此這正是規模不大又較晚進入此領域的台灣面板廠商可以嘗試發展的機會之處。
其次，本研究清楚描繪廠商技術發展的動態路徑以及分析影響廠商決策之決定因素。我們的實證結果顯示，先進廠商高度的技術多角化以及後進廠商之所以選擇集中在TFT-LCD技術領域發展，主要是受到研發投入、顯示性比較優勢以及知識關聯性等因素的影響。同時，本研究亦觀察到規模越大或是廠齡越久的廠商，擁有較多的資源、經驗與技術能力進行技術多角化的發展策略。最後，本研究發現廠商的技術多角化與進入上游技術領域之間呈現極高度的正相關，顯示由於TFT-LCD產業成本結構的特性，廠商的技術將往上游的方向發展。

This thesis analyzes the performance and its dynamic change of technological innovations for major thin-film transistor liquid crystal display (TFT-LCD) firms in Taiwan, South Korea and Japan during 1991 and 2006 by use of the patenting data from the U. S. Patent and Trademark Office (USPTO). In this empirical study, I implement generalized method of moments (GMM) to examine the determinants of the firms’ technological capabilities and use Tobit model to investigate the factors driving the firms’ technological diversities. Finally, the analysis of correlation is adopted to probe the degree of the firms’ technological diversity in particular into the upstream field of TFT-LCD technologies.
The potential contribution of this study is three-fold. First, it is found that the stock accumulation is critical and research and development (R&D) and external learning are two major determinants for firms in developing their technological capabilities, for both forerunners and latecomers. Advantage of age or size is not found and instead, it provides window of opportunity for the latecoming firms such as those in Taiwan entering TFT-LCD fields.
Secondly, this study shows that R&D, revealed technology advantages, and knowledge relatedness are the three key factors influencing the high degree of technological diversities of forerunners and the concentration on TFT-LCD of latecomers. Age and size which imply the abundance of resources, experiences and technological capabilities encourage firms to diversify into a variety of technologies. Finally, a highly positive correlation is found between the firms’ technological diversities and their entry into upstream fields of TFT-LCD. The cost structure of TFT-LCD is conjectured to be the driver of the firms’ upstream diversification technologically.

謝辭......................................i
中文摘要................................iii
英文摘要.................................iv
表目錄..................................vii
圖目錄.................................viii
第一章 緒論.............................1
1.1 研究動機.........................1
1.2 研究目的.........................3
1.3 研究架構.........................4
第二章 文獻回顧.........................6
2.1 技術創新能力.....................6
2.2 網絡理論.........................8
2.3 技術多角化.......................9
第三章 技術創新能力形成之決定因素......13
3.1 模型設定及實證方法..............13
3.2 資料來源及變數說明..............19
3.3 實證結果分析....................39
第四章 技術多角化之決定因素............45
4.1 模型設定及實證方法..............45
4.2 變數說明........................47
4.3 實證結果分析....................56
第五章 技術多角化與進入上游之相關性....59
5.1 實證方法........................59
5.2 變數說明........................60
5.3 實證結果分析....................62
第六章 結論............................63
參考文獻.................................65
附錄.....................................72

王淑珍(2003), “台灣邁向液晶王國之秘”, 財團法人中國生產力中心。
李明勳(2005), “技術追趕與專利引證：以台灣平面顯示產業為例”, 國立台灣大學經濟研究所碩士論文。
林慶龍(2004), “授權外溢與生產力－台灣上市資訊電子廠商之實證研究”, 國立中央大學產業經濟研究所碩士論文。
姜幼霖(2006), “專利引證與專利品質：以五大先進國家生技產業與電子產業為例”, 國立台灣大學經濟研究所碩士論文。
張文豪(2006), “平面顯示器產業的專利引證行為與技術追趕之跨國分析：以台灣、美國、日本、韓國和其他國家為例”, 國立台灣大學經濟研究所碩士論文。
許哲榮(2007), “專利引證網絡對創新能力之影響分析：以全球半導體廠商為例”, 國立台灣大學經濟研究所碩士論文。
黃則智(2002), “專利、研發支出與廠商市值－半導體產業之實證研究”, 國立台灣大學經濟學研究所碩士論文。
黃啟洲(2008), “策略聯盟與技術追趕：以台灣面板廠商為例”, 國立台灣大學經濟研究所碩士論文。
楊志海、陳忠榮(2001), “研究發展、技術引進與專利－一般動差法於可數追蹤資料的應用”, 經濟論文叢刊, 29 (1), 69-87。
楊志海、陳忠榮(2002), “研究發展，專利與生產力－台灣製造業的實證研究”, 經濟論文叢刊, 30 (1), 27-48。
詹斯玄(2003), “以專利指標衡量台灣平面顯示器產業之創新能力”, 交通大學科技管理研究所碩士論文。
鄭秀玲、張淑卿(2003), “專利引證和國際知識外溢:以電子業為例”, 經濟論文叢刊, 33 (1), 103-140。
鍾俊元等著(2007), “2007年平面顯示器年鑑”, 經濟部技術處。
駱世民(2007), “友達光電：動態產能策略(A)&(B)”, 國科會2007台灣管理個案發表會，台北。
Acar, W. and Sankaran, K. (1999), “The Myth of the Unique Decomposability: Specializing the Herfindahl and Entropy Measures”, Strategic Management Journal, 20, 969-975.
Acs, Z.J. and Audretsch, D.B. (1991), “Innovation and Size at the Firm Level”, Southern Economic Journal, 57 (3), 739–744.
Antonio, R.D., Sandulli, F.D., Beatriz M.R. and Jose I.L. (2007), “The Endogenous Relationship between Innovation and Diversification, and the Impact of Technological Resources on the Form of Diversification”, Research Policy, 36 (5), 652-664.
Arellano, M. and Bond, S. (1991), “Some Tests of Specification for Panel Data：Monte Carlo Evidence and an Application to Employment Equations”, Review of Economic Studies, 58, 277-297.
Baltagi, B.H. (2001), Econometric Analysis of Panel Data, Second Edition.
Bas, C.L. and Patel, P. (2005), “Does Internationalization of Technology Determine Technological Diversification in Large Firms”, SPRU Electronic Working Paper Series, 128.
Baudry, M. and Dumont, B. (2006), “Comparing Firms’ Triadic Patent Applications across Countries: Is There a Gap in terms of R&D Effort or a Gap in terms of Performances”, Research Policy, 35, 324–342.
Bell, G.G. (2005), “Clusters, Networks, and Firm Innovativeness”, Strategic Management Journal, 26, 287-295.
Blundell, R. and Bond, S. (1998), “GMM Estimation with Persistent Panel Data: An Application to Production Functions,” IFS Working Papers, W99/04.
Blundell, R., Bond, S. and Windmeijer, F. (2000), “Estimation in Dynamic Panel Data Models: Improving on the Performance of the Standard GMM Estimator”, IFS Working Papers, W00/12.
Breschi, S., Lissoni, F., and Malerba, F. (2003), “Knowledge-Relatedness in Firm Technological Diversification”, Research Policy, 32, 69-87.
Burt, R. (1992), “Structural Holes: the Social Structure of Competition”, Cambridge, MA: Harvard University Press.
Cantwell, J. (1989), “Technological Innovation and Multinational Corporations”, Oxford: Basil Blackwell.
Corrocher, N., Malerba, F. and Montobbio, F. (2007), “Schumpeterian Patterns of
Innovative Activity in the ICT Field”, Research Policy, 36, 418-432.
Cohen, W. and Levinthal, D. (1990), “Absorptive Capacity: A New Perspective on Learning and Innovation”, Administrative Science Quarterly, 35 (1), 128-152.
Ejermo, O. (2005), “Technological Diversity and Jacob’s Externality Hypothesis Revised”, CESIS Electronic Working Paper Series, 16.
Freeman, L. (1979), “Centrality in Social Networks: Conceptual Clarification”, Social Networks, 1, 215–239.
Gemba, K. and Kodama, F. (2001), “Diversification Dynamics of the Japanese Industry”, Research Policy, 30, 1165-1184.
Greene, W.H. (2003), Econometric Analysis, Fifth Edition.
Griliches, Z. (1981), “Market Value, R&D, and Patents”, Economics Letters, 7, 183-187.
Griliches, Z. (1990), “Patent Statistics as Economic Indicators: A Survey”, Journal of Economic Literature, 28, 1661-1707.
Griliches, Z. and Mairesse, J. (1990), “R&D and Productivity Growth: Comparing Japanese and U.S. Manufacturing Firms”, in C.R. Hulten ed., Productivity Growth in Japan and the United States, University of Chicago Press, Chicago, IL.
Hall, B.H., Griliches Z. and Hausman J.A. (1986), “Patent and R&D: Is there a lag”, International Economic Review, 27(2), 265-283.
Hall, B.H., Jaffe A. and Trajtenberg, M. (2001), “The NBER Patent Citation Data File: Lessons, Insight, Methodological Tools”, NBER Working Paper, 8498.
Hausman, J.A. (1978), “Specification Tests in Econometrics”, Econometrica, 46, 1251-1271.
Herfindahl, O.C. (1950), “Concentration in the U.S. Steel Industry”, Ph.D. Dissertation. New York: Columbia University.
Hu, A., Griliches, Z. and Jaffe, A. (2003), “Patent Citations and International Knowledge Flow: The Cases of Korea and Taiwan”, International Journal of Industrial Organization, 21, 849-880.
Jacobs, J. (1969), The Economy of Cities, New York.
Jaffe, A. (1986), “Technology Opportunity and Spillovers of R&D: Evidence from Firms’ Patents, Profits, and Market Value”, American Economic Review, 76 (5), 984-1001.
Jaffe, A., Trajtenberg, M. and Fogarty, M.S. (2000), “Knowledge Spillovers and Patent Citations: Evidence from a Survey of Inventors”, American Economic Review, 90 (2), 215-218.
Jang, S.L., Li, M.H. and Chen, J. (2005), “Technology Catch-Up and Patent Citation: The Evidence from Taiwan’s Flat Panel Display Industry”, Annual Conference of Western Economic Association, at California, USA.
Martin, J.D. and Sayrak, A. (2003), “Corporate Diversification and Shareholder Value: a Survey of Recent Literature”, Journal of Corporate Finance, 9, 37-57.
Mahmood I.P. and Singh J. (2003), “Technological Dynamism in Asia”, Research Policy, 32, 1031-1054.
Malerba, F. and Orsenigo, L. (1996), “Schumpeterian Patterns of Innovation are Technology-Specific”, Research Policy, 25, 451-478.
Miller, D.J. (2006), “Technological Diversity, Related Diversification, and Firm Performance”, Strategic Management Journal, 27 (7), 601-619.
Narin, F. (1995), “Patents as Indicators for the Evaluation of Industrial Research Output”, Scientometrics, 34, 489-496.
Nelson, R. and Winter, S.G. (1982), “An Evolutionary Theory of Economic Change”, Cambridge MA: Harvard University Press.
Nesta, L. and Saviotti, P. (2004), “Coherence of the Knowledge Base and Firm Innovative Performance: Evidence from the U.S. Pharmaceutical Industry”, SPRU Working Paper, 113.
Pakes, A. and Griliches, Z. (1984), “Patents and R&D at the Firm Level: A First Look”, in Griliches, Z. (Eds), R&D, Patents, and Productivity, University of Chicago Press, Chicago, IL, 55-72.
Park, K.H. and Lee, K. (2006), “Linking the Technological Regime to the Technological Catch-Up: Analyzing Korea and Taiwan using the US Patent Data”, Industrial and Corporate Change, 15 (4), 715-753.
Patel, P. and Pavitt, K. (1997), “The Technological Competencies of the World’s Largest Firms: Complex and Path-Dependent, but not Much Variety”, Research Policy, 26, 141-156.
Santalo, J. and Manuel, B. (2006), “The Dominance of Diversified Versus Specialized Firms across Industries”, Journal of Business Research, 59, 335-340.
Schumpeter, J. (1942), “Capitalism, Socialisms and Democracy”, New York: Harper and Brothers.
Spencer, J.F. (2003a), “Firms’ Knowledge-Sharing Strategies in the Global Innovation System: Empirical Evidence from the Flat Panel Display Industry”, Strategic Management Journal, 24, 217-233.
Spencer, J.F. (2003b), “Global Gatekeeping, Representation, and Network Structure: A Longitudinal Analysis of Regional and Global Knowledge-Diffusion Networks”, Journal of International Business studies, 34, 428-442.
Stolpe, M. (2002), “Determinants of Knowledge Diffusion as Evidenced in Patent Data: the Case of Liquid Crystal Display Technology”, Research Policy, 31 (7), 1181-1198.
Suzuki, J. and Kodama, F. (2004), “Technological Diversity of Persistent Innovators in Japan Two Case Studies of Large Japanese Firms”, Research Policy, 33, 531-549.
Thorelli, H.B. (1986), “Networks: Between Markets and Hierarchies”, Strategic Management Journal, 7, 37-51.
Tsai, W. and Ghoshal, S. (1998), “Social Capital and Value Creation: The Role of Intrafirm Networks.” Academy of Management Journal, 41 (2), 464-476.
Wakasugi, R. and Koyota, F. (1997), “R&D, Firm Size and Innovation Outputs: Are Japanese Firms Efficient in Product Development”, Journal of Product Innovation Management, 24, 383-392.