本研究探討臺灣創新系統過去30年（1986年至2015年）以大學為中心的網絡，並聚焦於體制變化、大學為中心之網絡、與績效之共同演化。首先，本研究從創新之三螺旋模型觀點調查體制變化如何促進大學為中心之互動。三螺旋模型研究架構包含三面向的週期性循環，也就是政府體制變化、大學之角色、任務、與互動、以及以大學為中心網絡。其次，本研究利用國際專利分類之網絡分析探討大學為中心的網絡績效做為新興技術之指標。本研究之研究方法採三角校正法，在質性資料包含科技政策、教育政策、與產業政策做為臺灣體制變化；以臺灣所有大專院校於1986年至2015年在美國專利及商標局申請的專利作為量化資料。
本研究結果發現各政策整合地促進大學體制變化，進而驅動大學角色與任務的轉變，而以大學為中心之網絡發展從鬆耦合關係到更密集且互動的網絡。依據大學為中心網絡之發展，半導體、醫藥科學、資料處理、與測量技術是為演化過程中之新興技術。生物化學、無機化學、與建築技術為近年與體制變化共同發展之新興技術。本研究總結政府的體制變化有效地轉型大學的角色以及與企業、研究單位、與大學之間的互動，並且朝向創業型大學發展。以大學為導向的創新通過互動性的創新三螺旋模型，促進了新興技術之發展，最後並針對政府與大學高階管理者、以及新興技術發展提供政策與管理之相關建議。

This study examines the university-centric networks in Taiwan’s national innovation system over the last three decades (1986~2015) by focusing on the co-evolution among institutional changes, university-centric networks, and performances. Firstly, this study investigates how institutional changes facilitate university-centric interactions from the Triple-Helix model of innovation perspective. The Triple-Helix research framework consists of three cyclical dimensions, namely government institutional changes, the roles, missions, and interactions of universities, and university-centric networks. Secondly, this study further utilizes the network analysis of the International Patent Classification (IPC) to investigate the performances of university-centric networks as emerging technologies.
By developing a triangulation method, the qualitative dataset of the Taiwanese institutional changes includes science & technology, education, and industrial policies; the quantitative dataset (1986~2015) collects the patents of Taiwanese universities via the USPTO database. The results reveal that integrated policies systemically facilitate institutional changes that drive the transition of university’s roles and missions while the university-centric networks have transformed from isolated to loosely-coupled and ultimately, to densely interactive networks. The technologies of semiconductor, medical science, data processing, and measurement emerged with the evolution of university-centric networks while biochemistry, inorganic chemistry, and building constructions are the emerging technologies that aligned with the institutional changes in recent years. This study concludes that government institutional changes have effectively transformed the roles and interactions of universities with other actors towards entrepreneurial universities, in turn, university-oriented innovation has facilitated the emerging technologies with a more interactive Triple Helix model of innovation in Taiwan. Some policy and managerial implications are suggested.

Table of Contents
摘要 i
Abstract ii
致謝詞 iii
Table of Contents iv
List of Figures vii
List of Tables ix
Chapter 1 Introduction 1
Chapter 2 Literature review 4
2.1 From national innovation system to Triple Helix model of innovation 4
2.1.1 National innovation system 4
2.1.2 Triple Helix model of innovation 6
2.2 Institutional changes in the Triple Helix model of innovation 7
2.3 The changing roles and interactions of universities in the Triple Helix model of innovation 8
2.4 University-centric network as emerging technology indicators 10
2.5 Research framework 11
Chapter 3 Methodology 13
3.1 Data collection 13
3.1.1An exhaustive policy survey 13
3.1.2 Co-patents as links 13
3.2 Data analysis 15
3.2.1 Co-patent and network analysis 15
Chapter 4 Results 17
4.1 Taiwan’s National Innovation System 17
4.1.1 The performance of NIS in Taiwan 19
4.1.2 Universities and Triple-Helix model in Taiwan 23
4.2 Institutional changes and the missions of universities 24
4.2.1 Phase 1: Pre-STBL phase, university as a teaching and research base (1986-1998) 24
4.2.2 Phase 2: Early Post-STBL phase, universities as intellectual property pools (1999-2005) 26
4.2.3 Phase 3: Technology transfer phase-Universities as industrial technology transferors and collaborators (2006-2010) 28
4.2.4 Phase 4: Entrepreneurship phase (2011-2015) 30
4.3 The evolution of university-centric networks 32
4.3.1 The evolution of Taiwanese university-owned patents in USPTO 32
4.3.2 Co-owned patent activities among universities 36
4.4 The emerging technologies 42
4.4.1 The technology network of all patents 42
4.4.2 The technology network of co-patents 44
4.4.3 The technology network of U-I co-patents 46
4.4.4 The technology network of U-RI co-patents 47
4.4.5 The Technology Network of U-U co-patents 49
4.5 The evolution of institutional changes, university-centric networks, and emerging technologies 50
4.5.1 The evolution of institutional changes and university-centric networks 50
4.5.2 The evolution of university-centric network and technological fields 53
Chapter 5 Discussion 66
5.1 The evolution of institutional changes 66
5.2 The changing roles, missions, and interactions of universities 67
5.3 The evolution of university-centric network 68
5.4 The evolution of emerging technologies 70
5.4.1 The emerging technologies 70
Chapter 6 Conclusion 72
References 75
Appendix 94







 
List of Figures
Figure 1 Research framework 12
Figure 2 The division of labor of Taiwan’s NIS 19
Figure 3 The GERD of Taiwan and other countries (Source: OECD) 20
Figure 4 The proportion of R&D expenditure 20
Figure 5 R&D Expenditure by sector of performance 21
Figure 6 The patenting activities in Taiwan from 1986 to 2015 22
Figure 7 The number of patent applications categorized by IPCs 23
Figure 8 Historical trends of patents applied in USPTO, 1986~2015 33
Figure 9 The co-patent activities of university-centric networks, 1986~2015 34
Figure 10 The evolution of university-centric networks in Taiwan 35
Figure 11 U-I network of Phase 1 (1986-1998) 37
Figure 12 U-I network of Phase 2 (1999-2005) 37
Figure 13 U-I network of Phase 3 (2006-2010) 38
Figure 14 U-I network of Phase 4 (2011-2015) 38
Figure 15 U-RI network of Phase 1 (1986-1998) 39
Figure 16 U-RI network of Phase 2 (1999-2005) 39
Figure 17 U-RI network of Phase 3 (2006-2010) 39
Figure 18 U-RI network of Phase 4 (2011-2015) 40
Figure 19 U-U network of Phase 2 (1999-2005) 41
Figure 20 U-U network of Phase 3 (2006-2010) 41
Figure 21 U-U network of Phase 4 (2011-2015) 42
Figure 22 The Technology Network of U-I, U-RI, U-U co-patent & university-owned patents 44
Figure 23 The technology network of U-I, U-RI, U-U co-patents 45
Figure 24 The technology network of U-I co-patents (Note: the size of nodes: degree, size of ties: degree) 47
Figure 25 The technology network of U-RI co-patents (*Size of nodes: degree, Size of ties: degree) 48
Figure 26 The technology network of U-U co-patents (*Size of nodes: degree, Size of ties: degree) 49
Figure 27 IPC of Phase 1 (1986-1998) 57
Figure 28 IPC by Phase 2 (1999-2005) 57
Figure 29 IPC of Phase 3 (2006-2010) 58
Figure 30 IPC of Phase 4 (2011-2015) 58
Figure 31 The technology trends in four different periods 60
Figure A1 The longitudinal policy survey in Taiwan (1990-2015) ..................................94






 
List of Tables
Table 1 The development of teaching and research in Taiwan universities 24
Table 2 Policies in Taiwan from 1986-1998 (Phase 1) 26
Table 3 Policies in Taiwan from 1999-2005 (Phase 2) 27
Table 4 Policies in Taiwan from 2006-2010 (Phase 3) 29
Table 5 Policies in Taiwan from 2011-2015 (Phase 4) 31
Table 6 The ranking of top 10 Taiwanese universities in co-owned patenting 37
Table 7 The major technologies of U-I, U-RI, U-U co-patent & university-owned patents 44
Table 8 The major technology fields of U-I, U-RI, U-U co-patents 46
Table 9 The major technologies of U-I co-patents 47
Table 10 The major technologies of U-RI co-patents 48
Table 11 The major technologies of U-U co-patents 50
Table 12 The coevolution of institutional change and university-centric networks 52
Table 13 The technology trends of university-centric networks by IPCs 55
Table 14 The major technologies in four Phases 56
Table 15 The technological trend of university solely owned patents in four phases 62
Table 16 The technological trend of U-U co-patents in four phases 63
Table 17 The technological trend of U-RI co-patents in four phases 64
Table 18 The technological trend of U-I co-patents in four phases 65

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