博士論文審査報告書

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(1)早稲田大学大学院アジア太平洋研究科. 博士論文審査報告書論原題名 Original Title. 英訳 In Japanese. 文. 自国民による技術主導産業キャッチアップ戦略の再文脈化: 7 か国間の危機意識の違いについて. 申. 名. Name 学籍番号 Student ID. 目. Re-Contextualization of Indigenous Technology-Driven Industrial Catch-Up Strategy: A Comparative Approach on Seven Countries’ Level of Urgency. 姓 Last Name. 氏. 題. 請. 者. Middle Name. PURBANTINA. 名 First Name. Adiasri Putri. 4016S301-2. ２０20 年 6 月. 0.

(2) １．. Abstract of the Dissertation This Ph.D. dissertation explores different industrial development trajectories among latecomer countries using a historical approach to explain the causal relationship between government’s behavior, particularly the political elites, and the industrial catch-up pursuit. In this dissertation, industrial catch-up pursuit refers to the effort to increase indigenous technological capabilities, through learning of foreign technologies, to support indigenous manufacturing firms’ upgrading. Initially, this strategy can be found within the developmental states’ industrial policy (e.g., Japan, Taiwan, South Korea). Currently, under the global economic system, this also has become the ideal mechanism of the national innovation system, manifested as Science, Technology, and Innovation (STI) policy. Instead of simply discussing variants of institutional arrangement (e.g., regime type) or measuring predatory behaviors within the government (e.g., corruption, political rents), this dissertation investigates the political-historical foundation behind political elites’ choices of industrial development strategy at their initial stage of national economic planning. The dissertation is based on a qualitative comparative historical approach in seven countries from three different regions, focusing on the level of urgency among the political elites to pursue an indigenous technology-driven industrial catch-up strategy. Different levels of urgency occurred in the critical juncture period, which mostly coincided with the modernization and independence turning points. It shaped the national economic strategy, which mostly was the political elites’ strategy to gain national revenue. Once this prioritization is set, the dynamics in the post-critical juncture period led to a repetition of economic development strategy.. ２．. Outline of the Dissertation and Summary of the Chapters The chapter outline of the dissertation is as follows. Chapter 1: Research Background Chapter 2: Literature Review Chapter 3: Method of Comparison Chapter 4: Northeast Asia Chapter 5: Latin America Chapter 6: Southeast Asia Chapter 7: Indonesia as a sub case study Chapter 8: Conclusion Chapter 1 presents the background, research questions, hypotheses, and significance of the study. Since the first Industrial Revolution, indigenous technological advancements within the manufacturing sector have been the key driver for industrial catch-up throughout history. Scholars on late industrialization, from 1.

(3) Gershenkron (1962) to Amsden (2001), continue to emphasize the crucial role of government to support indigenous technological advancements and offered various policy recommendations on the base of developmental states’ experiences. However, these works often stop at promoting efficient institutional arrangements by latecomer countries’ government and less attention has been given to a better understanding of what provoked the emergence of efficient institutional arrangements as a precondition for industrial catch-up in the first place. In this regard, the main unit of analysis of this Ph.D. dissertation is the political elites’ behavior at the initial stage of national economic planning and how they develop through time. Chapter 2 extensively reviews the relevant literature to identify what are the research consensus and gap in the study of industrial catch-up with an emphasis on the ruling political elites’ behavior. Furthermore, it also highlights that the systemic vulnerability concept (Doner, et al., 2005) which offers the most comprehensive analysis on developmental states’ origins because it incorporates the interaction of different historical dynamics that influence coalitional politics, instead of relying only on one or two determinant factors (e.g., colonial legacy, clientelism). Chapter 3 lays out a method of comparison through the incorporation of the time horizon in systemic vulnerability concept. It includes conducting a series of comparative case study on seven countries from three different regions by revisiting the initial period when the ruling political elites first construct their national economic strategy (i.e., the critical juncture period) along with the concept of path dependency. Through this method of comparison, it becomes clearer the behavior of the political elites in the other latecomer countries who were exposed to different historical dynamics, which present them with an alternative economic growth strategy other than industrial catch-up prioritization; hence their weaker indigenous manufacturing firms’ performances. Chapter 4 to chapter 6 discuss case studies focusing on three different regions: Northeast Asia (“successful cases”) in Chapter 4, Latin America (“unsuccessful cases”) in Chapter 5, and Southeast Asia (“intermediate cases”) in Chapter 6. Chapter 4 discusses Japan and South Korea as two case studies from Northeast Asia, which are often dubbed by scholars as the successful industrial catch-up experiences. Chapter 5 discusses Argentina and Brazil as two case studies from the Latin America region; the region that is often perceived as the failed region. Chapter 6 discusses Malaysia, Thailand, and Indonesia as three case studies from Southeast Asia, as the region currently received abundant attention from scholars due to their strategic positioning in the global economy. Based on these three chapters, the dissertation shows how the political elites in these seven countries faced different levels of urgency to pursue industrial catch-up strategy since their critical juncture periods or the initial stage of their national economic planning were different.. 2.

(4) Chapter 7 selects Indonesia as a single case study to discuss the problem of economic nationalism discourse within their national STI policy in more detail. Geographically, Indonesia is the largest countries among the three cases of middle-income Southeast Asian countries, a condition that granted them the largest economic potentials (i.e., abundant natural resource materials and labor) to pursue industrial catch-up. Adding to that, Indonesia is the world’s third largest democracy. The end of the New Order regime in 1998 marked Indonesia’s political transition into a democratic political system, which supposedly end the problematic patron-client relations in the New Order, specifically between the political elites and natural-resource oligarchs. However, a dramatic change in the governance system has yet to be followed by a change in economic development strategy, which still has a clear preference over national resource-centric economy. Chapter 8 then concludes the thesis summarizing and linking the findings from other chapters together. ３．. Discussions of Oral Defense Examination After carefully reading the dissertation, the examination committee convened the oral defense examination on April 1, 2020. The examination lasted approximately two hours. Several questions were raised during the examination. Some of the major points are described below. The main argument is determined by the correct identification of the critical juncture. The dissertation should have a fuller discussion on the importance of the critical juncture, the justication of critical junctures and events surrounding that period. In addition, the arguments for lock-in and path dependency needs to be deepened. In terms of the general comments, the figures and tables should be discussed more fully in the main texts. Also, more close attention needs to be paid to the establishment years of firms, especially for the privatized firms. Additional comments focused on the discussions on the dichotomy between the natural resource focused policies and the science and technology policies. Examinee agreed to these points and to revise the thesis accordingly.. ４．. Evaluation and the Result of Examination The examiners find that this dissertation is well-written and makes a number of contributions to the literature on industrial catchup in the context of developing countries. After careful assessment of the submitted dissertation, whose summary is presented in sections 1 and 2 of this report, the oral presentation of the dissertation, subsequent discussions and revisions made to the dissertation, the committee members came to a unanimous decision that Adiasri Putri Purbantina, the author of the submitted 3.

(5) dissertation, should be granted a Ph.D.. ５．審査結果：合格. 4.

(6) 申請者名： PURBANTINA, Adiasri Putri 博士論文審査委員会主査. Chief Examiner：. 氏名 N a m e : NABESHIMA, Kaoru ㊞(Signature) 所属 A f f i l i a t i o n : Graduate School of Asia-Pacific Studies, Waseda University 職位 Ti tl e: Professor 学位 Degree: Ph.D. 取得大学 C o n f e r r e d b y ： University of California, Davis 専門分野 S p e c i a l t y : International Economics 副査. Head Deputy Examiner:. 氏名 N a m e : KATO, Atsushi ㊞(Signature) 所属 A f f i l i a t i o n : Graduate School of Asia-Pacific Studies, Waseda University 職位 Ti tl e: Professor 学位 D e g r e e : Ph.D. 取得大学 C o n f e r r e d b y ： University of Michigan, Ann Arbor 専門分野 S p e c i a l t y : Development Economics 副査. Deputy Examiner:. 氏名 N a m e : MIICHI, Ken ㊞(Signature) 所属 A f f i l i a t i o n : Graduate School of Asia-Pacific Studies, Waseda University 職位 T i t l e : Professor 学位 D e g r e e : Ph.D. 取得大学 C o n f e r r e d b y ： Kobe University 専門分野 S p e c i a l t y : Politics in Southeast Asia 副査. Deputy Examiner:. 氏名 N a m e : MICHIDA, Etsuyo ㊞(Signature) 所属 A f f i l i a t i o n : In st i t u t e o f Devel o p i n g E c o n o mi es , Ja p a n E x t er n a l T r a d e Or ga n i z at io n 職位 T i t l e : Senior Researcher 学位 D e g r e e : Ph.D. 取得大学 C o n f e r r e d b y ： Kobe University 専門分野 S p e c i a l t y : International Economics. ２０２０年６月２２日 5.

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