本研究探討1970年代末以降，智利、南韓與巴西三個新興市場國家，為何在面臨國際經濟自由化的相同政策挑戰時，會產生不同的短期政策回應。這些政策回應的差異最後更造成三國長期金改路徑的分歧。為解釋此研究問題，本研究整合國際與國內分析層次，就國際政策環境與國內政策過程及其產出兩部份，觀察制度否決點與政策關鍵行動者的互動，在長時間下對三國金融自由化改革造成的影響。 首先，本文根據三國金改在「步伐、範圍與程度」上的差異，建構三種不同長期金改路徑，即：「震盪-全面型改革」（shock-comprehensive reform）、「漸進-部分型改革」（gradual-partial reform）與「延緩-有限型改革」（delayed-limited reform）。這三種長期金改路徑的分歧，主要來自三國短期金改類型（即大幅改革、緩慢改革、無改革與改革倒退）變遷的累積。 其次，經由對三國進行個案導向的比較與貫時研究後，本研究除釐清三國長期金改路徑的演變轉折，也發現三國短期金改類型的變動，主要受到不同時期（1）政策關鍵行動者裡反對勢力否決力量的強弱，與（2）執政聯盟的政策取向係屬國家干預或市場導向，兩項因素組合變化的影響。 智利的個案研究結果顯示，1970-2000年智利的「震盪-全面型」金改，主要奠基於Pinochet軍政府，在1975-1989年成功開啟的大幅改革。1990-2000年，民主協定政府接替執政後，這種務實的新自由主義改革路線，透過憲政制度對威權勢力的保護設計，使民主協定政府因反對勢力否決力量強大，只能選擇繼續延續「Pinochet式」的經濟政策。 南韓的個案研究反映出南韓的「漸進-部份型」金改，主要係源自1980-1997年，執政聯盟內代表大財閥利益的韓國工業聯盟，對全面金融自由化的反對。該因素不僅使執政聯盟長期在國家干預與市場導向立場上反覆拉鋸，更導致南韓短期金改類型持續在大幅改革與大幅倒退間擺盪。1997年，南韓經歷嚴重金融危機衝擊，為原本「進退拉鋸」式的長期金改路徑帶來關鍵轉折的契機。 由於舊執政聯盟的結構，因政黨輪替瓦解，並由金大中總統主導的市場改革派控制，同時反對勢力否決力量轉弱，金大中政府因此能順利推動1998-2000年南韓金融體系的結構改革，最終促成過去「漸進-部份型」的長期金改路徑，出現重大轉變。 巴西的個案研究凸顯巴西的「延緩-有限型」金改，係源於政策取向與反對勢力否決力量兩因素，長期未出現發生大幅改革的條件組合。1961-1979年，反對勢力的否決力量由強轉弱，為推動大幅改革提供良好契機，但執政聯盟的政策取向多數時期卻為國家干預。 1985年以後，市場導向的政策取向逐漸在執政聯盟裡取得主導地位，但反對勢力否決力量反而在恢復民主體制後轉強。巴西推動改革的兩項重要條件未能配合，使其長期金改路徑始終無法脫離改革緩慢與延宕的狀態。迄Cardoso民主政府執政後，新自由主義的改革路線在執政聯盟裡取得主導地位，再加上反對勢力的否決力量相對轉弱，才促成巴西出現少見的大幅改革現象。 / The dissertation mainly explains why these three emerging markets, Chile, South Korea and Brazil, while facing the same challenge from the international economic liberalization since the late 1970s, have different short-term policy responses. These differences ultimately create the divergence among these three countries on the long-term financial liberalization reform. This research integrates the domestic and international level of analysis by focusing on two parts, the international policy environment and the domestic policy process and outcome, to observe the interaction between the institutional veto points and the key actors in policymaking and its impact on the financial liberalization reforms among three countries over time. First, this research constructs three typologies of long-term financial liberalization paths by their different reform “pace”, “scope” and “depth”. They are “shock-comprehensive reform”, “gradual-partial reform”, and “delayed-limited reform.” The divergence of these three long-term financial reforms is mainly accumulated by the change of three countries’ short-term type of reform (large reform, gradual reform, non reform and reform reversal) over time. Second, this research clarifies the evolution of the long-term financial liberalization paths of three countries by conducting comparative and longitudinal case-studies. It argues that the change of short-term type of reform is mainly influenced by two causes, i.e. the veto power of opponents among key actors in policymaking (weak or strong) and policy orientations of the ruling coalition (market-oriented or state intervention). The case of Chile shows that the “shock-comprehensive reform paths” during 1970-2000 is mainly based on the successful large financial reform of Pinochet regime from 1975 to 1989. The pro-Pinochet authoritarians checked the change of pragmatic neoliberal reform with the constitutional veto powers after the democratic Concertación government in office and kept Pinochet-style economic policies intact in the end. In South Korea case, the “gradual-partial reform paths” was from the big conglomerates’ (chaebols) opposition to the complete financial liberalization during 1980-1997. It brought the tug of war of ruling coalition’s policy orientation between market-oriented and state intervention, hence contributed to the oscillation of short-term financial liberalization reform types between large reform and reform reversal in South Korea. In 1997, the Asian financial crisis hit the economy of South Korea severely, and brought the turning point of the change of “gradual-partial reform path” in the past. The structure of old ruling coalition was collapsed due to the regime change and the takeover of President Kim Dae-jung, the market reform faction. While the veto power of opposition party was getting weaker, Kim Dae-jung administration was able to boost the structural reform of financial system in South Korean during 1998-2000, and ultimately contributed to the major change of “gradual-partial reform path”. In Brazil, the absence of the combination of policy orientation and veto power of opponents among key actors in policymaking, which may cause the large reform, was the main reason of its “delayed-limited reform”. During 1961-1979, the weakening opponents’ veto power opened the window of opportunity for the large reform, but failed due to the state-intervention policies adopted by the successive ruling coalitions most of time. After the advent of democratic era in 1985, the market-oriented policy was dominant in various democratic ruling coalitions. However, the strengthening veto power of opponents after the recovery of democratic regime became the obstacle of the actualization of reform policy. The mismatch of two causes which may contribute to the happening of large reform was not changed until Cardoso government in office. The neoliberal policy orientation of President Cardoso’s ruling coalition and the weakening veto power of opponents contributed to the rare large reform in the path of delayed and limited financial liberalization in Brazil.

媒體網路科技的發展以及數位技術的解放，讓個人媒體開始出現。這些草根媒體不論在型態或是內容產製上都與過去的大眾媒體有很大的差異。2000年韓國出現了強調人人都是記者的公民新聞媒體《Ohmynews》，短短幾年成為韓國前10大影響力的新聞媒體，也讓公民新聞開始受重視。在察覺公民新聞的發展趨勢以及擴大台灣公共電視影響力的需求下，2007年4月30日PeoPo公民新聞平台正式成立運作，它是第一個強調以影音為主的公民新聞媒體，也是強調人人皆可參與的開放新聞平台。 一年的運作下來，PeoPo公民新聞平台不論在公民記者人數的成長或是新聞數量的增加都有了相當的成績，並且舉辦過多場活動展現了草根媒體的影響力。透過PeoPo公民新聞平台，更多人有了公共參與以及關心社區事物的機會，也看到了不同地區、年齡、背景的民眾參與公民報導的實踐。 本研究將透過實際參與PeoPo新聞平台發展一年觀察的田野筆記，呈現PeoPo公民新聞平台發展的軌跡；並且透過量化的問卷以及質性的深度訪談，了解PeoPo公民新聞平台在公眾參與以及多元報導上的表現。

學校教育為國家培養人才庫最具組織成效之社會系統，而學校教育目前亦成為輿論批評最為強烈之教育體系。本論文嘗試以法學為經，以經濟學、公共行政學、教育學等為緯，針對近年受新自由主義影響所開展之行政改革理念，進而觸及之公立國民學校法制改革課題，主要係以公部門及私部門有互相合作、共創雙贏之可能性為觀點，討論民間參與國民教育興辦之最新合作模式。 公立學校之改造模式，在教育改革之理論與實際均有多元發展，但美國特許學校制度則為近年獲聯邦及多數州支持之新法制，且特許學校被評價為公立學校成功之改造類型。該制度主要係透過解除法令管制手段，容許主管機關以特許使私人參與公立學校辦學，辦學者可透過引進專家、競爭觀念、自主、選擇及績效責任等機制，形成獨立性高之新型公立學校教育體制，賦予此類學校展現更具多元化及創造性之辦學環境，其亦屬廣義公立學校委託私人經營模式之一。本論文借重美國成功發展之特許學校法制及實際辦學經驗，期待我國學界及教育主管機關於積極繼受此法制之同時，亦得深切體認我國自身之教育環境與文化背景，建立適合本土教育之制度，並更兼顧教育之卓越與公平。 本文之法學分析途徑，除藉由比較法之觀察外，並以我國憲法及行政法規範體系作為論述基礎，試圖開發我國國民教育法及特許學校法制之原理原則，以作為目前相關立法草案之參考，及期望有助於我國相關類型學校興辦之完善。 / A Charter School’s Research of Law Institutions in None-Governmental Participant in Education School education is an organized social system for nations human resource cultivation, which has becomes the most fiercely criticism in present though. Besides, the ideal of transformation under the influences of latest New Liberalism, has been approached the debate of institutional reform in public school in consequences. So, our thesis applied some methodologies such as laws, economics, public administrations, pedagogies and some other knowledge domains, primary focusing on public and private sectors’ collaboration issues, enabling to create a win-win outcome as prospect, and discussing the latest cooperation model for non-governmental participant in education. In fact, public school transformation model in theory and practice for educational reform is already advanced. However, American Charter School System, appraised as a successful transformational type of public school, is supported by new law institutions of Federal and many other states in recent years. Through its decretal deregulation may permit competent authority’s establishers who privately participate in public school establishment with “brain-gaining” experts, competitive concept, independence, selection, accountability and other mechanisms by using Charter. Therefore, a new typical educational system conferred the environment school establishment in more plural and creative way is arised. Our thesis adduced from a successful establishment of American Charter School’s experience before acdemic fields and competent authorities of education implementing the law institutions. In addition, in order to consider the difference of educational environment or culture background, selecting the appropriate pedagogy for country is the first priority we expected. Finally, as a reference for related legislation and expectation to support school establishment, we are not only using a comparison method for extensional observation, but also trying to develop a pattern for nations’ pedagogy and Charter School institution. Keywords: Charter School, Nations Education, non-government education, public school, New Liberalism, Cooperated Nations, Public Private Partnership, the third route, educational reform, transformation of organizing, deregulation, Privatization, parents’ educational right, parents’ right to choose, elasticity, plural principle, neutrality principle, relenting principle, municipal governance, administrative contract, performance doctrine

知識經濟時代，智慧財產權已經成為公司經營的策略重點，不再只是著重於法律與科技等構面，觸角更擴張為經營管理、商業競爭、企業併購、財務規劃與驅策新事業的重要工具。新的專利侵權原告（The New Breed of Patent Infringement Plaintiffs）便趁此一熱潮悄然誕生，美國稱之為「Patent Troll」，其不為營運研發、純粹在全球購買專利，以創造利潤與策略佈局考量為主，挾著專利持有人的地位大張旗鼓尋找「交易」對象，以訴訟為手段作為談判的籌碼，到處發警告函以獲取權利金。「Patent Troll」不僅在法律制度上引發爭議，更提高企業在智財管理方面的困難度，其對專利體系上的影響是全面性的。 本文第一章主要說明本論文之研究動機，包含專利訴訟新趨勢、新的商業營運模式，以及順應而生的「Patent Troll」之情形，闡述其所造成與被授權人間議價能力失衡之現象，接著闡述其對交易關係的影響以及美國法上相應適用的法律原則之變化，最後針對台灣的現況做一說明並向企業提出策略上之建議。 第二章蒐集並整理國內外與「Patent Troll」相關問題的爭議及探討。首先針對智慧財產服務業(IP Service Corporation)及智財控股公司(IP Holding Company)等名詞作一基本介紹。次對「Patent Troll」之名詞、定義、由來及分類做一整理介紹，接著說明「Patent Troll」之特徵、功能及商業模式。最後則針對各方文獻對於專利管理流程以及企業營運策略等建議做一整理分析。 第三章針對「Patent Troll」此一名詞做全面性的介紹與探討。首先對「Patent Troll」的定義、名詞爭議、發展歷史及與類似名詞的區辨為一概括式的介紹，本文將「Patent Troll」定名為「專利地痞」，並認為分析特徵可歸納為下列七項，只有當七項特徵都符合時才是本文所指涉之專利地痞：（一）為專利權人的個人、獨立發明人或公司；（二）藉由購買專利（如MercExchange）或進行技術創新(如Lemelson)；（三）不製造生產產品；（四）非提供專利服務；（五）鎖定目標公司（Target Company）：該目標公司必須是獨立發明製造技術，真正使用該專利，欠缺專利授權，在商業上成功，並且出現且已投入不可回復的損害；（六）以訴訟與禁制令作為要脅；（七）以達和解授權以獲取權利金等創造利潤及策略布局。接著說明「Patent Troll」的分類，以掌握其可能存在的不同態樣，本文將專利地痞分類為「發明型」專利地痞」，以及「購買型」專利地痞。然後就其特徵、優勢及商業模式加以闡述，歸納出一些共通的特徵，本文認為專利地痞的商業模式可以分成下列幾個步驟，第一階段為累積專利期，第二階段為授權協商期，第三階段則為專利訴訟期。各階段之間有其前後順序，並且環環相扣，除了第一階段需投入成本外，另外兩個階段均以創造利益為最終目的。最後再就全球各主要國家關於「Patent Troll」的現況進行討論並提出結論，以此部分的撰寫與結論作為第四張及第五章關於法律面與管理面相關議題批評檢討的基礎。 第四章探討「Patent Troll」在美國法上涉及的相關法律爭議問題，期以此觀察緣起環境變遷的方式了解國內外法制環境的差異，並定位台灣在此一進程中所處之發展位置，以解析台灣關於「Patent Troll」此議題重視之必要與否以及應該採取的態度與方法。首先以美國法上針對「Patent Troll」此一議題在行政、立法和司法的變革為引，帶出此一議題影響層面的全面性。次專注於美國法上關於立法上「專利改革法案」對於解決「Patent Troll」問題所做的努力，如前已提及之專利先申請原則、專利侵權損害賠償計算基礎、惡意侵權損害賠償、專利核可後非經訴訟程序的異議制度（Post-Grant Opposition）和專利侵權訴訟管轄權等。接著以法院判決的變化演進，如前述主要提及之2006年eBay v. MercExchange一案中對於禁制令核發原則的確立、2007年KSR v. Teleflex一案中對於可專利性原則（Patentability）的解釋運用，2007年MedImmune,Inc. v. Genentech一案對於確認判決（Declaratory Judgment）行使範圍的解釋。2007年Microsoft v. AT&T 針對域外效力（Extraterritorial Impact）的確立，以及2007年In re Seagate一案對於惡意侵權(Willful Infringement)的認定等。最後針對個別修正法案或法院判決的變遷對專利地痞的影響做一說明。 第五章提出企業面對「Patent Troll」此一威脅時所能採取的因應策略。將以第三章所分析之專利地痞商業模式三步驟為本，針對專利地痞行使各該步驟時，企業可能採取的因應策略。第一階段的累積專利期，包含有專利資訊管理、專利購買與公司併購、延攬IP專業人才、保險分擔機制與提撥準備金、技術創新設計、專利交叉授權、專利策略聯盟、契約條款規劃和其他新型態的因應策略等；第二階段的授權協商期，包含有專利評估、和解授權，確認訴訟；第三階段的侵權訴訟期，則有專利訴訟程序、侵權認定程序、善用迴避設計、提出異議制度、提出專利再審查、慎選繫屬法院，以及採取團體訴訟以資因應等。期以一相關流程使企業得以瞭解其現階段落在何種情況時應採取何策略始得降低風險並妥善因應。 第六章為本論文之結論建議，結論部份，將前述第三章、第四章和第五章所提出之觀點作一概括性的總結。建議部分，即就我國產官學各界及現行法制面對「Patent Troll」問題可能適用之解決方式加以檢討並提出建議。 / In the knowledge-based economy era, intellectual property has become the focus of business management strategy. The concerns of intellectual property management extend from law and technology to management, market competitions, mergers and acquisitions, financial plans, and start-ups. The trends also bring forth a new breed of patent infringement plaintiffs, Patent Troll, who do not undertake R&D and purchase patents worldwide as their main profit and business strategy. Those patentees utilize litigation as measures to bargain with their “clients” to obtain loyalties. The issue of Patent Troll is influential in the Patent system. It rouses controversy in legal system and increase difficulty for industry in intellectual property management. Chapter I describes the main concern of this thesis, including new trends of patent litigation, new business model, and “Patent Troll.” The chapter will elaborate an imbalance of bargaining power between licensors and licensees cause by patent troll, the influences of patent troll to IP transactions, and the changes of legal principles under U.S. patent law and judicial decisions. The chapter will outline the current situation in Taiwan and propose some strategy to industries. Chapter II involves relating issues on "Patent Troll" in Taiwan and abroad. First, the chapter will introduce the definition of IP Service Corporation and IP Holding Company. Then the chapter will elaborates and discuss patent troll from the name, definition, classification, origin, features, functions and business models. At last, this chapter will analyze the patent managerial process and operating strategies for the industries. Chapter III focuses on a comprehensive introduction towards patent troll. First, the article elaborates the disputes on the definition, the term, the history and the differences between similar terms of patent troll. A Patent troll should meet all the following seven characteristics, (a) patent owner/independent inventor/company; (b) Compare purchase of rights (MercExchange for example) vs. invention (Lemelson for example); (c) Does not Make, Use, Sell, Offer to Sell, Or Import Patented Article/ Does not Use/Practice Patented Method; (d) no IP Service; (e) Target company (infringer): The target company must be an independent inventor of the technology, has real use of the patent, lacks of patent license, has successful business and devotes substantial investments; (f)Threat of litigation & Injunction; (g) Demand for licensing fee. Then the article describes the classification of patent troll in order to grasp the potential types of it. Patent troll in this chapter will be classified as "inventor" one and "purchaser" one. The business model of patent troll can be divided into three stages: (a) cumulative period ;(b) licensing and consolation period and (c) patent litigation period. The three stages are of time sequence and closely linked together. The “Patent Troll” needs to invest money only in the first stage and take profit creation as the ultimate goal in the other two stages. Finally, the chapter describes and discusses the developments and current status of patent troll in some major countries in the world. The observation and discussion will be served as the foundation for further discussion in the following chapters. Chapter IV focuses on the legal principle changes under U.S. patent system in three dimensions: administration, legislation and jurisdiction and illustrates the effects that occur to patent troll. The changes of administration focus on three parts: the limitation of continuation application, the limitation of divisional application and the limitation of claims. In legislation, the changes focus on “Patent Law Reform Act”, including the first-to-invent to first-to-file principle, the calculation basis of damages, enhanced damages, post grant review procedure, and venue and jurisdiction. The changes of jurisdiction focus on five verdicts and cases, eBay v. MercExchange, KSR v. Teleflex, MedImmune, Inc. V. Genentech, Microsoft v. AT & T, and In re Seagate. The chapter will elaborate the influences of those changes and decisions on the business model of patent troll. Chapter V proposes some possible solutions and strategies to industries when they are confronted with the threats of patent troll. This thesis takes the three stages of patent troll’s business model as a foundation and proposes the strategies for industries against patent troll during different stages. The strategies for first stage are IP information management, patent purchase, mergers and acquisitions of companies, IP professionals recruitment, insurance mechanism, technology R&D, patent cross-licensing, patent alliances, contract planning and other new types of strategies and so on. The strategies for the second stage include patent evaluation, authorization of reconciliation and declaratory judgment. The strategies in the third stage are patent litigation, infringement procedures, patent design around, patent re-examination, choose of venue and jurisdiction and group litigation. The thesis expect to enable industries to understand what stage they fall on and what strategies they can adopt, with the proposal of management procedure. Chapter VI will be the conclusions of this thesis and will include suggestions on the issue of patent troll to industries, government and academia.

民主政治運作過程中，當主政者無法滿足選民需求時，選民理所當然會以選票表達其自主性，找一個更符合其需求的政黨作為治理國家的代理人（總統）。政黨輪替就成為選民選擇最佳代理人的手段。政黨輪替的本身，就是一種權力交替與權力制衡，特別是在執政黨交不出政績的時候，政黨輪替就是一個民主的制裁機制，更是一個國家走向民主政治的重要指標。 影響選民決定更換治國代理人的投票抉擇因素，主要有政黨因素、候選人因素，抑或是議題因素。無論在美國與其他西方國家，甚至在已開發或開發中國家都已經獲得印證。當選民利用參考標的進行投票，選民的總統選舉投票結果將會匯集成決定最後政權誰屬。把票投給執政黨的候選人，還是把票投給在野政黨的候選人，不僅攸關個別政黨與候選人的選舉成敗，而且還影響到統治權力歸屬，甚至會牽動政黨輪替執政的可能性，其重要性，不言而諭。也正因如此，政治學者亟思理出選舉各黨勢力消長的軌跡，試圖描繪出選民投票抉擇的決定如何影響政治權力的轉移。 本文的目的，是研究選民投票抉擇的一般原則應用到總統選舉結果「政權轉移」或「政黨輪替」這個重要的主題，針對可能造成多數選民由投票支持原有執政黨轉而投票支持原有最大在野黨取得執政權的成因進行討論。台灣與墨西哥這兩個長久以來一黨威權獨大的政權，卻同時在西元二○○○年發生政黨輪替的現象。有關選民選擇支持原有最大在野黨取得執政權的成因，主要從三個面向進行討論： 首先，政黨認同因素，選民政黨認同發生改變所引發的政黨認同重組現象，讓原本獲得多數選民支持的執政黨，因為政黨重組的因素變成僅吸引少數選民支持的在野黨；相反地，原本僅有少數選民支持的在野黨，因為政黨重組的關係變成吸引多數選民支持的執政黨。其次，候選人因素，候選人人格特質、能力與對候選人情感溫度等因素，讓多數選民受候選人這個短期因素所影響而選擇支持最大在野黨執政。最後，議題因素，選民的展望性評價與重大議題中的改革議題，因選民希冀更換原有執政黨，由最大反對黨執政，能夠改變趨於日益不振的經濟現況，並透過大幅改革能改變舊政府的缺失，期望新政府能夠振衰起弊。 / In the democratic operation process, when the director is unable meet the citizens need, the citizen would express their autonomy by votes. Looking for one (or political party) who could conform to the citizens demand takes the government (president) of this country. Party rotation is a democratic sanction mechanism. That is an important indicator for country achieving the democracy. There are some factors must be considered while establishing voting behavior models in the turnover elections. There mainly are the party identification or party preference, the candidate image, and policy orientation. My thesis finds that party realignment is the key variable for 2000 Mexican presidential election, but 2000 Taiwan presidential is not. Candidate image or candidate personality centers on competence, likeability, honesty, reliability, and understanding people’s needs. Candidate evaluation refers to an overall assessment of the candidates: it is measured by way of “feeling thermometers”. My study found that candidate image is an important factor in determining Mexican and Taiwan voters choosing the opposition party candidate for a new president. The results shows that the policy issues, including prospective economic voting and the salience issue of change influence people’s voting choices.

本研究的目的在於了解當前高等教育的改革趨勢，進而探討與分析越南高等教育對當前高教改革趨勢的相關改革及其所衍生的問題，並提出一些建議，作為越南教育主管當局的參考。 基於高等教育大眾化、市場化及國際化的理論基礎，本研究採用文件分析與訪談法進行研究，探討與分析越南高等教育對當前高等教育改革趨勢的相關改革及其所衍生的問題。經過研究後，本研究得到以下的結論： 一、大眾化、市場化及國際化是當前高等教育改革趨勢 二、越南高等教育發展的各個時期經過許多變遷和不斷地改革 三、教育品質低落是當前越南高等教育的最大問題 四、為滿足國家發展的人力資源需要及人民學習的需求，越南高等教育加速大眾化 五、在高等教育市場化的趨勢下，越南高等教育以革新教育管理制度、推動社會化教育政策及結合產學合作方式等改革來因應。 六、為提高國內高等教育品質及與國際接軌，越南政府以留學生政策、學術交流合作及結合國內外合辦高等教育政策，來推動越南高等教育國際化。 七、越南高等教育大眾化導致量與質不均衡、整併及增設高校問題及非公立高等教育機構的問題 八、越南高等教育市場化所衍生的問題包括教育市場尚未完全形成、管理制度的問題、社會化教育政策的問題。 九、人才流失、國內高等教育市場面臨國際競爭壓力及經費不足導致國際交流合作困難是越南高等教育國際化的主要問題。 / The purposes of this study is to explore the reform trends of higher education; to analyze the reforms of higher education in Vietnam and its problems and then to offer some suggestions to the Vietnamese educational administration as a reference. Based on the basic theory of massification, marketization and internationalization of higher education, analyze the reforms of Vietnamese higher education and its problems through the document analysis and interview methods. The study has following findings: 1.Massification, marketization and internationalization are the trends of higher education reform in the world. 2.Vietnamese higher education system has undergone several periods of reform and every period has its features. 3.Low quality is the most serious problem of Vietnamese higher education. 4.The needs of manpower for national development and the learning need of society have resulted in accelerating the massification of higher education in Vietnam. 5.Innovation of the management system, promotion of the educational socialization and industry-academy cooperation are the resolutions to face with the marketization of higher education in Vietnam. 6.In order to improve the quality of higher education and to integrate into the world’s level, Vietnamese government has promoted the internationalization of higher education by the policies of teachers and student mobility, academy exchange and inter-cooperation. 7.The massification of higher education in Vietnam has resulted in the imbalance between quality and quantity and many problems from the amalgamation and the non-public higher education institutions system. 8.Education market has not completely shaped, the problems of management system and educational socialization policy are resulted from the marketization of higher education in Vietnam. 9.Brain drain, pressure from the directly competitiveness with foreign universities and lack of finance are the problems of Vietnamese higher education system in internationalization process.

近年來在美國有一種”新興產業”崛起，部份非專利權實施者NPE，專門尋找實際生產商品或提供服務的知名企業為對象，以提出專利侵權訴訟的方式，加上持有法院核發之禁制令，威脅被告以達到強迫授權或合解的目的，一般稱之為「Patent Trolls」。 按專利制度的二大政策目標，一為提供發明人發明的誘因，一為鼓勵發明人揭露其發明技術內容，而Patent Trolls投機性授權模式所造成的問題，是否會破壞專利法之立法目的，而降低企業投資創新研發的誘因，乃值得觀注且為有待解決的議題。 故本文之主要目的乃從美國與台灣之專利改革與實務判決，探討Patent Trolls之解決之道。 / Recently there is a “new industry” in the U.S., some NPEs brought patent infringement suits against famous enterprises, which manufacture product or supply service and threatened with injunction, commonly called “Patent Trolls”. Among the two policy objects of patent law, one is giving the inducement to invent, the other is encourage inventors to disclose their inventions. Whether the problems caused by the opportunistic licensing models of Patent Trolls would cause damage to the object of patent law and decrease the driving force to invent of the enterprises is an issue worth observing and solving. Consequently, the object of this thesis is to discuss the solution of the Patent Trolls issues in light of Patent Reform and cases in the U.S. and Taiwan.

民主國家中選舉是獲得政治職位、聲望或權力的主要途徑之一，有許多因素會影響選舉結果，其中選舉制度是決定在位者與挑戰者去留的關鍵，決定如產生當選者，選舉制度往往會影響候選人的參選動機、競選方式、選民的投票行為，甚至會造成不同類型的政黨政治。本研究主要探究立委選舉從第七屆開始實行單一選區兩票制後，區域立委候選人的政治立場相較於過去在複數選區單記不可讓渡投票制下，是否有所不同或發生改變。本研究以兩岸議題為例，以第五屆及第七屆區域立法委員候選人為分析單位，並依其選舉公報採內容分析法為研究焦點。本研究有幾個研究發現：首先、選制改革有相當程度反映在屆別的差異上，對立委候選人兩岸立場造成影響；其次、雖然新選制下立委候選人提出更多的兩岸政見，但所提出的兩岸政見，新選制相較於舊選制，不但統獨立場趨中，且論述語氣略微和緩，此一發現支持中位選民定理，也就是說，在單一選區相對多數決制之下，立委候選人的兩岸議題不管在方向或是程度上，相較SNTV制度均有往中間靠攏的趨勢，意即新選制下的立委候選人在政見立場方向，是符合理論預期往意識形態光譜中間移動，傾向提出方向趨中且統獨維持現狀或中立的兩岸政見。 / In democratic country, election is the main approach for the politicians to receive position, reputation, and power. Many factors affect the result. Electoral system is one of the key causes to determine who-incumbent and challenger- will win the election. In addition, electoral systems also affect the process of producing winner, the candidates’ motive and campaign, the electorate’s voting behaviors. and even different types of party politics. This paper targets on the district legislators’ behaviors. Do their behaviors change after the electoral reform transiting from SNTV to Single-District Two-Votes System? To be more specific, I focus on the fifth and seventh terms of legislators as the analysis unit, and explore their attitudes or campaign platform on Cross-Strait issue, which are published on the campaign communique. I used the content analysis to analyze the campaign communique. There are several findings implied from this research. First, electoral system indeed affects legislators’ positions on Cross-Strait issues. There is significant difference between the fifth and seventh terms of legislators. Second, comparing with the fifth term, although the seventh term of legislators propose more Cross-Strait-related campaign platform, their attitudes are more moderate. This finding supports the median voter theorem. Under the Single-District System, comparing with SNTV, legislators will stand on moderate position on Cross-Strait issue, no matter on direction or intensity. In conclusion, the findings fit to my expectation that the seventh term of legislators stand on moderate position on the political spectrum. They are incline to propose more neutral campaign platform. They prefer maintaining the status quo to unification or independence.

在金融市場國際化之趨勢下，各國金融交易參與者極可能受到跨國破產事件的影響。同時，受到金融創新潮流的驅使，非傳統金融工具的商業活動亦構成金融市場重要環節之一，從而探討破產法制對於非傳統金融交易契約之處理方式，實有其重要性。本文以店頭衍生性金融交易市場以及所選取案例為中心，探討跨國破產事件相關議題，包括破產法制對於店頭衍生性金融交易所給予的特殊規定（或在破產法制下承認提前終止與淨額結算條款之效力，以下均統稱為「破產法特殊規定」），以及相關跨國破產事件之可能處理模式或合作途徑。 本文以國內外學術文獻、法院見解之整理為基礎，進行法學分析，並輔以金融實務觀點進行研究，於各相關部分同時探討我國法制。本文分為七章，內容簡介如後。 首先，於第一章說明研究動機、目的、研究方法與架構，同時也限定研究範圍。又因跨國破產事件具多樣性與複雜性，為使本文討論範圍明確與聚焦，故於第二章先行提出具體跨國破產事件之美國與英國案例及其爭議問題，並以其做為本文探討中心與範圍，探討內容即包含破產法制涉及店頭衍生性金融交易之規範實體面議題，以及跨國破產事件處理方式之程序面議題。後續章節將陸續探討上開問題。 第三章簡介店頭衍生性金融交易，以及說明其常見契約結構、相關法律問題。本章同時介紹「單一主契約模式」與「提前終止與淨額結算條款」之概念，學者及實務工作者有謂上開契約條款之功能，包含避免於破產程序中破產管理人選擇性履行或拒絕契約、降低交易對手信用風險、提升未違約方之再避險可能性、減少銀行業之資本計提成本、降低系統性風險等，而其中最具爭議性的降低系統性風險功能，也是目前全球多國破產法制承認提前終止與淨額結算條款具有效性的重要理由之一。本章著重於顯示店頭衍生性金融交易之當事人約定事項與破產法制間之關聯性，此屬於破產法制之規範實體面議題，以便於次一章接續介紹外國破產法制之相關具體內容。本章內容與後續各章均有密切關聯，故有說明之必要。 第四章先說明破產法制之一般原則，再分別於美國、英國、歐盟、日本、以及我國法制下，觀察破產法制對於店頭衍生性金融交易之例外規定（或在破產法制下承認提前終止與淨額結算條款之效力），著重於說明破產法制立法或承認「提前終止與淨額結算條款」效力之現況，並參考外國文獻探討其立法理由是否具有充足正當性，以及其規定是否有修訂或調整之必要。相對於第三章彙整學說及實務觀點以說明「提前終止與淨額結算條款」之功能，本章則援引外國文獻對破產法制立法或承認「提前終止與淨額結算條款」效力之批評，並做出該條款效力於破產法制中至少應調整為受有一定限制之結論，也就是訂有交易提前終止權之暫時凍結期間、於具系統重要性金融機構清理程序中適用股東與債權人共同承擔損失機制、交易雙方善意無偏頗等，以及在我國法制下亦宜採取同等看法。本章最後分析本文第二章案例在破產法制下之實體面問題，同時也藉此試行探討「提前終止與淨額結算條款」在破產法制下的效力範圍以及第二章案例合成型債務抵押債券交易中有關「序位轉換條款」之效力爭議。本文認為美國破產法院、英國法院係分別各自依其破產法制與公共政策對「序位轉換條款」做出效力判斷，各具實體理由；以及「序位轉換條款」在我國法制下應屬有效。 第五章在本論文題旨範圍內，先說明2007年-2009年金融危機後，二十國集團（G20）所提出的國際性指導建議，之後擇要介紹美國與歐盟依循上開建議，對於店頭衍生性金融交易市場所採行的金融改革法規，包含（但不限於）交易執行平台、集中清算、交易資料之申報、對未集中清算交易加強徵提擔保品等管理措施；此外，在跨國交易監理層面上，簡要介紹替代遵循之概念。本章並說明以上規範與跨國破產事件之關係。本章在整體研究架構上的功能有二，一方面是做為第四章破產法規範實體面議題與第六章跨國破產法制程序面議題之連結，也就是觀察美國及歐盟金融改革法令對第四章所述破產法特殊規定之影響，以及金融改革法案所對應第六章目前國際金融市場之實務發展趨勢以及特殊清理架構下之相關規定。另一方面，相對於第六章係探討發生跨國破產事件時之程序處理模式，第五章則是從破產事件發生前之前階段觀察，藉由事前建構市場監理措施及規劃，以期促進跨國破產事件發生時之處理效能。 第六章探討跨國破產事件處理方式之程序面議題。先敘明跨國破產立法所採行的基礎原則理論，包含普及原則、屬地原則、修正式普及原則、現代化屬地原則；同時簡要介紹相關跨國破產法制。繼而說明金融穩定理事會 （FSB）相關建議，以及觀察近期國際金融實務發展。之後，綜結第四章至第六章之內容，按跨國破產事件之實體面議題與程序面議題，對於涉及店頭衍生性金融交易之跨國破產事件，說明本文在相關立法論或處理合作模式層面上所採取之立場。最末，分析本文第二章案例之程序處理問題。 最後，第七章就本論文探討範圍以及第二章所提出之問題，進行總結論，並試行對我國金融市場參與者提出相關建議。 / Abstract Due to globalization of financial markets, it is hard for market participants to avoid the impact arises from cross-border insolvency events. With the trend of financial innovation, non-traditional financial instruments become an important role in financial markets, and it’s necessary to understand the treatment of these instruments under insolvency law systems. This thesis discusses specific legal issues with regard to cross-border insolvency events in over-the-counter (OTC) derivatives financial markets with focus on the relevant cases selected, including the special treatment of OTC derivatives under insolvency law systems and the potential procedures or coordinate ways to deal with the cases. Based on and reference to research of academic papers and court decisions, this thesis discusses issues through legal analysis supplemented with views of financial practice. The relevant parts are also discussed under Taiwan’s law system. This thesis proceeds in 7 chapters briefly described as follows. Chapter 1 explains the objective, purpose, and fundamental structure together with the method used of this thesis. Assumptions and Confines of this thesis are also described in this chapter. Given diversity and complexity of cross-border insolvency events, Chapter 2 attempts to present actual cases for discussion in order to providing the scope and focuses of this thesis. Key finding of the presented cases includes substantive legal issues of insolvency laws applied to OTC derivatives transactions and procedural legal issues of dealing with cross-border insolvency events. Matters aforementioned will be addressed in further chapters. Chapter 3 describes the basic understanding of OTC derivatives and the legal elements of participants’ transaction contracts in market practice. This chapter also describes the concepts of “the single agreement approach” and “close-out netting provisions”. As academic opinions and practical views mentioned, close-out netting provisions encompass the functions of eliminating the risk of “cherry-picking” by a liquidator in the insolvency proceeding, minimizing counterparty credit risk by calculating exposures on a net basis, promoting the possibility of re-hedging transactions, applying lower capital requirements by regulators to refer to netted transactions for bank industry, and reducing systemic risk in the financial system. Insolvency law systems which allow the effectiveness of close-out netting provisions heavily rationalize the legislation as being founded on preventing the threat of systemic risk. While some academic papers argue that the rationalization on the basis of reducing systemic risk is unconvincing or unnecessary for reasons. Chapter 3 primarily concerns the connections between OTC derivatives contracts and insolvency law systems, in the dimension of substantive legal issues. What addressed in this chapter is highly connected with the subsequent chapters. Chapter 4 describes the general principles of insolvency laws at first, and then observes the exclusions of OTC derivatives transactions under insolvency law systems of U.S., UK, EU, Japan and Taiwan respectively, focusing on issues respecting of validity and enforceability of close-out netting provisions. Compared with Chapter 3 which describes the functions of close-out netting stated by advocators, this chapter illustrates challenges or arguments posed by academic papers with different views. Reference to the relevant academic opinions, this thesis considers that the effectiveness of close-out netting provisions shall, at least, be subject to restrictions to a reasonable extent, such as temporary stays on early termination rights as well as on enforcement rights of security interests, application of the bail-in tool in SIFIs’ resolution procedures, and each party’s good faith. The aforesaid views are also proposed to be referenced by Taiwan’s law regime in the future. In the end of this chapter, it analyzes the cases presented in Chapter 2 within the scope of substantive issues of insolvency laws, and concludes that both U.S. bankruptcy court’s ruling and UK courts’ decisions on the flip clause embedded in CDO instruments are correct respectively pursuant to their own insolvency laws and public policies. In addition, this thesis is in the opinion that the flip clause shall be effective under Taiwan’s current insolvency law system. Chapter 5 will first describe the international guidelines suggested by G20 after 2007-2009 financial crisis. It will then go on to introduce the financial regulatory reforms adopted by U.S. and EU following G20’s guidelines, including the mandatory requirements for trading on the regulated platforms, clearing through a central counterparty (CCP), reporting to a trade repository (TR), and exchanging margins for non-centrally cleared OTC derivative transactions. Besides, the concept of substituted compliance is briefly explained herein for implementing the regulatory regimes to cross-border activities. Chapter 5 also observes the connections between the aforesaid regulatory reforms and cross-border insolvency events. Under the structure of this thesis, substantive legal issues in Chapter 4 and procedural legal issues in Chapter 6 are bridged by Chapter 5. While Chapter 6 emphasizes on ex post measures to handle cross-border insolvency events, this Chapter 5 considers ex ante measures that monitor and supervise OTC derivatives markets and that also have been expected to promote ex post measures in case. Chapter 6 addresses the procedural aspects while dealing with cross-border insolvency cases. First, the theoretical principles for cross-border insolvency law are explained, including universality, territoriality, modified universality and modern territoriality. It herein also introduces legislative regimes in relation to UNCITRAL Model Law on Cross-Border Insolvency and some jurisdictions’ international insolvency laws. Second, it turns to suggestions made by FSB. Third, the recent international trend in market practice is observed. Then, section 4 of this Chapter proposes framework of regulatory aspects and cooperation arrangements to process cross-border insolvency events, comprehensively in the substantive and the procedural dimensions. Lastly, it analyzes the cases presented in Chapter 2 within the scope of procedural issues of insolvency laws. Chapter 7 summaries conclusions on this thesis and on issues raised in Chapter 2. This final Chapter also tries to provide suggestions to our financial market participants in Taiwan.

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