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作者(中):黃聯梯
作者(英):Depante, Lianne Angelico C.
論文名稱(中):若非座上賓,則成俎上肉:論菲律賓中小企業在政商關係中的地位
論文名稱(英):If You are not at the Table, You are on the Menu: An Examination of Small and Medium-sized Enterprises’ Place in the Philippine State-Business Relations
指導教授(中):陳永福
指導教授(英):Tan, Alexander C.
口試委員:蔡中民
梁家恩
口試委員(外文):Tsai, Chung-Min
Leong, Kar-Yen
學位類別:碩士
校院名稱:國立政治大學
系所名稱:亞太研究英語碩士學位學程(IMAS)
出版年:2021
畢業學年度:109
語文別:英文
論文頁數:140
中文關鍵詞:中小企業菲律賓政府跟生意的關係集體行動政治經濟制度主義
英文關鍵詞:SMEsPhilippinesstate-business relationscollective actionpolitical economyinstitutionalism
Doi Url:http://doi.org/10.6814/NCCU202100402
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中小企業是許多經濟體的支柱,在菲律賓的情形下更是如此,因為其有99.52%的企業屬於該類別。但儘管菲律賓中小企業為幾近所有公司的類型,且雇用了大部分的勞動力,對於其國內生產毛額的貢獻僅為35.7%,與附近地區相比表現最差。因此,學者們試圖解釋這個議題,其中許多研究強調經濟和基於企業的角度來解釋。然而,由於這些研究途徑忽略了中小企業運作背後之政治脈絡,而有所限制。為了突破這個限制,本項研究採用修正的國家-企業關係理論作為分析架構,而結合以利益為基礎與制度論此兩種研究途徑來分析菲律賓中小企業部門。本研究以文獻回顧和關鍵人物訪談作為資料搜集之來源,質性地討論國家和中小企業之間的組織關係以及兩者關係的本質。本研究的資料來源為文獻回顧以及對關鍵報導人的訪談為主,以質性研究的方式分析菲律賓政府和中小企業組織以及兩者間的關係。本研究對國家與中小企業關係的分析顯示,在政府方面,國家的新自由主義取向使負責發展中小企業的機構受到阻礙;而在中小企業方面,在組織上十分雜亂無章,也因此限制了其對國家無效政策制衡的潛力。在這樣的情況下,可信度與透明度等弊端將深深困擾著兩者間的互動,亦對中小型企業政策的制訂與實施造成負面影響。為瞭解上述情況的起因,已有研究針對國家發展過程中導致不平等產業結構的關鍵時期與事件、中小型企業間無組織的傾向、以及政府新自由主義的方針進行歷史性的分析。大致而言,與市場基本主義之立場相佐,該研究指出政治在發展與經濟中至關重要。有鑑於此,若欲使小企業成為經濟中重要的生產力,學者、政策制訂者、及中小型企業自身應支持對中小企業進行政治賦權之議程。
Small and Medium-sized Enterprises (SMEs) are the backbone of many economies. This is especially true in the Philippines’ case, where 99.52% of businesses fall under the category. Yet despite accounting for nearly all firms and employing the majority of the labor force, Philippine SMEs contribute a mere 35.7% to the GDP, performing among the worst in the region. As such, scholars have tried to illuminate this conundrum, with much of the studies underscoring economic and firm-based explanations. Such approaches, however, are limited as they overlook the broader political context in which SMEs operate in. To fill this lacuna, this work has combined interest-based and institutional approaches by using a modified theory of state-business relations as a framework in analyzing the Philippine SME sector. With literature review and key informant interviews as its data-gathering instruments, this thesis qualitatively examined the organization of the Philippine state and the SMEs and the nature of the relationship between the two. The findings of this study’s contemporary analysis of state-SMEs relations indicate that, on the government side, the state’s neoliberal orientation has hindered the agencies tasked to develop the SMEs from becoming effective development partners, whereas on the SMEs’ side, the sector is largely unorganized, limiting its potential to serve as a check-and-balance on the government’s ineffective policy implementation. Under these circumstances, the nature of interaction between the two has been beset by issues regarding credibility and transparency, perversely impacting the way SME policies are formulated and implemented. To understand the situation that led to this point, a historical analysis was conducted, particularly by investigating the critical junctures and events that contributed to the formation of the country’s lopsided industrial structure, the unorganized nature of SMEs, and the state’s neoliberal orientation. By and large, this work has demonstrated that, contrary to market fundamentalism, politics matters in development and the economy. It is in this light that the agenda of political empowerment of SMEs is recommended to be taken by scholars, policy-makers, and the SMEs themselves if we are to flip the table that hinders the tiny firms from becoming potent, productive forces in the economy.
Table of Contents VIII
List of Figures X
List of Tables X
List of Abbreviations XI

Chapter 1: The Problem and its Background 1
Introduction 1
SMEs: The ‘Crippled’ Backbone of the Philippine Economy 2
Statement of the Research Problem and Questions 3
Significance of the Study 5
Scope and Limitations of the Study 5
Thesis Organization 5

Chapter 2: Overview of the Philippine SME Sector 7
Definition of SMEs in the Philippines 7
Profile of the Sector 8
Policies and Programs on SME Sector Development in the Philippines 10
Agencies Supporting SMEs in the Philippines 13
Performance of the Philippine SME Sector 15

Chapter 3: Various Explanations to the Philippine SME Sector’s Weak Performance: A Review of Literature 18
The Dominant Perspective: The Technical-Economic School in Small Enterprise Sector Development 19
Access to Finance 19
Access to Expanded Markets and Value Chains 21
Business Environment Reform 22
Firm-based Explanation to the Performance of Philippines SMEs 23
Orientation and Characteristic of the Owners 23
Financial Decision-making Style and Literacy of Owners 24
Firm-specific Traits and Characteristics 24
The Political Economy Perspective to SME Sector Development 25
Idea-based Explanations 27
Institutional Explanations 27
Interest-focused Explanations 28
Theory of State-Business Relations (SBRs) 29
Collective Action and Organization of the SME Sector 30
Gaps in the Literature 32

Chapter 4: The Theory of State-Business Relations 33
Rationale for the Selection of the Theory 34
Components of State-Business Relations 34
Private Sector’s Organization 34
Nature and Capacity of the State (Public Sector’s Organization) 35
Nature of the Interaction between the State and the Businesses 36
Impact of Historical and Political Developments to SBRs 37
Taiwan: A Case of a Successful State-SMEs Relations 37
Summary of the Chapter 40

Chapter 5: Research Design 41
Ontological and Epistemological Underpinnings of the Study 41
Methodology 41
Data Collection Methods 42
Methods of Data Analysis 45
Summary of the Current Study’s Research Design 45

Chapter 6: Historical Roots of Philippine SBR and the LE-dominated Industrial Structure 46
The Philippines: An Overview 46
Land, Entrepreneurship, and the State: A Brief of History of the Philippines 48
Pre-colonial Philippines 49
Spanish Colonial Period: The Roots of the Oligarchy and Captured State 50
American Colonial Period: Buttressing the Foundation of Elite Capture of the State 52
Post-independence Period: A Continuation of the Past 54
Marcos’ Martial Law: A Regime of Overt Crony Capitalism and Missed Opportunities 57
Contemporary Period: The Return of the Oligarchy and the Continuing Neoliberalization of the Political Economy 60
Discussion and Synthesis 65
Summary of the Chapter 73

Chapter 7: State-SMEs Relations in the Philippines 74
The Organization of the Philippine State and DTI: Nature, Capacity, and Ideology 74
The Nature of the Philippine State: Weak and Oligarchic 75
The Department of Trade and Industry: An Island of State Strength 76
The Other Side of the Island: DTI as a ‘Crippled’ Agency 77
The (Dis)organization of Philippine SMEs 79
Overview of the Philippine Business Sector 80
The Absence of an SME-wide Organization in the Country 83
Probing the Absence of SME-wide Business Organization in the Philippines 85
PCCI and PCE as Shackled Advocates for SMEs 87
The Nature of Interaction between the SMEs and the State in the Philippines 91
The Nature of Contemporary SBR in the Philippines 91
The MSMED Council 93
Issues and Challenges: Lack of Credibility and Transparency in State-SMEs’ Interactions 93
Summary of the Chapter 96

Chapter 8: Conclusion 98
Recommendations 100
Theoretical Implications 100
Limitations of the Current Study and Areas for Further Research 101
Addendum: The COVID-19 Pandemic as a Crucial Turning Point for SME Collective Action? 103

References 104
Appendices 125
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