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系統識別號 U0002-0107201315553200
中文論文名稱 美國國防採購之原型系統開發競爭策略:以聯合攻擊戰鬥機計畫為例
英文論文名稱 Competitive Prototyping Strategy on the United States Defense Acquisition: A Case Study of Joint Strike Fighter Program
校院名稱 淡江大學
系所名稱(中) 美洲研究所碩士班
系所名稱(英) Master's Program, Graduate Institute of the Americas
學年度 101
學期 2
出版年 102
研究生中文姓名 童政儒
研究生英文姓名 Cheng-Ju Tung
學號 699250121
學位類別 碩士
語文別 中文
口試日期 2013-06-19
論文頁數 172頁
口試委員 指導教授-林若雩
委員-羅致政
委員-郭育仁
中文關鍵字 美國國防政策  美國國防採購  原型系統開發競爭  制度變遷理論  聯合攻擊戰鬥機計畫 
英文關鍵字 U.S. Defense Policy  U.S. Defense Acquisition  Competitive Prototyping  Institution Change Theory  Joint Strike Fighter Program 
學科別分類
中文摘要 美國國防部在2008年的新一版國防部指令5000.02中,已經要求不論是主系統或次級系統,都必須進行原型系統開發競爭,利用原型系統在某些特定領域之設計概念與科技的驗證,作為國防部在採購決策與選擇上的參考。原型系統開發競爭在謹慎的應用下,可對計畫本身有顯著的正面效益,包含降低技術風險、驗證技術的可行性、系統要求的優化,並讓成本和效能之間的權衡決策有更多的資料依據。然而僅依靠原型發展和競爭,並不能保證讓研發採購計畫有成功的結果。成本、時程和執行效率都被一連串獨立於原型系統開發競爭策略以外的因素所影響,這些外部因素若應對不當,則很有可能會壓蓋過所有從原型系統開發競爭策略中所取得的利益。
近年原型系統發展策略,已經逐漸脫離過去的執行模式,在符合國家安全與同盟政治利益的前提下,美國也開始和其它盟邦合作或引進外籍廠商共同開發。除了藉由和盟邦共同開發以推銷自家產品外,也讓盟邦擁有部分智慧財產權或相關權利,增加盟邦投資意願、共同分擔研發費用與風險,在減輕美國負擔的同時,也穩固美國在國際權力架構下的領導地位。
從1971年美國國防部頒布第一份國防採購指令「5000.1」到今天,美國依舊持續在國防採購和原型系統開發競爭的改革上努力,每次改革都體現出對歷史經驗的總結和對未來的規劃。自1960年代的PPBS開始,經歷了TPP、CPS、納恩.麥卡迪修正案等等,美國透過一連串制度創新和制度變遷的作為與建構,把技術創新與經濟成果鞏固下來。藉由制度創新調整與穩定國防採購中的相互關係,降低交易的各種成本,從而實現並穩固了日益複雜的交易活動。儘管現存制度仍有不完備之處,但在各國積極推動國防現代化及改革的今天,借鑒美國國防採購的經驗和做法,對世界各國進一步推動國防採購改革具有相當重要的意義。
英文摘要 In the latest version of DOD Instruction 5000.02, which released in 2008, it was required to provide for two or more competing teams producing prototypes of the system and/or key system elements. Prototype systems or appropriate component-level prototyping shall be employed to reduce technical risk, validate designs and cost estimates, evaluate manufacturing processes, and refine requirements. Information technology initiatives shall prototype subsets of overall functionality using one or more teams, with the intention of reducing enterprise architecture risks, prioritizing functionality, and facilitating process redesign. However, competition and prototyping cannot guarantee a successful result of acquisition and developing program. Competitive prototyping is affected by cost, schedule and efficiency; they are independent from the competitive prototype system. If these external factors don’t correspond properly, we may not benefit as we expect from competitive prototype strategy.
In recent years, competitive prototype strategy has changed its executive pattern. Based on the interest of national security and alliance politics, the U.S. government starts to cooperate with allies or introduce foreign company on defense systems development. They not only try to sell U.S. defense systems through co-development and share the intellectual property rights, but to encourage allies to share R&D costs and risks. When reducing U.S. defense budget, the U.S. leadership in the international power structure will be strengthened as well.
Since the first DOD Instruction 5000.1 in 1971, the United States has been working on the reform of defense acquisition and competitive prototype strategy, each reform reflects the historical experiences and the planning for the future. From the PPBS in 1970s, the United States has been through a series of institutional innovation and changes, like TPP, CPS and Nunn–McCurdy Amendment, which preserve the technology and economic achievements in the defense acquisition.
Institutional innovation stabilizes and adjusts the relationship in defense procurement between buyers and sellers. It reduces costs of various transactions, in order to achieve and secure the increasingly complex trading activities. Although the existing system of the U.S. defense acquisition is still imperfect in many places, learning from the experience of the U.S. defense procurement and practices has very important significance for each country to promote their defense procurement reform and modernization of national defense.
論文目次 圖目錄、表目錄........................................................V
縮寫詞與縮略語........................................................VI
第一章 緒論........................................................1
第一節 研究動機與目的........................................1
第二節 文獻探討..................................................9
第三節 研究途徑與分析架構..................................14
第二章 美國國防採購策略.....................................21
第一節 美國國防採購策略之發展............................21
第二節 麥克納馬拉與1960年後的改革....................29
第三節 影響國防採購的因素...................................43
第四節 本章小結...................................................54
第三章 原型系統開發競爭在聯合攻擊戰鬥機計畫中的應用.............................55
第一節 原型系統開發競爭策略之性質與作用................................................57
第二節 聯合攻擊戰鬥機計畫與原型系統開發競爭..........................................67
第三節 面臨之挑戰...................................................................................77
第四節 本章小結......................................................................................83
第四章 原型系統開發競爭與聯合攻擊戰鬥機計畫發展模式之影響....................85
第一節 國防產業之發展......................................................................................85
第二節 強化美國同盟政治..........................................................................97
第三節 國家安全與利益............................................................................106
第四節 本章小結.......................................................................................115
第五章 結論.............................................................................................117
參考書目.......................................................................................................125
附錄:美國國防部指令 5000.02 之採購程序部分...............................................141

圖目錄

圖2-1 波音公司近年遊說支出金額......................................................................48
圖2-2 EADS近年遊說支出金額.............................................................................49
圖2-3 波音公司政治行動委員會近年募款與支出金額...............................................50
圖2-4 EADS政治行動委員會近年募款與支出金額..................................................50
圖3-1 美國國防採購管理系統...................................................................................61
圖3-2 聯合攻擊戰鬥機計畫時程表..........................................................................69
圖4-1 競爭類型與產業創新之關聯..........................................................................88

表目錄

表3-1 國防採購中運用原型系統開發競爭之主要優點與缺點.............................................64
表3-2 JSF計劃聯合需求文件主要內容整理...........................................................73
表4-1 JSF計畫合作夥伴列表.....................................................................................100
參考文獻 壹、 中文部分

一、 書籍

凡勃倫,《有限階級論—關於制度的經濟研究》,北京:商務印書館,1983年。
李志德著,《海風泱泱:從忠義計畫到拉法葉艦的故事》台北:商周出版,2006年。
朱柔若譯,Neuman W. Lawrance 著,《社會科學研究法—質化與量化取向》,台北:揚智出版社,2000年。
汪洪濤,《制度經濟學—制度與制度變遷性質解釋》,上海:復旦大學出版社,2003年。
葉至誠著,《社會科學概論》,台北:揚智文化,2000年。
陳山、真如譯,John A. Byrne著,《藍血十傑》(The Whiz Kids : The Founding Fathers of American Business and The Legacy They Left us),台北:智庫出版,1995年。
曾育慧譯,T.A. Heppenheimer著。《飛行簡史:從熱氣球到超越三倍音速》。台北:商周出版,2003年。
國防部史政邊譯室譯,Ashton B. Carter、John P. White著,《維持優勢:管理國防,因應未來》(Keeping the Edge: Managing Defense for the Future),台北:國防部史政邊譯室,2001年。
國防部史政邊譯室譯,Department of Defense, USA著,《2010美國四年期國防總檢討報告》(Quadrennial Defense Review Report),台北:國防部史政編譯室,2010年。
國防部史政邊譯室譯,Elinor Sloan著,《軍事轉型與當代戰爭》(Military Transformation and Modern Warfare),台北:國防部史政編譯室,2008年。
國防部史政邊譯室譯,Guy Ben-Ari、Pierre A. Chao編,《因應複雜的世界:發展明日國防與網狀化系統》(Organizing for a Complex World: Developing Tomorrow’s Defense and Net-Centric System),台北:國防部史政邊譯室,2009年。

二、 學位論文

李先安,《美國軍工複合體發展之研究》,台中:東海大學政治研究所碩士論文,2007年。
邱亦農,《民間企業進入軍工產業之研究》,台中:逢甲大學經營管理碩士在職專班碩士論文,2011年。
陳依新,《評析美國步槍協會之反槍枝管制》,台北:淡江大學美國研究所碩士論文,2007年。

三、 期刊

王彥兵,「美軍國防採辦的特點與經驗」,《中國招標雜誌》,2011年第43期,頁5-7。
王光慈,「軍事工業複合體演變與發展:是維繫正義亦或官商勾結?」,《全球防衛雜誌》,2006年260期,頁61-67。
王俊豪,「特許投標理論及其應用」。《數量經濟技術研究》,2003年第1期,頁137-140。
洪遠鵬、陳 波、盧志強,「制度變遷與與經濟利益關係演變」,《社會科學研究》,2005年第3期,頁43-49。
莆勛,「F-35聯合打擊戰鬥機後傳:X-32及X-35的競爭(上)」,《軍事連線》,2012年52期,頁80-95。
莆勛,「F-35聯合打擊戰鬥機後傳:X-32及X-35的競爭(下)」,《軍事連線》,2013年53期,頁60-74。
蔡志昇,「剖析美國次世代戰機--JSF聯合打擊戰鬥機」,《空軍學術月刊》,1999年517期,頁19-35。
嚴勵,「防務裝備市場的競爭問題」,《中國國防科技信息》,1998年第3期,頁18-20。

四、 網路媒體

〈EADS與BAE合併破局〉,《中央廣播電台》,2012年10月10日,(Accessed November 22, 2011)
〈F16升級 洛馬可望擔綱〉,《中央社》,2012年8月4日,(Accessed April 20, 2013)
〈天價打造 終於成軍/我長程預警雷達 最新最完整〉,《自由時報》,2013年2月3日,(Accessed March 5, 2013)
〈末日陰影下的美國軍火商〉,《新華網》,2012年1月16日,(Accessed January 16, 2013)
〈波音欲盡全力擊敗空客拿下美軍加油機合同〉,《新華網》,2008年7月10日,(Accessed October 11, 2012)
〈美國防部:減赤將破壞美實施新國防戰略〉,《中國評論新聞》,2012年8月2日,(Accessed February 22, 2013)
〈搞不定各國股東 航空巨擘EADS與BAE合併案破局〉,《鉅亨網》,2012年10月10日,(Accessed November 17, 2011)
〈演化博弈論視角下的制度變遷〉,《北美新浪財經》,2007年3月11日,
(Accessed November 8, 2012)
〈歐盟指責美國貿易保護致空客退出與波音競爭〉,《新浪全球新聞》,2010年3月9日,< http://dailynews.sina.com/bg/news/int/sinacn/20100309/23471254124.html>(Accessed December 15, 2012)

貳、 英文部分

I. Government Documents & Official Sources

BAE Systems, BAE Systems Annual Report 2011, UK: BAE System, 2012.
Brinton Holley, Irving, United States Army in World War 2, Buying Aircraft: Material Procurement for Army Air Forces. DC: Defense Dept., Army, Center of Military History, 1964.
Department of Defense, Instruction 5000.02, DC: U.S. Department of Defense, 2008.
Department of Defense, Defense Acquisition Guidebook, DC: U.S. Department of Defense, 2012.
Gertler, Jeremiah, F-35 Joint Strike Fighter (JSF) Program RL30563, DC: Congressional Research Service, 2012.
Manuel, Kate M., Competition in Federal Contracting: An Overview of the Legal Requirements, DC: Congressional Research Service, 2010.
O'Rourke, Ronald, F-35 Joint Strike Fighter (JSF) Program: Background and Issues for Congress, DC: Congressional Research Service, 2009.
O'Rourke, Ronald, Navy Littoral Combat Ship (LCS) Program: Background, Issues, and Options for Congress, DC: Congressional Research Service, 2010.
Office of the Under Secretary of Defense for Acquisition, Technology and Logistics, Memorandum on Prototyping and Competition, DC: U.S. Department of Defense, 2007.
Office of the Under Secretary of Defense for Acquisition and Technology, Final Report of Defense Science Board Task Force on Globalization and Security, DC: U.S. Department of Defense, 1999.
Schwartz, Moshe, The Nunn-McCurdy Act: Background, Analysis, and Issues for Congress R41293. DC: Congressional Research Service, 2010.
Schwartz, Moshe, Defense Acquisitions: How DOD Acquires Weapon Systems and Recent Efforts to Reform the Process RL34026, DC: Congressional Research Service, 2010.
The President’s Blue Ribbon Commission on Defense Management, A Quest for Excellence: Final Report to the President, DC: The Commission, 1986.

II. Books

Adams, Gordon, ed., Controlling Weapons Costs: Can the Pentagon Reforms Work? New York: Council on Economic Priorities, 1983.
Arena, Mark V. ed., Determining When Competition Is a Reasonable Strategy for the Production Phase of Defense Acquisition, Cal: RAND, 2009.
Art, Robert J., The TFX Decision: McNamara and the Military, Boston: Little, Brown and Company, 1968.
Birkler, John ed., Competition and Innovation in the U.S. Fixed-Wing Military Aircraft Industry, Cal: RAND, 2003.
Birkler, John, ed., Assessing Competitive Strategies for the Joint Strike Fighter: Opportunities and Options, Cal: RAND, 2001.
Brown, James K. ed., The defense industry: Some perspectives from the financial community: a research report from the Conference Board's Division of Management Research, New York: Conference Board, 1976.
Clinton, Bill, My Life, New York : Alfred A. Knopf, 2004.
Cook, Cynthia R. ed., Military Airframe Acquisition Costs: The Effects of Lean Manufacturing, Cal: RAND, 2001.
Drezner, Jeffery A., The Nature and Role of Prototyping in Weapon System Development, Cal: RAND, 1992.
Drezner, Jeffery A. and Huang, Meilinda, On Prototyping: Lessons from RAND Research, Cal: RAND, 2009.
Drezner, Jeffrey A., Competition and Innovation Under Complexity, Cal: RAND, 2009.
Fox, Bernard, ed., Test and Evaluation Trends and Costs for Aircraft and Guided Weapons, Cal: RAND, 2004.
Fox, Ronald J. ed., The Defense Management Challenge: Weapons Acquisition, Boston: Harvard Business School Press, 1988.
Holley, Irving B. United States Army in World War 2, Buying Aircraft: Material Procurement for Army Air Forces. DC: Defense Dept., Army, Center of Military History, 1964.
Jones, Wilbur D. JR, Arming the Eagle: A History of U.S. Weapons Acquisition Since 1775, Virginia: Defense Systems Management College Press, 1999.
Keijsper, Gerard, Joint Strike Fighter, UK: Pen & Sword Books Limited, 2007.
Koistinen, Pual A. C. ed., Beating Plowshares into Swords: The Political Economy of American Warfare, 1606-1865, KS: University of Kansas, 1996.
Lorell, Mark ed., Overview of Acquisition Reform Cost Savings Estimates, Cal: RAND, 2001.
Mcnaugher, Thomas L. ed,. New Weapons Old Politics: America’s Military Procurement Muddle, D.C : The Brookings Institution, 1989.
Rendon, Rene G. ed,. Management of Defense Acquisition Projects, Virginia: American Institute of Aeronautics and Astronautics, 2008.
Schank, John F. ed., Acquisition and Competition Strategy Options for the DD(X): The U.S. Navy’s 21st Century Destroyer, Cal: RAND, 2006.
Smith, Ron, Military Economics: The Interaction of Power and Money, New York: Palgrave Macmillan, 2009.
Sorenson, David S., The Process and Politics of Defense Acquisition: A Reference Handbook, Connecticut: Praeger Security International, 2009.

III. Periodical

Burnett, William B. “Competition in the Weapons Acquisition Process: The Case of U.S. Warplanes.” Journal of Policy Analysis and Management. Vol. 7, No. 1, Autumn, 1987, pp. 17-39.
Clarance, A. Patnode, Jr. “Problems of Managing Competitive Prototype Programs Study Report.” Defense Systems Management School Program Management Course Student Study Program, February, 1973, p. 3.
Easterbrook, Gregg. “DIVAD.” Atlantic Monthly. October, 1982, pp. 29-39.
Kovacic, Willian E. and Dennis E Smallwood. “Competition Policy, Rivalries, and Defense Industry Consolidation.” The Journal of Economic Perspectives. Vol. 8, No. 4, Autumn, 1994, pp. 91-110.
Major Ditton, Michael H. “The DIVAD Procurement: A Weapon System Case Study.” The Army Lawyer. August, 1988, pp. 3-9.
Nicholls, Mark. “JSF: The Ultimate Prize.” Air Forces Monthly. Vol. 161, August, 2000, pp. 32-38.
Paarlberg, Robert L. “Knowledge as Power: Science, Military Dominance, and U.S. Security.” International Security. Vol. 29, No. 1, Summer, 2004, pp. 122-151.
Perry, William J. “Desert Strom and Deterrence.” Foreign Affairs. Vol. 70, No. 4, Fall 1991, pp. 66-82.
Rumsfeld, Donald H. “Transformation the Military.” Foreign Affairs. Vol. 81, No. 3, May/June, 2002, pp. 21-27.
Sweetman, Bill. “Boeing "not at a disadvantage" after JSF redesign.” Interavia Business & Technology. Vol. 54, Issue 630, p. 7.
Thompson, Fred. “Deregulating Defense Acquisition.” Political Science Quarterly. Vol. 107, No. 4, Winter, 1992-1993, pp. 727-749.
Udis, Bernard. “The End of Overrun: Prospects for the High Technology Defense Industry and Related Issues.” Annals of the American Academy of Political and Social Science. Vol. 406, Mar, 1973, pp. 59-72.
Warren, Luke and Erik Floden. “The Joint Strike Fighter in the Middle East.” Middle East Report. No. 219, Summer, 2001, pp. 8-9+48
Willis R. Greer, Jr., Shu S. Liao. “An Analysis of Risk and Return in the Defense Market: Its Impact on Weapon System Competition.” Management Science. Vol. 32, No. 10, October, 1986, pp. 1259-1273.

IV. Internet

“2012 Global Aerospace And Defense Industry Outlook: A Tale Of Two Industries.” Published on the website of The Deloitte Touche Tohmatsu Limited.
“Acquisition Systems Engineering: Competitive Prototyping.” Published on the website of MITRE.
“Battle of the X-Planes.” Published on the website of Emmy Award-winning NOVA TV documentary.
Bennett, John T. “Senators want proof that ‘clerical error’ hasn’t hurt Boeing bid.” Published on the website of The Hill.
“Boeing JSF Concept Demonstrator Completes First Flight.” Published on the website of Boeing Company.
“Boeing says Lockheed Martin not sharing work on new military jet.” Published on the website of Lubbock Avalanche-Journal.
“Boeing to Pay United States Record $615 Million to Resolve Fraud Allegations.” Published on the website of US Department of Justice.
“Boeing Wins Refueling Tanker Contract After Massive, Sustained Political Influence Effort.” Published on the website of OpenSecrets.org.
“C-5A Foe says Pentagon stripped him of duties.” Published on the website of The New York Times.
“Cashing In For Profit?” Published on the website of CBS.
Drew, Christopher. “To Capitalize on Low Bids, Navy Hopes to Name 2 Winners for Ship Contract.” Published on the website of New York Times.
Dupont, Daniel G. “Proactive Prototypes: For new tech systems, a return to competitive prototyping.” Published on the website of Scientific American.
“EADS and America: Accusations fly” Published on the website of The Economist.
“GE, Rolls Royce Stop Funding F-35 Alt Engine.” Published on the website of Defense News.
Nathan, Hodge. “Lockheed, Austal Unit Win Navy Bid.” Published on the website of The Wall Street Journal.
“In Their Own Words.” Published on the website of Wright Brothers Aeroplane Company.
“India, Russia close to PACT on next generation fighter.” Published on the website of Business Standard.
“Israel inks LOA to join Joint Strike Fighter program.” Published on the website of f-16.net.
Shachtman, Noha, “Pentagon’s New Prototype Plan.” Published on the website of Wired.com.
“Obama signs law to reform Pentagon weapons buying.” Published on the website of Reuters.
“Weapon bill passes House.” Published on the website of MSNBC. May 21, 2009.
“JSF Background.” Published on the website of JSF UK Industry Team.
“McDonnell Douglas in shake-up as profits drop.” Published on the website of The Independent.
“Military prospects: Boeing tries to compensate for joint strike force defeat". Published on the website of AccessMyLibrary.
“Navy Cancels Lockheed Ship Deal.” Published on the website of Washington Post.
“Navy Terminates Littoral Combat Ship (LCS 4) Contract.” Published on the website of U.S. Department of Defense.
“Navy asks Congress to buy both LCS designs.” Published on the website of Navy Times.
“No more money for F-35 cost overruns: Pentagon.” Published on the website of Reuters.
“Robert S. McNamara”. Published on the website of Historical Office, Office of Secretary of Defense. < http://history.defense.gov/mcnamara.shtml >
“Senator: LCS contract split "essentially done".”Published on the website of WLUK.
“Singapore Signs Letter of Intent for Joint Strike Fighter Programme.”Published on the website of Singapore Ministry of Defence.
Thomas, Evan. “Defensive About Defense.” Published on the website of Time.
“UPDATE 2-UK signs memo with US on Joint Strike Fighter.” Published on the website of Reuters.
Wolf, Jim. “Senate panel seeks end to F-22 export ban.” Published on the website of Reuters, September 10 2009.
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