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MINISTRY OF EDUCATION AND TRAINING NATIONAL ECONOMICS UNIVERSITY VIETNAM - Phùng Minh Thu Th y DISSERTATION FOR THE DEGREE OF DOCTOR OF PHILOSOPHY IN ECONOMICS HANOI – 2020 luan an MINISTRY OF EDUCATION AND TRAINING NATIONAL ECONOMICS UNIVERSITY VIETNAM - Phùng Minh Thu Th y Major: Economic Management Code: 9310110_QL DISSERTATION FOR THE DEGREE OF DOCTOR OF PHILOSOPHY IN ECONOMICS Scientific instructors: Prof Dr TRẦN THỌ ĐẠT HANOI – 2020 luan an i DECLARATION I have read and understood the violations of academic honesty, and I commit by my personal honor that this research is my own and does not violate the requirement of honesty in academic Dissertation author Phùng Minh Thu Thủy luan an ii ACKNOWLEDGEMENT I would like to express my sincere appreciation and thanks to Professor Tran Tho Dat, for his regular provision of invaluable pieces of advice, guidance, correction, and encouragement to me throughout this research I could not finish this PhD course without his supports and encouragements I also like to extend my heartfelt thanks of gratitude to Professor Joris Knoben and Professor Patrick Vermeulen from Radboud university in The Netherlands, who guided me from my first step to set up this research and spent a countless amount of time to support me This dissertation could not have been successfully accomplished without their contributions Finally, I would like to dedicate this success to my beloved husband and lovely daughter, who all the time stay beside me I would not be able to achieve this success without their continuous supports and great deal of understanding luan an iii ABBREVIATIONS AND ACRONYMS ADB : Asian development bank EU : European Union Eurostat : European Statistical System GDP : Gross Domestic Product KBV : The Knowledge-based view OECD : Organization for Economic Co-operation and Development R&D : Research and Development RBV : The resources-based view SMEs : Small and Medium Enterprises SMEs : Small and Medium Enterprises The ES : The Enterprise Survey The ICS : The Innovation Capabilities Survey USD : United States Dollar luan an iv TABLE OF CONTENTS DECLARATION i ACKNOWLEDGEMENT ii ABBREVIATIONS AND ACRONYMS iii LIST OF TABLES vi LIST OF FIGURES vii TABLE OF CONTENTS iv CHAPTER 1: INTRODUCTION 1.1 Background 1.2 Problem Statement .4 1.3 Study Objective 1.4 Study process .7 1.5 Scope of Study .8 1.6 Contribution of Study 11 1.7 Limitation of Study 11 1.8 Organization of the Dissertation 12 CHAPTER 2: LITERATURE REVIEW 13 2.1 Research on Innovation in the world 13 2.1.1 Ground theory research 13 2.1.2 Determinant of innovation research 17 2.1.3 Product innovation research .27 2.2 Research on Innovation in Vietnam 30 CHAPTER 3: THEORY FRAMEWORK 39 3.1 Definition of Innovation .39 3.2 Types of Innovation 41 3.3 Determinants of Innovation 44 3.3.1 Following Resources Based view theory 44 3.3.2 Following Knowledge based view theory 46 3.3.3 Conclusion 47 3.4 Knowledge sources 48 3.4.1 Internal Knowledge Sources 49 luan an v 3.4.2 Collaborative Knowledge Sources 49 3.4.3 Regional Knowledge Sources 50 3.5 Hypotheses 50 3.5.1 Internal knowledge sources 50 3.5.2 Collaborative knowledge sources .52 3.5.3 Regional knowledge sources 54 3.6 Research model 55 CHAPTER 4: METHODOLOGY AND DATA COLLECTION 60 4.1 Research context 60 4.2 Methodology approach .69 4.2.1 Logistic regression 69 4.2.2 Innovation research used logit regression 70 4.3 Data collection 71 4.4 Variables 75 CHAPTER 5: RESEARCH RESULTS 81 5.1 General description of the ES and ICS sample 81 5.1.1 Distribution of firms by sector and region .81 5.1.2 Descriptive statistics 84 5.1.3 Innovation 85 5.2 Descriptive statistics of the sample merged from ES and ICS 92 5.3 Knowledge Sources and Product Innovation .93 CHAPTER 6: CONCLUSION AND RECOMMENDATION 101 6.1 Conclusion 101 6.2 Recommendation 105 6.2.1 Policy recommendation 105 6.2.2 Recommendation for firms .109 6.3 Limitations of the research .112 LIST OF RESEARCH BY THE AUTHOR REFERENCES APPENDIX luan an vi LIST OF TABLES Table 2.1: List of innovation models .15 Table 2.2: List of main innovation research categorized by theory 27 Table 3.1: Firms resources 45 Table 4.1: Key Policy Documents related to innovation in Vietnam .64 Table 4.2: Variable measurement .78 Table 5.1: Distribution of firms by region 81 Table 5.2: Distribution of firms by sector and region .83 Table 5.3: Distribution of firms by size and region 84 Table 5.4: Descriptive statistics 85 Table 5.5: Product Innovation 86 Table 5.6: Product Innovation orientation 87 Table 5.7: Objectives of product innovation .88 Table 5.8: Innovation activities 89 Table 5.9: Sources of information for innovation .90 Table 5.10: Barriers to innovation 91 Table 5.11: Descriptive statistics and correlations 93 Table 5.12: Logistic Regression Result of the baseline model 94 Table 5.13: Logistic Regression Results of each individual knowledge source models 95 Table 5.14: Logistic Regression Results of the all independent variables simultaneously model 97 Table 5.15: Robustness tests 99 luan an vii LIST OF FIGURES Figure 2.1 Research model in Nguyen Van Thang et al study 34 Figure 3.1: Research model with all the variables 59 Figure 4.1 Distribution of the realized sample by region 74 Figure 5.1: Product innovation and using knowledge sources from the supply chain 100 luan an CHAPTER 1: INTRODUCTION 1.1 Background There is no doubt about the advantages that innovation can bring to a nation OECD (2007) reported strong evidence for a positive relationship between innovation and national competitiveness Innovation plays an essential role in economic growth and is an indispensable factor to contribute to creating more jobs More broadly, both past theory and practice suggest that countries will follow different development trajectories, depending on their ability to identify and capture technological progress Applying new technology translates technological and scientific advances into more productive economic activity As such, it is not surprising that many OECD member countries have adopted national strategies to boost innovation and enhance their economic performance though increased productivity and growth The vital role of innovation is not only affirmed in OECD countries but also developing countries OECD (2012) There is a plethora of reasons why innovation is important for developing and emerging countries (OECD, 2012) For example, innovation in agriculture plays an important role in reducing poverty and promoting economic growth Other advantages that innovation can bring to those countries are creating more jobs, improving welfare, access to business opportunities, reaching the world technological frontier in many industries, and especially having the way to avoid “middle income traps” The Asian development bank (ADB) (2014) states that countries fall into the middle-income trap if they are unable to move from a low-cost to a high-value economy, making it difficult for them to compete with both low-income and highincome countries The ADB (2014) also stresses the vital role of innovation to avoid the middle-income trap as it raises productivity and promotes structural change The ADB (2014) mentions Vietnam is a lower-middle-income country, which needs to increase the productivity of capital, land and other resources to avoid falling into the middle-income trap as well Eric Sidgwick, Country Director of ADB in Vietnam, luan an ... Vietnam .64 Table 4.2: Variable measurement .78 Table 5.1: Distribution of firms by region 81 Table 5.2: Distribution of firms by sector and region .83 Table 5.3: Distribution... conducted in developing countries especially in the case of Vietnam Vietnam has been known as a poor country that suffered many wars along its history In 1975, Vietnam became independent, but... 2019) Although Vietnam does have firms and industries actively engaged in innovation, the overall innovation system is weak Vietnam ranks eleventh out of twelve East Asian countries in terms of