University industry cooperation in research and development (rd) from the perspective of universities in hanoi

Reason for choosing the topic

The university-business relationship has evolved over a century, gaining recognition in Asia since World War II Universities play a crucial role in generating and disseminating knowledge, necessitating effective partnerships to apply this knowledge and fulfill their societal roles Conversely, enterprises rely on scientific knowledge and skilled human resources provided by universities for their growth and sustainability As the significance of this relationship for social development has grown, the state has increasingly engaged as a key player, fostering a new dynamic among universities, businesses, and government This collaboration has been analyzed through the Triple Helix model, developed in the 1990s by Etzkowitz and Leydesdorff, building on earlier research by Lowe, Sábato, and Mackenzi.

Universities, research institutes, and enterprises engage in various forms of cooperation, including research collaboration, technology transfer, and commercialization of inventions, as well as teaching, facility construction, training programs, short-term internships, and organizing seminars and conferences In developed countries, the emphasis is primarily on technology transfer and research partnerships, with universities evolving from traditional roles to focus on knowledge and technology transfer alongside commercialization In contrast, in developing countries, the collaboration between universities and enterprises tends to prioritize teaching and internship opportunities (Jose, 2013).

The world, including Vietnam, is on the brink of the Industrial Revolution 4.0, characterized by rapid technological advancements that transform production methods to prioritize personalization, efficiency, and cost reduction To thrive in this new era, businesses must fundamentally alter their operational and labor structures, emphasizing creativity, innovation, and the integration of science and technology Furthermore, universities play a crucial role beyond education and research; they are responsible for enhancing local and national socio-economic development by collaborating with external partners to convert knowledge into valuable community products.

The commercialization of research results and intellectual property is a key focus in science and technology development policies globally, with Vietnam prioritizing this initiative The 2012 Resolution from the 6th Conference of the Party Central Committee emphasizes that universities should act as hubs for scientific research and technology transfer, fostering collaborations between enterprises, educational institutions, and the government to align human resource development with societal needs Enterprises are identified as the primary drivers of innovation and technology transfer in the science and technology market, highlighting the necessity for cohesive partnerships to enhance research and development efficiency Additionally, the "National Science and Technology Market Development Program to 2030," established in 2021, aims to create mechanisms that promote university-enterprise cooperation, streamline commercialization policies for research and intellectual property, and support innovation activities within enterprises, thereby facilitating technology incubation and collaborative research projects.

There have been many studies in Vietnam on the relationship between enterprises,“research institutes and universities However, few studies focusing on cooperation in research and development (R&D)

Therefore, the author chooses the topic "University-enterprise cooperation in Research and Development from the perspective of universities in Hanoi"

This article focuses on enhancing the theoretical framework of the collaboration between universities, enterprises, and the state in Vietnam It involves analyzing the current state of this relationship and evaluating relevant policies The primary goal is to identify the factors influencing cooperation in research and development activities between enterprises and universities, while also proposing effective solutions to strengthen this partnership.

- First, systematize research on the cooperation between university and enterprises in R&D activities

This article conducts empirical research on the collaboration between universities and enterprises in Vietnam, focusing on how universities perceive the significance of this cooperation within the national innovation system It aims to clarify the various factors that influence the effectiveness of these partnerships, highlighting their impact on innovation and economic development in the country.

- Systematize research on the the cooperation between university and enterprises in R&D activities Lessons learned from some countries in the world

- Systematize the system of policy in Vietnam on promoting cooperation between enterprises and universities in R&D

- Identifying and clarifying by quantitative methods about the perception of universities on the role of cooperation between universities and enterprises in Hanoi and factors affecting the cooperation

- Proposing priority policy solutions to strengthen the cooperation between university enterprises in R&D activities.

Research question

What factors affecting the cooperation between universities and enterprises in R&D?

Research objectives

- “First, systematize research on the cooperation between universities and enterprises in research, development, technology transfer and commercialization of scientific research results Lessons learned from some countries around the world

- Second, systematize the policy system to assess the impact of policies on the cooperation of universities and enterprises in research, development, technology transfer and commercialization of scientific research results

Research on the collaboration between enterprises and universities focuses on areas such as research, development, technology transfer, and the commercialization of scientific findings It is essential to identify the motivational factors that drive universities to engage in this cooperation, as well as the barriers they face in the process.

To strengthen collaboration between universities and enterprises in Hanoi and across Vietnam, it is essential to implement priority policy solutions focused on enhancing research, development, technology transfer, and the commercialization of scientific research outcomes.

Research subjects

Factors affecting the cooperation between universities and enterprises in R&D from the perspectives of universities.

Research hypothesis

There are many barriers including institutions, policies and laws in promoting universities and enterprises in cooperation activities for research development and technology transfer and commercialization of scientific research results.

Research method

This research analyzes a variety of written sources, including books, scientific articles, and both domestic and international studies, to synthesize information on the connections between universities and enterprises in Vietnam and beyond It focuses on concepts, models, motivations, barriers, and policies related to research, technology transfer, and commercialization activities Additionally, the study examines various state and university policies aimed at enhancing collaboration between academic institutions and businesses in Vietnam.

To gain a comprehensive understanding of the collaboration between universities and enterprises in Hanoi, in-depth interviews were conducted with lecturers and researchers from both public and private institutions The interviews, which were recorded and transcribed, focused on analyzing the policies and practices surrounding this association The study specifically included representatives from Vietnam National University of Agriculture, a public university, and Phenikaa University, a private university, to capture a diverse range of perspectives.

Research scope

- Scope of content: synthesize, discuss factors affecting the cooperation between universities and enterprises in R&D from the perspective of universities

- Case study: The research conducts interview with lecturers in two representatives of universities: Vietnam National University of Agriculture (public university) and Phenikaa University (private university)

- Time period: The research synthesizes the development of the cooperation between universities and enterprises from 1986 (after “Doi moi”)

Outline of the research

Chapter 4 The case of Vietnam and universities in Hanoi

Chapter 5 Recommendation in enhancing university-industry cooperation

LITERATURE REVIEW

Research related to the concept of universities and enterprises cooperation

The collaboration among enterprises, research institutes, and universities has been extensively examined in various studies The Triple Helix Model, introduced by Etzkowitz in the 1990s, emphasizes the importance of these three sectors working together to foster innovation and economic growth.

In their 1995 study, "University-Industry-Government Relations: A Laboratory for Knowledge-Based Economic Development," Etzkowitz and Leydesdorff explore the evolving role of universities within the emerging knowledge infrastructure The research highlights the government's dual role in this dynamic, as it provides incentives for collaboration while urging academic institutions to expand their traditional functions of education, research, and cultural preservation This shift aims to enable universities to contribute more directly to economic growth and wealth creation.

The study “The dynamics of innovation: from National Systems and “Mode 2” to a Triple Helix of university–industry–government relations” of Etzkowitz, H., & Leydesdorff, L

The transformation of universities from traditional teaching institutions to dynamic entities that integrate teaching and research is a significant ongoing revolution, observed not only in the USA but globally Etzkowitz (2013) introduced the concept of Triple Helix systems, which serves as an analytical framework for understanding the interactions between universities, industries, and governments, highlighting their essential roles in fostering innovation within the Knowledge Society.

The 'innovation system' is defined through systems theory as a collection of components, relationships, and functions Research identifies five key types of interactions among universities, industries, and governments: technology transfer, collaboration and conflict moderation, collaborative leadership, substitution, and networking.

The study "Towards a Framework for Educational University-Industry Cooperation: Industry Perspective" by Taratukhin (2016) identifies various barriers to successful collaboration between universities and industries It proposes a framework aimed at establishing and managing long-term educational partnerships The research highlights that universities stand to gain significantly from such cooperation, while enterprises benefit from closer ties with academia, where they can discover innovative, commercializable ideas and recruit recent graduates.

Regarding“entrepreneurial university, Baporikar, N (2020) in “Understanding entrepreneurial university: A framework for emerging economies” adopted a qualitative approach with an in-depth literature review, the aim is to understand the entrepreneurial

Universities worldwide are confronting significant challenges and rapid transformations, including technological advancements, demographic changes, decreased funding, evolving skill requirements, and heightened competition These factors necessitate an academic revolution, urging universities to adopt more entrepreneurial mindsets and strategies, leading to the concept of "entrepreneurial universities." This shift is essential for their development, particularly in emerging economies.

In "The Evolution of University–Industry Linkages—A Framework," Plewa (2013) presents a comprehensive framework that outlines the stages of university-industry linkages (UILs), evaluates success metrics for each stage, and identifies evolving success factors within these relationships The study emphasizes that key drivers such as communication, understanding, trust, and personnel play a crucial role in fostering effective UILs However, it is essential for managers to recognize and adapt to the variations in these factors to achieve successful outcomes Additionally, research conducted by Ly, P T focuses on the context of Vietnam, contributing to the understanding of UIL dynamics in this region.

In the 2013 study titled "Enterprises’ Perspective of the Collaboration with Universities in Vietnam," the survey explores the views, opinions, and comments of businesses regarding three key aspects: the effectiveness of existing cooperation models, the impact and outcomes of partnerships with universities, and the motivators and barriers that restrict the growth of these collaborations.

Barta (2011) explores the dynamics of R&D cooperation between universities and enterprises, highlighting its historical context and various relationship types, with specific examples from both developed and less developed countries The research categorizes these collaborations into four main groups: individual-to-individual, individual-to-institution, institution-to-institution, and organizational changes like spin-off companies and individual mobility It identifies two key reasons for universities' inertia in forming R&D partnerships with enterprises: intellectual property rights and differing interest systems Additionally, the study emphasizes the crucial role of government in facilitating and funding these cooperative efforts.

Research has highlighted the collaboration among enterprises, research institutes, and universities, known as the Triple-Helix Model, which was introduced in the 1990s by Etzkowitz and Leydesdorff.

In "The Triple Helix University-Industry-Government Relations: A Laboratory for Knowledge-Based Economic Development" (1995), Etzkowitz and Leydesdorff examine the evolving role of sciences within the context of a developing knowledge infrastructure, highlighting the university's critical position The study underscores the importance of government in facilitating collaboration between universities and industries, illustrating the dynamic interplay that drives innovation and economic growth.

Eight governments are encouraging academic institutions to expand their roles beyond traditional functions like cultural memory, education, and research, urging them to actively contribute to wealth creation.

The study “The dynamics of innovation: from National Systems and “Mode 2” to a Triple Helix of university–industry–government relations” by Etzkowitz, H., & Leydesdorff, L

The university has evolved from a traditional teaching institution into a dynamic entity that integrates teaching and research, a transformation occurring not just in the USA but globally In his 2013 work, "Triple Helix systems: an analytical framework for innovation policy and practice in the Knowledge Society," Etzkowitz H introduced the concept of Triple Helix systems, which serves as an analytical framework to synthesize the essential elements of interactions among universities, industries, and governments.

The 'innovation system' is defined through systems theory as a collection of interconnected components, relationships, and functions This study identifies five primary types of relationships among universities, industries, and governments: technology transfer, collaboration and conflict moderation, collaborative leadership, substitution, and networking.

The study "Towards a Framework for Educational University-Industry Cooperation: Industry Perspective" by Taratukhin (2016) identifies key barriers to successful collaboration between universities and industries To address these challenges, the research proposes a comprehensive framework aimed at establishing and managing sustainable educational partnerships between the two sectors.

Research on University-industry cooperation in Research and Development (R&D)

1.2 Research on University-industry cooperation in Research and Development (R&D)

Research collaboration between universities and industry is a critical area of study, as highlighted by Katz and Martin (1997) in their work "What is research collaboration?" They address five key questions: the definition of research collaboration, the motivations behind it, the identity of collaborators, methods for measuring collaborative activities, and the associated benefits and costs, along with their implications for research policy This cooperation involves stakeholders interacting and working together to achieve mutual goals and benefits in research.

In the study "Technology Transfer and the Research University: A Search for the Boundaries of University-Industry Collaboration," Lee (1996) explores the expectation for U.S academics to facilitate technology transfer for economic development The research highlights two key factors influencing the current discourse on university transfer: the perceived decline in federal R&D support, which jeopardizes research vitality, and the potential consequences of close university-industry collaboration, which may compromise academic freedom and hinder the pursuit of long-term, unbiased fundamental research.

In the study "University‐Industry Collaboration on Technology Transfer: Views from the Ivory Tower," Lee (1998) investigates the perceptions of academics regarding their roles and responsibilities in university collaboration The research identifies key factors that shape these attitudes, including the academic climate, which encompasses departmental culture and practices related to collaboration, the pressures to obtain external funding, and the necessity to maintain academic freedom and independence.

In their 2021 study, "Knowledge Transfer Performance of Industry-University-Research Institute Collaboration in China: The Moderating Effect of Partner Difference," Li and Zhu utilized partial least squares structural equation modeling to investigate how different mechanisms affect knowledge transfer within collaborative partnerships, focusing specifically on the perspective of enterprises.

In the 2005 study "The Role of Academic Technology Transfer Organizations in Improving Industry-Science Links," Debackere examined the evolution of university-based technology transfer mechanisms The research highlights traditional interactions between industry and science, focusing on knowledge and technology exchange through various methods such as the establishment of technology-oriented start-ups by researchers, collaborative R&D projects, contract research, and consulting based on know-how Additionally, the development of intellectual property rights and advanced training cooperation are emphasized The study concludes that a key motivation for these collaborations is the pursuit of commercial applications and the commercialization of research.

In terms of knowledge transfer from university to industry, Agrawal, A K (2001) in

The article "University-to-Industry Knowledge Transfer: Literature Review and Unanswered Questions" examines the economic literature on the transfer of knowledge from universities to industries It highlights four key areas of research: first, the 'firm characteristics' category, which addresses internal organizational issues, resource allocation, and partnerships within companies; second, the 'university characteristics' category, focusing on licensing strategies, incentives for professors to patent, and policies like equity in exchange for intellectual property; third, the importance of 'geography in terms of localized spillovers,' which explores the spatial dynamics between firms and universities and their impact on successful knowledge transfer; and finally, it identifies unanswered questions that remain in this field of study.

`channels of knowledge transfer' examines the importance of transfer pathways between universities and firms, such as publications, patents, and consulting.”h

In the study "The Many Faces of Absorptive Capacity: Spillovers of Copper Interconnect Technology for Semiconductor Chips," Lim (2000) identifies three key mechanisms to enhance connectedness: cultivating university relationships through research sponsorship, faculty collaboration, and graduate student recruitment; participating in research consortia; and partnering with companies engaged in related scientific research The central focus of the paper is to explore whether firms can effectively acquire and utilize externally generated scientific knowledge without relying on in-house R&D, instead leveraging their connections within the scientific community.

Hoc and Trong (2019) examine the role of Vietnamese technical and engineering universities in facilitating technology transfer through their study on university-industry linkages Their research highlights the current state of the National Innovation System (NIS) in Vietnam, emphasizing the contributions of universities to knowledge transfer The findings are based on a comprehensive survey involving 570 participants, showcasing the dynamics of collaboration between academia and industry in the country.

This study involved 11 respondents from five technical and engineering universities in Vietnam, aiming to explore various forms of university-industry (U-I) collaboration It examines the motivations behind these partnerships, as well as the barriers that hinder effective university-industry linkages The findings will lead to recommendations for enhancing collaboration in research and technology transfer between universities and industries in Vietnam.

In the article "The Link Between Universities, Research Institutes, and Enterprises in Scientific and Technological Activities," Phạm, H T (2017) examines the current state of collaboration among universities, research institutes, and industry, focusing on four universities in Vietnam The study identifies existing barriers to effective cooperation and offers recommendations to enhance the development of joint activities between these entities in the context of Vietnam's evolving landscape.

In the article by Hà (2018), the cooperation between universities and industries in Vietnam's R&D is categorized into four levels: research support, research cooperation, knowledge transfer, and technology transfer The study highlights motivations and barriers impacting this collaboration, such as weak vertical linkages among stakeholders, unclear institutional frameworks, undefined benefit distribution, and a lack of efficient markets Additionally, uncertainties in scientific research further complicate university-industry partnerships.

1.3 Researches on factors and barriers affecting University-Industry cooperation in R&D

Phạm and Phạm (2018) in their study "Solutions to Enhance Cooperation Between Research and Production Through a Systematic Innovation Approach" identify and analyze key barriers that hinder collaboration among universities, research institutes, and enterprises These barriers include cumbersome administrative procedures, evaluation criteria for research outcomes, tax policies, state funding for research, and the universities' capacity in science and technology human resources Additionally, they highlight the challenges related to the university's ability to raise funds to fulfill contractual obligations in collaborative efforts.

The article presents a conceptual framework that explores the key determinants of technology development and transfer in China, focusing on the financial motivations of universities and researchers in collaborating with enterprises It highlights the dual incentives for universities, which include financial gains and enhanced social standing, as well as the importance of technology transfer offices (TTOs) in facilitating cooperation between universities, research institutes, and businesses Siegel (2004) emphasizes the need for effective collaboration to improve the efficiency of technology transfer activities, underscoring the critical role of these partnerships in advancing scientific knowledge and its practical applications.

In his 2018 study, "A Conceptual Model of the Role of University-Industry Collaboration in a National System of Innovation," Edgar explores how local Higher Education Institutions (HEIs) are adapting to shifts in both local and global environments, as well as the evolving knowledge demands from the industrial sector The research identifies several barriers to collaboration between universities and enterprises, including informational and cultural differences, as well as institutional rigidity that fosters a lack of trust.

In the systematic review conducted by Ankrah (2015) on universities–industry collaboration (UIC), five key aspects were identified that underpin the theory of UIC The study analyzed various factors influencing cooperation between universities and enterprises, including capacity and resources, contractual mechanisms and legal issues, management and regulatory qualifications, as well as technology, political, and social issues These factors range from the broader institutional environment and legal framework to the specific contexts of individual enterprises and universities.

Research gap

Numerous studies have explored university-industry cooperation, examining its history, various forms, motivations, barriers, and influencing factors However, several research gaps remain evident in this field.

While numerous studies address university-industry collaboration, there is a notable scarcity of research specifically examining cooperation in Research & Development (R&D) This focus is crucial, particularly in the context of the Industrial Revolution 4.0, where the demand for technological innovation is paramount.

There is a scarcity of research on the collaboration between universities and industries in Vietnam, particularly empirical studies that elucidate the activities involved in this partnership, identify the factors influencing it, and offer recommendations for enhancing such cooperation in the country.

In Vietnam, there is a scarcity of research that synthesizes and analyzes international cases of R&D cooperation between universities and enterprises, hindering the identification of valuable lessons for Vietnam as a whole and for universities in Hanoi, which hosts the highest concentration of universities in the country.

In Vietnam, it is essential to undertake comprehensive research on the collaboration between universities and industry in R&D This study should analyze the factors influencing this partnership and offer solutions to enhance its development.

Basic concepts

A university is defined as an institution of higher education and research where individuals can pursue degrees and enhance their knowledge and skills According to the Oxford Dictionary, it is the highest level of education available, while the Cambridge Dictionary emphasizes that it caters to those who have completed twelve years of schooling IGI Global further elaborates that universities offer both undergraduate and postgraduate education across various subjects, ultimately granting academic degrees.

Universities traditionally have two primary missions: educating and qualifying human capital, and producing new knowledge through research In today's knowledge society, however, they have taken on a third mission: addressing societal needs and market demands by aligning their activities with the socio-economic context.

In Vietnam, the "Law on Higher Education" No 34/2018/QH14 defines higher education institutions as part of the national education system, focusing on training at advanced levels, conducting scientific and technological activities, and serving community needs Universities, as key higher education entities, offer diverse training and research opportunities across various fields, operating in accordance with the stipulations of this law, with their constituent units collaborating to achieve shared goals and objectives.

According to Oxford dictionary,”enterprise means “a company or business” “an organization, especially a business” and Cambridge Dictionary defined “enterprise” as “a difficult and important plan, especially one that will earn money”.”

In Vietnam, the Law on Enterprise No 59/2020/QH14 defines an enterprise as an organization that possesses its own name and assets, operates from a designated office, and is established or registered in accordance with legal provisions for the purpose of conducting business.

In differents researches, the concept of enterprises can be used under terms “industry”,

1 https://www.igi-global.com/dictionary/universities-third-mission/51708

Concept and model of university – industry cooperation

The cooperation between university and industry initiate from the concept of National innovation system

The National Innovation System (NIS) model, introduced by Freeman and Lundvall, defines a network of public and private organizations that collaborate and exchange new technologies According to the OECD (1997), the NIS is vital in the technology sector due to its recognition of knowledge's economic significance, the adoption of systems approaches, and the increasing number of institutions engaged in knowledge generation Research highlights four key knowledge flows within an NIS: interactions among enterprises, collaborations between enterprises and universities or public research labs, the diffusion of knowledge and technology to firms, and the movement of personnel Notably, the interaction between enterprises and universities is a crucial aspect of knowledge flow within the national innovation system.

Etzkowitz and Leydesdorff (2000) studied the innovative system of government- university-enterprise relations through three Triple Helix models as shown in Figure 2.1

Figure 2.1 The development of Triple-Helix Model

The three-helix model illustrates the interactions between universities, industry, and government as key sources of innovation and development, with configurations evolving alongside national innovation systems In the first model (Triple Helix I), the state directs the relationship between academia and business, a pattern observed in the former Soviet Union and Eastern European nations The second model (Triple Helix II) features distinct institutions where government, universities, and industry operate independently, with universities focusing on basic research and workforce training while industries compete in the market The government's role is limited to addressing market failures that the private sector cannot resolve The third model (Triple Helix III) presents overlapping institutional spheres with hybrid organizations at their interfaces While Triple Helix I is deemed a failure model that stifles innovation, Triple Helix II seeks to diminish state intervention, and many countries are striving to find a balance among these three models to foster innovation.

The Triple Helix III model fosters economic development through strategic alliances among diverse companies, government laboratories, and academic research groups Governments play a dual role by funding academic research and acting as a customer to stimulate demand The collaboration between universities, research institutes, businesses, and government is crucial for driving knowledge-based innovation (Etzkowitz, H & Chunyan Zhou, 2018).

University-Industry Collaboration is a bi-directional relationship that fosters the exchange of creativity, ideas, skills, and personnel between academic institutions and industry organizations, ultimately creating mutual value over time This partnership promotes the sharing of knowledge and technology through various forms, including collaboration agreements, conferences, and student internships It encompasses cooperation between university researchers and companies aimed at jointly developing new products or enhancing existing ones, thereby driving innovation through effective knowledge exchange.

Concept and model of technology transfer

According to Lane, J P (1999) , Technology transfer is a process for applying technologies to new and novel applications

According to Vac, C S., & Fitiu, A (2017), there are 7 step of technology transfer

During the invention stage, a product or service remains in its initial form and is not yet ready for commercial use The Technology Transfer Office (TTO) plays a crucial role by offering guidance on the potential applications of the emerging technology.

2 The invention disclosure stage, the inventor closely cooperates with the TTO at an instrumental level Here, the TTO can help with developing the invention report, which serves as an initial documentation of the invention, in order to protect the patentability of the invention

3 During the assessment stage, the TTO discusses with the scientist in order to determsine the marketability and patentability of the technology (evaluating its

2 https://www.igi-global.com/dictionary/knowledge-management-in-university-software-industry- collaboration/48150

In the initial stage of market potential assessment, TTO specialists focus on analyzing technology and technical details, conducting thorough searches in patent databases, and drafting comprehensive reports that complement those created by researchers.

4 Protection refers to the patent application process This is a usually long process, lasting around three years, during which the primary role is assigned to the TTO If the product is indeed marketable, its protection allows inventors and commercial partners to recover financial investments made to commercialize the product

5 Marketing In this phase, the TTO drafts short non-confidential summaries for the technology that is available for licensing Essentially, the TTO works with the inventor in order to identify potential commercial partners and potentially unmet markets

6 As far as licensing is concerned, the TTO helps the inventor with the whole process, negotiates the licensing, responsibility, rights and terms and conditions During this stage, the TTO negotiates the contract with the commercial partners

7 Financial return Efforts are made to ensure the post-license compliance It is imperative that the TTO keeps track of the agreed upon technological developments, payment of royalties and compliance with the provisions of the agreement.”

Figure 2.1 The process of technology transfer

Concept of commercialization

The commercialization of intellectual property (IP) involves monetizing ideas by transforming them into tangible assets An idea holds no real value until it is developed into a product or service with proven utility, prompting others to pay for its use, viewing, reading, recognition, or listening.

The commercialization of intellectual property involves a series of activities focused on protecting, managing, evaluating, developing, and creating value from ideas, inventions, and innovations This process facilitates the transformation of prototypes and implemented processes into tangible products and services by entrepreneurs, startups, established companies, and governments, ultimately yielding significant economic, cultural, and societal benefits.

The transformation of academic research into innovative technologies has historically led to the creation of inventions, products, and companies Successfully commercializing these technologies into market-ready products involves a series of activities focused on refining and validating the original inventions Research findings play a crucial role in determining the best path towards licensing, starting a new venture, or developing a spinoff company.

2.5 Concept of university-industry cooperation in R&D Why is university-industry cooperation in R&D important?

Research and development (R&D) collaborations vary significantly in the breadth and accessibility of new knowledge they provide, ultimately influencing product innovation (Mascarenhas, 2018) These partnerships are characterized by a transactional relationship between parties, built on respect, equality, and mutual benefit, all working towards a common goal (Katz, 1997) Systematic and creative scientific and technological activities aim to enhance knowledge and societal development, leading to innovative applications (Trang, 2017) The cooperation between universities and industry in R&D is crucial for fostering innovation and driving economic growth.

Universities today are not only responsible for teaching and research but also play a crucial role in enhancing local and national socio-economic conditions by collaborating with external entities to transform knowledge into valuable community products In the context of the Industrial Revolution 4.0, enterprises face significant challenges in innovation and technology development, making collaboration with universities in research and development essential for sustainable growth This strategic partnership fosters "shared value creation," a concept defined by Kramer (2016) as generating economic value while simultaneously addressing societal needs and challenges, distinguishing it from traditional corporate social responsibility.

27 responsibility or philanthropy—creating shared value is at the core of the business strategy” Therefore, university-enterprise cooperation is a way of creating shared value.”

This collaboration is crucial for enhancing the creative process by broadening the research capabilities of universities and scientific organizations, while also facilitating the commercialization of scientific innovations By partnering with enterprises, universities can better understand market demands and align their research efforts accordingly.

The collaboration between enterprises and universities is essential for advancing the science and technology market, which facilitates the exchange and creation of knowledge in these fields According to Arora (2001), this market serves as a vital link between technology suppliers and buyers, ultimately influencing economic growth As the science and technology market expands, it fosters technological advancements that contribute to wealth creation and economic diversity This economic growth, in turn, generates resources necessary for further technological development, leading to improved tools and means that enhance production and business, thereby promoting stable societal progress.

According to Ha, N.V (2018), R&D cooperation between universities and industry can be categorized into four key groups: (1) Research support, which includes financial contributions and access to research facilities; (2) Research collaboration, where both parties work together to address common challenges and enhance their research capabilities; (3) Knowledge transfer, focusing on personal communication, training cooperation, and personnel exchange; and (4) Technology transfer, which involves the application of university research in the development, commercialization of new products, and production processes within enterprises.

The case of China

3.1.1 The history of China’s university-industry cooperation

Following the establishment of the People's Republic of China in 1949, the country adopted a Soviet-style Research and Development (R&D) system that compartmentalized education, research, and business, resulting in minimal integration among these sectors.

Since the 1978 reform, China has focused on transforming its R&D system into an innovative model that prioritizes wealth creation, knowledge production, and regulatory control This transformation necessitates trilateral cooperation among universities, enterprises, and the state, moving away from previous independent activities By adopting the Triple Helix model, China aims to foster a knowledge economy, marking a significant step for developing nations in their economic reform efforts to align with developed countries.

China's development of the Triple Helix model can be divided into two key stages The first stage, spanning from 1978 to 2008, marks a significant period of awareness regarding technological innovation and knowledge Since the initiation of reforms in 1978, China has placed a strong emphasis on enhancing its technological capabilities.

Advancements in science, technology, and education serve as the cornerstone of modernization Since 2000, there has been a strong emphasis on enhancing scientific knowledge and technological capabilities to promote sustainable development, highlighting the necessity of partnerships among universities, enterprises, and government This transformation involves a collaborative approach where universities provide services, businesses engage in research and development, and government supports the establishment of new enterprises China's innovation policy has shifted from "technological self-reliance" to "indigenous innovation," aiming for global leadership in science and technology As technology becomes central to the national innovation strategy, the collaboration among universities, businesses, and government agencies is essential for fostering a robust knowledge economy.

Since the 2000s, China has established itself as a global leader in scientific publications and patents, positioning itself to compete in innovation The country's emphasis on the role of government and public institutions fosters creativity and innovation through tripartite cooperation.

China has shown a commitment to learning from past successes and national policies to transform the role of scientific academies and enhance research initiatives This includes promoting substantial R&D and fostering collaboration between universities and industries, particularly state-owned enterprises that increasingly seek partnerships with research institutions and universities Unlike the traditional Soviet model focused solely on teaching, Chinese universities are now taking on significant research and corporate cooperation responsibilities, shifting towards an international orientation and expanding global collaborations The government supports this evolution by proposing research-focused higher education programs and providing essential support packages for universities.

3.1.2 China’s policies related to the cooperation

China's innovation model emphasizes collaboration among universities, research institutes, enterprises, and the government The country actively fosters partnerships between educational institutions and research entities, promoting joint efforts with businesses and establishing research centers within universities Additionally, the Chinese government encourages these organizations to engage in international collaboration to leverage global advancements and enhance their competitive edge.

The Chinese government actively promotes technology transfer as a strategic initiative Prior to the transition, universities and research institutes had limited autonomy, with the government controlling the technology transfer process and determining research projects based on national plans Researchers were not required to consider the practicality of their work, while enterprises focused solely on meeting state requirements rather than advancing R&D However, following the 1978 reforms, significant changes were implemented, leading to both direct and indirect impacts on technology transfer Indirect effects emerged through policies aimed at economic reform and science and technology, fostering collaboration between universities, research institutes, and enterprises to enhance technology transfer efficiency Notably, the 1993 amendments to Articles 15, 16, and 17 of China’s 1988 Constitution further solidified these changes.

Table 3.1 1993 amendment to Articles 15,16,17 of China’s 1988 Constitution

Source: Shaping China’s Innovation Future Books

The Science and Technology Policy of the Chinese Government also directly affects the direction and behavior of technology transfer of universities and research institutes.”The

The Ministry of Education's "211" project has allocated $1.57 billion to facilitate technology transfer from universities and research institutes to enterprises (Liu and Jiang, 2001) Additionally, the government has implemented specific policies that include direct funding for R&D projects, rather than providing funds directly to companies.

The Chinese government prioritizes the research capabilities of universities, implementing initiatives like Project 211 to enhance 100 key institutions critical for national innovation and senior personnel training This focus has led to significant achievements in scientific publications and global university rankings By influencing public universities' conduct and intellectual property rights, the government fosters university-enterprise partnerships through consulting services and awareness campaigns Furthermore, the concept of "University-run Enterprises" highlights universities' roles in economic development by transferring scientific knowledge to industries and participating in industrialization This collaboration encompasses commercialized research, patenting, and technology sales, ultimately promoting cooperation between universities, research institutes, and enterprises.

Chinese companies often blend formal contracts with collaborative networks involving universities through personal interactions and shared locations University-enterprise cooperation in China encompasses various activities, including student internships where universities tailor training to meet industry needs, and businesses provide practical insights Additionally, enterprises can invest in scientific research projects, offer contracts for research, and supply researchers and lecturers to support their operations This collaboration also includes scientific consulting to foster innovation and efficiency, the establishment of science and technology parks, business incubation centers, and the encouragement of technology transfer initiatives Overall, these partnerships aim to enhance research, experimentation, and trial production, driving advancements in both academia and industry.

Collaborative research between universities and companies is highly valued, yet university-run enterprises (UREs) face neglect in China This oversight is largely attributed to the underdevelopment of intermediaries, such as technology licensing offices (TLOs), which play a crucial role in facilitating these partnerships.

Regulatory frameworks are increasingly becoming a key channel for the industrialization of science and technology (S&T) knowledge in universities, partially replacing university-related enterprises (UREs) Additionally, universities are experiencing a relative decline in their internal resources, while firms are developing enhanced absorptive capacities This improvement enables companies to access and utilize S&T knowledge produced by universities, even without exclusive partnerships like those offered by UREs (Keun Lee, 2009).

Since the economic reforms of 1978, China has made significant strides in establishing a cooperation model between universities and enterprises, with the government playing a crucial role in this transformation from a Soviet-style system to a modern approach This model emphasizes collaboration among universities, research institutes, and businesses, aiming to foster the knowledge economy As a result, China has experienced notable economic growth, advancements in science and technology, and the development of a more comprehensive education system.

3.1.3 Activities of university-industry cooperation

Before the reform, China's association model resembled the Triple Helix I model, heavily influenced by the Soviet system, where the state directed interactions between academia and enterprises Post-reform, the government is shifting from a direct to an indirect role in fostering university-enterprise relations by implementing regulatory policies and creating a conducive environment for collaboration The Chinese government aims to establish a university-enterprise cooperation model with key objectives: recognizing the importance of collaboration for innovation success, facilitating information and knowledge sharing among academia, businesses, and government to create industrialization opportunities, and introducing new policies and innovative programs to enhance interaction among universities, research institutes, and enterprises.

The case of USA

3.2.1 The history of the USA’s university-industry cooperation

In the United States, partnerships between universities and the agricultural and manufacturing sectors have a long-standing history, evolving into university-industry research collaborations since the mid-20th century Various policy measures, such as R&D tax credits for basic research, antitrust rules for joint venture R&D, and the Bayh-Dole Act, have been implemented to enhance collaborative R&D efforts between universities and enterprises These initiatives allow universities to retain intellectual property rights from federally funded research and enable federal agencies to license technologies for commercial applications Today, cooperation between universities and enterprises remains robust, driven by competitive dynamics.

3.2.2 USA’s policy related to the cooperation: Bayh-Dole act

The US is characterized as a capitalist nation where universities, research institutes, and enterprises play a crucial role in collaborative activities, with government agencies primarily providing support (Hall et al., 2004) The Bayh-Dole Act addresses key issues by permitting universities and nonprofit organizations to patent and commercialize research results from government-funded programs, while also allowing federal agencies to license technologies for commercial use This legislation established a uniform copyright policy for federal agencies receiving research funding and enabled universities to retain rights to their inventions, fostering partnerships between academia and businesses in knowledge transfer and technological advancement Following the enactment of the Bayh-Dole Act, the number of technology transfer offices at US universities surged from 25 to 200 within a decade, laying a legal foundation for transferring research outcomes to enterprises through licensing and patents This collaboration has significantly contributed to GDP growth and job creation, with the act's influence extending to countries in Europe, Australia, and Asia (David, 2001; Ampere, 2014; Hung, 2016; Carlsson, 2002) Notably, prior to the Bayh-Dole Act in 1980, institutions like Stanford and California had already established technology transfer offices and engaged in related activities since the early 1970s.

35 cannot be the sole explanation for the development of technology transfer between universities and enterprises in the US ”

Technology transfer between universities and enterprises involves several key stages: First, a Non-Disclosure Agreement (NDA) is established to ensure confidentiality between the university and business partners Next, the university assesses the partner's business plan, which includes their revenue history and technology capabilities Following this, the economic terms of the license are formulated, leading to the drafting of the final License Agreement In addition to these stages, cooperation policies in the US focus on supporting researchers through funding, constructing laboratories, and establishing University-Industry Research Centers (UIRCs) Other initiatives include designing training programs tailored to business needs, fostering close links in human resource development, and facilitating collaborative simulations within universities Successful models have emerged where universities invite businesses to share job opportunities and integrate relevant content into training programs Furthermore, universities organize scientific seminars to promote dialogue on pressing economic and social issues and allow faculties to create subsidiary research enterprises, enhancing the practical impact of research and fostering proactive university-enterprise linkages.

The university-enterprise linkage in the US significantly differs from that in China, primarily due to the nature of cooperation driven by market needs and competitive dynamics in the US, with minimal government involvement In contrast, China's collaboration is heavily influenced by government policies and state objectives Additionally, the US exhibits higher publishing productivity and stronger cooperation intensity among stakeholders across various social fields compared to China.

Leading US universities excel in collaboration with enterprises across 36 sciences and natural sciences, a level of partnership not matched by all top universities in China The quality of research significantly influences the intensity of cooperation between US universities and enterprises, whereas this criterion is not prioritized in China Additionally, Chinese institutions are more proactive in forming partnerships with foreign entities, while US universities tend to focus on domestic collaborations (Zhou et al., 2016).

3.2.3 Activities of university-industry cooperation

The evolution of universities has seen three distinct generations, with Stanford University in the US and Cambridge University in the UK standing out as leaders in the third generation model The first generation, rooted in medieval times, focused on preserving ancient knowledge near churches and monasteries The second generation emerged during the Renaissance, emphasizing both teaching and research to promote scientific progress In contrast, the third generation university, exemplified by Stanford, prioritizes collaboration with enterprises, the development of science and technology, and the commercialization of research outputs Stanford's technology park has attracted numerous high-tech companies, fostering strong partnerships in Silicon Valley for scientific research, knowledge application, and the cultivation of skilled human resources.

In 2020, Stanford University ranked second among the top 10 universities in research income, generating $107,000 per academic staff member, highlighting its pivotal role in supporting higher education research and knowledge transfer that has significantly contributed to the growth of Silicon Valley Established in 1909 when Stanford's principal, David Starr Jordan, invested in Lee de Forest's vacuum tube invention, Silicon Valley has evolved into a premier global research and development hub, housing approximately 7,000 technology companies This includes renowned firms featured on the Forbes 500 list, such as Apple, Google, Intel, and Adobe Systems, underscoring the region's importance in innovation and economic development.

3 https://cdn.theewf.org/uploads/pdf/THE-Consultancy_University-industry-collaboration_final-report-

Appliance; NVIDIA Corporation; Oracle; Corporation; Siebel Systems; Sun Microsystems; Symantec; Synopsys; Varian Medical Systems; Xilinx; Yahoo!…”

In the region, companies engage in fierce competition while simultaneously learning from one another about evolving markets and technologies through informal communication and collaboration A computer network-based system enables open organizational boundaries, fostering connections between companies, customers, and local entities such as trade associations and universities For instance, Google originated at Stanford University's School of Engineering, and the enduring partnership between the two institutions continues to fuel innovation, exemplifying a highly beneficial relationship between academia and industry in Silicon Valley.

Stanford University hosts a dedicated research and development unit comprising 19 independent laboratories, centers, and institutes These entities create a collaborative environment that fosters interdisciplinary connections among various fields of study Additionally, the university emphasizes STEM education through its specialized laboratories and institutes, such as Stanford Bio-X, which further enhances its research capabilities.

Stanford University hosts a variety of esteemed research institutes, including the Wu Tsai Neurosciences Institute, Stanford Chemistry, Engineering and Medicine for Human Health (ChEM-H), and the Stanford Institute for Materials and Energy Sciences (SIMES) Additionally, policy-focused centers such as the Freeman Spogli Institute for International Studies (FSI) and the Stanford Institute for Economic Policy Research (SIEPR) contribute to critical research on global and economic issues The university also emphasizes humanities and social sciences through centers like the Stanford Humanities Center (SHC) and the Center for Advanced Study in the Behavioral Sciences (CASBS) Furthermore, specialized research facilities, including the SLAC National Accelerator Laboratory and the Hoover Institution, support groundbreaking studies in various fields, while the Jasper Ridge Biological Preserve and Hopkins Marine Station provide unique environments for ecological and marine research.

The university model in Vietnam significantly differs from that of the United States, where American universities are characterized by their high degree of autonomy, diversity, and flexibility This system promotes adaptability and fosters strong connections between academic institutions and the production sector, as well as society at large.

Higher education management in the United States is primarily the responsibility of individual states, granting universities significant autonomy in decision-making (Hung et al., 2016) This autonomy fosters competitiveness among universities and enterprises, driving collaboration for mutual benefits Vietnam can learn from this model as it implements its own university autonomy, emphasizing the need to balance state influence to enhance competition Additionally, the US Bayh-Dole Act illustrates the benefits and drawbacks of fostering cooperation, highlighting potential impacts on research content that Vietnam should consider Furthermore, the early development of the third-generation university model in the US, exemplified by Stanford University, showcases the importance of integrating science and technology into production, serving as a valuable lesson for Vietnam's higher education and technological advancement.

The case of Japan

3.3.1 The history of the Japan’s university-industry cooperation

Japan is recognized as a leader in commercialization globally, largely due to its policies aimed at transforming university research into marketable products The International Property Rights Index (IPRI) reported that in 2021, Japan achieved a global ranking of 6th and a regional ranking of 2nd for its intellectual property rights.

6 https://www.internationalpropertyrightsindex.org/country/japan

Table 3.2 Japan – Intellectual Property Rights in 2021

By the late 1990s, Japan's universities were compelled to transform their relationships with industry due to a significant loss of competitiveness against U.S firms in key sectors like information technology and biotechnology Traditionally state-owned and resistant to collaboration with businesses, Japanese universities had maintained an anti-business sentiment since 1945, believing large corporations were responsible for the Pacific War However, as countries like Korea and China rapidly industrialized, the urgency for Japanese companies to leverage university knowledge grew, prompting a shift towards collaboration This change was driven by the realization that to remain competitive, Japan needed to utilize advanced academic research, as universities were falling behind their foreign counterparts due to a lack of industry interaction.

Many Japanese universities are currently reassessing their policies to strike a balance between commercial interests and their core academic missions, driven by a legitimate sense of caution against prioritizing profit over education.

3.3.2 Japan’s policy related to the cooperation

First,”Japan has a system of policy on building legal institutions In 1961, The Act on

The Research and Development Partnership in Japan, initiated in the mining and manufacturing sectors, has fostered collaborative research among the state, universities, and industries since its introduction in 1970 This led to the establishment of a contract research system and the first official University-Industry collaborations by 1983 The enactment of the Science and Technology Basic Law in 1995 emphasized the government's role in promoting science and technology (S&T) and facilitating university-industry cooperation Subsequent Science and Technology Basic Plans from 1996 to 2026 have aimed to enhance technology transfer and R&D capabilities The latest plan (2021-2025) focuses on creating a sustainable society through the integration of cyberspace and physical space, advancing knowledge creation, and developing innovative human resources Notably, Japan aims to establish a 10 trillion yen university endowment fund and targets 30 trillion yen in government R&D investment from FY 2021 to 2025, alongside 120 trillion yen in combined public and private R&D investments Additionally, the 1998 Act on the Promotion of Technology Transfer has strengthened ties between universities and businesses, facilitating the establishment of Technology Licensing Offices (TLOs).

7 https://www.openaccessgovernment.org/japans-6th-science-technology-and-innovation-basic-plan/120486/

8 https://www.openaccessgovernment.org/japans-6th-science-technology-and-innovation-basic-plan/120486/

9 https://wipolex-res.wipo.int/edocs/lexdocs/laws/en/jp/jp193en.html

The enactment of the law has transformed researchers and scientists in Japan, freeing them from public servant roles and enabling collaboration with private enterprises This shift allows professors to serve as business advisors, occupy managerial positions, and join the boards of private companies, fostering the development of spin-off companies The introduction of the National University Corporation Act in 2004 further enhanced this autonomy, granting universities the ability to operate as independent organizations This change has empowered higher education institutions to engage in partnerships, sign contracts with various entities, and access diverse funding sources for education and research.

The Japanese government and enterprises have significantly bolstered financial support for infrastructure and research capacity at universities, particularly through increased investment in R&D activities The Ministry of Education, Culture, Sports, Science and Technology (MEXT) and the Ministry of Economy, Trade and Industry (METI) play crucial roles in promoting financial investment programs and enhancing infrastructure facilities to foster scientific research Between 2000 and 2010, these agencies allocated approximately 135.5 billion yen to university startup projects, 175 billion yen for technology incubators, and 66.5 billion yen to develop networks between researchers and enterprises Additionally, technology incubators like the Kyoto Mikuruma, established in 2005 with funding from the SMRJ, focus on strategic planning and foster research collaborations with local universities Enterprises within the Kyoto Mikuruma incubator, which must have an A rating from the Kyoto Business Forum, benefit from incentives such as a 50% discount on land rent for three years and support for expanding partnerships with both local and international entities.

(2011) The number of technology incubators in Japan has increased tenfold, from 30 incubation in 2000 to 336 in 2010 In which, Japan pays special attention to investment in

10 http://www.japaneselawtranslation.go.jp/law/detail_main?re=&vm=2&id033

In Japan, the establishment of technology incubators on or near university campuses has significantly contributed to the growth of startups, particularly in the Kanto (Tokyo) and Kansai (Kyoto and Osaka) regions, where many public universities are situated These incubators have fostered an environment that nurtures innovation across various sectors, including information technology and environmental services As a result, the number of university startups surged from a few hundred in 2000 to over 1,800 by 2008.

Third,”Japanese government also introduced legal adjustments related to the management of intellectual property rights for inventions and inventions in universities In 1999, the

The "Act on Special Measures for Productivity Improvement" enables universities to retain ownership of inventions and innovations developed through state-funded research programs, shifting from the previous law that granted sole ownership to professors.

The Japanese legal framework for technology transfer has been significantly influenced by four key laws: the 1998 Law to Promote the Transfer of University Technologies (TLO Law), the 1999 Law of Special Measures to Revive Industry (often referred to as the Japanese Bayh-Dole Law), the 2000 Law to Strengthen Industrial Technology, and the 2004 University Incorporation Law.

3.3.3 Activities of university-industry cooperation

Japanese companies often neither develop nor license about two-thirds of the technologies for which they hold patents, primarily to prevent competitors from utilizing them Many university innovations are informally transferred to the private sector, escaping standard statistical tracking This informal transfer can occur through short assignment documents rather than formal contracts, leading to a lack of awareness among faculty about the number of their patented discoveries Various methods facilitate this informal technology transfer, including professors consulting for companies, corporate researchers collaborating in university labs, and graduates entering industrial sectors Consequently, the majority of technology transfers stemming from university contributions remain unmeasured and unaccounted for in official statistics.

11 http://www.japaneselawtranslation.go.jp/law/detail_main?re&vm&id420

TLOs were established outside the university framework as stock companies,”except for private universities where they are placed within the university organization (Shimoda,

IP management offices operate within universities and are structured in three distinct Technology Licensing Office (TLO) models The Internal model integrates IP management offices and TLOs, commonly found in private and some national universities, where they share responsibilities for invention disclosure, IPR management, and patent applications, while TLOs focus on licensing and supporting university spin-offs The External & Exclusive model, prevalent in most national universities, positions TLOs outside the university to handle the commercialization of inventions Lastly, the External & non-Exclusive model involves universities forming partnerships with multiple TLOs based on their specific policies and needs.

Japan is committed to robust policies that safeguard intellectual property rights, foster investment in research and development (R&D), and enhance the role of intermediary organizations The country emphasizes the commercialization of technology transfer and actively promotes science and technology initiatives through various incentive programs and tax benefits.

The implementation of policies in Japan has significantly enhanced collaboration between enterprises and universities, particularly in the realm of technology transfer This has led to increased motivation for both institutions to engage in cooperative efforts It is essential for Vietnam to study and adapt Japan's science and technology policies and technology transfer strategies to fit its unique context.

CHAPTER 4 THE SITUATION OF UNIVERSITY-INDUSTRY COOPERATION IN R&D IN VIETNAM AND THE CASE OF UNIVERSITIES IN HANOI

Historical change in policies relating to university-industry cooperation

Since 1975, the evolution of higher education in Vietnam, along with shifts in policies and strategies concerning research institutes and enterprises, can be categorized into three primary phases.

First, the period 1975-1985:”Influenced by the educational model of the former Soviet

Union, there was a separation between the functions of universities and research institutes.”

Vietnam has committed to a political and economic strategy that integrates Marxism-Leninism with Ho Chi Minh's ideology, emphasizing a centrally planned economy primarily reliant on agriculture, where state-owned enterprises are central to economic activities.

All private higher education institutions that operated in the South during the Republic of Vietnam regime were dissolved, while public higher education institutions underwent dissolution, division, or restructuring based on the Soviet Union's dispersal model and adopted a subsidy model similar to other socialist countries.

The government exerts strict control over higher education management, overseeing aspects such as curriculum, lecturer salaries, student enrollment, and job placements for graduates Students are selected based on their exceptional exam performance, ensuring high educational quality, which is further regulated through standardized examinations and diploma issuance Post-graduation, the state allocates enrollment quotas for institutions based on local and agency needs Following the country's reunification in 1975, a centralized planning system was established, abolishing the bourgeoisie and shifting economic management to administrative orders The state dictates production decisions and distribution, leaving enterprises focused solely on meeting state-set targets, with limited involvement in scientific innovation and product development.

From 1979-1986,”there are some change regarding policies Directive 100 - CT/TW in

In 1981, significant advancements were made in contracting work, particularly in expanding product contracting to labor groups and agricultural cooperative workers The implementation of Decision 25 CP on January 21, 1981, introduced several guidelines aimed at enhancing production initiative and financial autonomy for state-owned enterprises Additionally, Decision 175 in 1981 facilitated the signing of research and development contracts, laying the groundwork for future innovation policies.

From 1986 to 2005, Vietnam transitioned from a planned economy to a socialist-oriented market economy, prompting significant reforms in higher education This shift fostered collaboration between universities, research institutes, and enterprises Following the 6th National Party Congress's announcement of national reform, the Ministry of Education and educators nationwide convened to discuss higher education policies Key outcomes included training human resources for non-state enterprises, generating income from outside the state sector, granting autonomy in developing study programs to meet national needs, and emphasizing that graduates are responsible for securing their own employment (Ministry of Education and Training, 1995).

Between 1991 and 1996, Vietnamese universities initiated nearly 200 pilot production projects based on their research findings or collaborative agreements From 1996 to 2002, these institutions undertook 3,800 research and development projects and engaged in 90 additional pilot production initiatives By the end of 2002, the university system had established 167 research departments and 147 technology development and consulting centers The government officially supported the integration of universities and research institutes in training, scientific research, and technology transfer through the enactment of the Education Law in 1998.

The legal system has evolved significantly due to advancements in science, technology, business activities, and international cooperation Key developments include the Foreign Investment Law enacted on December 29, 1987, the Bankruptcy Law introduced in 1988, and the Land Law.

In 1988, Vietnam established a two-tier banking system, comprising the State Bank and specialized online banks, marking a significant development in its financial sector By 1995, Vietnam joined the ASEAN Free Trade Area, enhancing its regional integration In terms of science and technology policy, the government initiated a series of reforms, including the transfer of monopoly management of science and technology in 1987, the introduction of the Ordinance on Foreign Technology Transfer in 1988, and the Ordinance on Intellectual Property Rights in 1989 Additionally, Decree 35 in 1992 facilitated the licensing of private R&D organizations, while Decision 268 in 1990 permitted these organizations to engage in business activities.

Vietnam's scientific research output has been significantly lower than that of other Asian countries, with only 39 published articles from 1996 to 2010, as noted by Pham Thi Ly and Nguyen Van Tuan (2012).

Between 1996 and 2000, Vietnam underwent significant restructuring of its science and technology (S&T) system, marked by the introduction of key policies and legal frameworks Notable developments included Decree 57 in 1998, which granted export rights to domestic firms, and Decision 782 in 1996, aimed at restructuring public R&D organizations The establishment of Hoa Lac Hi-Tech Park in 1998 and Saigon Hi-Tech Park in 2002 further supported innovation infrastructure Additionally, Decree 119 in 1999 initiated the Enterprise Support Fund Program, while the Law on Science and Technology was enacted in 2000, alongside Decision 850, which established 19 key experimental centers The signing of the Vietnam-US Trade Agreement in 2001 signified a growing connection between R&D and production; however, the state maintained control over the S&T system, and the role of universities remained limited.

The period from 2003 to 2010 marked a significant phase of global integration and reform in Vietnam's science and technology management system A pivotal moment was Vietnam's accession to the WTO, which advanced the integration process Key developments during this time included the Strategy for Science and Technology Development until 2010, the establishment of the NAFOSTED fund, and the formation of the National Science and Technology Policy Council, all initiated in 2003 Additionally, several important decisions and laws were enacted, such as Decision 171 on state management reform in 2004, the Law on Intellectual Property and the Law on Technology Transfer in 2005 and 2006, respectively, and the establishment of the National Fund for Technology Transfer While the various elements of the system began to interact, they remained largely discrete and singular throughout this stage.

In addition, there are policies on finance and infrastructure for science and technology.”

The 2011-2015 period marked a significant Development phase, characterized by the establishment of a formal and functional innovation system Key policy innovations during this time included the Socio-economic Development Plan for 2011-2015 and Resolution No 20-NQ/TW, issued on October 31, 2012, which aimed to advance science and technology to support industrialization and modernization within a socialist-oriented market economy and in the context of international integration.

The Science and Technology Development Strategy for 2011-2020 was approved by the Prime Minister in Decision No 418/QD-TTg on April 11, 2012, alongside the Government Action Plan on Science and Technology (Resolution No 46/NQ-CP) in 2013 Additionally, Decision No 2075/QD-TTg, dated November 8, 2013, established the S&T market development program until 2020, following the new regulations set forth in Decree 80 on cooperation and investment in science and technology in 2010 The master plan for human resource development in science and technology for the same period was approved under Decision No 4009/QD-BKHCN on December 29, 2011 The Science and Technology Enterprise and Market Development Department was established in 2011, and the National Technology Innovation Program was approved by Decision No 677/QD-TTg on May 10, 2011 Furthermore, the "Project on International Integration of Science and Technology until 2020" was sanctioned by Decision No 735/QD-TTg in 2011, reinforcing the commitment to advancing science and technology as outlined in Resolution No 20-NQ/TW.

In 2012, Decision 592/QD-TTg was approved to support the development of science and technology (S&T) enterprises and public S&T organizations under an autonomy mechanism This initiative aligns with the 5-year socio-economic development plan (2016-2020) outlined in Resolution No 142/2016/QH13 Additionally, the Prime Minister's Decision No 2245/QD-TTg in December 2015 focused on restructuring the S&T sector until 2020, with a vision extending to 2030 The Government's Decree No 54/2016/ND-CP established regulations for the autonomy of public S&T organizations, while Resolution 35/NQ-CP aimed to support enterprise development until 2020 Furthermore, Decision 844/QD-TTg initiated the "Supporting the National Innovation Startup Ecosystem until 2025" project Amendments to Decision 592/QD-TTg, as seen in Decision No 1381/QD-TTg, emphasized enhancing technologies for competitive products in the market Lastly, Circular No 08/2016/TT-BKHCN revised management regulations for the S&T market development program, emphasizing the commercialization of research results and intellectual property.

The case of universities in Hanoi

The research conducts research at two universities in Hanoi including a public university (Vietnam National University of Agriculture) and a private university (Phenikaa

After reviewing universities’ policies and activities, different in-depth interview was conducted with universities’ lecturers to get the opinion from universities’ point of view

Based on the research question and literature review, interview questions were developed and categorized according to the various factors influencing cooperation in R&D These questions will also address the barriers to university-industry collaboration, aiming to gather insights from universities on this topic.

(1) In your opinion, is the cooperation between university and industry important and necessary? Why?

(2) University's strategy, policy, mission for research and development, social responsibility and cooperation with enterprises are raised and how are they implemented?

(3) R&D cooperation activities between the universities and enterprises

(4) In your opinion, what factors affect the cooperation between universities and enterprises in R&D?

(5) (Optional) In your opinion, what should be changed/improved to promote cooperation between universities and enterprises in R&D activities

Vietnam National University of Agriculture: VNUA

4.2.1 The case of Phenikaa university

Phenikaa University, established on October 10, 2007, under Decision No 1368/QD-TTg by the Prime Minister, became a member of the leading Technology and Industry Group in Vietnam, Phenikaa Group, in October 2017 The university was officially renamed Phenikaa University on November 21, 2018, following Decision No 1609/QD-TTg from the Prime Minister.

Phenikaa Group's investment is driving a comprehensive restructuring of the University towards innovation and research, positioning it as a key pillar of an integrated ecosystem alongside the inter-level education system This ecosystem, which encompasses enterprise, education, and scientific research, fosters an environment for Phenikaa University to thrive as an innovative institution It aims to excel in training, research, and startup initiatives, while serving as a catalyst for potential realization and community value creation.

Phenikaa University aims to be a for-profit institution grounded in the educational philosophy of Respect, Creativity, and Criticism It is committed to becoming an experiential university, integrating teaching and learning with practical applications The university emphasizes both basic and applied research, ensuring that its training programs are closely aligned with the activities of organizations and enterprises This approach equips students with the practical skills necessary for effective employment upon graduation.

Internationalization is one of the key strategies for Phenikaa University to expand international cooperation in training, research, transfer, realizing the strategic goal of

In just two decades, Phenikaa University has achieved a remarkable position among the Top 100 best universities in Asia By enhancing its operational model and integrating knowledge enterprises within its ecosystem, the university is steadily advancing towards its vision of becoming Vietnam's leading innovation university.

The following table show the list of Phenikaa’s policies in Research&Development:

Table 4.2 The list of Phenikaa’s policies in Research&Development

Promulgating the Regulation on management of scientific and technological activities of Phenikaa University

Phenikaa University aims to enhance its position by integrating with modern science and technology on both regional and global scales The university focuses on improving education and training quality to meet the demand for highly qualified scientific and technological human resources It seeks to leverage scientific achievements and technical advancements to support educational development and business growth, contributing to broader economic and social progress Key scientific and technological tasks include management, deployment of research projects, scientific publications, and intellectual property activities, with a clear identification of the roles of training and research units in overseeing these activities at the unit level.

Regulations on management of science and technology projects with funding from the state budget or external organizations; institutional level science and technology topics; student research projects

Supplement and amend the items allocated with funds for the additional

Subject manager allowance: 20% of the total approved budget

59 items of the institutional level science and technology topic/project

Professional contract: 50% of the total approved budget

On the promulgation of regulations on management of intellectual property activities of Phenikaa University

“Objectives of intellectual property activities:

To encourage creative activities, promote the exploitation and transfer of technology, intellectual property rights, and protect the intellectual property of scientists and staff Faculty, lecturers, learners of Phenikaa University

The article outlines key strategies for enhancing intellectual property development, including the formulation of strategic plans and the organization of consulting activities It emphasizes the temporary incubation and commercialization of university intellectual property through specialized units, as well as fostering research collaboration and technology transfer with higher education institutions, research institutes, and local enterprises Additionally, it highlights the importance of creating supportive policies for creative intellectual property activities and assessing the commercial viability of intellectual property, in coordination with Phenikaa Group and its affiliates, to further develop the science and technology market.

Effective organization and management of intellectual property activities involve several key steps: establishing regulations for management, developing a comprehensive intellectual property activity plan, and conducting thorough examinations and evaluations of its implementation Additionally, creating a specialized department within the science and technology sector is essential for overseeing these activities It is also crucial to determine ownership rights related to intellectual property and ensure fair distribution of benefits arising from commercialization and technology transfer, all while fostering the development of the science and technology market.

60 organization; To prescribe obligations and responsibilities of subjects participating in intellectual property activities; Settlement of disputes, reward and handle violations

The Science and Technology Department collaborates with the Finance and Accounting Department to create an annual financial plan specifically for intellectual property activities, as well as a comprehensive plan for science and technology initiatives.

“It can be seen that Phenikaa University has specific and clear regulations and guidelines on scientific and technological activities, scientific research activities in general and technology transfer in particular.”

A study involved interviews with eight lecturers from the Faculty of Business and Economics, Faculty of Vehicle and Energy Engineering, and Faculty of Information Technology The responses are summarized below, with similar answers combined for clarity.

(1) In your opinion, is the cooperation between university and industry important and necessary? Why?

Cooperation between enterprises and universities in research and development is crucial for mutual growth For universities, this collaboration provides lecturers and students the chance to align their research ideas with the needs of businesses and society, resulting in clear research objectives and the creation of valuable products This synergy not only enhances economic efficiency but also delivers long-term benefits to society.

In developed nations, technological advancements that enhance economic efficiency are often linked to universities through knowledge sharing and research activities The role of universities in supporting enterprises is highly valued Amid the challenges and competition of the Industrial Revolution 4.0, fostering long-term cooperation between businesses and universities is crucial for strategic success.

The swift evolution of labor market demands is compelling universities to transform their curricula, teaching methods, and governance structures Traditional educational approaches are undergoing significant changes to better equip students with the skills needed to fulfill societal needs effectively.

In addition to training the nation's workforce, universities play a crucial role in scientific research that must be commercialized for societal application This highlights the importance of universities in fostering connections with businesses, including establishing university enterprises to achieve these objectives Furthermore, universities engage in strategic and management consultancy, as well as policy development, to enhance enterprise growth and improve the effectiveness of university-business collaboration.

The model of university-to-business cooperation has been well-established in developed regions such as Europe, Japan, and Singapore This collaboration involves the exchange of experts, sharing of knowledge and technology, and joint investments in research and development Such partnerships aim to commercialize scientific research results, ultimately providing valuable products and services to society This high-level cooperation is essential for achieving long-term economic efficiency.

Discussing on the two cases

Vietnam National University of Agriculture and Phenikaa University, representing public and private education in Hanoi, emphasize the significance of university-industry (U-I) cooperation in research and development (R&D) This collaboration is deemed strategic and beneficial, fostering advancements in science, technology, and societal development Lecturers recognize that integrating practical applications into education is essential for addressing real-world challenges By partnering with enterprises, universities can enhance their training programs and tackle societal issues, while also providing lecturers with opportunities to improve their practical skills and generate innovative solutions Additionally, such partnerships offer financial incentives for educators beyond their teaching salaries For businesses, sustainable growth hinges on innovation, necessitating collaboration with universities to leverage financial resources and dedicated research teams Ultimately, this symbiotic relationship yields mutual benefits, contributing to the broader societal good.

The two universities exhibit significant differences in their policies and collaboration with enterprises regarding R&D activities Both institutions prioritize scientific research and seek to engage in various cooperative efforts with businesses, focusing on research and development, technology transfer, and commercialization.

Both universities have established comprehensive policies for managing science and technology activities, as well as intellectual property, providing clear guidelines for research and technology transfer Each institution actively promotes science and technology development and commercialization, though their approaches and policies differ in certain aspects Consequently, this leads to varied perspectives among lecturers and researchers regarding the effectiveness of these initiatives.

With many years of operation and many achievements in science and technology,"

Vietnam National University of Agriculture actively collaborates with universities and enterprises in research and technology transfer, leading to significant achievements, particularly within its faculties of technology and engineering.

The university has garnered a strong reputation, attracting numerous domestic and international enterprises and organizations It has established spin-off companies and innovation centers, fostering a competitive research environment that enhances research, innovation, and technology transfer However, lecturers have expressed concerns regarding limitations in salary and bonus policies, as well as the need for improved university facilities.

Phenikaa University, a newly established private institution, has made significant strides in developing agencies and units dedicated to science and technology activities, aligning with government policies and creating relevant manuals Leveraging its affiliation with the Phenikaa Group, the university has fostered strong partnerships with enterprises, particularly with Phenikaa X, a leading technology company focused on self-driving cars and industrial robots in Vietnam This collaboration enables a dynamic exchange between university engineers and lecturers, aimed at producing innovative technological products.

To enhance collaboration and achieve superior outcomes, new and private universities should actively promote science and technology initiatives This approach will help build a strong reputation that attracts student interest and fosters partnerships with numerous enterprises, ultimately leading to increased technology transfer and commercialization activities.

Discussing on factors affecting university-industry cooperation

Based on interviews and the research from universities," some discussions about factors affecting cooperation between enterprises and universities can be made from the university's point of view."

Both universities acknowledge that while state policies provide a solid foundation for cooperation, they are not the sole determinant of collaborative efforts, which primarily rely on negotiations and agreements between enterprises and universities Current state initiatives, such as the Law on Science and Technology, the Law on Intellectual Property, and the Law on Technology Transfer, along with policies aimed at enhancing scientific and technological capabilities, serve as motivating factors for fostering cooperation between these entities.

Despite the presence of good policies for research and development, the implementation of these documents remains inadequate, as current efforts prioritize efficiency over simplifying procedures This has led to numerous challenges in the execution of these processes To enhance cooperation between universities and enterprises in research and transfer, it is essential for the State to implement programs and direct investments, as well as empower both sectors to utilize financial mechanisms effectively Additionally, with the advancement of information technology, the State should promote digital processes to facilitate easier access to investment capital for enterprises and streamline administrative procedures.

Private universities often operate with minimal influence from state policies regarding their cooperative activities, relying largely on the initiative of their leaders While government measures have advanced the promotion of collaboration within these institutions, there remains a strong demand for more defined and effective policy frameworks from the State to enhance the engagement of private universities in science and technology activities.

University policies play a crucial role in fostering collaboration between enterprises and universities, particularly in private institutions Interviewees highlight that effective science and technology policies, including regulations on lecturer research periods, the formation of robust research groups, and the establishment of innovation centers, provide a solid foundation for enhancing research activities and partnerships between academia and industry.

A competitive and cooperative environment among lecturers at the National University of Agriculture significantly enhances scientific and technological research and development activities The university's achievements in these areas stem from this competitive atmosphere, which fosters collaboration with enterprises Key factors promoting research and technology transfer include the development of technology transfer processes and intellectual property protections that safeguard lecturers' interests Actively seeking business partners and establishing collaborative programs create valuable opportunities for faculty and lecturers to engage in research and development, thereby strengthening cooperation between enterprises and universities.

Modern facilities play a crucial role in enhancing scientific activities and fostering collaboration between lecturers and enterprises The quality and scale of equipment directly influence lecturers' motivation and ability to produce valuable research and innovative products, thus attracting more partnerships with businesses Additionally, there is a pressing need for investment in modern, high-quality facilities, particularly in the social sciences, such as economics and business administration Many believe that resources for data and reputable scientific publications, like the Harvard Business Review, require greater attention and investment in both public and private universities.

Human resource policy plays a crucial role in enhancing the quality of scientific research activities, as highlighted by lecturers Attracting experienced and reputable lecturers, along with promising young talent, is vital To maximize these resources, effective human resource training policies, the formation of research groups, and investments are essential to provide lecturers with practical experience opportunities.

University capacity plays a crucial role in fostering effective research and development collaboration between enterprises and academic institutions The expertise and capabilities of lecturers significantly influence the success of these partnerships, as does the reputation of the faculty or academy in attracting businesses Furthermore, understanding the needs of enterprises is essential for universities to ensure that such collaborations are sustainable and mutually beneficial.

Universities must define their value proposition to foster collaboration with enterprises, focusing on economic benefits derived from innovation and efficiency By pursuing co-entrepreneurship and co-innovation, they can create significant value for both businesses and society This partnership not only enhances educational quality and research but also supports societal growth through investments in higher education Establishing clear cooperation goals will help universities improve the capabilities of their staff and attract enterprise engagement, ultimately leading to a shared value creation system that benefits all stakeholders involved.

The characteristics of a business play a crucial role in decision-making and collaboration, although its reputation may not significantly impact these processes Universities prioritize the nature of the business's activities and the objectives of potential partnerships when seeking to collaborate with enterprises.

CHAPTER 5 RECOMMENDATION IN ENHANCING UNIVERSITY-

In the era of Industry 4.0, marked by intense competition and challenges exacerbated by the Covid-19 pandemic, the significance of science and technology is increasingly evident Enhancing the science and technology market is crucial for boosting innovation in enterprises and enhancing the overall competitiveness of the economy This necessitates a stronger connection between scientific research, technological development, and business practices Furthermore, universities play a vital role in addressing societal needs and advancing scientific and technological progress, making collaboration between universities and enterprises in research and development essential for sustainable growth This article proposes key policies for state, universities, and businesses to foster this cooperation.

State policy

To “achieve success and efficiency in business and university cooperation in research and development, state policy still serves as the foundation for promoting development The article makes some suggestions:”

Effective science and technology policies are essential for fostering innovation through the establishment of science parks, start-ups, and incubators A significant challenge in facilitating collaboration between universities and enterprises is the absence of intermediary organizations that can connect these entities, share information, and build trust Science and technology intermediaries, such as Technology Transfer Offices (TTOs) and University-Business Cooperation Councils, play a crucial role in bridging gaps by managing technology transfer, innovation, and establishing networks By situating science parks near universities and supporting research initiatives with public investment, universities can enhance their involvement in the science and technology market This collaboration allows universities to provide expertise, share R&D resources, and engage in knowledge transfers, ultimately promoting a thriving ecosystem of innovation and cooperation between academia and industry.

The article highlights 84 key activities that facilitate collaboration between universities, research institutions, and enterprises, including the transfer of technology, exchange of human resources, and funding for joint research projects It emphasizes the importance of investing in new enterprises that leverage research outcomes and establishing dedicated research centers or labs A crucial aspect of this collaboration is the policy on protecting and ensuring transparency of intellectual property rights, which supports effective research cooperation Moreover, the article underscores that research products stem not only from institutional partnerships but also from individual scientists, necessitating a balanced approach to ownership and relationships among all parties involved Policies must promote harmony among universities, research institutes, and enterprises to prevent conflicts while fostering motivation and a collaborative environment for innovation.

To enhance collaboration between enterprises and universities in research and development (R&D), the State should implement more favorable tax policies Additionally, establishing an investment fund that prioritizes support for cooperative activities and the commercialization of joint products would further encourage this partnership.

To enhance university capacity, it is essential to establish criteria for technology transfer and commercialization with enterprises as a key factor in university rankings Furthermore, policies should be developed to encourage university representatives to engage in business councils and boards Additionally, the government can implement state-level awards and honors to recognize and motivate individuals and groups excelling in collaborative activities.

University policy

Establishing a specialized department for enterprise cooperation within universities is crucial for fostering strong relationships with businesses This department should be staffed with experienced professionals skilled in negotiation and support, enabling them to offer valuable services, identify partners, and facilitate the transfer of commercial knowledge Furthermore, it is essential for the department to maintain close ties with scientists across various disciplines and provide appropriate incentives to encourage academic engagement in addressing university challenges A clear framework of goals, policies, and procedures must be developed to navigate bureaucratic hurdles related to research and funding, ensuring that scholars receive proper recognition for their contributions Additionally, creating university-run enterprises, technology parks, and research centers will enhance research and development activities.

85 commercialization; technology transfer from university to the enterprise is one of the driving forces to promote cooperation between enterprises and universities in research and development.”

The university's capacity significantly influences its reputation and the effectiveness of research and development collaborations with enterprises To enhance this capacity, universities should implement policies focused on building the skills of lecturers and researchers This includes establishing robust research groups across various faculties, organizing training sessions to share research skills, and fostering a competitive research environment among lecturers, which ultimately boosts their research capabilities.

Investing in modern facilities and databases is crucial for enhancing lecturers' research activities By providing the necessary resources, universities can promote scientific research and create competitive advantages, ultimately attracting business partners to collaborate on innovative projects.

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