Portland State University PDXScholar Dissertations and Theses Dissertations and Theses Winter 2-12-2013 A New Approach to Explain Policy Reforms in Vietnam during Ðổi Mới by Developing and Validating a Major Policy Change Model for Vietnam Huan Van Dang Portland State University Follow this and additional works at: https://pdxscholar.library.pdx.edu/open_access_etds Part of the Higher Education Commons Let us know how access to this document benefits ou.y Recommended Citation Dang, Huan Van, "A New Approach to Explain Policy Reforms in Vietnam during Ðổi Mới by Developing and Validating a Major Policy Change Model for Vietnam" (2013). Dissertations and Theses. Paper 611. https://doi.org/10.15760/etd.611 This Dissertation is brought to you for free and open access. It has been accepted for inclusion in Dissertations and Theses by an authorized administrator of PDXScholar. Please contact us if we can make this document more accessible: [email protected]. A New Approach to Explain Policy Reforms in Vietnam during ðổi M ới by Developing and Validating a Major Policy Change Model for Vietnam by Huan Van Dang A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Public Affairs and Policy Dissertation Committee: Craig Shinn, Chair Douglas Morgan Marcus Ingle Bruce Gilley John Gallup Portland State University 2013 Copyright © 2012 Huan Van Dang Abstract The Renovation Program - ðổi M ới in Vietnam since 1986 have posed a puzzling policy question: why have some policy areas experienced radical changes while others have experienced only limited and incremental changes? This policy puzzle provided the focus for this dissertation in which a model of major policy change was developed to provide a new way of explaining the policy reforms in Vietnam over the past two decades. The model was developed based on three bodies of literature: (1) the most well-developed theories and models of policy change process created in the U.S and their application to the non-U.S. policy contexts; (2) the Policy-elite model as an alternative to explain the policy reforms in developing countries; (3) critical and unique regime characteristics of Vietnam that play an important role in shaping the policy contexts for the policy processes and outcomes in Vietnam. Taken together, these bodies of literature provided the basic concepts and suggested potential causal mechanism of major policy change for a conceptual framework to build a major policy change model for Vietnam. The proposed policy model identifies four policy factors (stressor, leadership predisposition, change in policy image and consensus on the political priority) that need to occur at different stages of the policy process in Vietnam to make radical change happen. Owning to the unique regime characteristics of Vietnam, the model differs from other policy process theories and models in the way that it strongly emphasizes the role of the Communist Party and the predisposition to reform embraced by the policy elites in the process of major policy change. It also reflects the collective and consensus-based policy making i style of the Vietnamese Communist Party and government in the transitional period of the country. The explanatory capacity of the proposed policy model was validated by four policy case studies in higher education, international trade liberalization, state economic sector, and legal reform in foreign investment in Vietnam. The empirical evidence drawn from the case studies has affirmed the usefulness and relevance of the policy factors and the causal flow embedded in the proposed model. Concretely, the two cases with radical policy changes witnessed the presence of all four policy factors and the processes of change followed the causal arguments of the model. Whereas, in the two cases without radical changes, the legacy of a Socialist state in Vietnam has impeded the significant changes in the policy image of the policy elites in respective policy domains. As the result, no innovative policy change alternative has been advanced to the agendas of the Vietnamese government, which in turn prohibited radical policy changes in the areas of higher education and state-owned enterprise over the past two decades. In the last chapter, the cross-case comparison has found that in all four cases, there have been strong stressors and the leaders of the Vietnamese Communist Party and government have felt great pressure to reform. The Party has shown the predisposition to reform in various guiding resolutions in the four policy sectors. Yet, in the cases of higher education policy on institutional autonomy and state-owned enterprise management policy, the lack of significant change in the policy image of the leaders has been the main reason for the absence of innovative policy change. In contrast, in the cases of international trade liberalization and legal reform in setting ii the level playing field for enterprises of all economic sectors, all the policy factors have occurred to produce radical policy changes in these two areas. iii Dedication I dedicate this dissertation to all of my dear family members who have given me so much love, trust, and strength. A great respect to my grandmother, whose wisdom illuminates every step I go. Special feelings of gratitude to my parents, whose resilience and beliefs in a better future inspire me. And to my significant other, my wife – Ph ươ ng Anh, whose love, care, and intelligence ceaselessly motivate me to go beyond my assumed capacity. iv Acknowledgments I would like to acknowledge the many people who helped me complete this dissertation. I am thankful to my advisor committee members for all of their support and assistance during the process of accomplishing this dissertation. Dr. Craig Shinn, as committee chair, took a true leadership role in coordinating the support and guidelines of all committee members. His instructions on the research methods and on the structure of the dissertation were very important to the overall development of my research. Dr. Douglas Morgan was extremely helpful in the creation and development of the arguments in every section of my dissertation. The intensive discussions with him helped me clarify and consolidate the key ideas of the dissertation. With his vast knowledge in the Vietnamese politics and culture, Dr. Marcus Ingle provided me with valuable and insightful ideas about the political culture of Vietnam. I am also grateful to his help in securing the financial resources for my last two years of the program. Dr. John Gallup was a pool of resource thanks to his knowledge and experiences in education and economic policies of Vietnam. He spent a great deal of time to review the dissertation with useful comments and suggestions. Last but not least, Dr. Bruce Gilley was helpful in providing me with valuable comparisons between Vietnam and China politics. From the discussions with him and the knowledge gained from his course, I was able to develop critical concepts of my proposed policy change model for Vietnam in the dissertation. I would also like to thank Professor Steven Esons, Roger Williams University; Dr. Tran Minh Ca, Vice Chairman of Quang Nam Province; Dr. Le Manh Ha, Vice Chairman of Ho Chi Minh City; Mr. Bui Manh Cuong, Deputy Director, Supreme v People's Procuracy of Vietnam; Mr. Nguyen Ngoc Lam, Deputy Head, the Central Committee of Organization and Personnel of the CPV; Dr. Dinh Duy Hoa, Director General, Department of Administration Reform, Ministry of Home Affairs; Dr. Do Huy Thinh, late Director of the SEAMEO Regional Training Center; Dr. Nguyen Loc, Deputy Director, the National Institute of Educational Science of Vietnam; Dr. Le Dong Phuong, Director, Higher Education Division of the National Institute of Educational Science of Vietnam, who have shared with me important information and insights of the political system and the policy process in different policy areas in Vietnam. Finally, my gratitude goes to Mr. Tran Ba Viet Dung, Director General, Department of International Cooperation; Mr. Nguyen Xuan Vang, Director General, Department of International Education; Mr. Nguyen Ngoc Hung, former Deputy Director, Department of International Cooperation and my colleagues in the Ministry of Education and Training of Vietnam; and Dr. Gil Latz, former Vice Provost; Dr. Ronald Tammen, Director, Hatfield School of Government; Mr. Phil Keisling, Director of the Center for Public Service; Dr. David Kinsella, Director of the PhD Program in Public Affairs and Policy; and other friends at Portland State University for their strong support. Without their support, I would not be able to participate in and successfully complete this PhD program at Portland State University. vi Table of Contents Abstract ......................................................................................................................... i Dedication ................................................................................................................... iv Acknowledgments ........................................................................................................v List of Tables .................................................................................................................x List of Figures ............................................................................................................. xi Acronyms and Abbreviations .................................................................................... xi Chapter I: ðổi M ới