Luận án: Vai trò của thể chế trong phát triển doanh nghiệp ở châu Phi - Friedrich-Schiller-Universität Jena

Thema The Role of Institutions in Entrepreneurship Development in Sub-Saharan Africa Dissertation zur Erlangung des akademischen Grades doctor rerum politicarum (Dr.) vorgelegt dem Rat der Wirtschaftswissenschaftlichen Fakultät der Friedrich-Schiller-Universität Jena am 03. Luong Thanh Tran geboren am 23.1989 in Hanoi Gutachter 1. Andreas Freytag Chair of Economic Policy Faculty of Economics and Business Administration Friedrich-Schiller-Universität Jena, Germany 2. Michael Wyrwich Department of Innovation Management and Strategy Faculty of Economics and Business Rijksuniversiteit Groningen, the Netherlands and Chair of Business Dynamics, Innovation, and Economic Change Faculty of Economics and Business Administration Friedrich-Schiller-Universität Jena, Germany 3.

Florian Noseleit Department of Innovation Management and Strategy Faculty of Economics and Business Rijksuniversiteit Groningen, the Netherlands ii Datum der Verteidigung: Table of Contents List of Figures and Tables. vi List of Abbreviations and Acronyms. ix German Summary .1 The Role of Entrepreneurship and Private Sector in Economic Development .2 Institutional Approach to Entrepreneurship .3 Sub-Saharan Africa Context .1 The Two Case Studies of Ghana and Kenya. Entrepreneurial Learning under Institutional Context: The Effectiveness of Education and Training on Entrepreneurs’ Performance in Ghana and Kenya .2 The Development of Entrepreneurial Learning in Entrepreneurship Research .3 Institutional Approach of Entrepreneurial Learning .1 Formal Learning as Formal Institutions .1 Formal Education Attainment .3 Vocational and Technical Education .2 Informal Learning as Informal Institutions.1 Learning from Experience.

46 4 The Effect of Parental Role Model on Entrepreneurs’ Entry Age, Start-up Size, and Business Development: Empirical Evidence from two Developing Countries .2 Literature Review: Parental Role Model and Entrepreneurship Intentions .1 Transmission Channels of Entrepreneurship Intentions: Nature vs Nurture .2 Parental Self-Employment and Entrepreneurs’ Entry Age to Business .3 Parental Self-Employment, Start-up Size, and Post-Entry Business Development .4 A Quick Note on Intergenerational Transmission of Entrepreneurship in Developing vs Developed Countries.1 Entrepreneurs’ Entry Age to Business .2 Business Size at Start-up and Post-entry Development. Sub-Saharan Africa in a Globalised World: Toward a Knowledge-Based Model of Entrepreneurial Economy .2 SSA Entrepreneurship Structure in the Global Economy .1 Globalisation and the Emergence of the Entrepreneurial Economy .2 Plotting SSA on the Map of Global Entrepreneurship Development.3 SSA Conditions and the two Models in Retrospect .1 Sources of Growth .1 Localisation vs Globalisation .2 Continuity vs Change. Dilemma of Jobs vs High Wages .1 Stability vs Turbulence .2 Specialisation vs Diversity .3 Homogeneity vs Heterogeneity .3 How firms function .1 Control vs Motivation .2 Firm Transaction vs Market Exchange .3 Substitutes vs Complements of Competition and Cooperation .4 Scale vs Flexibility .1 Regulation vs Stimulation .2 Targeting Outputs vs Inputs .3 Locus of Policy: National vs Local .4 Financing: Low vs High-Risk Capital .4 SSA Prospects and Policy Implications. 98 6 Is a ‘Factory Southern Africa’ Feasible? Harnessing Flying Geese to the South African Gateway .2 The Flying Geese Pattern .1 MNCs and FDI.1 The lead goose and following geese .2 Driving forces of industrial shifting .3 Reverse production cycle .4 The technology transfer challenge .2 Criteria for Successful Application within SACU .3 How does the SACU region measure up? .1 Comparative and competitive advantages and the production cycle.2 Can South Africa be the lead goose? .3 China and/or the West as the lead goose? .4 Is the Flying Geese Model Applicable? .3 Attracting Flying Geese: The Gateway Model .1 What is a gateway? .2 Some Implications of the Gateway Proposition for Policy .3 South Africa as the Southern African Gateway.1 South Africa as a Transport Hub .2 South Africa’s Global Cities .3 South Africa as a Services Hub .4 How Could SACU Countries Benefit from The South African Gateway? .5 Emerging Challenges to the South African Gateway Strategy .4 South Africa, SACU, and the RVC/GVC Policy Debate .1 A Developmental Approach? Import Replacement and Beneficiation .1 Import replacement and beneficiation .2 Which export markets? .3 Application to South Africa and the BLNS .2 A Facilitative Approach: RVC/GVC Interlinking .5 Summary and Conclusions.

162 7 Conclusion of the Dissertation .1 Summary of findings .2 General Policy Implications .3 Suggestions for Future Research. 180 Declaration of Co-authorship. 211 Lists of Publications and Presentations. 212 v List of Figures and Tables Figure 1: Institutions, Entrepreneurship, and Economic Development .7 Figure 2: Calculating Sample Size.

14 Figure 3: Double and Single Loop Learning. 20 Figure 4: The Learning Task Facing Start-up Entrepreneurs. 28 Figure 5: Calculating Annual Growth Rate. 38 Figure 6: Transmission Channels of Entrepreneurship Intentions.

59 Figure 7: The U-shaped Relation between Nascent Entrepreneurship (Total Early Stage Entrepreneurial Activity) and Per Capita Income. 77 Figure 8: The Reverse Production Cycle. 110 Figure 9: An Example of Flying Geese Pattern in Southern Africa. 123 Figure 10: Map of Harbours and Transport Corridors in East and Southern Africa.

133 Figure 11: Map of Global Flight Connections Starting at O. 137 Figure 12: Map of Regional Flight Connections Starting at O. 138 Table 1: Mapping of Formal and Informal Institutions on Entrepreneurial Learning. 33 Table 2: Sources of Entrepreneurial Learning Experience.

36 Table 3: Descriptive Continuous Variables. 38 Table 4: Correlation Matrices of Dependent and Independent Variables. 39 Table 5: Test for Heteroscedasticity. 40 Table 6: Ghanaian and Kenyan Entrepreneurs’ Business Employment Capability based on Entrepreneurial Learning.

41 Table 7: Ghanaian and Kenyan Entrepreneurs’ Business Employment Growth Capability based on Entrepreneurial Learning. 44 Table 8: Summary of Continuous and Binary Variables. 62 Table 9: Parental Entrepreneurship’s Effect on Entrepreneurs’ Entry Age to Business. 65 Table 10: Parental Entrepreneurship’s Effect on the Start-up Size of Business.

66 Table 11: Parental Entrepreneurship’s Effect on the Current Size of Business. 67 Table 12: The Relation between Per Capita Income and the Rate of Nascent Entrepreneurship, Actual Business Ownership and Stage of Economic Development. 78 Table 13: Fourteen Dimensions of the Differences between the Models of the Managed and Entrepreneurial Economy. 80 Table 14: Selective Indicators for GVC/RVCs Integration.

118 Table 15: Demographic Trends – Asia and Africa. 120 Table 16: Manufacturing as Share of GDP. 136 Table 17: LSCI and LPI for East and Southern Africa. 142 Table 18: Access to Credit Ranking of the SACU members.

147 Table 19: Annual Labour Costs for Importers and Exporters. 155 vi List of Abbreviations and Acronyms AfDB African Development Bank AGOA Africa Growth and Opportunity Act AIC Akaike Information Criterion ANC African National Congress APEC Asia–Pacific Economic Cooperation ASEAN Association of Southeast Asian Nations BIC Bayesian Information Criterion BLNS Botswana, Lesotho, Namibia and Swaziland BMZ Federal Ministry of Economic Cooperation and Development COMESA Common Market for Eastern and Southern Africa DBSA Development Bank of Southern Africa DTI Department of Trade and Industry EAC East African Community EFF Economic Freedom Fighters EPA Economic Partnership Agreement ESS Enterprise Specific Skill EU European Union FET Further Education and Training FTA Free Trade Agreement GCI Global Competitiveness Index GEM Global Entrepreneurship Monitor GVC Global Value Chain IDC Industrial Development Corporation JSE Johannesburg Stock Exchange KAS Konrad Adenauer Stiftung LPI Logistics Performance Index LSCI Liner Shipping Connectivity Index vii MNC Multinational Corporation NGO Non-Government Organisation NIE Newly Industrializing Economy NTB Non-Tariff Barrier OECD Organisation for Economic Co-operation and Development OEM Original Equipment Manufacturer OLS Ordinary Least Squares R&D Research and Development RCA Revealed Comparative Advantage REC Regional Economic Community RSS Relation Specific Skills RVC Regional Value Chain SACU Southern African Customs Union SADC Southern African Development Community SEZ Special Economic Zone SMEs Small and Medium Enterprises SSA Sub-Saharan Africa PPP Public-Private Partnership TEA Total Early Stage Entrepreneurial Activity TFTA Tripartite Free Trade Agreement UAFL United Africa Feeder Line UNECA United Nations Economic Commission for Africa UNCTAD United Nations Conference on Trade and Development UNDP United Nations Development Programme US United States WBES World Bank Enterprise Survey WEF World Economic Forum WTO World Trade Organization viii Acknowledgements Foremost, I would like to express my sincere gratitude to my first supervisor, Prof. Andreas Freytag, who has guide-lined me through the master’s level and up until the finish of my doctoral dissertation, gave me several helpful advices and supports, encouraged me and taught me how to face challenges in and outside of academia. Throughout the years, I have learned a lot from him, and being his supervisee, co-author and football teammate, I understand the German word “Doktorvater” deeply.

Secondly, I would like to thank my second supervisor and co-author, Assoc. Michael Wyrwich, who has given me critical and insightful comments, considerately and patiently answered all of my technical questions. I could not have asked for better support, guidance and encouragement. Besides, I am grateful to Assoc.

Florian Noseleit for having kindly accepted to be the third supervisor of my dissertation. I am also thankful to Prof. Peter Draper and Dr. Sören Scholvin as co-authors of my papers for valuable collaboration and fruitful teamwork.

I appreciate the kind support from colleagues at the Konrad Adenauer Stiftung, Prof. Rolf Hasse, Dr. Michael Schmitz, Frau Elvira Giebel-Felten, Julia Lohman, Dorothee Niebuhr, Pia Becker, for helping me facilitate the survey in Africa. I would like to extend my gratitude to Dr.

Roger Atinga at the University of Ghana and Dr. David Mathuva at Strathmore University. The survey could not be done without their practical supports. My tender thanks are due to colleagues at the Chair of Economic Policy, especially Annet, Susanne, Wolfgang, Matthias, Sebastian Sp., Miriam, Christoph, and Kevin for supporting me through various works, Kehinde, Huy, and Lodovico whom I share my office with, for meaningful discussions throughout the years.

I largely appreciate the main financial support from the Konrad Adenauer Stiftung, and the side funding from the World Bank, the Otto Wolff Stiftung, the Leipziger ix Wirtschaftspolitische Gesellschaft, the Graduate Academy at University of Jena, and the German Academic Exchange Service (DAAD) for the preparation of this dissertation. My special thanks go to my dear friends chi Hien, anh Nam, em Hoa, anh Chau & em Trang, chi Linh & anh Hop, anh Son, anh Dang, chi Tam, chi Huyen & Olaf, chi Van & Volker, anh Ha, anh Luu, anh Hung, anh Kien, anh Phuong, co Hanh and many others, who always care and believe in me, as well as provide moral support that lift my spirit at times of hardship and frustration. Although many of them are far away from me, I always feel their affection and kindness. Finally, and most importantly, I owe my deepest gratitude to my family, who have always been with me through many challenges and lonely time.

During the last year of my doctoral training, spending some time to contemplate in solitude, I recognise and understand the path I have chosen, is to become a better version of myself, as the name my parents gave me in Vietnamese means - to become. x German Summary In den letzten 25 Jahren haben Ökonomen wesentlich zur Entwicklung eines institutionellen Ansatzes in der Entrepreneurship-Forschung beigetragen, indem sie institutionelle Faktoren identifiziert haben, die die Entwicklung von Unternehmertum stärken, was wiederum das Wirtschaftswachstum ankurbelt (Urbano, et al. Trotz des zunehmenden Interesses an der Erforschung der Rolle von Entrepreneurship- Institutionen in den Industrieländern ist nicht viel über einen ähnlichen Ansatz in Entwicklungsländern, insbesondere Subsahara-Afrika (SSA), bekannt. Afrika ist derzeit die Region mit dem schnellsten Bevölkerungswachstum.

Jedes Jahr wächst die Bevölkerung des Kontinents um zusätzlich 20 Millionen Einwohner. Bis Ende 2050 werden in Afrika voraussichtlich 2,5 Milliarden Menschen leben, doppelt so viel wie heute (United Nations, 2017). Angesichts des demografischen Wandels ist die Untersuchung von Entrepreneurship-Institutionen in SSA wichtig, da sie eine Schlüsselrolle für die Bereitstellung von Arbeitsplätzen für junge Generationen in SSA spielen. Ein starker institutioneller Rahmen für die Entwicklung des Unternehmertums würde das Wirtschaftswachstum ankurbeln, indem die Arbeitslosigkeit junger Menschen bekämpft wird (Le, 1999), da arbeitslose Jugendliche die Ursache für viele Entwicklungsfragen wie Armut, Gewalt und illegale Einwanderung sind.