SOUTHERN LUZON STATE UNIVERSITY THAI NGUYEN UNIVERSITY
Republic of the Philippines Socialist Republic of Vietnam
RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL
AT COLLEGES OF THAI NGUYEN UNIVERSITY: A PROPOSED RESEARCH
MANUAL OF OPERATION
A Dissertation Presented
to the faculty of the Graduate School
Southern Luzon State University, Republic of the Philippines and
Thai Nguyen University, Socialist Republic of Vietnam
In partial Fulfillment
of the Requirement for the Degr
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ee
Doctor of Philosophy in Educational Management
by
NGUYEN HONG KONG (TIGER)
May 2014
ii
APPROVAL SHEET
The Dissertation of
NGUYEN HONG KONG (Tiger)
Entitled
RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL
AT COLLEGES OF THAI NGUYEN UNIVERSITY: A PROPOSED RESEARCH
MANUAL OF OPERATION
Submitted in Partial Fulfillment of the
Requirements for the Degree
Doctor of Philosophy in Educational Management
In the Graduate School
Southern Luzon State University, Republic of the Philippines
in collaboration with
Thai Nguyen University, Socialist Republic of Vietnam
has been approved by the Committee
_____________________ ______________________
Member Member
_____________________ ______________________
Member Member
_____________________
Chairman
TERESITA V. DE LA CRUZ, Ed.DSUSANA A. SALVACION, Ph.D
Adviser Dean, Graduate School
Accepted in partial fulfillment of the requirements for the degree
Doctor of Philosophy in Educational Management
WALBERTO MACARANAN, Ed. D
Vice President, Academic Affairs
_____________________
Date
iii
ACKNOWLEDGEMENT
The researcher wishes to convey her gratitude to the following persons who
wholeheartedly devoted and helped make this piece of work a reality:
DR. TERESITA V. DE LA CRUZ, her adviser for the guidance, supervision,
suggestions and precious time in enthusiastically reading and checking the
manuscript, providing the researcher useful materials;
DR. CECILIA N. GASCON, President of the Southern Luzon State University
in the Republic of the Philippines, for her incomparable contribution and support to
the development of Master of Art in Teaching English program in Thai Nguyen
University;
DR. DANG KIM VUI, president of ThaiNguyen University for allowance the
training for Doctor of Philosophy in Educational Management in International training
center, Thai Nguyen University;
DR. TRAN THANH VAN, head of postgraduate, Thai Nguyen University
andDR. NGUYEN VAN BINH, director of the International Training Center, Thai
Nguyen University of Socialist Republic of Vietnam, for his enormous pursuit to
provide Vietnamese people an opportunity to grow through education;
DR. WALBERTO A. MACARAAN, DR. APOLONIA A. ESPINOSA and DR.
BELLA R. MUELLO, members of the oral examination committee, for their
comments and suggestions to further improve this manuscript;
The faculty and research staff of the colleges of Thai Nguyen University, the
respondents of the study, for their active involvement and cooperation, which made
the conduct of the study possible;
ITC staff, for providing the necessary research materials;
His family and friends, for the love and support in one way or another; and to
all who have contributed to make this study a success.
NHK
iv
DEDICATION
This research is whole-heartedly dedicated to my family and to all my
relatives, colleagues and friends, and classmates, faculty and research staff of
colleges of Thai Nguyen University for giving the researcher the non-stop guidance
and sources of everything.
NHK
v
TABLE OF CONTENTS
Page
TITLE PAGE... i
APPROVAL SHEET... ii
ACKNOWLEDGMENT...... iii
DEDICATION...... iv
TABLE OF CONTENTS........ v
LIST OF TABLES... vi
FIGURE vii
ABSTRACT.. viii
CHAPTER
I. INTRODUCTION....
Background of the Study....
Objectives of the Study...
Hypothesis
Significance of the Study ......
Scope and Limitation......
Definitions of Terms........
II. REVIEW OF RELATED LITERATURE AND STUDIES....
Conceptual Framework ..
Research Paradigm.
III. METHODOLOGY
Research Design.....
Population and Sampling.......
Research Instrumentation..
Data Gathering Procedures.......
Statistical Treatment.......
IV. RESULTS AND DISCUSSION.
V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS.....
Summary ..........
Findings.
Conclusions..
Recommendations...
1
2
3
3
4
4
5
7
30
31
32
32
32
33
33
33
35
51
51
51
52
53
BIBLIOGRAPHY.....
APPENDICES..
A Communication
B Instrument ...
CDocumentations......
CURRICULUM VITAE....
54
56
57
58
63
92
vi
LIST OF TABLES
Table
1
2
3
4
5
6
7
8
9
Status of Research Management as to Personnel at University
Institutions Level at Colleges of Thai Nguyen University...
Status of Research Management as to Policies at University
Institutions Level at Colleges of Thai Nguyen University...
Status of Research Management as to Funding at University
Institutions Level at Colleges of Thai Nguyen University...
Status of Research Management as to Facilities at University
Institutions Level at Colleges of Thai Nguyen University...
Status of Research Management in terms of Priorities
and Relevance at University Institutions Level
at Colleges of Thai Nguyen University..
Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Accuracy
Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Clarity.
Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Authenticity
Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation in terms of Adaptability and
Usability..
Page
36
38
40
42
44
46
47
48
49
vii
FIGURE
Figure Page
1 Research Paradigm .. 31
viii
ABSTRACT
Title of Research RESEARCH MANAGEMENT AT UNIVERSITY
INSTUTIONS LEVEL AT COLLEGES OF THAI
NGUYEN UNIVERSITY: A PROPOSED
RESEARCH MANUAL OF OPERATION
Researcher :NGUYEN HONG KONG (Tiger)
Degree Conferred :Doctor of Philosophy in Educational Management
Name/ Address : Southern Luzon State University
of Institution : Lucban, Quezon
ADVISER :DR. TERESITA V. DE LA CRUZ
YEAR WRITTEN :December2013
This study aimed to find out the research management at institutional level in
colleges of Thai Nguyen University with an endview of proposing a research manual
of operation for the academic year 2012-2013. Specifically, it sought to reveal the
status of existing research management as to personnel, policies, funding, facilities,
and priorities and relevance, determine if there is a significant difference between the
teachers and the research staff‟s perception to the status of existing research
management, propose a research manual of operation, and ascertain its level of
acceptability. Thedescriptive method was used in this study subjecting 200
purposivelychosenfaculty and research staff from 11 colleges ofthe said colleges.
Using the weighted mean and chi-square as statistical treatment, it was shown that
respondents disagree with the status of existing research management as
topersonnel (teachers = 2.30; research staff = 2.07), policies (2.23; 2.16), funding
(2.42; 1.99), facilities (2.33; 2.06), and priorities and relevance (2.26; 2.17) which
ix
connotes a need for improvement in hiring the qualified research personnel, setting
clear overall guidelines regarding research conducting, providing financial support to
the researchers, establishing facilities solely for the purpose of research, and in
aligning the priorities and relevance of agenda with the community, regional and
national thrusts. Only the provision relating to research personnel being exposed to
trainings/ seminars to strengthen the research operations (chi= 24.407; p = 0.001)
and having research ICT area (chi = 17.110; p = 0.001) have significant difference
in the responses of two groups which means that both teachers and research staff
perceive the inadequacy in research management except on giving ample trainings
and seminars to research staff and having research ICT area since they have
differing ratings. As a result, aresearch manual of operation has been proposed and
was acceptable as to accuracy (2.74), clarity (2.72), authenticity (2.73),
andadaptability and usability (2.78) making it ready for adoption and implementation.
However, qualified research personnel may be hired or given subsequent relevant
trainings and seminars; research policies may be brought for the administrators,
faculty, and students‟ approval to encourage them to participate in researching;
sources of funds may be identified and tie-up with government and non-government
agencies be strengthened to give sufficient financial support to promising researches;
research facilities may be differentiated from other facilities intended only for
instruction; and research priorities and relevance may be set in conformity with that of
the national agenda to produce more beneficial outputs that would be useful to the
community and the country as a whole.Follow-up study may be conducted after
producing research manual of operations to find out if it guides the research
management of the university.
1
CHAPTER I
INTRODUCTION
Scientific research, as well as training, is a key task in universities to improve
the quality of education. Thai Nguyen University (TNU) is basically a conglomeration
of the colleges reflecting long tradition of existence as higher learning institutions. For
nearly 17 years of development, the TNU has been experiencing growth in qualitative
and quantitative aspects in the instruction, research and technology transfer,
production and management among others. As it continues its journey towards the
future, it displays with dynamism its commitment toward the pursuit of excellence in
noble undertaking. Indeed, Thai Nguyen University System has been recognized as
one of the leading national universities in Vietnam.
The university is mandated to pursue training of high quality human resource,
conducting researches on scientific technologies and management, verifying and
proposing solutions and sustainable development policies, and contributing to the
socio-economic development towards industrialization and modernization. The aim of
the institution is to become world classuniversitywithin Vietnam and the Southeast
Asia in providing higher education in the fields of agriculture and forestry, teacher
education, technology, economics, medicine and pharmacy, information and
communication technology, foreign languages, and business administration, among
others.
To give some suggested strategies to attain an effective research
management at national level at colleges of Thai Nguyen University, it is one of the
necessities to meet the requirement of technology transfer to better serve the
economy, society and business development.This is also the main thrust for the
conduct of this study.
2
Background of the Study
Education and training, together with science and technology, is the nation‟s
first priority. It is the basis as well as the motivation for the country‟s industrialization
and modernization. Education and science management has significant relations.
Those are two basic tasks of university‟s strategies, in which, scientific research is
one way to improve the quality of education. Aside from the task of giving knowledge
through theories, universities also play significant roles as centers of science
research to hand over and apply new technology into producing and in real life.
The Thai Nguyen University System is composed of eight (8) colleges, one (1)
associate college, two (2) faculties. Moreover, it has one (1) center for national
defense education, three (3) research institutes, one (1) practical hospital, one (1)
publishing house, one center for international cooperation, one (1) center for scientific
research and technology transfer to the northeast region, and the University Head
Office of the President.
Moreover, Thai Nguyen University is one of three regional universities in the country
which is responsible for providing source of employees for domestics, schools, socio-
economic development, and national security for provinces in northern Vietnam. Thai
Nguyen University comprises nine (9) colleges, so there are various scientific
activities, and many of them have succeeded. However, quality and quantity of the
published researches and scientific applications are still limited. The processes of
researches are slow not to mention the fact that their quality has not reached the
standards and are not applied to domestic needs. Hence, research management in
effective and efficient way is a pressing problem. That is the reason why the
researcher decided to conduct a study to improve research management in
institutionallevel at colleges of Thai Nguyen University and help research
3
management become simpler and more convenient to the managers through a
proposed research manual of operation since there is no existing separate manual of
guidelines for conducting studies, rather only an inclusion in the general University
Manual.
Objectives of the Study
The main purpose of this study was to investigate on the research
management atinstitutional level in colleges of Thai Nguyen University with an end-
view of proposing a research manual of operation for the academic year 2012-2013.
Specifically, it soughttoattain the following research objectives.
1. Reveal the status of the existing research management in terms of:
1.1. Personnel
1.2. Policies
1.3. Funding
1.4. Facilities
1.5. Priorities and relevance
2. Determine if there is a significant difference between the teachers and the
research staff‟s perception to the status of existing research management.
3. Propose a research manual of operation.
4. Ascertain the level of acceptability of the developed research manual of operation
among college managers, faculty and research staff.
Hypothesis
There is no significant difference between the teachers and research staff‟s
perception to the status of existing research management.
4
Significance of the Study
This study would be of importance to the following:
To the administrators, it is hoped that the study may contribute in giving new
dimension in the administration and supervision at institutional level in colleges of
Thai Nguyen University.The study would provide administrators with clear idea on
how effective and successful proposed research manual of operation is in the work
as research administrators. In the same manner, this proposed research manual of
operation could give fresh perspective in terms of its influence to the overall
university standing in research management.
To the research staff, through this research, the study would help them
invigorate their responsibility for managing research through the proposed research
manual of operation as support to their research management.
Finally, to future researchers, this study could provide references for future
proponents who wish to venture a study of similar nature with ongoing research.
Thus, this proposed research manual of operation at institutional level on research
management could serve as resources for other studies.
Scope and Limitations
The primary intent of the study was to probe the research management at
institutional level in colleges of the Thai Nguyen University involving 200
respondents. This included the college managers, faculty and research staff.
Research manual of operation was proposed based from the outcome of the study
where measurement of the proposed research manual of operation was limited to the
use of questionnaires including the variables on the status of the existing research
management as to personnel, policies, funding, facilities, and priorities and
relevance, and criteria to evaluate the acceptability of the proposed research manual
5
of operation.Further, the significant difference between the teachers and research
staff‟s response to the status of existing research management was sought.
The time frame of this study was from April to November 2013.
Definition of Terms
The terms appearing therein are defined conceptually and operationally for the
ease of understanding of the study:
Facilities refer to one of the parameters under research management status
which ensures functionality of built environment by integrating people, place, process
and technology.
Funding is another parameter under research management status relating to
the act of providing resources, usually in form of money (financing), or other values
such as effort or time for a project, a person, a business, or any other private or
public institutions.
Management encompasses how things are done, company is organized to be
efficient and effective, lead and motivate employees and put in place controls to
make sure plans are followed and goals are met. In this study, it relates to how
research area is managed in the institution.
Personnel pertain to the dimension under the research management status
and are a part of management concerned with people at work and their relations
within a firm.
Policies refer in like manner to the dimension under research management
status which area set of ideas and proposals for action culminating in a government
decision.
6
Priorities and relevance pertain to the research management status relating
to research programs and activities based on needs and problems and resources of
the community, research agenda in consonance with institutional, regional and
national priorities, stakeholders‟ participation in the formulation of research agenda
identified as institutional thrusts, priorities on advanced studies and trainings to
develop faculty research competence, and utilizingresearch results and outputs for
institutional and community development.
Research is the investigation of a particular topic using a variety of reliable,
scholarly resources. The three major goals of research are establishing facts,
analyzing information, and reaching new conclusions while its main acts are
searching for, reviewing, and evaluating information.
Research management is a core activity being investigated in the present
study which helps build unique knowledge based on the leadership and management
practice and the development of effective leaders and managers.
Research Manual of Operation is the output of this study based on results
generated. It comes in a form of handbook to facilitate better research management
within the university concerned in this research.
7
CHAPTER II
RELATED LITERATURE AND STUDIES
This chapter presents several theories, concepts and generalizations gathered
from various readings. Review of literature and studies which are relevant to the
actual study were taken for the formulation of the theoretical framework supporting
the variables in the research paradigm.
Research Management
Research management, according to Whitchurch (2006), refers to the
decision-making processes with a double reference to scientific dynamics
(knowledge production and certification) and society. One outcome is that the
boundaries between the administrative and scientific domains of the university are
not as clear cut as they used to be.
According to Muspratt (2008), research management has four faces: 1)
upward to board of directors and shareholders,2) downward to the workers and
subordinates, 3) laterally to other institutional divisions, and 4) outwards to clients
and competitors, both nationally and globally.The author also stated that
environmental influences on managing research organizations include: a) Research
productivity might well be defined as to wider range of indicators than numbers of
papers published or patents awarded; b) Industrial policy in America is quite
fragmented in comparison with that in Europe or Japan, and the uncertainty this
creates contribute to malfunctions in research endeavors; c) Politicization seems
intensifying in all of America‟s larger organizations, but injection of political intrigue
into research organizations have consequences more disastrous than might be
expected.
8
Huffman and Just (2000) stated that in addition to problems similar to the ones
identified above, measurement of quantity and quality of research inputs presents
two additional problems. First, it is very difficult to measure the effort made by
researchers. Because of the uncertainty that characterizes research, especially the
most novel or risky fields, the quality of a researcher cannot be inferred from a failure
to obtain results.
An additional reason that hampers the estimation of research efficiency is that
large variations in the productivity of research institutions within the same country
have been identified, suggesting that idiosyncratic institutional and locational factors
are responsible for these differences (Huffman & Just, 2000). A number of studies
show that: 1) There is a great disparity between productivity of individual researchers;
2) The quality of researchers depends on the incentives structure, procedures for
hiring and firing personnel, rotation of researchers, level and variability of salaries
and operating budgets, and the history of each research group; 3) Evidence on link
between funding levels and the quality of scientific research is scant; and 4) Both the
quality and the quantity of results are strongly influenced by researchers‟ perceptions
of the quality of the institution‟s (and the team‟s) management. The result was a
greater awareness by managers of public research institutions of the need to interact
with other agents within the NIS (but these interactions were seen mainly as a source
of funds and not as true partnerships), greater uncertainty about funding for long term
research programs and deterioration of the research infrastructure.
Von Krogh, et al. (2000) suggested that this search should be based on the
principle that knowledge cannot be managed, only enabled through the introduction
of appropriate sets of incentives and procedures to: a) create and screen valuable
ideas; b) develop those ideas through disciplined project management; c) provide
9
leadership during research process; and d) create a cultural environment conducive
to innovation
Given the uncertainty about future trends and the best methods to approach
research problems, it is important that networks and institutions maintain and support
a plurality of ideas, including a certain amount of duplication of research efforts
(Huffman and Just, 2000; Stacey et al., 2000). Exploration of new research areas
requires that the personnel, financial and organizational slack is provided.
Institutional performance is enhanced when uncertainty and instability are seen as
the expected condition, and failures as essential to learning and rapid adaptation.
Seeking perfect efficiency is the enemy of the slack needed to access and create the
knowledge that will facilitate trend changes. In other words, researchers should have
freedom to conduct curiosity-motivated research. But since curiosity-motivated
research is more risky and less known, itcannot be evaluated through the traditional
management routines based on accomplishmentof previously set objectives.
Identification of research demands became key component of research
managementin the last decade. In general, the methods used involved limited
interactionswith technology users. Also, after the demands were identified, there
were noincentives to involve other agents in the actual research. But successful
networkadaptation requires more than responding to technological demands.
Successfulnetworks must develop and maintain the ability to adapt to highly
competitiveenvironments in ways that also influence environment. In other words,
supplyof technology also has a major role to play in maintaining competitiveness. In
general,supply factors will be more important in the early stages of technology
developmentwhile demand will be more important in more established
technologicaltrajectories (Rycroft &Kash, 2000).
10
For Goldin and Katz (2009), university research itself also made direct
contributions to technical advance in industry. From the late 19th century up until
World War II, research at American public universities was funded by state
governments and, as a result, was oriented to solving practical problems in local
industry. Joint university-industry research programs were especially important to
technological progress in agriculture, mining, and oil exploration.
Personnel
In Guidance for Defining Your Research Team (2008), it is stated that the
principal investigator (PI) and the institutions share responsibility for ensuring that
PIs, co-investigators, and all other personnel (referred to as "research team
members") involved in the conduct of research fulfill basic education requirements in
compliance with applicable laws and regulations, and institutional policies. The
institutions define “research team members” as persons who have direct contact with
subjects, contribute to the research in a substantive way, have contact with subjects‟
identifiable data or biological samples, or use subjects‟ personal information.
Because of the variability in research situations, it is impossible for the
institutions to define precisely every category of employee who could be considered a
member of a research team. Some interpretation by PIs will be needed. A PI is
expected to make a good faith effort to meet the spirit of this requirement by assuring
that all members of research team receive education appropriate to their role in the
project ( jects/assurance/engage.htm).
Moreover, inResearch@UIC (2010), key research personnel include all
persons who will have a significant role in the design or conduct of the research, and
includes at a minimum all principal investigators and co-investigators, and any
individuals who are individually named on a grant or contract application, who are
11
named as contact persons in informed consent documents or recruitment materials
for research, or who provide supervision of the persons who are obtaining informed
consent to participate in research.
Additionally, any individuals (including the student researchers and
coordinators) who are involved with the research by handling protected health
information or are using the research information/data set as part of their own
research should be included as research personnel on a protocol application.If
students or other individuals have minor roles in the research that are not mentioned,
they are not required to be listed on research protocol. However, a principal
investigator is responsible to ensure that these individuals receive both adequate
training, including human subjects‟ protection training, and oversight in accordance to
the roles these individuals perform in the research.
(
Every person involved in human research plays a critical role in the protection
of the rights and welfare of research participants. The University of Michigan
Operations Manual (2012) describes the roles and responsibilities of investigators
and research staff engaged in university research. Thus, the PI and any co-
investigators, key personnel and other research staff (together referred to as the
"researchers" or the "research team") are expected to be knowledgeable about and
comply with the requirements of the common rule and other research laws and
regulations, institutional policies and procedures for the protection of human subjects
and reporting and managing conflicts of interest, the terms and conditions of research
agreements (with government or private sponsors) and basic ethical principles that
guide human subjects research. The researchers must complete any educational
training required by the University, the relevant IRB, and other review units prior to
12
initiating research. Researchers should not undertake responsibility for human
subjects studies unless they understand these requirements and are willing to be
held accountable for complying with the relevant standards and protecting the rights
and welfare of research participants; nor until they can assure adequate resources
(through internal or external funding) to fulfill these commitments.
Following are descriptions of some of a researcher's central obligations when
conducting studies involving human subjects. They are intended only as general
guide of researcher's responsibilities. The institutional policies and procedures
include this Operations Manual as well as policies and procedures maintained by the
academic units to which researchers and research staff are appointed, policies and
procedures, and the policies and procedures of other research review units with
relevant oversight responsibilities,
( a)
minimizing risks to subjects and protecting subject rights and welfare; b) compliance
with review unit requirements; c) obtaining and documenting informed consent; d)
conflict of interest disclosure; and e) accountability and the administrative
requirements.
In general, the principal investigator (PI) has primary responsibility for
protecting the rights and welfare of research subjects. The safeguarding of the
human subjects must take precedence over the goals and requirements of any of the
research endeavor.
( tionKeyPersonnel031708.pdf).
The Research Scope of Practice for Study Personnel (2008) provides
procedures for the approval of the designated roles and responsibilities for research
personnel engaged in research involving human subjects. It is not protocol specific
13
but is intended to state the overall duties that research person...ment of Science and Training in the Ministry of
Health used criteria made by MOST to set annual research agenda. To develop
health research priorities, the MOH sends requests to research institutions for
submission of research topics that institutions are interested in. The topics then are
compiled and selected by committee of experts that has been identified by the MOH.
28
The priorities are sent back to the research institutions to develop research proposals
for bidding. A research institute will receive the priorities from MOH. Then, they will
choose requests related to their interests. They will develop requests into research
proposals and send them back to MOH. MOH will base on proposals and select the
best institute to do the research proposals.
Policies and mechanisms that enable research demands of users to be
developed into research proposals were insufficient. This research found that in
Vietnamese system, over 73% of producers receive demands for research generated
by users. Nevertheless, only 17.65% producers have informal mechanisms that
enable the research demands to be developed into research proposals.The process
unveiled that ethical and equity considerations were not among the main issues for
evaluating a proposal. The national health research system had limited financial
resources, health research networks, and collaboration with other researchers and
institutions.Researchers were receiving poor salary, benefits, and workspace or
equipment.The national budget for health research was low.There were no
appropriate methods for dissemination of health research results and the role of
libraries had not been pertinently considered.The researchers‟ capacity was a
weakness of many institutions in health system. For example, their weak skills
include proposal development, literature review, research management, data
analysis, use of analysis software, and information sharing.
The present study was strengthened by several concepts, insights, claims,
and findings of different authors regarding research management in terms of
personnel, policies, funding, facilities, and priorities and relevance. Research
management involves decision-making processes considering both the scientific
dynamics and society (Whitchurch, 2006) and mobilizes board of directors and
shareholders, workers and subordinates, other institutional divisions, and clients and
29
competitors, both nationally and globally; and the environmental influences on
managing research organizations (Muspratt, 2008). This suggests importance of
networks and institutions to maintain and support plurality of ideas, including a certain
amount of duplication of research efforts (Huffman & Just, 2000; Stacey et al., 2000)
in contrast to the belief that knowledge cannot be managed, only enabled through the
introduction of the appropriate sets of incentives and procedures (Von Krogh, et al.,
2000). Foremost, research personnel are key to managing effective research
processes (Guidance for Defining Your Research Team, 2008; Research @UIC,
2010; University of Michigan Operations Manual, 2012; Research Scope of Practice
for Study Personnel, 2008). Policies, on the other hand serve as binding force to
other elements of research management (Kửnig et al., 2012; Faulkner, 2001; Davies
et al., 2005; Francesco, et al., 2011) while research funding (OECD, 2005; Gonzales,
2009; Killoren, 2005; Taylor, 2012; Etzkowitz&Leydesdorff, 2000; Jacob &Hellstrửm,
2000; Nowotny et al., 2001; Albert, 2003; Behrens and Gray, 2001; Van Looy et
al.,2004; Goel, 2009; Alessandro, et al., 2013; Corbyn, 2009; Sponsorship,
authorship and accountability, 2001; The Cochrane Collaboration, 2005) is very
essential to sustain the research process itself. Meanwhile, facilities (Ohio State
University Research Facilities Study, 2004; Ellis, 2004; Research Facilities at
Imperial College, 2013; University of Tehran Educational and Facilities, 2013) and
priorities and relevance (Tracing Research Capacities in Vietnam, 2009; Assessing
Vietnam‟s Research System, 2012; Australian Centre for International Agricultural
Research, 2012) help give overall direction towards the achievement of the research
aims.
30
Conceptual Framework
The thrust of this research is founded on the aggregate suppositions of
Whitchurch (2006) on research management referring to the administrative role and
scientific domains of the university, Research@UIC (2010) which highlighted the key
research personnel and their roles and responsibilities, and Faulkner (2001) believing
that the primary role of the universities is in the education of qualified scientists and
engineers as reflected in the public sector research contribution to “formal”
knowledge. Moreover, the idea of Gonzales (2009) about research funding connotes
funding obtained through competitive process, in which potential research projects
are evaluated and only the most promising receive funding. Ellis (2004), on the other
hand, maintained that the research facilities established a process for the university
to assess future research space requirements and to guide decisions regarding the
strategic planning of research programs and facilities requirements. Finally, Tracing
Research Capacities in Vietnam (2009) enumerated the overall objectives of
research in Vietnam aimed at strengthening research capacity by creating conducive
research environment; providing research education; and assisting with methods for
planning, setting priorities and allocating funds for research among others. These
ideas built the conviction of the researcher to study the current status of the research
management in Thai Nguyen University and its conglomerate elements such as
personnel, policies, funding, facilities, and priorities and relevance.
31
Research Paradigm
Figure 1.Schematic Diagramon the Research Management at University
Institutional Level in the Colleges of Thai Nguyen University as Basis
for the Proposed Research Manual of Operation
Figure 1 shows the research paradigm on the research management at
university institutional level in the colleges of Thai Nguyen University as basis for the
proposed research manual of operation.
As shown in the model, Thai Nguyen University research management is
viewed in terms of personnel, policies, funding, facilities and priorities and relevance.
Assessment of the perceptions of the respondents elicited through the survey
methods, statistical analysis of data through weighted mean and chi-square, and
extensive review of literature and theoretical constructs comprise the process
involved in research. An acceptable research manual of operation is the targeted
output of the study which could guide the colleges at institutional level of Thai
Nguyen University in its research management.
RESEARCH MANAGEMENT IN THAI NGUYEN UNIVERSITY
Personnel Priorities
and
Relevance
Policies Funding Facilities
AN ACCEPTABLE RESEARCH MANUAL OF OPERATION
32
CHAPTER III
METHODOLOGY
This chapter presents the research locale and design, population and
sampling procedure, instrumentation, data gathering procedure and statistical
treatment.
Locale of the Study
The study was conducted at colleges and faculties of Thai Nguyen
University:College of Engineering and Technology, College of Agriculture and
Forestry, College of Economics and Business Administration, College of Medicine
and Pharmacy, College of Education, College of Economics and Techniques, College
of Science and Humanity, College of Communication and Technology, School of
Foreign Languages, International School, Learning Resource Centre.
Research Design
The descriptive method was used in this study, which as pointed out by
Estolas (2002), allows researcher to obtain facts about existing conditions or detect
significant relationships between current phenomena, which generate and make
available information needed by the researcher. Calmorin (2000) supported that
statement by claiming that descriptive method is appropriate whenever object of any
class varies among themselves and one is interested in knowing the extent to which
a condition is obtained among these objects. In the context of this study, the current
status of research management and its areas were investigated.
Population and Sampling
The respondents of this study were 200 currentfaculty and research staff from
the said colleges of Thai Nguyen University. They were chosen purposively since
33
they were the ones who could give clear picture of research management in the
institutional level.
Research Instrumentation
Numerous studies have been applied to the research instruments such as
questionnaires, observation and interviews and have been considered valuable and
effective ones. The questionnaires were validated by five (5) experts in research
management, the adviser and other research managers and distributed to the faculty
and the research staff.
Data Gathering Procedure
A letter of permission was sentto the principals of the colleges of Thai Nguyen
University for the conduct of the study. Upon approval, a questionnaire on the status
of the existing research management at university institutions levelwas given. After
finding their ideas of research management at University Institutions level, aresearch
manual of operation wasproposed. It was then subjected to evaluation for
acceptability through another questionnaire. After the administration of the
questionnaires, all data were gathered, tabulated, analyzed, interpreted and
statistically treated.
Statistical Treatment
The following statistical tests were used to analyze and interpret the data
gathered.
To determine the status of university‟s research management, and to evaluatethe
acceptability of the proposed research manual of operation of the respondents, the
weighted mean was used. The formula is:
34
Where:
WM = Weighted mean
N = Number of respondents
f = frequency
The researcher used the rating scale below and its descriptive ratings for the
questionnaire used in the survey:
Scale Range Scale Descriptive Rating
4 3.26 – 4.00 Strongly Agree (SA)
3 2.51 – 3.25 Agree (A)
2 1.76 – 2.50 Disagree (D)
1 1.00 – 1.75 Strongly Disagree (SD)
35
CHAPTER IV
RESULTS AND DISCUSSION
This chapter presents the analysis of the gathered data which is further
interpreted to reveal the status of research management at Thai Nguyen University
with an end view of proposing a research manual of operation.
RESEARCH MANAGEMENT
Table 1 on the next page presents the weighted mean distribution and
summary of chi-square values on significant difference between teachers and
research staff‟s responses on the status of research management in terms of
personnel at university institutions level at colleges of Thai Nguyen University.
With an average weighted mean of 2.30 (teachers) and 2.07 (research staff),
both groups of respondents disagree on the statements describing the personnel.
Thus, adequate number of personnel in the research office is rated 2.25 (teachers)
and 2.08 (research staff) with disagree descriptive rating, chi-square of 3.724 and p-
value of 0.293 which indicates no significant difference since it is higher than 0.05
tabular value. Likewise, ratings pertaining to the research personnel possessing
required qualifications and experience needed to administer the office (teachers =
2.23; research staff = 2.07; chi-square = 1.166; p = 0.761); research office
headed by qualified research director/head (teachers = 2.32; research staff = 2.23;
chi-square = 3.688; p = 0.297); head/ director sets the standards and targets in
planning of the research programs (teachers = 2.27; research staff = 2.43; chi-
square = 4.148; p = 0.246); head/ director conducting regular monitoring of
different research programs/ projects
(teachers = 2.27; research staff = 2.08; chi-square = 3.171; p = 0.366); and
36
Table 1
Status of Research Management in terms of Personnel at University
Institutions Level at Colleges of Thai Nguyen University
Personnel
Teacher
s
Research
Staff
Chi-
square
p-
value
Interpretation
WM DR WM DR
1. There is adequate
number of personnel
in the research
office.
2.25
D 2.08 D 3.724 0.293 Not Significant
2. The research
personnel possess
the required
educational
qualifications and
experience needed
to administer the
office.
2.23 D 2.07 D 1.166 0.761 Not Significant
3. The research office
is headed by a
qualified research
director/head.
2.32 D 2.23 D 3.688 0.297 Not Significant
4. The director/head
sets the standards
and targets in
planning of the
research programs.
2.27 D 2.43 D 4.148 0.246 Not Significant
5. The director/head
conducts regular
monitoring of the
different research
programs/ projects.
2.27 D 2.08 D 3.171 0.366 Not Significant
6. The research
personnel are
exposed to trainings/
seminars to
strengthen research
operations of the
institution.
2.39 D 1.59 SD 24.407 0.001 Significant
7. The research
personnel
conduct/sponsor
trainings/seminars
among the faculty
and staff.
2.36 D 2.01 D 5.272 0.153 Not Significant
Average Weighted Mean 2.30 D 2.07 D
37
research personnel conducting/sponsoring trainings/seminars among faculty and
staff (teachers = 2.36; research staff = 2.01; chi-square = 5.272; p = 0.153) are
all not significant.
Meanwhile, research personnel being exposed to trainings/ seminars to
strengthen research operations in the institutions is rated2.39 (disagree) by teachers
while1.59 (strongly disagree) by the research staff with chi-square = 24.407 and p-
value = 0.001. Since the p-value is lower than 0.05, there is significant difference
between the responses of the two groups. This means that though both of the
respondents disprove the institution‟s provisions on trainings and seminars of
personnel, research staff has stronger contradiction on the statement. This is
because they are the ones who actually experience and work in the office concerning
research. Another reason is that, colleges focus more on the possibility of the
“conduct of the study” and the personnel are just of latter importance. Hence,
research personnel could be drawn from anybody with or without exposures to
successive trainings and seminars.
The results are in contrast with the provisions describing the roles and
responsibilities of the investigators and research staff engaged in university research
at the University of Michigan Operations Manual (2012). It demands that the
researchers must complete any educational training required by the university, prior
to initiating research. The researchers should not undertake responsibility for
subjects of studies unless they understand the requirements and are willing to be
held accountable for complying with relevant standards.
Table 2 on the succeeding page shows the weighted mean distribution and
summary of chi-square values on significant difference between teachers and
research staff‟s responses on the status of research management as to policies at
38
university institutions level in colleges of Thai Nguyen University. As revealed in the
average weighted means, both teachers with 2.23 and research staff with
2.16disagree with the prevalent research policies in TNU.
Table 2
Status of Research Management in terms of Policies at University Institutions
Level at Colleges of Thai Nguyen University
Policies
Teachers
Research
Staff
Chi-
square
p-
value
Interpretation
WM DR WM DR
There is an existing research policies in:
1. use of research
funding and other
resources.
2.20 D 2.20 D 0.458 0.928 Not Significant
2. procedures on how
to conduct research.
2.09 D 1.99 D 0.621 0.892 Not Significant
3. incentives to faculty
who conduct
research.
2.32 D 2.23 D 4.328 0.228 Not Significant
4. monitoring and
evaluation of
research.
2.13 D 2.21 D 2.625 0.453 Not Significant
5. in-house review of
proposals and
completed
researches.
2.20 D 2.16 D 3.918 0.270 Not Significant
6. dissemination and
publication of
researches.
2.40 D 2.09 D 5.390 0.145 Not Significant
7. intellectual property
rights.
2.24 D 2.23 D 0.986 0.805 Not Significant
Average Weighted
Mean
2.23 D 2.16 D
Hence, the existing research policies in using the research funding and other
resources (teachers and research staff = 2.20; chi-square = 0.458; p = 0.928);
procedures on how to conduct research (teachers = 2.09; research staff = 1.99;
chi-square = 0.621; p = 0.892); incentives to faculty who conduct research
(teachers = 2.32; research staff = 2.23; chi-square= 4.328; p = 0.228); monitoring
39
and evaluation of research (teachers = 2.13; research staff = 2.21; chi-square =
2.625; p = 0.453); in-house review of proposals and completed researches (teachers
= 2.20; research staff = 2.16; chi-square = 3.918; p = 0.270); dissemination and
publication of researches (teachers = 2.40; research staff = 2.09; chi-square =
5.390; p = 0.145); and intellectual property rights; (teachers = 2.24; research staff
= 2.23; chi-square = 0.986; p = 0.805) are all described disagree and indicates no
significant difference since all p-values computed are higher than 0.05 tabular value.
This means that both groups of respondents perceive that there are no clear policies
and guidelines on how institutional researches could be financially supported, what
are the steps in conducting the investigations from conception, approval, and review;
salaries and remunerations to the researchers; how its continuity would be observed
and assessed; its arbitration upon proposal and completion; how it would be brought
out to public information; and be protected with pertinent laws relating to intellectual
property rights. These are all indicative of research practices which are in great need
for improvement.
Such implied imperative was supported by Kửnig et al. (2012) opining that
efficient and relevant policy research entails consideration of the policy requirements
already established prior to onset of research project design. The difficult task of
research management appears to be creating an effective links between the end-
user requirements, research integration and results production. Therefore, the holistic
effect of producing many quality researches is hugely dependent established rules on
research management.
On the next page, table 3 discloses the weighted mean distribution and
summary of chi-square values on significant difference between teachers and
research staff‟s responses on the status of research management in terms offunding
at university institutions level in colleges of Thai Nguyen University. As shown in
40
average weighted means, teachers with 2.42 and the research staff with 1.99both
disagree with the funding in Thai Nguyen University while the p-values across all
statements similarly indicate no significant difference.
Table 3
Status of Research Management in terms of Funding at University Institutions
Level at Colleges of Thai Nguyen University
Funding
Teachers
Research
Staff
Chi-
square
p-
value
Interpretation
WM DR WM DR
1. Allocates funds for the
conduct of faculty and
student research
activities.
2.20 D 1.95 D 4.130 0.248
Not
Significant
2. Establishes linkages in
the
local/national/internatio
nal levels for funding
support and
assistance.
2.35 D 2.04 D 4.260 0.235
Not
Significant
3. Provides funding for
facilities and
equipment such as
internet, statistical
software and other ICT
resources.
2.25 D 1.95 D 7.048 0.070
Not
Significant
4. Allocates funding for
research personnel
and other support
services.
2.29 D 1.97 D 4.153 0.245
Not
Significant
5. Provides a conducive
and well-equipped
workplace including
research resource
center/area.
2.12 D 2.05 D 0.789 0.852
Not
Significant
Average Weighted
Mean
2.42 D 1.99 D
Apparently, allocating funds for conduct of faculty and student research
activities (teachers = 2.20; research staff = 1.95; chi-square = 4.130; p = 0.248);
establishing linkages in local/national/international levels for funding support and
41
assistance (teachers = 2.35; research staff = 2.04; chi-square = 4.260; p = 0.235);
providing funding for the facilities and equipment such as internet, statistical software
and other ICT resources (teachers = 2.25; research staff = 1.95; chi-square =
7.048; p = 0.070); allocating funding for research personnel and other support
services (teachers = 2.29; research staff = 1.97; chi-square = 4.153; p = 0.245);
providing conducive and well-equipped workplace includingresearch resource center
(teachers = 2.12; research staff = 2.05; chi-square = 0.789; p = 0.852) are all rated
disagree. This connotes that the two groups of respondents negate on the existence
of monetary support for research-related activitiesfor both faculty and students in
internal and external scales; for the useful materials, hardware and software; for
research personnel and related auxiliary services; and for the workplace/ space to
facilitate the conduct of the study/ research/ investigation.
As Gonzales (2009), funding is necessary for any scientific research, in areas
of both "hard" science and technology and social science. It often connotes funding
obtained through a competitive process, in which potential research projects are
evaluated and only the most promising receive funding. Such processes, which are
run by government, corporations or foundations, allocate scarce funds. Meanwhile,
Corbyn (2009) observed that the scientists apply for research funding which a
granting agency may approve to financially support research. These grants require a
lengthy process as granting agency can inquire about researcher(s)'s background,
facilities used, the equipment needed, the time involved, and the overall potential of
the scientific outcome. The process of grant writing and grant proposing is somewhat
a delicate process: the grantors want to choose research that best fits their scientific
principles, and the individual grantees want to apply for research in which they can
build body of work towards future scientific endeavors.
42
Table 4 on the next page displays the weighted mean distribution and
summary of chi-square values on significant difference between teachers and
research staff‟s responses on the status of research management in terms of
facilities at university institutions level in colleges of Thai Nguyen University.
Table 4
Status of Research Management in terms of Facilities at University Institutions
Level at Colleges of Thai Nguyen University
Facilities
Teachers
Research
Staff
Chi-
square
p-
value
Interpretation
WM DR WM DR
The Institution provides research facilities such as:
1. research resource
center/ area
2.27 D 2.01 D 3.801 0.284 Not Significant
2. experimental farm 2.31 D 2.20 D 2.102 0.551 Not Significant
3. research laboratory 2.31 D 2.00 D 5.512 0.138 Not Significant
4. ICT room/area 2.67 A 2.11 D 17.110 0.00 Significant
5. animal research
facilities
2.16 D 2.01 D 1.255 0.740 Not Significant
6. aquaria research
facilities
2.24 D 2.04 D 1.806 0.614 Not Significant
Average Weighted
Mean
2.33 D 2.06 D
As indicated in the average weighted means, teachers with 2.33 and the
research staff with 2.06 both disagree with the facilities in Thai Nguyen University
while the p-values across almost all statements showno significant difference.Thus,
providing research facilities such as research resourcearea/ center (teachers = 2.27;
research staff = 2.01; chi-square = 3.801; p = 0.284); experimental farm (teachers =
2.31; research staff = 2.20; chi-square = 2.102; p = 0.551); research laboratory
(teachers = 2.31; research staff = 2.00; chi-square = 5.512; p = 0.138) animal
research facilities (teachers = 2.16; research staff = 2.01; chi-square = 1.255; p =
0.740); aquaria research facilities (teachers = 2.24; research staff = 2.04; chi-square
= 1.806; p = 0.614) are rated disagree. Prominently, there is a significant difference
43
between teachers‟ rating of 2.67 and that of research staff with 2.11 (chi-square =
17.110; p = 0.00) on having research ICT room/area While teachers agree on the
provision, research staff disagree on it which means different perceptions between
the two groups.
The reason behind the disparity is the fact that teachers may see that there
are ICT room/ area in the colleges in their university, however, such areas are
perceived by the research staff as a common room for instructional and researching
purposes, which at times became unavailable for any of the said purpose, specifically
for encoding information and electronic sourcing for probing intentions. As Ellis
(2004) articulated, specific research requirements of each department, and
programmatic components for research facility, and its long-range benefit may
respond to future changes in research, university structure, economic conditions and
other factors that may impact the overall strategy of the university. It was further
supported in the Ohio State University Research Facilities Study (2004) stating that
research facilities established a process for the university to assess future research
space requirements and to guide decisions regarding the strategic planning of
research programs and facilities requirements.
Table 5 on the succeeding page reveals the weighted mean distribution and
summary of chi-square values on significant difference between teachers and
research staff‟s responses on the status of research management in terms of
priorities and relevance at university institutions level in colleges of Thai Nguyen
University.
The table further presents that both teachers with 2.26 and research staff with
2.17 average weighted means, respectively disagree with the stated priorities and
relevance. Moreover, all the computed chi-square and p-values indicate no significant
44
difference in the respondents‟ ratings. Thus, institution‟s research agenda in
consonance with the institutional, regional and national priorities (teachers= 2.49;
research staff = 2.16; chi-square = 5.793; p = 0.122);
Table 5
Status of Research Management in terms of Priorities and Relevance at
University Institutions Level at Colleges of Thai Nguyen University
Priorities and
Relevance
Teachers
Research
Staff
Chi-
square
p-
value
Interpretation
WM DR WM DR
1. The Institution‟s
research agenda is
in consonance with
institutional, regional
and national
priorities
2.49 D 2.16 D 5.793 0.122 Not Significant
2. The research
programs and
activities are based
on needs and
problems and
resources of the
community.
2.37 D 2.09 D 3.962 0.266 Not Significant
3. The following stakeholders participate in the formulation of research agenda
identified as institutional thrusts and priorities:
3.1 administrators 2.28 D 2.17 D 1.111 0.774 Not Significant
3.2 faculty 2.35 D 2.23 D 1.542 0.673 Not Significant
3.3 government
representatives
2.12 D 2.33 D 5.009 0.171 Not Significant
4. The institution
prioritizes for
advanced studies
and trainings to
develop faculty
research
competence.
2.15 D 2.15 D 1.219 0.749 Not Significant
5. The research results
and outputs are
utilized as inputs to
institutional and
community
development.
2.16 D 2.15 D 1.750 0.626 Not Significant
Average Weighted
Mean
2.26 D 2.17 D
45
Research programs and activities based on needs, problems and resources of
the community (teachers = 2.37; research staff = 2.09; chi-square = 3.962; p =
0.266); administrators (teachers = 2.28; research staff = 2.17; chi-square = 1.111; p
= 0.774), faculty (teachers = 2.35; research staff = 2.23; chi-square = 1.542; p =
0.673), and government representatives (teachers = 2.12; research staff = 2.33; chi-
square = 5.009; p = 0.171) participate in the formulation of research agenda
identified as institutional thrusts and priorities; institution prioritizing for advanced
studies and trainings to develop the faculty research competence (teachers and
research staff = 2.15; chi-square = 1.219; p = 0.749); and the research results and
outputs utilized as inputs to institutional and community development (teachers =
2.16; research staff = 2.15; chi = 1.750; p = 0.626) are all rated disagree and
indicate no significant difference between the ratings of the two groups of
respondents. It can be deduced that the respondents see that university‟s priorities
are not in line with that set regionally and nationally, or based on the immediate
demands of community. Additionally, they believe that there is less constancy in the
stakeholders‟ participation in framing the institutional research agenda, in
prioritizingsubsequent trainings to produce more competent researching faculty and
more productive researches.
The results connote that those stated in Tracing Research Capacities in
Vietnam (2009) about the researchobjectives in Vietnam which are to strengthen
research capacity by creating conducive research environments; to provide research
education; and to assist with methods for planning, setting priorities and allocating
funds for research; and provide financial and scientific resources to produce new
knowledge on topics of importance to ...
73
e. Attest to the veracity of reimbursement requests for transportation, travel,
per diems, and other project operating expenses;
f. Recommend purchase of supplies, materials and equipment needed in the
project
g. Write and edit quarterly accomplishment, annual and terminal reports
4.3 Study Leader/Co-Investigator.The study leader/co-investigator must be a full-
time employee of the University. He must have the knowledge and/or
experience in the formulation and implementation of a project and must have
the time to devote at least 10 hours weekly for project development,
implementation and administration.
a. Assistproject leader/principal investigator in planning and managing over-all
project operations
b. Plan and supervise a work of lower level personnel in implementing of the
project aspects assigned to him by the Project Leader
c. May review findings, analyses and research interpretations arrived at by
lower level project personnel
d. May initiate and supervise data collection and processing and report writing
4.4 Interviewer.The applicant must have at least two years of college work
relevant to the nature of work.
RESEARCH POLICIES
A. Funding and Other Resources
1. Research funding is awarded on competitive basis, using independent expert
peer review. Potential applicants should refer specific questions about the
applications process to the Office of Research.
74
2. Researchers can apply for funding to pay for costs to purchasing of
equipment, or upgrading existing equipment. Equipment purchases should
have been discussed and endorsed by the relevant committee.
3. Research funding aims at advancing the state of knowledge in specific areas,
with outcomes that would benefit individuals, communities, and society as a
whole
4. Decision-making by policymakers at the national and local levels is funded by
research.
5. Research funding would strengthen the links among research, policy and
practice, with each activity informing the others and providing evidence of
what works for use in decision-making
6. There should be attached word document to clearly set out justification of
request for research funding.
B. Procedures on how to conduct research
Figure 2 illustrates the process of conducting research study. To facilitate the
processing of the project proposals, the following system is henceforth
adopted:
1. The proposal shall follow the prescribed/appropriate format for project
proposals which can be obtained from appropriate office/ department of any
unit of the university;
75
2. All proposals must have the endorsement of the department/unit and the
notation of the school/college/division head of the proponent;
3. All proposals should be addressed to the approving councilwhich is the
Board of President thru the Department of Research and the corresponding
channel specified hereinafter;
4. Proposals may be submitted preferably January of each year;
5. A researcher ora team of researchers may be allowed to conduct at any
one time a maximum of two university funded projects;
6. A researcher with an approved project proposal shall enter into a contract
with funding unit before funds shall be released for his/her project;
7. Any major deviation must be approved by the President upon the
recommendation of the Head of Research;
Proponent
Department Chairman/Section Head for endorsement
College Head/Division Head for notation
Department Head of Research for preliminary evaluation
Board of Science Management for evaluation and
recommendation
Board of President for appropriate action
Department of Research who will advise proponent on the
action taken by the approving body on his/her
proposedproject
76
8. Implementation of the approved proposals shall be on the semester
immediately following approval subject to the availability of funds;
C. Incentives to faculty who conduct research
1. De loading of Teaching Units. It is computed according to the designated
research function. Any member of faculty involved in research is entitled to a
reduction in teaching load per semester provided that the conditions are
satisfied.
2. Workload Credits. It is computed according to the designated research function.
Faculty members engaged in research undertakings are given workload credits
depending on their involvement in the different stages of research, the scope of
their responsibility in a given project.
3. Research Honoraria. It is computed according to designated research function.
It is extra monetary remuneration given to government official, employee or
private individual who is involved in research activities in order to encourage
productivity and as recognition for the performance and efficient delivery of
services and outputs.
4. Research Awards. This may be in the form of plaques, trophies, grant, and/or
cash. Upon submission of terminal report for the institutionally funded project,
cash incentive will be awarded to the project staff. Cash award will be given to
researchers in various fields and disciplines who orally presented their output in
research competition. Corresponding amount will be awarded to the
researcher/s for every paper presented in regional, national or international
research conferences without regard to award/s it obtained from the organizing
institution of the said forum.
5. Research Grants. This may be in the form of post document research, textbook
writing, creative work awarded through contracts. This supports the research
77
and creative endeavors of faculty, research and extension personnel through a
system-wide competitive basis. Under this program are grants such as
postdoctoral research grant, textbook writing grant, and research and creative
work grant awarded via research contracts.
6. Credits for promotion. Research outputs, creative works and extension activities
are major credits for promotion.
D. Monitoring and Evaluation of Research
Monitoring and Evaluation Committee shall be formed to keep track of the
progress of projects. Any unforeseen changes in the implementation should be
recorded and reported. Evaluation of on-going projects should be done to improve
project implementation. Projects are monitored in terms of financial and technical
aspects. The financial status of project is monitored by the Accounting Division;
while monitoring of the technical aspect is left to the Technical Evaluation
Committee composed of evaluators through the technical reports submitted by the
researchers.
1. Evaluation
a. Both on-going and completed research projects under internally and externally
funding agencies must be submitted to in-house review. The in-house evaluation of
projects is conducted to review the project vis-a-vis the accomplishments and
outputs, identify weak areas, and make suggestions to improve or develop the
project.
b. The project shall be evaluated based on the objectives of the study,
adherence of the activities conducted to work plan, revisions justified, funds utilized
according to scheduled activities, actions taken to attend to the constraints in the
78
projectimplementation, significant findings to the various clienteles, potential impacts
of the project relevant to the country or the community.
c. Based on the findings of the evaluation team, they will recommend if the
project is to be revised, renewed, extended or terminated.
2. Monitoring
a. Monitoring of the projects both internally and externally funded shall be
conducted quarterly.
b. For externally funded projects, a joint evaluation between the university and
the Funding Agency shall be conducted. In case a joint monitoring is not possible, the
funding agency shall invite a representative from the team of evaluators in the
university to attend the funding agency's evaluation, and provide the Office of the
President a copy of the summary of evaluation results.
c. For projects due for completion, evaluation shall be scheduled before the
termination of the project.
d. Evaluation, may take place at later date considering funding agency‟s approval
on the change of implementation date, extension of project to complete activities, use
of unexpended balance, nature of the project,
e. The Office of Research shall finalize the schedule of evaluation and,
accordingly, send appropriate communications to the project leaders and funding
agencies in this regard.
E. In-house review of proposals and completed researches
The In-House Review is conducted annually in coordination with
university and other agencies to continuously assess and evaluate the
Institution‟s completed and on-going research projects; identify problems, and;
recommend specific courses of actions with the general objective of improving
79
research and extension efforts. In-House Review Committee conducts terminal
review and classifies research output if for verification, dissemination, IP
registration, or commercialization.
F. Dissemination and publication of researches
Research efforts of university personnel are recognized through
publication of their completed works.The completed researches which were
reviewed and evaluated by the technical evaluation committee are published in
official research refereed journal of university.Outstanding research efforts are
identified and recommended by the committee to be published in the refereed
journals. Subsequent costs for review and publication will be shouldered by the
university.
On the other hand, an activity involving technologies application on a
commercial scale by an identified user primarily to increase income/profits and
productivity, as well as technologies utilized/produced on pre-commercial scale
including market testing jointly undertaken with client.The Technical Evaluation
Committee recommends research works that are fit for technology promotion
and commercialization.
G. Intellectual property rights
1. All copyrightable works will be jointly owned by the proponent/s and the
University.
2. The proponent/s (assignor/s) and the university (assignee) execute(s) a Deed
of Assignment wherein they are made joint authors.
3. The accomplished Deed of Assignment is notarized.
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4. The Application for the Copyright is accomplished and the form being
notarized by any notary public. Then, it will be submittedto Copyright Office
upon payment of the necessary fees.
5. All fees shall be shouldered by the university
RESEARCH FUNDING
Funding resources are generated through donations, agreements, grants,
and collaborations either with the university fund or the government agencies as
well as local and foreign funding institutions.
A. Sources of Funds
There are basically four sources and processes of funding that the
university regulates. Thus, researches can be classified university-funded,
government-funded, privately-funded, and externally-funded.
1. University-funded Research
Upon approval of research proposal, the proponent/s can already request for
release of funds coursed through channels. Once approved, funds shall be released
in accordance with approved line-item budget and schedule of sub-allotment
SOURCES OF RESEARCH FUNDS
University
funded
Government
funded
Privately
funded
Externally
funded
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(disbursement should be based from the budget agreed upon the contract). The fund
covers operating expenses ofthe projects but not salaries of project proponents and
main workers.
2. Government-funded Research
Government-funded research can be carried out through grants to academic
and other researchers sponsored bygovernment agencies. After the contract is
approved, the funding agency issues check for the funds of the approved projects to
the Office of the President. Upon receipt, the Office acquires an account code from
Accounting Division and deposits the check to the Cash Division. An advice for
allotment of funds and copies are distributed to the following: Proponent (original
copy), Accounting Office, Internal Audit and the Funding Agency. Funds will be
released on quarterly basis. All expenses shall be in accordance with budget item
stipulated in the contract and is subject to the existing accounting and auditing
procedures.
3. Privately-funded Research
Private researches may be conducted by an individual/ group of
administrators, faculty, non-teaching staff and students provided that Research Office
be issued letter of information for record-keeping.
4. Externally-funded Research
External funds other than that from the government agencies could come from
the private organizations, industry partners, foundations, and non-government
organizations. This type of funding covers extension projects not normally supported
by internal funds.
B. Research Personnel’s Salaries, Wages and Honoraria
Different funding agencies have respective sets of guidelines concerning
salaries, wages and honoraria of the research personnel. In cases where specific
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provisions for the rates of honoraria are stipulated in the contract with the
government agencies or for projects with foreign funding, the terms of the contract
shall be followed.
C. Assignment of Rights
No part of the project, including any rights there, be assigned or subcontracted
to third parties without written consent of the University and the funding agency.
D. Cash Advances/Reimbursement
The main proponent is entitled to withdraw the cash advance to cover the
project expenses. No further cash advances shall be allowed unless previous cash
advance is fully liquidated.Other project staff or project leaders may also use
personal funds to travel or to purchase needed materials. Such expenses may be
reimbursed by following the standard procedures, provided that they do not exceed
the approved line-item-budget.
E. Budgetary Changes
Project proponents usinguniversity funding, may request for re-alignment or
transfer of funds within the line-item budget or from one line-item budget to another,
provided that funds are available or that there is no corresponding increase in the
approved total budget. The justification for budgetary changes must be indicated in
the request. The letter of request together with the previous and new line-item budget
should be submitted to the Board of President for recommendation to the Office of
the President. For externally funded projects, no changes can be made in budget
without the expressed approval of funding agency.
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F. Disbursement and Utilization
The proponent shall be responsible and accountable for any direct
disbursement of funds necessary for the conduct of the project.
G. Accounting and Auditing Standards
All fund releases of the projects shall be subject to the existing
governmentstandards of accounting and auditing rules and regulations. Accounting
Office prepares financial report for each project indicating expenditures and
remaining balance for a certain period. A copy of the updated audited financial report
can be requested by the proponent as he/she deems necessary.
H. Financial Records, Inspection and Withholding Fund Releases
The proponent should keep and maintain the financial records in accordance
with the accepted standards, principles and practices in the accounting. A review
committee shall have the right to inspect and audit financial records kept by the
proponent related to the project at any time during and after the implementation of
the project.The University reserves the right to withhold the fund releases for: a)
blatant deviation in projectimplementation; and b) non-compliance with the reporting
and evaluation procedures.
RESEARCH FACILITIES
To actively participate and carry out specific research activities and to provide
research-related services to TNU and to non-TNU clients, the following mandates
must be observed for research facilities areas, to wit:
A. Research Resource Center. This is an open research facility housing
volumes of books, conducted researches, theses, and dissertations; general
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references; local and international journals; and other reading materials. It also
contains electronic sources and multimedia.
This research facility is being operated in order to:
1. Embody the concept of the multidisciplinary collaborative support
infrastructure for researchers involved in health and social sciences
research
2. Provide range of specialist labs, facilities and services for primary research
and analysis, including space for visiting researchers
3. Housetraining program and host research students associated with the
program
Policies in the use of research resource center include:
1. Having an active identification or research resource center account to
check out any material
2. Renewing or returning all material by the due date
3. Reading library e-mails and responding to library notices promptly
4. Notifying the libraries if their PUID is lost or stolen
5. Notifying the research resource center if material is lost or stolen
6. Paying any fines or fees for late return or non-return of materials checked
out
B. Experimental Farm. Itis a farm which is used primarily to demonstrate various
agricultural techniques, with any economic gains being added bonus. It is
owned and operated by the university but can also be open for rentingof the
local farmer. It is allowed for leasers to performtheir demonstrations, while the
land owner can be paid for the land usage or may be given the resulting crops.
The experimental farms may not only have crops, but also have various
types of livestock. Various techniques for feeding and bedding may be tested
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on these farms. The farm run by university is not only used for research, but
also for teaching purposes. It operates for the students to take active
participation in their classes.
C. Research Laboratory
This research facility is being operated in order to provide:
1. Situations for data gathering and analysis, and critical thinking and problem
solving, specifically in microbiology
2. Analytical services to agricultural businesses which subsequently serve as
source of income-generating project for the university
3. Hands-on experiences and activities to students, faculty and other
researchers to further deepen their understanding and appreciation of
microbiology
4. Facility for TNU and non-TNUU students for research purposes
5. Venue for clinical and research-related actual experimentation
For its use in research, proponent(s) shall request permission from the Office
of Research Services. Upon approval, aresearcher/s shall adhere to the following
guidelines:
1. The researcher/s shall use the laboratory during office hours only.
2. The researcher/s shall provide the chemicals and other needed materials/supplies
needed for the analysis.
3. The researcher/s shall be liable to replace or repair damaged glass wares or
equipment used in the analysis.
4. The researcher/s shall take charge of the orderliness of the equipment or materials
during and after use. In case of damage on equipment/materials, the proponent
shall be liable to replace or repair them. The proponent shall not be allowed to
bring out any of the laboratory property.
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5. For testing of samples of researches, proponents shall be charged based on the
existing cost per analysis
D. ICT Room/Area. It contains a singular large-scale research databases,
collections, archives, integrated arrays of the small research installations, high-
capacity/high speed communication networks, research vessels, data
infrastructure,highly distributed capability computing facilities, networks of
computing facilities, as well as infrastructural centres of competence which
provide a service for the wider research community based on an assembly of
techniques and know-how.
E. Animal Research Facilities. The primary function of the Animal Research
Facility is to provide the best animal care and assist researchers in fulfilling their
obligation to plan and conduct animal research in accord with highest
scientific, humane, and ethical principles. These are sustainedthrough the
objectives on the development and maintenance of a comprehensive, high quality
animal care and use of program, in compliance with all national and local laws
pertaining to animal welfare and laboratory animal research.
F. Aquaria Research Facilities. This occupies research and office space in this
state-of-the art facility, including a rooftop greenhouse and an aquarium research
facility for microcosm experiments. It contains a seawater which is natural,
pumped in from the dockside and the pre-filtered before entering underground
tanks, where it is then circulated constantly to the holding tanks in the aquarium
room and hatchery. It is maintained at a salinity topped up with freshwater to
compensate for the evaporation. Freshwater, brackish and closed systems are
arranged with large filtration system consisting of two sand-filters, UV filter, protein
skimmer with ozone, and biological filter that keeps the water clean and free from
harmful micro-organisms, as well as keeping the levels of ammonia, nitrite and
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nitrate below harmful levels. The animals are fed a varied diet, from fish and krill to
artificial algae diets and fish pellets, and vitamin supplements. The filter feeding
animals are fed by regularly dosing phytoplankton into the tanks, which is cultured
in aquariums algae culture lab. The culture lab contains variety of the
phytoplankton, which are available for any purpose. The temperature in aquarium
room and tanks ranges follow the seasonal changes, there is air conditioning to
provide heating or cooling.
RESEARCH PRIORITIES AND RELEVANCE
Regional consultations are done to establish the specific priorities for
cooperation in Vietnam and a formal consultation on research priorities for the
fisheries program. Linkages to the programs and other donors working in Vietnam
regions are regularly identified and supported. The research projects and priorities
are increasingly multidisciplinary, and there will be a particular focus on linking
central research institutes with provincially based research and extension
departments. Annual consultationsprogram with major partner organizations in
Vietnam are conducted to discuss the program strategies and new projects.
Research
Priorities
and
Thrusts
Agriculture
Health
Information and
Communications
Technology
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Figure 5.Research Priorities and Thrusts of Thai Nguyen University
Consequently, the research thrust and priorities of the Thai Nguyen University
are aligned with the following general areas of the national concern with the
corresponding particular dimensions:
RESEARCH PRIORITIES AND RELEVANCE
A. Agriculture
The following key areas have been identified as the medium-term
agricultural research priorities for Vietnam which are also conformed by the
university:
1. Rice-based farming systems through resilience to the negative impacts of
climate change
2. Rice germplasm and agronomic approaches for the rice-based farming systems
to adapt to impacts of inundation, salinization and drought
3. Capacity building in a greenhouse gas measurement and nutrient input, and
strategies for mitigation of greenhouse gas emissions
4. Risk assessment of climate change to rice, technical analysis and policy
approaches to reduce emissions from rice-based systems
5. Resource management for profitable and sustainable agricultural production in
Vietnam
6. Analysis of markets and supply chains to identify critical points for selected
commodities, to focus technical intervention for market
7. Sustainable cropping systems and agronomic practices that target the available
markets
8. Sustainable irrigation practices maximizing the use of the on-farm water
resources and protect groundwater resources from salinization
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9. Poverty reduction through the market engagement for the smallholder farmers in
the northern and north-western highlands
10. Better integration of smallholder farmers into profitable markets for high-value
crops and agroforestry through market and supply-chain analysis, with a focus on
fruit and vegetables
11. Improved natural resources management on the sloping lands through improving
crop, nutrient and land management
12. Improved management and marketing systems for smallholder ruminants and
pigs, and improved feed availability and integration of appropriate forage varieties
into the farming system
13. Enhanced capacity of local service providers (both public and private sector)
through alternative methods of delivery
14. Development of high-value aquaculture industries
15. Cost-effective and environmentally friendly aquaculture feeds
16. Profitable and environmentally responsible grow-out technologies for marine cage
culture and pond culture of lobsters, and hatchery production and grow-out of
mollusks
17. Transfer of knowledge from aquaculture projects to producers, government
extension agencies and universities
18. Higher value plantation forestry products
19. Sustainable high-value technologies for a fast-growing forest plantation suitable
for smallholders, particularly on degraded soils
20. Plantation wood-processing efficiency for small eucalypts and acacias, through
development of engineered veneer products
21. Development of the agricultural plant and preservation of the gene of precious
medicinal plants
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22. Research on developing the forestry and forest products, livestock and fisheries
23. Applied research on the mechanization and automation in an agricultural
production
B. Health
The priorities relate to national health problems to improve the prevention,
diagnosis and treatment of infectious and non-infectious diseases - which are also
challenging global health issues.
1. Excellence and extended core support in research into infectious diseases
2. Facilitating a close integration between clinicians and researchers in tropical
diseases
3. Advancement of the scientific knowledge and the clinical management of
infectious disease through integrated, collaborative clinical research
4. Formal training program with Vietnamese PhD students and more than 20
master's students currently registered for the degrees at Vietnamese or
international universities and with the focus of health research firmly centered in
Vietnam
5. Development of public engagement projects to build a critical mass of
Vietnamese clinicians and scientists dedicated to country's development, who
will make a significant contribution to clinical science in Vietnam
6. Medical-Pharmaceutical Science, community health care
7. Advanced Materials Technology: Biotechnology and nano materials
C. Information and Communications Technology
Traditionally, many important documents of the government such as S&T
Strategy to 2010 considered ICT as one of the top priorities. The most important
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policy documents are on "Creation and development of software industry" and
“Fostering an application and development of the ICTto serve
the industrialization and modernization need”. For the lastfew years, several key
policy documents and laws have been issued, related to ICT development
perspective and served as basis for the TNU priorities. Depending on various
background and orientation, there are ICT research priorities, namely:
1. Next Generation Broadband Network
2. High performance and grid computing
3. Pervasive nationwide hotspot coverage
4. Chip design and embedded systems
5. Info-com Infrastructure, Services and Technology Development, Advanced
information systems
6. E-Government
7. Network Security and Information systems security
8. Digital Media Vault -Digital and E-Library, E-learning
9. E-health systems: Electronic Health records, and Management of Pandemics
10. Open Source software
11. Desktop publishing
12. ICT for agriculture and forestry
13. ICT and Internet for Community and Rural area
14. Remote sensing and GIS (Multi-criteria Spatial Decision Support Systems)
15. Informatics for Land Management and Planning
16. Environmental modeling: Detection of natural disasters
17. Geometric modeling
18. Semantic web
19. Processing natural language, Processing image
20. Research algorithm (heuristic, genetic, neural network), language
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CURRICULUM VITAE
RESEARCHERS’S PROFILE
NGUYEN HONG KONG
English name: TIGER
A. PERSONAL DATA
Name : Nguyen Hong Kong
Age : 37
Birhday : January 12, 1978
Birth Place : Thai Nguyen province, VietNamese
Home Address : No 410, Luong Ngoc Quyen Street, Thai Nguyen city
Contact Number : (+84) 912599888
Civil Status : Married
B. EDUCATIONAL BACKGROUND
Degree School Year
Graduated
MA. EM. Thai Nguyen University of Technology 2007
University HaNoi University of science and Technology 2002
Upper Secondary Upper Secondary school Luong Ngoc Quyen 1996
Secondary Dong Quang Secondary school 1993
Elementary Dong Quang Elementary school 1989
C. WORK EXPERIENCE
8/2002 – 10/2002 Staff BacKan Power Company
11/2002 - 2014 Teacher Thai Nguyen University of Technology
D. PROFESSIONAL ORGANIZATION MEMBERSHIP
E. TRAININGS/SEMINARS ATTENDED
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1. V.V. Thang and N.H. Kong - IEEE PEDS 2011, Singapore, 5-8 December 2011 “ A
novel model to Determine optimizing power and Capacity for Energy Storage System
on Competitive Electricity Markets”