Research management at university instutions level at colleges of thai nguyen university: A proposed research manual of operation

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. 80 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 81 (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 82 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. 83 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 84 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 85 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. 86 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 87 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 88 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 89 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 90 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 91 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 92 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 93 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”

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