RESEARCH MANAGEMENT CAPABILITY OF THE DIFFERENT COLLEGES OF THAINGUYEN UNIVERSITY: AN ENHANCED RESEARCH MANUAL OF OPERATION _ A DISSERTATION Presented to the Faculty of the Graduate School Southern Luzon State University, Lucban, Quezon, Philippines in Collaboration with Thai Nguyen University, Socialist Republic of Vietnam _ In Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in Educational Management _ By NGUYEN HONG KONG (TIGER) October 2014 i APPROVAL SHEET The Dissertation of NGUYEN HONG KONG entitled RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL AT COLLEGES OF THAINGUYEN UNIVERSITY:A PROPOSED RESEARCH MANUAL OF OPERATION Submitted in Partial Fulfilment of the Requirements for the Degree DOCTOR OF PHILOSOPHY IN EDUCATIONAL MANAGEMENT A program offered by Southern Luzon State University, Republic of the Philippines in collaboration with Thai Nguyen University, Socialist Republic of Vietnam has been approved by Oral Examination Committee SUSANA A SALVACION, PhD Expert APOLONIA A ESPINOSA, PhD Expert RICARYL CATHERINE P CRUZ, EdD Expert BELLA R MUELLO, EdD External Panel CECILIA N GASCON, PhD Chairman Endorsed by: Recommended by: TERESITA V DE LA CRUZ, EdD Adviser SUSANA A SALVACION, Ph.D Dean, Graduate School Accepted in Partial Fulfilment of the Requirements for the Degree Doctor of Philosophy in Educational Management WALBERTO A MACARAAN, Ed.D Vice President for Academic Affairs _ Date ii CERTIFICATE OF ORIGINALITY iii ACKNOWLEDGMENT 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 Doctor of Philosophy in Educational Management program in Thai Nguyen University; DR 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, and DR RICARYL CATHERINE P CRUZ 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; 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 Universityfor giving the researcher the non-stop guidance and sources of everything NHK v TABLE OF CONTENTS PAGE TITLE PAGE ……………………………………………………………… i APPROVAL SHEET ……………………………………………………… ii CERTIFICATE OF ORIGINALITY ……………………………………… iii ACKNOWLEDGEMENT ………………………………………………… iv DEDICATION ……………………………………………………………… v TABLE OF CONTENTS ………………………………………………… vi LIST OF TABLES ………………………………………………………… viii LIST OF FIGURE ……………………………………………………… ix LIST OF APPENDICES ………………………………………………… x ABSTRACT ………………………………………………………………… xi CHAPTER I II III INTRODUCTION Introduction ………………………………………………… Background of the Study ………………………………… Objectives of the Study …………………………………… Hypothesis …………… …………………………………… Significance of the Study ………………………………… Scope and Limitation of the Study ……………………… Definition of Terms ………………………………………… REVIEW OF LITERATURE Review of Literature ………………………………………… Conceptual Framework ………………………….…….…… 33 Research Paradigm …………………………… ….……… 34 METHODOLOGY Locale of the Study ………………………….……………… 35 Research Design …………………………….……………… 35 Population and Sampling …………………….…………… 36 Research Instrumention ………………… …….…….… 36 vi Data Gathering Procedure ………………………………… 36 Statistical Treatment …….………………………………… 37 IV RESULTS AND DISCUSSIONS ……………………….… 38 V SUMMARY, FINDINGS, CONCLUSIONS AND RECOMMENDATIONS Summary…………………….……………………………… 82 Findings ……………………………………………………… 83 Conclusions ………………………………………………… 84 Recommendations ………………………………………… 84 REFERENCES …………………………………………………………… 87 APPENDICES …………………………………………………………… 89 CURRICULUM VITAE …………………………………………………… 99 vii LIST OF TABLES TABLE PAGE Status of Research Management in terms of Personnel at University Institutions Level at Colleges of Thai Nguyen University ………………………………………………………… 39 Status of Research Management in terms of Policies at University Institutions Level at Colleges of Thai Nguyen University ………………………………………………………… 41 Status of Research Management in terms of Funding at University Institutions Level at Colleges of Thai Nguyen University Status of Research Management in terms of Facilities at University Institutions Level at Colleges of Thai Nguyen University ………………………………………………………… 45 Status of Research Management in terms of Priorities and Relevance at University Institutions Level at Colleges of Thai Nguyen University ……………………………………………… 48 Frequency and Weighted Mean Distribution on the Acceptability of the Developed Research Manual of Operation as to Accuracy ……………………………………… 50 Frequency and Weighted Mean Distribution on the Acceptability of the Developed Research Manual of Operation as to Clarity ………………………………………… 51 Frequency and Weighted Mean Distribution on the Acceptability of Developed Research Manual of Operation as to Authenticity ………………………………………………… 52 Frequency and Weighted Mean Distribution on the Acceptability of the Developed Research Manual of Operation in terms of Adaptability and Usability …………… 53 viii 43 LIST OF FIGURE FIGURE PAGE Schematic Diagram on the Research Management at University Institutional Level in the Colleges of Thai Nguyen University as Basis for the Proposed Research Manual of Operation ………………………………………………………… ix 34 LIST OF APPENDICES APPENDIX PAGE A Communications 90 B Questionnaire 91 C Documentation 96 x 85 The overall practices of research management may be improved through the following measures: • Qualified research personnel may be hired or given subsequent relevant trainings and seminars; • Research policies may be brought for administrators, faculty, and students’ decisions for immense approval and wide information dissemination, thus 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 in the university; • Research facilities may be differentiated from other facilities in institutions intended only for instruction; and • Research priorities and relevance may be set in conformity with that of the national agenda for research to produce more beneficial and profitable outputs that would be useful to the community and the country as a whole The research manual of operations may be widely distributed in colleges to elicit vast support from the entire university The manual of operations for research may as well be adopted to improve its management practices Parallel and follow-up study may be conducted after producing research manual of operations to find out if it guides the research management of the university 86 Further studies may be conducted on the status of research management in comprehensive view of other parameters such as extension, evaluation and monitoring, and research activities 87 REFERENCES Andreica, A and P Agachi(2010) Academic research management by means of an intergrated sofware system “Babes-Bolyai” University Cluj-Napoca, Romania Boardman, Craig P (2009) Government centrality to university–industry interactions: University research Research Policy 38 , 1505–1516 Brian Hemmings and Doug Hill (2009) The development of lecturer research expertise: Towards a unifying model Issues in Educational Research Calmorin, L P and Calmorin, M A (2000) Methods of Research and Thesis Rex Bookstore, Manila Corley, E (2008) University research centers and composition of research collaborations Research Policy 37 , 900–913 Estolas (2002) Research Method.Oxford: Oxford University Press Faulkner, W and J Senker (2005) Policy and Management issues in company links with academic and goverment laboratories: A cross technology study The Journal of High Technology Management Research, 95 - 112 Francesco R., L Manjarrés-Henríquez, P D'Este, and R Grimaldi (2011) An effect of academic consulting on research performance: evidence from five Spanish universities Denmark: Copenhagen Business School Herlitschka, S (2008) Diversified Funding streams for University-based research: Impact of external project-based research fundingon financial management in Universities Luxembourg: Official Publications of the European Communities Hicks, D (2012) Performance-based university research funding systems Research Policy 41 , 251– 261 Huw, D., S Nutley, and I Walter (2005) Assessing the impact of the social science research: conceptual, methodological and practical issues School of Management, University of St Andrews Karimian, Z., Z Sabbaghian, A Salehi and B Sedghpour (2012) Obstacles to undertaking research and their effect on research output: a survey of faculty members’ views at Shiraz University of Medical Sciences Eastern Mediterranean Health Journal La Revue de Santé de la Méditerranée orientale, Vol 18 No 11 Kouri, A.(2009) Choosing appropriate university or college environmental management system Journal of Cleaner Production 17 , 971–984 88 Lisa, M and J Thomas (2010) Research program coordinator: An Example of effective management Journal of Professional Nursin 223–231 OPREA, M (2012) An Agent-Based Knowledge Management System for University Research Activity Monitoring Informatica Economică Otto, M (2010) University research funding and publication performance - An international comparison Research Policy 39 , 822–834 Sadegh, R., N Khabiria, and A Senina (2012).Evaluation framework for assessing university-industry collaborative research and technological initiative Procedia - Social and Behavioral Sciences 40, 410 – 416 Schützenmeister, F (2010) University Research Management:An Exploratory Literature Review Institute of European Studies Uinversity, T (2012) Report on Science and Technology activities 2012, Plan for Science and Technology 2013 Department of Science and Technology Management Webber, H (2006) Improving Research Management: Institutionalization of Management Information Systems in National Agricultural Research Organizations in Saharan Africa Netherlands: Wageningen University and Research Welker, M and A Cox (2006) A Report on Research Activities at Research Universities Research Management Review Whitney, C.W., Lind, B.K., Wahl, P.W (2008) Quality assurance and quality control in longitudinal studies Epidemiologic Reviews, 20(1): 71-80 Zaidatol, A., A Sadeghi, H Elias (2011) Analysis of the head of departments leadership styles: implication for improving the research university management practices Procedia - Social and Behavioral Sciences 29, 1081 – 1090 Zhao, R (2003) Transition in R&D management control system: Case study of biotechnology research institute in China HighTechnol Managem Res 14, 213–229 89 APPENDICES 90 Appendix A Communications Letter of Request to the Research Staff and Teachers of the Colleges of Thai Nguyen University Viet Nam Republic of the Philippines SOUTHERN LUZON STATE UNIVERSITY GRADUATE SCHOOL Lucban, Quezon May 10, 2013 _ _ _ Dear Sir/ madam: The undersigned is a student of Doctor of Philosophy in Education Management, presently conducting a study on “Research Management at University Institutions Level at Colleges of Thai Nguyen University: A Proposed Research Manual of Operation” which is a requirement for the said degree In connection to this, he would like to ask permission from your good office to distribute the questionnaires to the headmasters and teachers The data that will be gathered from them will satisfy the purpose of the research Attached is the sample questionnaire for your reference Hoping for your kind approval to this request Thank you! Respectfully yours, (SGD.) NGUYEN HONG KONG (Tiger) Researcher Noted: (SGD.) DR TERESITA V DE LA CRUZ Research Adviser Approved: 91 Appendix B Questionnaire Checklist Questionnaire on the Research Management at University Institutions Level at Colleges of Thai Nguyen University Direction: Kindly check the appropriate column that best describes the status of your Institution’s research management You may refer to this scale in answering the questions: – Strongly Agree Agree – Disagree – Strongly Disagree (SA) (A) (D) (SD) Statement A Personnel There is an adequate number of personnel in the research office The research personnel possess the required educational qualification and experience needed to administer the office The research office is headed by a qualified research director/head The director/head sets the standards and targets planning of the research programs The director/head conducts regular monitoring of the different research programs/projects The research personnel are exposed to trainings/seminars to strengthen research operations of the institution The research personnel conduct/sponsor trainings/seminars among the faculty and staff B Policies There is an existing research policies in; use of research funding and other resources procedure on how to conduct research incentives to faculty who conduct research monitoring and evaluation of research SA A D SD 92 Statement in-house review of proposals and completed researches dissemination and publication of researches intellectual property rights C Funding Allocates funds for the conduct of faculty and student research activities Establishes linkages in the local/national/international levels for funding support and assistance Provides funding for facilities and equipment such as internet, statistical software and other ICT resources Allocates funding for research personnel and other support services Provides a conducive and well-equipped workplace including research resource center/area D Facilities The Institution provides research facilities such as; research resource center/area experimental farm research laboratory ICT room/area animal research facilities aquaria research facilities E Priorities and Relevance The Institution’s research agenda is in consonance with institutional, regional and national priorities The research programs and activities are based on needs and problems and resources of the community SA A D SD 93 Statement The following stakeholders participate in the formulation of research agenda identified as institutional thrusts and priorities; 3.1 administrators 3.2 faculty 3.3 students 3.4 government representatives The institution prioritize for advanced studies and trainings to develop faculty research competence The research results and outputs are utilized as inputs to institutional and community development SA A D SD 94 Questionnaire for the Acceptability of Research Manual of Operation Direction: Kindly rate the developed research manual of operation according to the following criteria by using the scale presented below Read the following statements carefully and tick on the appropriate column that corresponds to your answer HA – Highly Acceptable A – Acceptable FA – Fairly Acceptable NA – Not Acceptable Statements Accuracy Caters the needs of the researchers in acquiring and practicing their knowledge, skills and competence in conducting relevant studies Includes understandable provisions which are wellsequenced for ease of researchers Relates the present demands in the field of research consideringthe different contexts provided in the manual of operation Presents sufficient explanation through adequate provisions Is significant for research processing and progress Clarity Presents consistency through logical connection of provisions to help facilitate research conducting Contains provisions which are well-explained, wellorganized and clear Presents a well-organized step-by step procedure Provides a comprehensive illustrations of the research processes Makes complexity and coherence of provisions in the manual easy to understand Authenticity Relates to the current trends in research Is linked to the research thrusts and priorities of the institutions HA A FA NA 95 Statements Presents concepts and ideas appropriate to the research policies of the institution Presents research provisions which can be readily be followed and actualized Responds to the research needs and priorities of the institution Adaptability and Usability Is helpful to both novice and expert researchers in conducting relevant studies Is applicable to the current research practices of the institution Encourages researchers to become more equipped with the knowledge and skills on investigatory practices Enables researchers to easily follow the research standard operating procedures of the institution Serves as a purposive manual to guide and enlighten the researchers, sponsoring and partner agencies and stakeholders HA A FA NA 96 Appendix C Documentation MINISTRY OF EDUCATION THAI NGUYEN UNIVERSITY MANUAL OPERATION ON IMPLEMENTING AND MANAGING UNIVERSITY RESEARCHES Article 3.8 - University Research 3.8.1 The university researches aim to solve the following problems: a) To improve education quality; b) to serve the development of education, economy, culture, and society; and c) To improve staff qualification, including: lecturers, researchers and Thai Nguyen university officers 3.8.2 Each research topic (project) should be managed by a research officer and 01-03 (one to three) participant(s) 3.8.3 Timing frame for each research is no more than 24 months Article 3.9 – Organisms in charge of University researches Thai Nguyen University is a government body in charge of university researches The Director of Thai Nguyen University approves and allocates to individuals and organizations to carry them out Members of Thai Nguyen University are agents which are responsible for cooperating with Board of research management – Thai Nguyen University who manage all aspects of University researches Article 3.10 – Standard criteria for being a chief director of the scientific research at University level 3.10.1 Being an officer who holds certificate of bachelor or upper level in relevant field 3.10.2 Having at least one article or journal published in scientific magazines; or having successfully done a recognized University research (this criterion is not applicable for PhD students, but the detailed outlines must be relevant with the research direction) 3.10.3 Not being chief of a scientific research at University level (or above), and not being processed under rules 18 of this regulation at the time of selection Article 3.11 – Responsibility and rights of chief of a university research 3.11.1 Chief of a university research is responsible for preparing the research presentation; organizing research direction in according to approved contents and timing; reporting biannually on the research process to the government body; writing the final report and directly submits to the test council; utilizing funds and settling the payment in accordance with the current financial rules 97 3.11.2 Chief of a university research has rights to request to the management on timing, budget, and equipment used in the research; to select the research’s participant; sign contract with organizations and individual to proceed the research in accordance with the current regulation; to propose adjustment and to complete the research abstract; to register for intellectual property Article 3.12 - The selection process of a university scientific research 3.12.1 From February to March: University receives a list of recommended research projects from all departments; each project must be attached with a recommendation form 3.12.2 From April to May: The university forms the Advisory Council to determine the list of research topics for the following year Then this list will be announced on the University websites, as well as officially sent to the members, who would base on this list to get their defense presentation done, to join the selection 3.12.3 Immediately after the Advisory Council approved the list, Members will announce this to individual in their organization to participate in the selection To join the selection, the profile should include the following: (a) Research description: 15 copies/ research project (following the sample form); (b) Then scientific potentiality of participant: 15 copies/ research project (following the sample form); (c) The recommendation letter from the management of Member unit The profile should be sent to Thai Nguyen University before September 3.12.4 October to November: Director of Thai Nguyen University decide to establish Selection Board to choose the participants who are qualified to carry out the university researches Article 3.13 Approving and assigning a university research 3.13.1 Based on the selection results, Thai Nguyen University approves the list of research topics as part of plan of the year 3.13.2 Quarter (the following year): After getting decision on the allowed funding from the Ministry of Education, Thai Nguyen University will consider and approve the descriptions, then assign to member to implement these with chief of university research Article 3.14 Assessment process of a university research 3.14.1 The assessment and acceptance of university should be done before December 31 annual For the research with special reasons, the Member can request the University to consider organizing assessment at different time 3.14.2 Project report should be combined into eight volumes of A4 size, each book should include: Copy of the research description, summary of the research result, final report, proof on research production (articles, journal, workshop report), financial proofs in accordance with current financial regulation, relevant financial proofs 98 3.14.3 Director of Thai Nguyen University makes decision on establishing the Judgement Council The Council should have at least members, including: Chairman, Referee Members and Secretary, at least independent members Project manager and research participants cannot take part in the Judgement Council The council members are researchers, reputable experts who have the appropriate qualifications and are knowledgeable in the fields of research (The list of Council members is recommended by the Members College of Thai Nguyen University, at least members) 3.14.4 The Judgement Council organize the meeting when there is an attendance of at least ⅔ members and at least one of them is Referee Member The Council is responsible for assessing all the contents, research methodology, scientific results and application of research in comparison with the approved research description Article 3.15 - Processing the assessment’s outcome 3.15.1 The Evaluation council marks and classifies the research into ranges: Excellent, Good, Fair, Pass, Fail Research classification is based on the average final scores of Judgement Council members, the total mark is 100, whereas: Excellent: 95-100; Good 85-94; Fair: 70-84; Pass: 50-69; Fail: below 50 3.15.2 The research project which is submitted later than deadline (without relevant reason) will be deducted into total average score: Minus 10 marks for less than month overdue projects; Minus 20 marks for less than month overdue projects; Liquidating the project if it overdues over months 3.15.3 After the meeting of the Council, the chief of research should complete the research in accordance with Council comments The chief of research is responsible for publishing the research outcome on mass media, implements the application, and registers for intellectual property in accordance with the current regulations 3.15.4 With the failed research, the government budget for that project should be refunded under the provisions of the current financial state Article 3.16 Operation Cost of Councils 3.16.1 The operation cost of councils (including consultant groups, evaluation and judgment council) is deducted from the annual scientific fund 3.16.2 The funding for operation cost of councils obtained from departments is used for the scientific research 3.16.3 The allowances for the incurred costs is investigated and implemented in accordance with the current financial regulations 99 CURRICULUM VITAE A PERSONAL DATA Name : Nguyen Hong Kong (Tiger) Age : 37 Birthday : January 12, 1978 Birth Place : Thai Nguyen Province, Vietnam Home Address : No 410, Luong Ngoc Quyen Street, Thai Nguyen City Contact Number : (+84) 912599888 Civil Status : Married B EDUCATIONAL BACKGROUND Degree School 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 11/2002 - 2014 Staff Teacher BacKan Power Company Thai Nguyen University of Technology D TRAINING/SEMINAR ATTENDED 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” ... Figure 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... x ABSTRACT Title of Research : RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL AT COLLEGES OF THAINGUYEN UNIVERSITY: A PROPOSED RESEARCH MANUAL OF OPERATION Researcher : NGUYEN HONG KONG (TIGER)... purpose of this study was to investigate on the research management at institutional level in colleges of Thai Nguyen University with an end-view of proposing a research manual of operation for the