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Research manamgement capabilyty of the different colleges of thai nguyen university an enhanced research manual of operation

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 ………………………………………………….

1

Background of the Study …………………………………..

2

Objectives of the Study …………………………………….

3

Hypothesis ……………..……………………………………

4

Significance of the Study …………………………………..

4

Scope and Limitation of the Study ………………………..

5

Definition of Terms ………………………………………….

5

REVIEW OF LITERATURE
Review of Literature …………………………………………

8

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
1

2

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

3

Status of Research Management in terms of Funding at
University Institutions Level at Colleges of Thai Nguyen
University

4

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

5

6

7

8

9

viii

43


LIST OF FIGURE
FIGURE
1

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


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)

Degree Conferred

: DOCTOR OF PHILOSOPHY IN EDUCATIONAL
MANAGEMENT

Name and Address
of Institution

: Southern Luzon State University, Lucban, Quezon,
Philippines and Thai Nguyen University, Socialist
Republic of Vietnam

Adviser

: Dr. Teresita V. de la Cruz

Year Written
: 2013 - 2014
______________________________________________________________
This study aimed to find out 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 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. The descriptive method was
used in this study subjecting 200 purposively chosen faculty and research
staff from 11 colleges of the said university. Using the weighted mean and chisquare 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 connotes a need for

xi


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, a research
manual of operation has been proposed and was acceptable as to accuracy
(2.74), clarity (2.72), authenticity (2.73), and adaptability 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.

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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 class university
within 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


2

serve the economy, society and business development. This is also the main
thrust for the conduct of this study.

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, and 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


3

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 institutional
level at colleges of Thai Nguyen University and help research 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 at institutional 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 sought to attain 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


4

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.

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.


5

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 of the Study
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 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.


6

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 isa set of ideas and proposals for action culminating in a
government decision.
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


7

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.


8

Chapter II
REVIEW OF LITERATURE
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


9

injection of political intrigue into research organizations have consequences
more disastrous than might be expected.
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.


10

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 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, it cannot be evaluated through the traditional
management routines based on accomplishment of previously set objectives.
Identification of research demands became key component of research
management in the last decade. In general, the methods used involved limited
interactions with technology users. Also, after the demands were identified,
there were no incentives to involve other agents in the actual research. But
successful network adaptation requires more than responding to technological
demands. Successful networks must develop and maintain the ability to adapt


11

to highly competitive environments in ways that also influence environment. In
other words, supply of 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 development while demand will be more important in
more established technological trajectories (Rycroft & Kash, 2000).
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


12

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 (http://ohrp.osophs.dhhs.gov/humansub
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 coinvestigators, and any individuals who are individually named on a grant or
contract application, who are 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
(http://tigger.uic.edu/depts/ovcr/research/education/key_personnel.html).
Every person involved in human research plays a critical role in the
protection of the rights and welfare of research participants. The University of


13

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 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 (http://vicepro
vost.tufts.edu/HSCIRB/files/DefinitionKeyPersonnel031708.pdf): a) minimizing
risks to subjects and protecting subject rights and welfare; b) compliance with


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