Nghiên cứu thực trạng và đề xuất giải pháp nhằm nâng cao chất lượng tài trợ nghiên cứu cơ bản trong lĩnh vực khoa học tự nhiên và kỹ thuật ở việt nam ttta

MINISTRY OF SCIENCE AND TECHNOLOGY

VIETNAM INSTITUTE OF SCIENCE TECHNOLOGY AND INNOVATION

NGUYEN THI PHUONG

RESEARCH ON THE CURRENT SITUATION AND
PROPOSAL FOR SOLUTIONS TO IMPROVE THE BASIC
RESEARCH FUNDING QUALITY IN THE FIELD OF
NATURAL SCIENCE AND ENGINEERING IN VIETNAM

SUMMARY OF DOCTORAL THESIS

Specialty: Science and Technology Management
Code: 9340412

HANOI - 2023


The thesis was completed at
Vietnam Institute of Science Technology and Innovation

Science supervisors:

1. Assoc.Prof.Dr. Mai Ha
2. Dr. Do Tien Dung

Reviewer 1:..............................................................................
.................................................................................................

Reviewer 2:..............................................................................

.................................................................................................

Reviewer 3:..............................................................................
.................................................................................................

The thesis is defended before the grassroots thesis
grading committee
Meeting at Vietnam Institute of Science Technology
and Innovation
At __________on ___________2023

The thesis can be found at the National Library
and Library of Vietnam Institute of Science Technology
and Innovation


1
INTRODUCTION

1. Rationale
In research and development (R&D), basic research is ranked in the first subclass
with the role of "creating new knowledge", as a premise for applied research. Basic
research plays an important role in raising awareness for people and spreading
knowledge. Most countries in the world, especially those with developed economies,
have paid great attention and investment to basic research. Basic researches are
increasing in both quality and quantity, however, it can only be carried out when there is
a stable financial investment. Therefore, the introduction of research funding
organizations, especially the science fund model, is necessary to ensure that funding for
basic scientific research is carried out consistently.
Currently, the development of science and technology is considered a leading

national policy and an important foundation for socio-economic development. Basic
researches are not purely researches of direct benefit, so it is difficult to attract attention
and investment from private or corporate entities. However, with the role of basic
research as the foundation of human knowledge, the governments spend a large amount
of budget to finance these activities. In order for the amount of funding budget for
science and technology to be used for the right purposes, without loss and waste,
ensuring the quality of research and development funding is considered extremely
important.
From a management aspect, the quality of basic research funding reflects the
results of management of the Science and Technology Fund, whose main source of
funding comes from the State budget or NGOs interested in basic research development.
Therefore, assessing the quality of basic research funding is an important requirement to
determine the effectiveness of research funding as well as funding management goals.
The quality of basic research funding is influenced by multiple objective and subjective
factors. If these factors are not taken into account, the objectives may become unfeasible
and the quality of basic research funding will remain low. For successful basic research
funding, managers also need to evaluate to make funding requirements appropriate to the
context of socio-economic development, science and technology, and scientific human
resource characteristics.
From a research aspect, most of the scientists are highly appreciated for their
research experience, excellent research results, and they often have a deep understanding
of their research, the fields, and they have important perspectives and can evaluate the
quality of basic research funding. More specifically, in the current context of strong
international integration in science and technology, Vietnam has been creating
conditions to attract funding from abroad, helping scientists to expand cooperation and
training relationships in scientific research, and gradually access to modern research
equipment, to learn and exchange with global scientists, to access to new research
directions. Basic research funding is a condition for scientists to develop creativity, but
on the contrary, it also requires scientists to be serious, to meet international standards in
scientific research and standards andin assessing scientific research. Therefore, from the

perspective of scientists, the evaluation of the quality of basic research funding is


2
becoming more and more important as from the results of the assessment of the quality
of basic research funding, scientists can evaluate the effectiveness of the research
funding in their projects, compare the effectiveness of joint funding among many
sources of funding for scientists, and have an objective view of the quality of their
research and the quality of funding of the entities. Therefore, based on the results of the
basic research funding quality assessment, managers will have an orientation to adjust
financial policies as well as adjustments to the funding management mechanism, which
has a direct impact on scientists, the beneficiaries of funding. Therefore, scientists are
the main player to assess the quality of basic research funding in an objective,
transparent and fair manner.
National Foundation for Science and Technology Development is a non-business
unit under the Ministry of Science and Technology that performs the task of public
funding for basic research in the most methodical and focused way in Vietnam. With a
funding budget of up to VND 500 billion per year, the Fund is currently the largest
holder of funding for basic research in the country. Established with the goal of creating
a favorable research environment in Vietnam, meeting international standards in order to
improve the national scientific and technological capacity, including improving the
quality of research and human resource development. science and technology at a high
level. After more than 10 years of operation, the results from activities funded by the
Fund have been evaluated by the domestic and foreign scientific community as having a
great role to contribute to promoting internal force in basic research in Vietnam,
contributing to improving the quality of postgraduate training and improving the quality
of human resources for scientific research in Vietnam. However, in reality, the process
of basic research funding has also revealed some weaknesses that require stricter
management, specifically:
Firstly, It is necessary to clarify the concept of quality of basic research funding

from funding organization: basic research funds still operate under a semi-active
mechanism, the budget allocation for basic research fund is still limited and passive. In
particular, the management of the basic research fund from the stage of estimating,
detailing funding, using the fund, promoting the improvement of the quality of basic
research or inspecting and monitoring the use of funds is still limited. This leads to
continuous funding delays for research, which slows down the progress of
implementation and leads to a decrease in the quality of basic research, rendering
allocation of funding inefficient, Le Van Duc (2018), Ha Hoang Anh Tuan and Dang
Thi Thuy Nga (2020). Although there have been improvements in funding compared to
other missions, funding for basic research is currently mainly used to pay salaries for
scientific research, not for consumables and research equipment. Therefore, the
implementation of research ideas has fallen into a fragmentary state, as a result,
important research projects with breakthrough outcomes are mainly carried out abroad
and in the long run and groups of research that is “in line with progress” can
continuously “win” funding, but it is difficult to build a strong research group and it is
difficult to have good publications in the future, Tran Dinh Phong (2017). Moreover, the
financial management mechanism for basic research by the Fund and financial


3
management at the entity is not consistent with the regulations on budget management
under the effective Law on State Budget. since 2017, Nguyen Quang Thanh (2021). The
problem is to clarify the concept of quality of basic research funding in order to have a
general view of the quality of funding from the funding organizations (Science Fund)).
Secondly, there is a gap on criteria to assess the quality of basic research funding:
the competitive context in funding today takes place all over the world and in Vietnam
in particular, this competition is fierce, too. The competitive selection process for
funding has severely impacted the division of research majors, if the criteria for
international publication are considered to be representative of the output quality of postfunding basic research, the groups, sectors with strong international publication will
dominate the competition for funding, while "special" industry faces difficult to publish

or it takes a longer time 36 months of new funding with limited availability during
funding competition. Therefore, the development of criteria to assess the quality of
funding to ensure its suitability with current conditions in Vietnam is still limited, Tran
Dinh Phong (2017). Although, the funding organizations have aimed to improve the
quality of funding by providing a list of prestigious international and national journals as
a measure of input and output assessment of research. However, the scientific
community assess that the current criteria is leaning towards three characteristics (1) in
favor of international publication, (2) in favor of the application of international
standards (through the list of journals developed by the fund) and (3) in favor of modern
and contemporary science. This inadvertently causes unfairness for some industries,
especially those that exploit research objects with a specific nature only in Vietnam,
Tran Trong Duong (2017). On the other hand, international publication should still be a
hard standard in assessing basic research projects, but recently in the process of
assessment and acceptance of the topic, the phenomenon of "separating" works has
appeared. into acceptance test. It shows that in a short period of time, Vietnam can
achieve the target of growth in the number of publications, but the quality of
publications will hardly be improved, Hoang Anh Tuan (2018).
Thirdly, the interaction relationship in funding is still fragmentary, from the
perspective of the recipients, many entities are still passive, not closely related to the
research groups' basic research, Minh Trang (2018). From the perspective of the funding
organizations, there is currently a lack of documents regulating quality standards in basic
research funding, and funding methods are not diversified, funding is not reasonable for
research personnel, and progress is slow, and fail to be active in allocating funding for
basic research, Thanh Nhan (2018)).
In the context of public funding for basic research in Vietnam, the funding
organization faces difficulties in funding, as well as the need to build a suitable
scientific research environment for scientists in Vietnam. Therefore, how to ensure the
best quality of basic research funding, as well as optimally use funding from the state
budget to achieve the set goals is a matter of concern to Vietnam today. Therefore, in
order to increase the efficiency of research funding management and help scientists

plan research explicitly in terms of both theory and practice on the quality of research
funding, the introduction of evaluation criteria and identification of factors affecting


4
the quality of basic research funding are necessary as a basis for assessing the quality
of basic research funding.
For the above reasons, the author has chosen the topic of "Research on the
current situation and proposal for solutions to improve the basic research funding
quality in the fields of natural science and engineering in Vietnam" to research and
find appropriate measures to improve the quality of basic research funding in the future.
2. Research objectives
General objectives:
The thesis proposes a method to measure and evaluate the quality of basic
research funding, thereby evaluating the status and proposing some solutions to improve
the quality of basic research funding in natural sciences and engineering in Vietnam.
Specific research objectives:
On the basis of the general objective, the specific research objectives are detailed
as follows:
- Clarify the concept of basic research funding quality.
- Identify approaches and develop criteria for evaluating the quality of basic
research funding.
- Determine the factors affecting the quality of basic research funding in
accordance with the funding context in Vietnam.
- Analyze and evaluate the current status of the quality of basic research funding
in the field of S&T as well as consider the impact of factors on the quality of basic
research funding in the field of S&T in Vietnam.
- Propose recommendations to improve the quality of basic research funding in
the field of S&T in Vietnam.
3. Research subject and scope

3.1. Research subject
Quality of research and development funding in the field of Science and
Technology in Vietnam.
3.2. Research scope
- In terms of content: The research approaches the content of the quality of basic
research funding and the factors affecting the quality of basic research funding from the
theoretical perspectives of public funding. The PhD student chooses public funding in
basic research as the specificity of basic research is that the type of research does not
immediately generate profits like applied research, so it cannot attract investment from
businesses as well as other funding sources, but basic research plays an important role in
contributing new knowledge to humanity, deciding the step forward in social awareness
in the process of human development, especially basic research participates in training
high quality human resources for human resources. society to accelerate the process of
industrialization and modernization of the country. Therefore, governments of other
countries always give priority to spending funds from the state budget to finance the
development of basic research.
- In terms of space: Quality of research funding for basic research program in the
field of Science and Technology at the National Foundation for Science and Technology


5
Development in Vietnam.
- In terms of time:
Research data focused on exploiting and surveying to serve the thesis research
was synthesized and statistic in 2009-2019 period.
4. Research questions
From the established research objectives, the main research questions include:
(1) What is the content of basic research funding quality??
(2) What are the appropriate criteria for evaluating the quality of basic research
funding?

(3) The quality of research and development funding in the S&T field is affected
by which factors?
(4) What is the current status of the quality of research and development funding
in the field of Science and Technology in Vietnam??
(5) What solutions should be proposed to improve the quality of research and
development funding in the field of Science and Technology in the future?
5. New contributions of the thesis
The research results of the topic have both theoretical and practical significance,
including the following:
In terms of theory:
Firstly, the research has clarified the concept of basic research funding quality as
the degree of satisfaction of basic research funding objectives within the range of
publicly accepted standards. This concept is consistent with the theoretical approach to
quality defined by mission and objectives (Bogue, 1992). Previous studies either
mentioned very little, or mentioned the quality of basic research funding, but did not
mention the overall factors of the quality of basic research funding. They only
mentioned funding efficiency or effectiveness or funding results from a separate
perspective. The nature of the concept of funding quality has suggested that the further
research can search and consider more on the need to develop criteria to evaluate the
quality of basic research funding as well as the factors affecting the quality of basic
research funding in the context of Vietnam.
Secondly, the author has identified 6 basic criteria for evaluating the quality of
research funding, including: relevancy, effectiveness, efficiency, sustainability, results,
and impacts. These criteria are measured by 24 scales of CFA test.
Thirdly, the author has identified 3 factors (funding organization, host
organization and scientist) and the degree of influence of each factor on the quality of
research and development funding in the field of Science and Technology, in which
funding organization factor has the strongest impact. However, when the author added
"type of research" as an observation variable, the author has specifically assessed the
impact of each factor on the quality of research funding in the field of science and

technology in particular: with the type of research. In purely theoretical studies, the
scientist factor has the largest impact, but with the type of research with experimental


6
factors, funding organization factor has the largest impact.
In terms of practice:
Firstly, research results have shown the current status of research funding quality
in the field of Science and Technology in Vietnam in the period 2009-2019. Through the
number of 6 criteria used to evaluate the status of basic research funding quality in this
field, the results show that the criterion of "sustainability" is the highest rated with an
average score of 4.18/5 points. The results confirm the role of basic research in the field
of science and technology as a premise for other types of research and increase
knowledge for mankind, as a basis for sustainable socio-economic development.
Secondly, based on the results of evaluating the current situation of basic research
funding quality and through the results of testing the factors affecting the quality of basic
research funding, the research has proposed a number of solutions to improve the quality
of basic research funding in the context of basic research funding in Vietnam.
6. Structure of the thesis
In addition to the introduction, conclusion, list of references and appendices, the
structure of the thesis consists of the following 5 chapters:
Chapter 1: Literature review
Chapter 2: Rationale for the quality of basic research funding
Chapter 3: Methodology
Chapter 4: Findings and discussion
Chapter 5: Recommendations for solutions to improve the quality of basic
research funding in the field of Science and Technology in Vietnam.
CHAPTER 1
LITERATURE REVIEW
1.1. Research context characteristics of basic research funding quality

Through the characteristics of the research context on the quality of basic research
funding of countries and scientists around the world, it shows that countries and
scientists around the world are actively moving towards the content of the quality of
basic research funding in one way or another from different angles. From previous
studies as well as practical implementation lessons in countries, it is shown that the
quality of basic research funding can be expressed through many different approaches,
expressed through many forms such as the quality of science and technology programs,
the quality of post-funding research results, the quality of coordination among
stakeholders in the implementation of research grants or through the values that this
activity contributes to society. festival. Therefore, up to now, there has not been a
concept that represents the generalization of the nature of the phrase "quality of basic
research funding". Therefore, it is necessary to have studies on the nature of the quality
of basic research funding in order to have a scientific basis to determine the appropriate


7
evaluation criteria, or factors affecting the quality of basic research funding in context of
basic research funding in Vietnam recently.
1.2. Research related to measuring the quality of basic research funding
- Measuring the quality of basic research funding through multiple criteria
- Regarding effectiveness and efficiency criteria in basic research funding.
- Regarding funding impact, the permanence of funding
- Regarding funding results
1.3. Research related to factors affecting the quality of
basic research funding
Funding organization: Otto Auranen (2007; Martin et al (1996)
Host organization: Youngsoo Ryu et al (2016)
Scientist: Fiona Wood (1990); Creswell (1985); Grayson et al (1998); Finkelstein.
MJ (1984) An Azad and Seyyed (2007); TH Davenport.TH and De Long. DW (1998);
Lee et al (2011); Cheng. MY et al (2010); Lin. CCL et al (2007); Creswell (1985); Fiona

Wood (1990); Grayson (1998) and Dundar and Lewis (1998); Studies show that there is
a difference in the organization of research between these types (theoretical and
experimental) and therefore there are clear differences between the characteristics of
research findings.
1.4. Research gap
Firstly, it is necessary to clarify the content of the concept of quality of basic
research funding used in the thesis.
Secondly, it is necessary to develop criteria to evaluate the quality of basic
research funding.
Thirdly, examine the factors affecting the quality of basic research funding
funding in the field of science and technology in Vietnam.
Fourthly, approach theoretically and apply methodologies to evaluate the quality
of basic research funding in the context of funding in Vietnam.
In short, previous researches have shown that there are many gaps that need to
be mentioned in order to achieve the general and specific objectives such as research
methodology, measuring the quality of basic research fundin, considering the impact of
factors affecting the quality of basic research funding as well as using research
methods suitable to the research objectives of the topic. These contents are mentioned
in Chapter 2, the research methodology with two contents is the methodology for
developing criteria for evaluating the quality of funding and the research method
applied to the topic.


8
CHAPTER 2
THEORETICAL BASIS ON QUALITY OF BASIC RESEARCH FUNDING
2.1. The basic concepts
2.1.1. The concept of basic research
According to the concept of the Organization for Economic Co-operation and
Development (OECD), basic research is defined as follows: “Basic research is

experimental or theoretical work carried out mainly to acquire new knowledge of the
fundamental basis of observable phenomena and events, and its applicability is not
predictable”. This concept was then applied to explain the wording in the Law on
Science and Technology (2013), “Basic research is a research activity aimed at
discovering the nature and laws of things, natural and social phenomena and thinking.”.
2.1.2. The concept of quality of basic research
+ The quality of basic research is reflected in the quality of scientific publications
+ The quality of research is reflected in the quality of training
Therefore, within the scope of the thesis, when it comes to the quality of outputs
after basic research funding from the perspective of research training products, this can
stop at the scope of reflecting research capacity, research level of scientists when
participating in basic research.
2.1.3. Public funding for basic research and funding methods
- There are many methods of basic research funding
In fact, there are currently many funding methods in scientific research and in
different country the funding goals are different. However, in today's basic research,
most countries are using the fourth method with a vertically integrated model, where
there is a "umbrella organization" that is elected as the representative of the state and the
entire budget is allocated through this organization, the most popular model today is
known as the Science Fund model and basic research funding is conducted
competitively through the review of research topics/projects of individuals and scientific
organizations.
2.2. Quality of basic research funding
2.2.1. Concept of quality of basic research funding
Zhiguang and Bingzheng (2006); Jos and Venniker (2001); Thomas Zacharewicz
et al (2018); Bogue (1992). According to the authors, “quality is conformance to mission
statements and the achievement of goals within generally accepted standards”. In this
view, quality presents many advantages, quality can be regulated during the operation of
the funding organization. Within the research scope of the thesis, the concept that
“quality of basic research funding is the conformity with the mission statement and the

achievement of the basic research funding objective within the scope of publicly
accepted standards.” "used as a concept throughout the thesis research process.


9
2.2.2. Develop criteria and scale to evaluate the quality of
basic research funding

Summary of criteria for evaluating the quality of basic research funding
as recommended by the thesis

S/
N
1

2

3
4

5

6

S/
N

1

2

Criteria

Source

PART (2002)
Peter Rossi et al (2003)
Relevancy
Nguyen Hong Thang (2010)
Nguyen Thi Thu Oanh (2015)
Consultant and author
PART (2002)
Mandl et al (2008)
Peter Rossi et al (2003)
Effectiveness
Nguyen Hong Thang (2010)
Nguyen Thi Thu Oanh (2015)
Consultant and author
Mandl et al (2008)
Efficiency
Nguyen Hong Thang (2010)
Consultant and author
Nguyen Hong Thang (2010)
Sustainability
Consultant and author
PART (2002)
NAFOSTED (2015)
Peter Rossi et al (2003)
Post-funding results
Mai Trong Nhuan et al (2019)

Nguyen Thi Thu Oanh (2015)
Consultant and author
PART (2002)
Peter Rossi et al (2003)
Benedetto Lepori et al (2018)
Impact
Nguyen Hong Thang (2010)
Nguyen Thi Thu Oanh (2015)
Consultant and author

(Source: By the author)

Expected scale and origin of “relevancy” scale
Scale

The policy to improve the quality of research
and development funding in the field of
Science and Technology is in line with
Vietnam's future development strategy of
science and technology.
Vietnam's current basic research staff is
suitable to promote the quality of basic

Scale origin

Applying with adjustment of the scale
of PART, Peter Rossi et al (2003) and
Nguyen Thi Thu Oanh (2015)
Nguyen Hong Thang (2010)
Applying with adjustment of the scale

of PART, Peter Rossi et al (2003),


10

3

4

5

6

research in the field of science and
technology
The scale of funding for research projects in
the field of Science and Technology is
currently in line with the international
publication needs of the project.
The way to deploy the current basic research
funding organization is to meet the needs of
basic research scientists
The current design of research funding in the
field of Science and Technology has clearly
shown the priority of developing
international publication and improving
research capacity in Vietnam.
Outputs is in line with funding quality needs

and Nguyen Thi Thu Oanh (2015)

Nguyen Hong Thang (2010)
Applying with adjustment of the scale
of PART, Peter Rossi et al (2003) and
Nguyen Thi Thu Oanh (2015)
Nguyen Hong Thang (2010)
Recommended by the author

Applying with adjustment of the scale
of Nguyen Thi Thu Oanh (2015)
Nguyen Hong Thang (2010)
Recommended by the author

(Source: By the author)

Expected scale and origin of the “effective” scale
S/
N

1

2

3

4
5

Scale
Funding effectiveness indicator
Output to input ratio on publication

S&T effectiveness: number of international and
national publications, international cooperation,
Effectiveness of resources for implementation:
Number of funds, number of organizations,
number
of
scientiests
according
to
qualifications.
Training effectiveness: Number of MSc,
Number of PhD
Basic research funding helps to increase the
number of international publications for
Vietnam.

Scale origin

Applying with adjustment of
indicators of
Mandl et al (2008)
Albert Banal-Estañola et al., (2019)
Nguyen Hong Thang (2010)

Applying with adjustment of
Mai Trong Nhuan et al (2019)
Nguyen Thi Thu Oanh (2015)
Applying with adjustment of
Basic research funding helps to increase the
scale of

number of postgraduate training after the end of
Nguyen Thi Thu Oanh (2015)
the thesis
Nguyen Hong Thang (2010)
v funding helps to increase the number of
researchers with a key role (possibly as a
Recommended by the author
contact or lead author) in international
publications
Continuous research funding helps scientists Applying with adjustment of
maintain their research direction, thereby scale of


11
increasing the scientist's H-index.

Nguyen Thi Thu Oanh (2015)

(Source: By the author)

S/
N

1

2

3

4

Expected scale and origin of the “efficiency” scale
Scale

Scale origin

Funding Efficiency Indicator
Funding contract signing rate
Failed acceptance rate
Postgraduate training rate
Rate of international, national publications, conferences
Funding rate of funding
Through the number of funding/year
Expressed through published productivity
Funding Efficiency: The rationality of the method of
determining funding from: calling for funding,
assessing input, signing contracts, assessing and taking
over and liquidating the final settlement of basic
reasearch projects

Applying with adjustment of
indicators of
John B. Gilmour (2007)
Glaser et al (2007)
Hansen (2010)
Mai Trong Nhuan et al (2019)
Applying with adjustment of
scale of
Nguyen Thi Thu Oanh (2015)

Applying with adjustment of
Regulatory criteria for the quality of international
scale of
publication reduce the rate of research proposals
Nguyen Thi Thu Oanh (2015)
Nguyen Hong Thang (2010)
Applying with adjustment of
Funded basic reseach helps me maintain the frequency
scale of
of scientific publications in international journals
Nguyen Thi Thu Oanh (2015)

(Source: By the author)

S/
N

Expected scale and origin of the “sustainability” scale
Scale

1

The title of further research

2
3

Increase human knowledge
As a basis for socio-economic development

S/
N
1
2
3
4
5
TT
1

Scale origin

Developed from the scale of
Pham Hong Thang (2010)
Developed from the scale of
Pham Hong Thang (2010)

(Source: By the author)

Expected scale and origin of the “post-funding outcomes”” scale
Scale

Scale origin

Evaluation results of the acceptance board
Time to complete the project according to the progress
Products achieved versus subscription
Products published internationally compared to
registered
Contributing to graduate training

NAFOSTED,
Nguyen Thi Thu Oanh (2015)
Mai Trong Nhuan et al
(2019)

(Source: By the author)

Expected scale and origin of the “impact” scale
Scale

Scale origin
Recommended by the author
Basic research results have positively changed
based on the Impact of scale
Vietnam's basic research funding policies
Nguyen Thi Thu Oanh (2015)


12
2

3
4
5
6

Recommended by the author
Increas the quality of international publication made in based on the Impact of scale
Nguyen Thi Thu Oanh (2015)

Vietnam
Nguyen Hong Thang (2010)
Create opportunities to connect domestic and foreign
Recommended by the author
research institutions, domestic and foreign scientific
based on the Impact of scale
research groups. Create a convenient research
Nguyen Thi Thu Oanh (2015)
environment for customers in Vietnam
Raise awareness about basic research and attract a large
Recommended by the author
number of scientists to participate in activities
The proposed basic research
Basic research funding helps to improve the quality of
is based on the Impact of
postgraduate training in Vietnam. Attract customers to
scale
participate in domestic research projects.
Nguyen Thi Thu Oanh (2015)
Positive impact on economic and social development
Recommended by the author
(especially Vietnam's ranking indexes)

(Nguồn: Tổng hợp nghiên cứu của NCS)
2.2.3. Factors affecting the quality of basic research funding
Firstly: Stakeholder theory
Secondly: RBM- Results Based Management: Funding organization; Host organization; Scientist
- Control variable
Factor

Summary of scale to evaluate factors affecting quality
basic research funding as proposed by the thesis
Scale

Funding Tools
Funding method
Funding
organizatio
n

Policies, regulations,
procedures, etc.
Program, Scientific Council,
reviewer, funding, etc.

- Indicators
Funding
- Degree of coordination in
Process: (Input,
funding activities of related
Output, Process)
parties
Funding costs

Host
organizatio
n

Observed variables

Infrastructure

- Indicators
- Level and progress of the
allocation and use of funds
by stakeholders
- The qualifications of
scientist,

Source
Langfeldt (2001); Sapira và
Kuhlman (2003); Laudel
(2006); Heinze (2008)
Jacob (2013); Heinze (2008),
Hick và Diana (2012); Cheng
et al (2009)
Laudel (2006); Langfeldt
(2001); Shapira.P và S
Kuhlmann (2003); Heinze
(2008); Hicks và Diana
(2012)

Jacob (2013); Chalmers và et
al (2014); Benedetto Lepori et
al (2018)
Lee et al (2011) and
Sodergaard (2007) Lin et al
(2007), Creswell (1985);
Dundar and Lewis (1998);
Cheng et al (2009);

Sondergaard (2007), Niland
(1998)


13
- Management process
system, preferential policies
of the entity
- Possibility of scientific
publication
Research
- Autonomy in research;
capacity
- Necessary skills for basic
research
According to the regulations
of the Ministry of Education
of Vietnam, after graduate,
Level
the qualifications include
PhD, academic titles with
Associate Professor, Professor
- Theory
- Practic
Type of research
- Both theoretical and
(theoretical,
practical or purely
experimental,
theoretical basic research

etc.
and application-oriented
basic research
Management
system

Scientist

Control
variable

2.3. Research model and hypothesis
2.3.1. Research models

Cheng et al (2009)
Lin et al (2007); Sondergaard
(2007)

Azad and Seyyed (2007);
Davenport and De Long
(1998); Lee et al (2011); MY
Cheng et al (2010); Lin et al
(2007); Al Qudhi et al (2017)

Creswell (1985); Grayson
(1998)
DR Lewis (1998)

(Source: By the author)

Relevancy
FUNDING
ORGANIZATION
Effectiveness

H1

HOST
ORGANIZATION

H2

Efficiency

QUALITY OF
BASIC
RESEARCH
FUNDING

Impact

H3

Sustainability

SCIENTIST

Post-funding
results

Type of research

Proposed research model

(Source: By the author)

2.3.2. Research hypothesis
Figure 2.1 shows the influence of factors on the quality of basic research funding,
the specific research hypotheses are as follows:
* Hypothesis H1: The funding organization has a positive impact on the quality of
Loại hình nghiên cứu


14
basic research funding.
* Hypothesis H2: Host organization has a positive impact on the quality of basic
research funding.
* Hypothesis H3: Good scientist/research team will support to improve the quality
of basic research funding.
Sub-conclusion of chapter 2
The content of Chapter 2 has provided the theoretical basis for the quality of basic
research funding as well as the factors affecting the quality of basic research funding.
From the summary of the views of the previous authors, the research analyzes and
clarifies the connotation of the quality of basic research funding. Next, the research
presents the construction of a scale to evaluate the quality of basic research funding as
well as the factors affecting the quality of basic research funding, research models and
hypotheses. The content of Chapter 2 serves as a basis for Chapter 3 to develop a
research process and apply appropriate research methods to carry out the next steps.

3.1. Research process

CHAPTER 3
MEHODOLOGY

Step 1

Identify the research problem and review the literature:
Related theories
Results of previous research

Step 2

In-depth interviews and research model development

Step 3

Collect data:
Test survey and edit the questionnaire
Formal survey and summary of research data

Step 4

Analyze Research data

Step 5

Discuss research findings and prepare reports

Research process
3.2. Research Methods

3.2.1. Data collection method
3.2.2. Data processing method
+ Analytic Hierarchy Process (AHP);

(Source: NCS Proposal)


15
+ Reliability analysis by Cronbach'Alpha coefficient
+ Exploratory factor analysis EFA
+ Confirmatory factor analysis CFA
+ Bibliometrics
In addition, in the process of conducting research, the thesis also uses tools such
as Excel, Word, IBM SPSS Statistics 20.0 software to perform operations in the thesis
such as calculations, comments and descriptive statistics.
Sub-conclusion of chapter 3
Chapter 3 also provided the research method that used by the thesis. The first
content in Chapter 3 deals with the research process. The next content of chapter 3
presents the research methods used in the process of implementing the thesis. The
content presented in chapter 3 shows that the research is completely guaranteed as the
data collected is reliable and comprehensive.
CHAPTER 4
FINDINGS AND DISCUSSION
4.1. Objectives of funding basic research in the field of natural sciences and
engineering for the 2009 - 2019 period
Phase 1 (from 2009 to 2015), national level funding for basic research is carried
out according to the Fund model according to Decree 122/2009/ND-CP.
Phase 2 (from 2016 until now), At this phase, the NAFOSTED Foundation defines
the objectives of funding basic research in the field of Science and Technology as
follows:

4.2. Results of testing the basic research funding quality evaluation scale
Summary of basic research funding quality in the field

natural science and engineering in Vietnam

Evaluation Criteria
Relevancy of funding quality
Post-funding results
Funding effectiveness
Funding impact
Funding efficiency
Sustainability
Total

Average score
3.34
3.66
3.98
4.03
4.08
4.18
3.88

Deviation
0.5901
0.5948
0.579
0.58594
0.55599
0.63925

0.5908

(Source: By the author)
The evaluation results show that the total score for assessing the current status of
research funding quality in the field of Science and Technology, funded by the National
Fund for Science and Technology Development in Vietnam, is 3.88/5 points. Thus,
compared to a 5-point scale, this is a pretty good score for the current state of the quality
of research funding in the field of science and technology funded by the National
Foundation for Science and Technology Development.
Thus, through 6 criteria evaluated by 538 scientists, it shows that the average value


16
of the quality of the organization performing basic research funding in the field of
Science and Technology in Vietnam is currently 3.88/5 points (considered as good). In
which, the best is shown in the criterion of Sustainability of basic research funding with
an average value of 4.18/5 points. The rest of the values are accepted with quite good
results with the average score of over 3.0 points.
4.3. Results of evaluation of the status of basic research funding in the field of
natural science and engineering in Vietnam from 2009 to 2019

Summary of the quality of basic research funding in the field
natural science and engineering in Vietnam

Evaluation Criteria
Relevancy of funding quality
Post-funding results
Effectiveness
Impact
Efficiency

Sustainability
Total

Average score
3.34
3.66
3.98
4.03
4.08
4.18
3.88

Deviation
0.5901
0.5948
0.579
0.58594
0.55599
0.63925
0.5908
(Source: By the author)
The evaluation results show that the total score for evaluating the current status of
research funding quality in the field of Science and Technology, funded by the National
Foundation for Science and Technology Development in Vietnam, is 3.88/5 points.
Thus, compared to a 5-point scale, this is a good score for the current state of the quality
of research funding in the field of science and technology funded by the National
Foundation for Science and Technology Development.
4.4. Discussion on research funding
4.4.1. Discussion on development of measuring scale
The trend of improving the quality of basic research funding is increasingly

becoming a concern of funding countries and organizations. Therefore, it is necessary
for each country to develop a set of criteria to evaluate the quality of basic research
funding in accordance with the characteristics of each country's situation in order to
serve the management and development of basic research funding. In Vietnam, no
standards have been promulgated and applied to measure the quality of research funding,
so developing a set of evaluation criteria has practical and theoretical significance in
scientific management in the context of international integration.
The scale set inherits many evaluation criteria that have been used in the world and
Vietnam, 6 criteria were summarized and applied by the author with proper adjustments
to suit the conditions of Vietnam. The set of criteria using the Likert scale is an
objective, scientific, and quantifiable form of scale. From the set of criteria, it is possible
to build a funding process information system for management.
4.4.2. Results of evaluation the status of the quality of basic research funding in
the fields of natural science and engineering in Vietnam
In the criterion of relevancy: with the evaluation of the scientist, the policy to
improve the quality of research and development funding and the ability to meet the


17
requirements of improving the quality of basic research is appropriate, but to proceed
with the implementation of the objectives of improving the quality of basic research
funding it is necessary to consider the appropriateness of the fee model (not relevant)
and the ability to meet the funding compared to the needs of conducting research is not
really appropriate. It is necessary to have specific roadmaps associated with each goal in
each phase in order to improve the quality of basic research funding in the field of
science and technology in Vietnam. In the criterion of funding effectiveness: Survey
results from scientist opinions on the effectiveness of basic research funding show that
although there are many positive results about basic research funding, evaluation each
stage shows that in the coming time, in order to increase the effectiveness of basic
research funding in the field of Science and Technology, it is still necessary to pay

attention to the following aspects:
- In the input review process, it is necessary to pay more attention to the feedback
on the results after receiving the application, the information should be publicly and
transparently displayed on the website of the funding organization.
- In the process of funding management, there should be more specific guidance on
information in the contract implementation process, and more specific instructions on
procedures related to bidding for chemicals, materials. Funding organization should
issue a Handbook to implement the basic research project as soon as possible so that the
scientists can actively grasp the process of implementing the project..
- In the process of evaluating the output, it is necessary to perform the procedure
for liquidation and finalization for the project faster.
- In the overall evaluation of funding effectiveness, it is necessary to pay attention to
the act of separation to separate research groups, there should be more incentives to
promote strong research groups, and funding organizations need to pay more attention to
topics with empirical research, coordinate with research organizations to consider the
connection between investment technology and domestic and foreign research entities to
have better quality research in Vietnam. With the performance of funding for basic
research not only reflecting the frequency of participation of research entities, the
proportion of scientists included in the topics and research works, but it also reflecting the
rate of applications, percentage of quality research groups annually. However, in order to
improve the efficiency of funding, the following aspects still need to be kept in mind:
- There should be a balance between the funding ratio between regions, and policies
to promote research institutions that are not in central areas such as Hanoi or Ho Chi
Minh City.
- There should be a policy to balance the funding ratio between Research institutes
and universities, as research policies are associated with the facilities of the research
entities. The university has advantages in terms of postgraduate training, while research
institutes have advantages in research environment. Therefore, it is necessary to have
policies to ensure the characteristics of these entities in developing criteria for evaluating
output results in funding.

- The rate of funding in basics research in Vietnam is high compared to other
countries in the world (the average funding rate in European Funds is 20%, the US is


18
less than 20% and Belgium is 18%). Therefore, in the future, in order to improve the
quality of basic funding, it is necessary to have a policy to classify funding organization
to ensure the funding rate for each type of subject towards each specific goal of the
funding organization. In order to improve the quality of post-funding results in the
future, it is necessary to focus on the following aspects:
- Further improve the toolkit of evaluation criteria for acceptance of basic research
topics, promulgating regulations on conversion, reference, evaluation principles as well
as notes in the process of evaluation and acceptance of the topic.
- Develop a more detailed study plan and financial year to control (when evaluating
periodically); There should be more rigorous periodic evalutaion, in case the risk, stop
funding in time.
- There should be specific regulations for post-graduate training product conditions
in basic research topics, or there should be similar conversion products if the topic has
been registered but cannot be implemented..
Therefore, in the future, in order to improve the impact of funding in basic
research, it is necessary to pay attention to the following aspect:
Firstly, the funding organization should develop specific goals for each subject
(development of young research groups, development of strong research groups or
annual basic research development).);
Secondly, the funding organization should have recommendations on quality
standards specified in the funding process such as research team quality standards, host
organization quality standards, basic research quality standards and academic integrity or
research ethics.
Thirdly, the funding organization should focus on propaganda, building an
information database on research entities and research groups, and establishing

information connection channels during the research process to help Vietnamese
researchers have quick and convenient access to their research activities.
4.4.3. Results of linear regression of factors affecting the quality of basic research funding

Regression results of factors affecting the quality of basic research funding
Factor

Block factor
Funding organization
Host organization
Scientist

Unnormalized Beta coefficient
B
Deviation
2.028
.112
.236
.039
.100
.021
.155
.028

4.4.4. Research hypothesis test results

Normalized Beta coefficient
B
t
Sig.

VIF
18.121 .000
.287 6.096 .000
1.834
.198 4.692 .000
1.466
.237 5.612 .000
1.479

Research hypothesis test results

S/N

Hypothesis

Level of impact

Conclusion

1

Hypothesis H1: The funding
organization has a positive impact on
the quality of the basic research

.287

Accept