Luận văn RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL AT COLLEGES OF THAI NGUYEN UNIVERSITY: A PROPOSED RESEARCH MANUAL OF OPERATION

SOUTHERN LUZON STATE UNIVERSITY THAI NGUYEN UNIVERSITY
Republic of the Philippines Socialist Republic of Vietnam





RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL
AT COLLEGES OF THAI NGUYEN UNIVERSITY: A PROPOSED RESEARCH
MANUAL OF OPERATION



A Dissertation Presented
to the faculty of the Graduate School
Southern Luzon State University, Republic of the Philippines and
Thai Nguyen University, Socialist Republic of Vietnam


In partial Fulfillment
of the Requirement for the Degree
Doctor of Philosophy in Educational Management


by
NGUYEN HONG KONG (TIGER)

May 2014



ii

APPROVAL SHEET

The Dissertation of

NGUYEN HONG KONG (Tiger)
Entitled

RESEARCH MANAGEMENT AT UNIVERSITY INSTUTIONS LEVEL
AT COLLEGES OF THAI NGUYEN UNIVERSITY: A PROPOSED RESEARCH
MANUAL OF OPERATION

Submitted in Partial Fulfillment of the
Requirements for the Degree
Doctor of Philosophy in Educational Management

In the Graduate School
Southern Luzon State University, Republic of the Philippines
in collaboration with
Thai Nguyen University, Socialist Republic of Vietnam
has been approved by the Committee

_____________________ ______________________
Member Member


_____________________ ______________________
Member Member


_____________________
Chairman



TERESITA V. DE LA CRUZ, Ed.DSUSANA A. SALVACION, Ph.D
Adviser Dean, Graduate School



Accepted in partial fulfillment of the requirements for the degree
Doctor of Philosophy in Educational Management



WALBERTO MACARANAN, Ed. D
Vice President, Academic Affairs
_____________________
Date

iii

ACKNOWLEDGEMENT
The researcher wishes to convey her gratitude to the following persons who
wholeheartedly devoted and helped make this piece of work a reality:
DR. TERESITA V. DE LA CRUZ, her adviser for the guidance, supervision,
suggestions and precious time in enthusiastically reading and checking the
manuscript, providing the researcher useful materials;
DR. CECILIA N. GASCON, President of the Southern Luzon State University
in the Republic of the Philippines, for her incomparable contribution and support to
the development of Master of Art in Teaching English program in Thai Nguyen
University;
DR. DANG KIM VUI, president of ThaiNguyen University for allowance the
training for Doctor of Philosophy in Educational Management in International training
center, Thai Nguyen University;
DR. TRAN THANH VAN, head of postgraduate, Thai Nguyen University
andDR. NGUYEN VAN BINH, director of the International Training Center, Thai
Nguyen University of Socialist Republic of Vietnam, for his enormous pursuit to
provide Vietnamese people an opportunity to grow through education;
DR. WALBERTO A. MACARAAN, DR. APOLONIA A. ESPINOSA and DR.
BELLA R. MUELLO, members of the oral examination committee, for their
comments and suggestions to further improve this manuscript;
The faculty and research staff of the colleges of Thai Nguyen University, the
respondents of the study, for their active involvement and cooperation, which made
the conduct of the study possible;
ITC staff, for providing the necessary research materials;
His family and friends, for the love and support in one way or another; and to
all who have contributed to make this study a success.
NHK

iv

DEDICATION

This research is whole-heartedly dedicated to my family and to all my
relatives, colleagues and friends, and classmates, faculty and research staff of
colleges of Thai Nguyen University for giving the researcher the non-stop guidance
and sources of everything.

NHK

v

TABLE OF CONTENTS
Page
TITLE PAGE………………………………………………………….………… i
APPROVAL SHEET…………………………………………………… ………. ii
ACKNOWLEDGMENT…………………………………… ……………… …. iii
DEDICATION……………………………………………… ……………… …. iv
TABLE OF CONTENTS…………………………………… ……………… v
LIST OF TABLES……………………………………………………………… vi
FIGURE…………………………………………………………………………… vii
ABSTRACT………………………………………………………………… …… viii

CHAPTER
I. INTRODUCTION…………………….………………………………
Background of the Study…………………… ………………………
Objectives of the Study….….………………………….………………
Hypothesis………………………………………………………………
Significance of the Study ………………… ………… …………….
Scope and Limitation………………………………… … ………….
Definitions of Terms………………………………….…….… ……

II. REVIEW OF RELATED LITERATURE AND STUDIES.… …….
Conceptual Framework …….………………………………………….
Research Paradigm…………………………………….………………

III. METHODOLOGY ……………………………………………………
Research Design.……………………….……………………………
Population and Sampling……………………………………… …
Research Instrumentation………………………….………………….
Data Gathering Procedures………………………………………
Statistical Treatment…………………………….…………………

IV. RESULTS AND DISCUSSION…………………………………….…

V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS……
Summary …………………………….……………………………
Findings………………………………………………………………….
Conclusions…………………………………………………….…….…
Recommendations…………………………………………… ……….

1
2
3
3
4
4
5

7
30

31

32
32
32
33
33
33

35

51
51
51
52
53

BIBLIOGRAPHY….…….……… ……………………………………………

APPENDICES…………………………………………………………… ……
A Communication…………………………………………………………
B Instrument ………………………………………………… ………….
CDocumentations …………………………………………………….

CURRICULUM VITAE……… ……………………………………………
54

56
57
58

63

92

vi

LIST OF TABLES

Table

1


2


3


4


5



6


7

8


9





Status of Research Management as to Personnel at University
Institutions Level at Colleges of Thai Nguyen University…… ….

Status of Research Management as to Policies at University
Institutions Level at Colleges of Thai Nguyen University………

Status of Research Management as to Funding at University
Institutions Level at Colleges of Thai Nguyen University………

Status of Research Management as to Facilities at University
Institutions Level at Colleges of Thai Nguyen University………

Status of Research Management in terms of Priorities
and Relevance at University Institutions Level
at Colleges of Thai Nguyen University……………………………

Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Accuracy……………

Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Clarity……………….

Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation as to Authenticity…………

Frequency and Weighted Mean Distribution on Acceptability
of the Research Manual of Operation in terms of Adaptability and
Usability…………………………………………………………
Page


36


38


40

42



44


46

47


48



49



vii

FIGURE

Figure Page

1 Research Paradigm ………………………………………….……. 31

viii

ABSTRACT
Title of Research RESEARCH MANAGEMENT AT UNIVERSITY
INSTUTIONS LEVEL AT COLLEGES OF THAI
NGUYEN UNIVERSITY: A PROPOSED
RESEARCH MANUAL OF OPERATION
Researcher :NGUYEN HONG KONG (Tiger)
Degree Conferred :Doctor of Philosophy in Educational Management
Name/ Address : Southern Luzon State University
of Institution : Lucban, Quezon
ADVISER :DR. TERESITA V. DE LA CRUZ
YEAR WRITTEN :December2013
This study aimed to find out the research management at institutional level in
colleges of Thai Nguyen University with an endview of proposing a research manual
of operation for the academic year 2012-2013. Specifically, it sought to reveal the
status of existing research management as to personnel, policies, funding, facilities,
and priorities and relevance, determine if there is a significant difference between the

teachers and the research staff‟s perception to the status of existing research
management, propose a research manual of operation, and ascertain its level of
acceptability. Thedescriptive method was used in this study subjecting 200
purposivelychosenfaculty and research staff from 11 colleges ofthe said colleges.
Using the weighted mean and chi-square as statistical treatment, it was shown that
respondents disagree with the status of existing research management as
topersonnel (teachers = 2.30; research staff = 2.07), policies (2.23; 2.16), funding
(2.42; 1.99), facilities (2.33; 2.06), and priorities and relevance (2.26; 2.17) which
ix

connotes a need for improvement in hiring the qualified research personnel, setting
clear overall guidelines regarding research conducting, providing financial support to
the researchers, establishing facilities solely for the purpose of research, and in
aligning the priorities and relevance of agenda with the community, regional and
national thrusts. Only the provision relating to research personnel being exposed to
trainings/ seminars to strengthen the research operations (chi= 24.407; p = 0.001)
and having research ICT area (chi = 17.110; p = 0.001) have significant difference
in the responses of two groups which means that both teachers and research staff
perceive the inadequacy in research management except on giving ample trainings
and seminars to research staff and having research ICT area since they have
differing ratings. As a result, aresearch manual of operation has been proposed and
was acceptable as to accuracy (2.74), clarity (2.72), authenticity (2.73),
andadaptability and usability (2.78) making it ready for adoption and implementation.
However, qualified research personnel may be hired or given subsequent relevant
trainings and seminars; research policies may be brought for the administrators,
faculty, and students‟ approval to encourage them to participate in researching;
sources of funds may be identified and tie-up with government and non-government
agencies be strengthened to give sufficient financial support to promising researches;
research facilities may be differentiated from other facilities intended only for
instruction; and research priorities and relevance may be set in conformity with that of

the national agenda to produce more beneficial outputs that would be useful to the
community and the country as a whole.Follow-up study may be conducted after
producing research manual of operations to find out if it guides the research
management of the university.
1

CHAPTER I
INTRODUCTION
Scientific research, as well as training, is a key task in universities to improve
the quality of education. Thai Nguyen University (TNU) is basically a conglomeration
of the colleges reflecting long tradition of existence as higher learning institutions. For
nearly 17 years of development, the TNU has been experiencing growth in qualitative
and quantitative aspects in the instruction, research and technology transfer,
production and management among others. As it continues its journey towards the
future, it displays with dynamism its commitment toward the pursuit of excellence in
noble undertaking. Indeed, Thai Nguyen University System has been recognized as
one of the leading national universities in Vietnam.
The university is mandated to pursue training of high quality human resource,
conducting researches on scientific technologies and management, verifying and
proposing solutions and sustainable development policies, and contributing to the
socio-economic development towards industrialization and modernization. The aim of
the institution is to become world classuniversitywithin Vietnam and the Southeast
Asia in providing higher education in the fields of agriculture and forestry, teacher
education, technology, economics, medicine and pharmacy, information and
communication technology, foreign languages, and business administration, among
others.
To give some suggested strategies to attain an effective research
management at national level at colleges of Thai Nguyen University, it is one of the
necessities to meet the requirement of technology transfer to better serve the
economy, society and business development.This is also the main thrust for the

conduct of this study.

2

Background of the Study
Education and training, together with science and technology, is the nation‟s
first priority. It is the basis as well as the motivation for the country‟s industrialization
and modernization. Education and science management has significant relations.
Those are two basic tasks of university‟s strategies, in which, scientific research is
one way to improve the quality of education. Aside from the task of giving knowledge
through theories, universities also play significant roles as centers of science
research to hand over and apply new technology into producing and in real life.
The Thai Nguyen University System is composed of eight (8) colleges, one (1)
associate college, two (2) faculties. Moreover, it has one (1) center for national
defense education, three (3) research institutes, one (1) practical hospital, one (1)
publishing house, one center for international cooperation, one (1) center for scientific
research and technology transfer to the northeast region, and the University Head
Office of the President.
Moreover, Thai Nguyen University is one of three regional universities in the country
which is responsible for providing source of employees for domestics, schools, socio-
economic development, and national security for provinces in northern Vietnam. Thai
Nguyen University comprises nine (9) colleges, so there are various scientific
activities, and many of them have succeeded. However, quality and quantity of the
published researches and scientific applications are still limited. The processes of
researches are slow not to mention the fact that their quality has not reached the
standards and are not applied to domestic needs. Hence, research management in
effective and efficient way is a pressing problem. That is the reason why the
researcher decided to conduct a study to improve research management in
institutionallevel at colleges of Thai Nguyen University and help research
3

management become simpler and more convenient to the managers through a
proposed research manual of operation since there is no existing separate manual of
guidelines for conducting studies, rather only an inclusion in the general University
Manual.
Objectives of the Study
The main purpose of this study was to investigate on the research
management atinstitutional level in colleges of Thai Nguyen University with an end-
view of proposing a research manual of operation for the academic year 2012-2013.
Specifically, it soughttoattain the following research objectives.
1. Reveal the status of the existing research management in terms of:
1.1. Personnel
1.2. Policies
1.3. Funding
1.4. Facilities
1.5. Priorities and relevance
2. Determine if there is a significant difference between the teachers and the
research staff‟s perception to the status of existing research management.
3. Propose a research manual of operation.
4. Ascertain the level of acceptability of the developed research manual of operation
among college managers, faculty and research staff.
Hypothesis
There is no significant difference between the teachers and research staff‟s
perception to the status of existing research management.
4

Significance of the Study
This study would be of importance to the following:
To the administrators, it is hoped that the study may contribute in giving new
dimension in the administration and supervision at institutional level in colleges of

Thai Nguyen University.The study would provide administrators with clear idea on
how effective and successful proposed research manual of operation is in the work
as research administrators. In the same manner, this proposed research manual of
operation could give fresh perspective in terms of its influence to the overall
university standing in research management.
To the research staff, through this research, the study would help them
invigorate their responsibility for managing research through the proposed research
manual of operation as support to their research management.
Finally, to future researchers, this study could provide references for future
proponents who wish to venture a study of similar nature with ongoing research.
Thus, this proposed research manual of operation at institutional level on research
management could serve as resources for other studies.
Scope and Limitations
The primary intent of the study was to probe the research management at
institutional level in colleges of the Thai Nguyen University involving 200
respondents. This included the college managers, faculty and research staff.
Research manual of operation was proposed based from the outcome of the study
where measurement of the proposed research manual of operation was limited to the
use of questionnaires including the variables on the status of the existing research
management as to personnel, policies, funding, facilities, and priorities and
relevance, and criteria to evaluate the acceptability of the proposed research manual
5

of operation.Further, the significant difference between the teachers and research
staff‟s response to the status of existing research management was sought.
The time frame of this study was from April to November 2013.

Definition of Terms
The terms appearing therein are defined conceptually and operationally for the
ease of understanding of the study:

Facilities refer to one of the parameters under research management status
which ensures functionality of built environment by integrating people, place, process
and technology.
Funding is another parameter under research management status relating to
the act of providing resources, usually in form of money (financing), or other values
such as effort or time for a project, a person, a business, or any other private or
public institutions.
Management encompasses how things are done, company is organized to be
efficient and effective, lead and motivate employees and put in place controls to
make sure plans are followed and goals are met. In this study, it relates to how
research area is managed in the institution.
Personnel pertain to the dimension under the research management status
and are a part of management concerned with people at work and their relations
within a firm.
Policies refer in like manner to the dimension under research management
status which area set of ideas and proposals for action culminating in a government
decision.
6

Priorities and relevance pertain to the research management status relating
to research programs and activities based on needs and problems and resources of
the community, research agenda in consonance with institutional, regional and
national priorities, stakeholders‟ participation in the formulation of research agenda
identified as institutional thrusts, priorities on advanced studies and trainings to
develop faculty research competence, and utilizingresearch results and outputs for
institutional and community development.
Research is the investigation of a particular topic using a variety of reliable,
scholarly resources. The three major goals of research are establishing facts,
analyzing information, and reaching new conclusions while its main acts are
searching for, reviewing, and evaluating information.

Research management is a core activity being investigated in the present
study which helps build unique knowledge based on the leadership and management
practice and the development of effective leaders and managers.
Research Manual of Operation is the output of this study based on results
generated. It comes in a form of handbook to facilitate better research management
within the university concerned in this research.
7

CHAPTER II
RELATED LITERATURE AND STUDIES
This chapter presents several theories, concepts and generalizations gathered
from various readings. Review of literature and studies which are relevant to the
actual study were taken for the formulation of the theoretical framework supporting
the variables in the research paradigm.

Research Management
Research management, according to Whitchurch (2006), refers to the
decision-making processes with a double reference to scientific dynamics
(knowledge production and certification) and society. One outcome is that the
boundaries between the administrative and scientific domains of the university are
not as clear cut as they used to be.
According to Muspratt (2008), research management has four faces: 1)
upward to board of directors and shareholders,2) downward to the workers and
subordinates, 3) laterally to other institutional divisions, and 4) outwards to clients
and competitors, both nationally and globally.The author also stated that
environmental influences on managing research organizations include: a) Research
productivity might well be defined as to wider range of indicators than numbers of
papers published or patents awarded; b) Industrial policy in America is quite
fragmented in comparison with that in Europe or Japan, and the uncertainty this
creates contribute to malfunctions in research endeavors; c) Politicization seems

intensifying in all of America‟s larger organizations, but injection of political intrigue
into research organizations have consequences more disastrous than might be
expected.
8

Huffman and Just (2000) stated that in addition to problems similar to the ones
identified above, measurement of quantity and quality of research inputs presents
two additional problems. First, it is very difficult to measure the effort made by
researchers. Because of the uncertainty that characterizes research, especially the
most novel or risky fields, the quality of a researcher cannot be inferred from a failure
to obtain results.
An additional reason that hampers the estimation of research efficiency is that
large variations in the productivity of research institutions within the same country
have been identified, suggesting that idiosyncratic institutional and locational factors
are responsible for these differences (Huffman & Just, 2000). A number of studies
show that: 1) There is a great disparity between productivity of individual researchers;
2) The quality of researchers depends on the incentives structure, procedures for
hiring and firing personnel, rotation of researchers, level and variability of salaries
and operating budgets, and the history of each research group; 3) Evidence on link
between funding levels and the quality of scientific research is scant; and 4) Both the
quality and the quantity of results are strongly influenced by researchers‟ perceptions
of the quality of the institution‟s (and the team‟s) management. The result was a
greater awareness by managers of public research institutions of the need to interact
with other agents within the NIS (but these interactions were seen mainly as a source
of funds and not as true partnerships), greater uncertainty about funding for long term
research programs and deterioration of the research infrastructure.
Von Krogh, et al. (2000) suggested that this search should be based on the
principle that knowledge cannot be managed, only enabled through the introduction
of appropriate sets of incentives and procedures to: a) create and screen valuable
ideas; b) develop those ideas through disciplined project management; c) provide

9

leadership during research process; and d) create a cultural environment conducive
to innovation
Given the uncertainty about future trends and the best methods to approach
research problems, it is important that networks and institutions maintain and support
a plurality of ideas, including a certain amount of duplication of research efforts
(Huffman and Just, 2000; Stacey et al., 2000). Exploration of new research areas
requires that the personnel, financial and organizational slack is provided.
Institutional performance is enhanced when uncertainty and instability are seen as
the expected condition, and failures as essential to learning and rapid adaptation.
Seeking perfect efficiency is the enemy of the slack needed to access and create the
knowledge that will facilitate trend changes. In other words, researchers should have
freedom to conduct curiosity-motivated research. But since curiosity-motivated
research is more risky and less known, itcannot be evaluated through the traditional
management routines based on accomplishmentof previously set objectives.
Identification of research demands became key component of research
managementin the last decade. In general, the methods used involved limited
interactionswith technology users. Also, after the demands were identified, there
were noincentives to involve other agents in the actual research. But successful
networkadaptation requires more than responding to technological demands.
Successfulnetworks must develop and maintain the ability to adapt to highly
competitiveenvironments in ways that also influence environment. In other words,
supplyof technology also has a major role to play in maintaining competitiveness. In
general,supply factors will be more important in the early stages of technology
developmentwhile demand will be more important in more established
technologicaltrajectories (Rycroft &Kash, 2000).
10

For Goldin and Katz (2009), university research itself also made direct

contributions to technical advance in industry. From the late 19th century up until
World War II, research at American public universities was funded by state
governments and, as a result, was oriented to solving practical problems in local
industry. Joint university-industry research programs were especially important to
technological progress in agriculture, mining, and oil exploration.
Personnel
In Guidance for Defining Your Research Team (2008), it is stated that the
principal investigator (PI) and the institutions share responsibility for ensuring that
PIs, co-investigators, and all other personnel (referred to as "research team
members") involved in the conduct of research fulfill basic education requirements in
compliance with applicable laws and regulations, and institutional policies. The
institutions define “research team members” as persons who have direct contact with
subjects, contribute to the research in a substantive way, have contact with subjects‟
identifiable data or biological samples, or use subjects‟ personal information.
Because of the variability in research situations, it is impossible for the
institutions to define precisely every category of employee who could be considered a
member of a research team. Some interpretation by PIs will be needed. A PI is
expected to make a good faith effort to meet the spirit of this requirement by assuring
that all members of research team receive education appropriate to their role in the
project ( jects/assurance/engage.htm).
Moreover, inResearch@UIC (2010), key research personnel include all
persons who will have a significant role in the design or conduct of the research, and
includes at a minimum all principal investigators and co-investigators, and any
individuals who are individually named on a grant or contract application, who are
11

named as contact persons in informed consent documents or recruitment materials
for research, or who provide supervision of the persons who are obtaining informed
consent to participate in research.
Additionally, any individuals (including the student researchers and

coordinators) who are involved with the research by handling protected health
information or are using the research information/data set as part of their own
research should be included as research personnel on a protocol application.If
students or other individuals have minor roles in the research that are not mentioned,
they are not required to be listed on research protocol. However, a principal
investigator is responsible to ensure that these individuals receive both adequate
training, including human subjects‟ protection training, and oversight in accordance to
the roles these individuals perform in the research.
(
Every person involved in human research plays a critical role in the protection
of the rights and welfare of research participants. The University of Michigan
Operations Manual (2012) describes the roles and responsibilities of investigators
and research staff engaged in university research. Thus, the PI and any co-
investigators, key personnel and other research staff (together referred to as the
"researchers" or the "research team") are expected to be knowledgeable about and
comply with the requirements of the common rule and other research laws and
regulations, institutional policies and procedures for the protection of human subjects
and reporting and managing conflicts of interest, the terms and conditions of research
agreements (with government or private sponsors) and basic ethical principles that
guide human subjects research. The researchers must complete any educational
training required by the University, the relevant IRB, and other review units prior to
12

initiating research. Researchers should not undertake responsibility for human
subjects studies unless they understand these requirements and are willing to be
held accountable for complying with the relevant standards and protecting the rights
and welfare of research participants; nor until they can assure adequate resources
(through internal or external funding) to fulfill these commitments.
Following are descriptions of some of a researcher's central obligations when
conducting studies involving human subjects. They are intended only as general

guide of researcher's responsibilities. The institutional policies and procedures
include this Operations Manual as well as policies and procedures maintained by the
academic units to which researchers and research staff are appointed, policies and
procedures, and the policies and procedures of other research review units with
relevant oversight responsibilities,
( a)
minimizing risks to subjects and protecting subject rights and welfare; b) compliance
with review unit requirements; c) obtaining and documenting informed consent; d)
conflict of interest disclosure; and e) accountability and the administrative
requirements.
In general, the principal investigator (PI) has primary responsibility for
protecting the rights and welfare of research subjects. The safeguarding of the
human subjects must take precedence over the goals and requirements of any of the
research endeavor.
( tionKeyPersonnel031708.pdf).
The Research Scope of Practice for Study Personnel (2008) provides
procedures for the approval of the designated roles and responsibilities for research
personnel engaged in research involving human subjects. It is not protocol specific
13

but is intended to state the overall duties that research personnel are approved to
perform under principal investigator or designated departmental research authority.
Hence, it is designed to ensure that research personnel are qualified to conduct the
research.
Further, research personnel receive approval for the participation which
includes interacting directly with human subjects and research staff who interact with
individually identifiable human subject information. Approval to participate in human
subject research is limited to the roles, activities and responsibilities identified and
documented. Personnel may work only in the roles and responsibilities, that are
appropriate to their individual level of training, specific license, and clinical

credentials. Licensed research personnel may not be trained to do procedures
outside of those allowed under their respective license that would require licensure
and/or consent of the patient in standard setting (non-research); non-licensed
research personnel may not be trained to do procedures that require a license; and
non-licensed researchers with degrees without licensure, are not allowed to perform
duties and that would require licensure and/or consent in a standard setting (non-
research).
Research personnel may not participate in a research protocol until all
requirements of this policy are met. Personnel engaged in human subject research
who are expected to comply with this policy include: research assistants, research
coordinators, project coordinators and other non-licensed personnel, research fellows
working as coordinators, project coordinators, orresearch assistants, and students
engaged in human subject research that is not part of their curriculum requirements.

14

Policies
König et al. (2012) opined that efficient and relevant policy research entails
consideration of policy requirements already established prior to onset of research
project design. The difficult task of management appears to be creating effective links
between end-user requirements, research integration and results production.
Currently, many research projects are designed by more or less interdisciplinary
groups scientists acting with intention of closing knowledge gaps in particular fields of
research. However, these knowledge gaps might not be identical with those identified
in the policy-making process. Moreover, policy making might require altogether
different perspectiveson the research issue and the use of different methodological
approaches. These perspectives and questions have to be considered in order to
make research results suitably exploitable for policy design.
To overcome this inconsistency, and in this case policy makers, should be
involved in identifying the research questions, framing research in design well as in

selecting required expertise. Also, incentive systems for research as well as
evaluation criteria should address performance issues that may affect efficient
policy interaction. Research has to be carefully designed to reflect policy maker‟s
needs, including the selection of relevant spatial and temporal dimensions associated
with the policy question at hand. This “ideal” approach is hindered by numerous
restrictions, such as different priorities, sensitive issues that may underlie the policy
process, reward systems, time frames, communication styles and institutional
structures and cultures. In order to overcome such obstacles, means of facilitating
trans disciplinary research that support research designers in adopting perspectives
of policy makers in the elaboration and execution of research projects are warranted.
Consequently, methods for information gathering within the end- user arena may be
considered in research design as early as possible.
15

Faulkner (2001) showed that the primary role of universities is in the education
of qualified scientists and engineers. This is reflected in the public sector research
contribution to “formal” knowledge base of industrial R&D staff. Second, academic
research results, disseminated through the literature and personal interaction,
sometimes contribute ideas, knowledge or expert assistance to company R&D
leading to innovation. These contributions tend to be rather small but their cumulative
effect is significant-as is reflected in the main impact and benefits of industry- public
sector research linkage in our study. Finally, only exceptionally, academic research
results in technological invention which can be transferred or spun-out for exploitation
in the private sector. That this area of contribution is negligible is reflected in the very
small level of material inputs to either new product ideas or product development
reported by interviewees, in contrast to the emphasis placed on the less tangible but
more immediate flows of knowledge and assistance.
From this perspective, huge amount of resource and effort expended on the
commercialization of university inventions in the last few years seems perverse.
Many have stressed low incidence of university research yielding commercializable

artifacts, yet it seems the message has still not got across. Heroic language of
technology transfer, in which spectacular breakthroughs are almost instantly
transformed into the profitable innovations, is still widely prevalent in discourse of
policy makers, be they local economic development agents or central government
advisers. They suggest the emphasis on such activities is misplaced and, moreover,
such language grossly oversimplifies the processes involved in commercializing
“raw‟” inventions from.
Their findings indicate that major factor influencing level of industrial interest in
interacting with academic and government laboratories is the extent to which
important new knowledge and opportunities are emerging from within these
16

institutions. Findings provide further, strong evidence that governments are
misguided in sacrificing basic research in public sector by emphasizing “relevant” and
“near market‟* research.
Faulkner (2001) further provided explanation for diversity in industry-public
sector research linkage, in revealing often hidden aspects of what happens at public-
private research interface, represents powerful vindication of the research design and
methodology adopted. They believe that indicators of industry- public sector research
linkage and the taxonomy presented above might be incorporated into corporate and
public policy practice, on two levels. First, at the level of the individual company or
institution, our indicators could in principle be used to evaluate industry- public sector
research linkage-to evaluate effectiveness either of specific initiatives or mechanisms
of linkage, or linkage in general between specific companies and public sector
research institutions. Alongside the taxonomy, they might also help to identify the
most appropriate focus and mechanisms for linkage.
Second, they envisage macro-level variant of theapproach to combine
strategic evaluations of an industry‟s knowledge requirements in a new field with
audits of the strength and weaknesses of academic and government research, in
order to establish whether these requirements could be met from public sector

research. Such evaluations could help companies to establish where they need to
build up in-house capability in specific areas and the scope for meeting some of
these requirements by linking up with public sector research and other sources. In
conjunction with the taxonomy of factors, this exercise could also help determine
appropriate targets and levels of funding for research and training as well as linkage.
This could be invaluable for intermediaries and industrial development agencies
seeking to promote industry-public sector research linkage, and in development of
government policy for strategically important technologies.