TTLA: “Applying the UPM standards to assess the level of adaptation to innovation of universities in Vietnam in the context of the Fourth Industrial Revolution”.

1. Full name of PhD student: Nguyen Huu Thanh Chung 2. Gender: Male
3. Date of birth: December 31, 1991 4. Place of birth: Hanoi
5. Decision to recognize PhD students: 3013/2019/QD-XHNV dated July 30, 2019 of the President of the University of Social Sciences and Humanities, VNU
6. Changes in the training process: change the topic name according to Decision No. 4522/QD-XHNV of the President of the University of Social Sciences and Humanities, VNU; extend the training period from August 1, 2022 to July 30, 2024.
7. Thesis title: “Applying the UPM standards to assess the level of adaptation to innovation of universities in Vietnam in the context of the Fourth Industrial Revolution”.
8. Major: Science and Technology Management 9. Code: 9340412.01
10. Scientific supervisor: 1. Associate Professor, Dr. Tran Van Hai
2. Associate Professor, Dr. Luu Quoc Dat
11. Summary of new results of the thesis:
- Research objective: The thesis proposes how to apply the UPM standard set to assess the level of adaptation to innovation of universities in Vietnam in the context of the fourth industrial revolution.
- Research object: The level of adaptation to innovation of research-oriented universities in Vietnam (compared with some Thai universities) in the context of the fourth industrial revolution.
- The research methods used include: Document analysis method, Descriptive statistics method, Hierarchical analysis method, Comparison method, Expert method.
- Summary of new results of the thesis:
+ The thesis scientifically identifies the nature and characteristics of universities in the context of the fourth industrial revolution. It is the third generation university on the basis of emerging technologies and sustainable development goals. According to this approach, the thesis contributes to adjusting and expanding the classification of university generations and identifying the challenges of Vietnamese higher education.
+ In terms of theoretical basis, the thesis proposed a two-tiered innovative university model, including a traditional university tier (research-oriented and application-oriented) and a universal and specific innovation tier (oriented towards open innovation - type 1 or pioneering innovation - type 2). This model has 5 characteristics according to 5 basic approaches: promoting entrepreneurial spirit, promoting innovation activities, implementing digital transformation, personalized training and promoting new ecological and social standards.
+ Applying the UPM standard set, the thesis proposed a shortened standard set with 32 out of 52 UPM criteria, directly related to innovation in training, innovation in research, Digital transformation, Innovation ecosystem and social norms.
+ Using the above-mentioned abridged index set from the UPM ranking system, the thesis surveyed, analyzed, and evaluated the level of innovation response of 10 Vietnamese universities and compared the results with some Thai universities. In general, the technical universities participating in UPM in Vietnam all have highly qualified and prestigious lecturers. These educational institutions train many students, attract significant research funding, implement R&D activities, develop innovative and entrepreneurial thinking, publish many quality scientific articles, and promote intellectual property registration activities. However, the culture of innovation in universities is still new. In most cases, higher education institutions in Vietnam are demanding investment in a modern, synchronous R&D research environment and a favorable startup space. In particular, along with digital infrastructure and a change in mindset, universities also need to pay attention to new concepts and contents of community service activities, in which lifelong learning and sustainable development are top priorities.
Conclude:
This thesis evaluates the applicability of the UPM standards to assess the readiness level for the fourth industrial revolution of 10 universities in Vietnam. The thesis concludes with suggestions for universities to invest in developing to prepare graduates for work in the new era. With five core characteristics of education in the fourth industrial revolution, including entrepreneurship, innovation, digital transformation, personalized education, and ecological and social norms, this benchmarking method is suitable to guide and provide information for university quality improvements. Furthermore, the thesis also suggests tasks that higher education institutions should perform as well as priorities and goals to achieve to guide their strategic planning.
12. Further research directions:
- The link between innovation and sustainable development;
- Innovation in the era of artificial intelligence (AI).
13. Publications related to the thesis:
1. Nguyen Huu Duc, Nguyen Huu Thanh Chung, Nghiem Xuan Huy, Mai Thi Quynh Lan, Tran Thi Bich Lieu, Ha Quang Thuy, Nguyen Loc (2018), “Approaching higher education 4.0 - characteristics and evaluation criteria”, VNU Journal of Science: Policy and Management Research, Vol. 34 (4), pp. 1-28.
2. Nguyen Huu Thanh Chung, Vo Dinh Hieu, Ngo Manh Dung (2019), “Analysis of productivity and quality of scientific research of Vietnamese higher education institutions based on integrated databases of Web of Science and Scopus”, VNU Journal of Science: Policy and Management Research, Vol. 35 (4), pp. 24-37.
3. Nguyen Huu Thanh Chung, Tran Van Hai, Vu Thi Mai Anh, Nghiem Xuan Huy, Ta Thi Thu Hien, Nguyen Huu Duc (2020), “SMARTI university model and UPM quality benchmarking system”, VNU Journal of Science: Policy and Management Research, Vol. 36 (1), pp. 28-43.
4. Nguyen Huu Thanh Chung, Tran Van Hai, Luu Quoc Dat, Nguyen Huu Duc (2022), "Level of innovation access of Vietnamese and Thai universities", VNU Journal of Science: Educational Research, Vol. 38 (1), pp. 32-49.
5. Nguyen Huu Thanh Chung, Tran Van Hai, Luu Quoc Dat, Nancy W Gleason, Nguyen Huu Duc (2022), “Measuring 4IR Responsiveness in Vietnam's Higher Education”, Journal of Institutional Research South East Asia, Vol. 20 (2), pp. 1-19

1. Full name: Nguyen Huu Thanh Chung
2. Sex: Male
3. Date of birth: December 31, 1991
4. Place of birth: Hanoi
5. Admission decision number: 3013/2019/QD-XHNV dated July 30, 2019 by the University of Social Sciences and Humanities, Vietnam National University.
6. Changes in the academic process: Change in title (Decision number 4522/QD-XHNV dated November 11st 2023 of Principal of University of Social Sciences and Humanities); Extension of doctoral program from August 1st 2022 to July 30th 2024.
7. Official thesis title: “Applying the UPM rating system to evaluate the responsiveness to innovation of universities in Vietnam in the context of the Fourth Industrial Revolution.”
8. Major: Science and Technology Management
9. Code: 9340412.01
10. Supervisors: 1. Assoc. Prof. Tran Van Hai
2. Assoc. Prof. Luu Quoc Dat
11. Summary of the new findings of the doctoral thesis
- Thesis purpose: The doctoral thesis proposes applying the UPM rating system to evaluate the responsiveness to innovation of Vietnamese universities in the context of the Fourth Industrial Revolution.
- Objectives: The object of the doctoral thesis is the responsiveness to the innovation of universities in Vietnam (compared with some universities in the region) in the context of the Fourth Industrial Revolution.
- Research Methods: Documentary research method, Describing Statiѕticѕ, Analytical Hierarchy Process, Comparative method, In-depth interview method.
- Summary of the new findings of the doctoral thesis:
+ The doctoral thesis identifies the characteristics of universities in the context of the Fourth Industrial Revolution (4IR). It is the 3rd Generation Universities (3GU) that is based on new technology platform and sustainable development goals. According to this approach, the thesis contributes to adjusting and expanding the classification of university generations and identifying challenges in Vietnam's higher education.
+ A two-core cluster innovation university model, including the traditional (applied and research) university cluster and general innovation core cluster (of general innovation with specific (open innovation type 1 and renewing innovation type 2), is proposed. This model has five essential characteristics: entrepreneurship, innovation, digital transformation, personalized education, and new social norms.
+ Applying the UPM rating system, the thesis defined a reduced set of 32 of the 52 UPM indicators directly relating to education innovation, research and innovation, digital transformation, and innovation ecosystems.
+ Using the above-mentioned reduced set of indicators based on the UPM rating system, the thesis investigated, analyzed, and evaluated the responsiveness to innovation of 10 Vietnamese universities and compared the results with those of Thailand universities. Overall, the UPM active technological universities in Vietnam have a highly qualified and reputable academic staff. They train many students, attract a significant amount of research funding, conduct R&D, develop innovation- and startup mindset, publish many quality articles, and facilitate the production of intellectual properties. However, the university innovation culture is still new. In most cases, HEIs in Vietnam require a modern and synchronized R&D research environment and excellent startup support. In particular, along with digital infrastructure and mindset changes, the universities need to pay attention to the new concepts and contents of
community service activities, in which lifelong learning and sustainable development are priorities.
Conclusions:
This thesis assesses UPM's ability to evaluate the 4IR readiness of 10 HEIs in Vietnam. It provides conclusions on the skills HEIs need to develop to prepare graduates for work and life in the 4IR. With its five core 4IR education characteristics of entrepreneurial spirit, innovative practices, digital transformation, personalized education, and ecological and social norms, this rating approach is suitable to guide and inform university transformations. Furthermore, the thesis can show the tasks that higher education institutions should perform, as well as priorities and targets that must be reached, to guide their strategic planning.
12. Future research directions
- The relationship between innovation and sustainable development;
- Innovation in the era of artificial intelligence (AI).
13. Thesis-related publications
1. Nguyen Huu Duc, Nguyen Huu Thanh Chung, Nghiem Xuan Huy, Mai Thi Quynh Lan, Tran Thi Bich Lieu, Ha Quang Thuy, Nguyen Loc (2018), “Higher Education 4.0: Characteristics and Criteria”, VNU Journal of Science: Policy and Management Studies, Vol. 34 (4), pp. 1-28
2. Nguyen Huu Thanh Chung, Vo Dinh Hieu, Ngo Manh Dung (2019), “Research Productivity and Quality of Higher Education Institutions in Vietnam: An Analysis Based on the Integrated Database of Web of Science and Scopus”, VNU Journal of Science: Policy and Management Studies, Vol. 35 (4), pp. 24-37
3. Nguyen Huu Thanh Chung, Tran Van Hai, Vu Thi Mai Anh, Nghiem Xuan Huy, Ta Thi Thu Hien, Nguyen Huu Duc (2020), “SMARTI University Model and Performance Benchmarking System UPM”, VNU Journal of Science: Policy and Management Studies, Vol. 36 (1), pp. 28-43
4. Nguyen Huu Thanh Chung, Tran Van Hai, Luu Quoc Dat, Nguyen Huu Duc (2022), “Innovation Approaches in Vietnam and Thailand Higher Education Institutions”, VNU Journal of Science: Education Research, Vol 38 (1), pp. 32-49
5. Nguyen Huu Thanh Chung, Tran Van Hai, Luu Quoc Dat, Nancy W Gleason, Nguyen Huu Duc (2022), “Measuring 4IR Responsiveness in Vietnam's Higher Education”, Journal of Institutional Research South East Asia, Vol. 20 (2), pp. 1-19