TTLA: The necessity of diversifying functions and organizational structures of research and development in autonomous institutions of science

1. Full name of PhD student: Pham Thi Bich Ngoc 2. Gender: Female

3. Date of birth: October 6, 1975 4. Place of birth: Hanoi

5. Decision on recognition of PhD students No. 2999/2013/QD-XHNV-SDH, dated December 30, 2013 of the President of the University of Social Sciences and Humanities

6. Changes in the training process: Decision to extend the study period No. 4619/QD-XHNV dated December 29, 2016 of the President of the University of Social Sciences and Humanities; Decision to adjust the instructor and change the name of the doctoral thesis No. 2963/QD-XHNV dated November 14, 2017 of the President of the University of Social Sciences and Humanities

7. Thesis topic: "The necessity of diversifying functions and organizational structure of research and development in autonomous institutions of science"

8. Major: Science and Technology Management. 9. Code: Pilot

10. Scientific advisors: Associate Professor, Dr. Vu Cao Dam, Dr. Tran Xuan Dinh

11. Summary of new results of the thesis:

In theory:

- As a system, research and development organizations are adaptive under the impact of the environment to survive and develop. The thesis has fundamentally solved the adaptability of research and development organizations in a market economy by diversifying functions to move towards an autonomous institution.

- Research has shown that functional and structural diversification is essentially a process of restructuring research and development organizations.

- Restructuring towards diversification of functions and structures promotes the process of autonomy and creates autonomous capacity for research and development organizations. In turn, autonomy is the driving force for the completion of restructuring. Therefore, the study concluded that restructuring and autonomy go hand in hand, cannot be separated from each other, both will support and help each other to complete.

In practice:

- The study has proposed the following steps to achieve autonomy: Diversify activities; Diversify functions; Diversify structures; Diversify financial resources; Diversify human resources; Diversify ownership.

- Research has shown that market economy and international integration are both conditions and driving forces for restructuring and autonomous science, turning autonomy into autonomous capacity of research and development institutes.

- Research has shown that the condition for autonomy in science is the condition for restructuring research and development organizations.

12. Practical application:

The research results can be used as reference documents for leaders of research and development organizations in the process of autonomy and for policy makers to refer to in the work of building science and technology management policies, creating a clear legal corridor for the process of implementing autonomy in research and development organizations.

13. Further research directions:

Study the impact of autonomous institutions on the restructuring process of research and development institutes to propose policy solutions to improve the efficiency of scientific and technological activities in a market economy and international integration.

14. Published works related to the thesis:

1. Pham Thi Bich Ngoc (2008), “Training in research institutes”,Journal of Scientific Activities(12), pp.25-26.

2. Pham Thi Bich Ngoc (2015), "From autonomy to autonomous capacity in research and development institutes",Journal of Policy and Management Research - Hanoi National University Journal of Science(2), pp.48-53.

3. Pham Thi Bich Ngoc (2016), "NCKT - Vietnam's first technology institute",Journal of Policy and Management Research - Hanoi National University Journal of Science(3), pp.34-40.

4. Pham Thi Bich Ngoc (2017), "Evolution of research and development institutes in Vietnam in the process of developing autonomous institutions",Journal of Social Sciences and Humanities(3), pp.305-315.

5. Pham Thi Bich Ngoc (2018), "Diversity in functions and structures of research and development organizations is an inevitable trend of autonomous institutions in science",Journal of Policy and Management Research - Hanoi National University Journal of Science(1), pp.48-52.

6. Erik Baark, Mai Ha, Pham Tuan Huy and Pham Thi Bich Ngoc (2018), “Commercialization of Research through Spin-off Enterprises in VietNam during the 1990s”,Asian Research Policy, Vol. 9 (1) August 2018, p-ISSN: 2093-3509, e-ISSN: 2234-1889, pp. 14-29.

7. Pham Thi Bich Ngoc (2015), “New directions for research and development organizations to implement autonomy and self-responsibility”,Proceedings of the Workshop on Theoretical issues and viewpoints on organizing the science and technology system in an autonomous science, pp.87-93. (Conference held on January 31, 2015).

INFORMATION ON DOCTORAL THESIS

1. Full name: Pham Thi Bich Ngoc 2. Sex: Female

3. Date of birth: October 6, 1975 4. Place of birth: Hanoi

5. Admission decision number No: 2999/2013/QD-XHNV-SDH dated 30^thDecember 2013 of the Rector of University of Social Sciences and Humanities

6. Changes in academic process: Decision on prolonging the learning period No: 4619/QD-XHNV dated 29^thDecember 2016 of the Rector of University of Social Sciences and Humanities; Decision on adjusting the supervisor and renaming the topic of the Doctoral Thesis No: 2963/QD-XHNV dated 14^thNovember 2017 of the Rector of University of Social Sciences and Humanities

7. Official thesis title: "The inevitability of functional and structural diversification of research and development organization in the autonomous institution of science."

8. Major: Science and Technology Management. 9. Code: Pilot

10. Supervisor: Assoc. Prof. Dr. Vu Cao Dam, Dr. Tran Xuan Dinh

11. Summary of the new findings of the thesis:

Regarding theory:

- As a system, R&D organizations with capability of changing under the influence of the environment to endure and develop. The thesis has fully analyzed the capabilities of R&D organizations in a competitive market to functional adaptation for forming autonomy structure.

- Our researches had shown that the adaptation of functions and structures is basically a process of restructuring R&D organizations.

- Restructuring in the direction of diversifying functions and structures can accelerate the process of forming autonomy structure for R&D organizations. Contrary, requirements of autonomy are the motivation for restructuring. Thus, the study leads to a conclusion that restructure and autonomy structure are essentially dependent on each other, both to support and motivate one another.

Regarding practices:

- Research has provided the steps to achieve autonomy structure, which is: Diversification of activities; Diversification of functions; Adaptation of structure; Diversification funding sources; Diversification of human resources; Diversification of ownership forms.

- Research has shown that competitive market and international integration are both conditions and motivation for restructuring and autonomy science, turning autonomy into self-reliant capacity of R&D organizations.

- Research has demonstrated that requirements for autonomy in science are also requirements for restructuring R&D organizations.

12. Practical applicability, if any:

The results of this study may be used as a reference document for leaders of research and development organizations in the process of forming autonomy structure and for regulatory authorities for the process of scientific management. The results also help create a favorable legal corridor for the implementation of autonomization process in R&D organizations.

13. Further research directions, if any:

Analyze the impact of autonomization processes on the restructuring of R&D organizations to propose policy solutions to improve the efficiency of science and technology activities in the competitive market and international integration.

14. Thesis-related publications:

1. Pham Thi Bich Ngoc (2008), "Training in Research Institutes",Journal of Scientific Activities, Ministry of Science and Technology (12), pp. 25-26.

2. Pham Thi Bich Ngoc, Pham Quang Tuan (2015), "From Autonomy to Autonomous capacity",VNU Journal of Science:Policy and Management Studies, Vol.XXXI (2), pp. 48-53.

3. Pham Thi Bich Ngoc (2016), ""“FKT” First Institute of Technology in Vietnam ",VNU Journal of Science:Policy and Management Studies, Vol.XXXII (3), pp. 34-40.

4. Pham Thi Bich Ngoc (2017), "Evolution of research and development institutes in Vietnam in the process of developing autonomous institutions",VNU Journal of Social Sciences and Humanities,Vol. III (2b), pp. 305-315.

1. Pham Thi Bich Ngoc (2018), "The diversity of functions and structures of research and development organizations is an indispensable trend of the autonomous institution in science",VNU Journal of Science:Policy and Management Studies, Vol.XXXIV (1), pp. 48-52.

6. Erik Baark, Mai Ha, Pham Tuan Huy and Pham Thi Bich Ngoc (2018), "Commercialization of Research through Spin-off Enterprises in Vietnam during the 1990s",Asian Research PolicyVol. 9 (1) August 2018, p-ISSN: 2093-3509, e-ISSN: 2234-1889, pp. 14-29.

7. Pham Thi Bich Ngoc (2015), “New direction for research and development organizations to implement autonomy and self-responsibility”,Proceedings of Workshop on theoretical issues and views on the organization of the science and technology system in autonomous science, pp.87-93. (The workshop was held on January 31, 2015).