Quản lý nhà nước về hợp tác quốc tế trong lĩnh vực khoa học và công nghệ tt tiếng anh

ii the apparatus involved in State management has many clues and intermediary administrative organizations has created certain obstacles; iii the system of legal documents that directly

MINISTRY OF EDUCATION

AND TRAINING

MINISTRY OF HOME AFFAIRS

NATIONAL ACADEMY OF PUBLIC ADMINISTRATION

The works is completed in : NATIONAL ACADEMY OF

PUBLIC ADMINISTRATION

Scientific supervisors :

1 Assoc Prof Le Thi Van Hanh

2 Assoc Prof Tran Quoc Thang

Opponent 1:

Opponent 2:

Opponent 3:

The dissertation shall be defended in front of Academy-level Review Council

Location: Conference room, National Academy of Public Administration – No 77 – Nguyen Chi Thanh – Dong Da District, Hanoi City

Time: At………….on …….day………….month………… year The dissertation is available at the National Library of Vietnam or the Library of National Academy of Public Administration

LIST OF THE AUTHOR’S SCIENTIFIC WORKS PUBLISHED

IN RELATION TO THE DISSERTATION

1 Luong Van Thang "Thinking about some new features in

international cooperation on Science and Technology"; Vietnam

Journal of Science, Technology and Engineering (ISSN 1859 - 4794), Issue No 640 (9/2012), the 54th year, Pages 52-55

2 Luong Van Thang, "Thinking about a new public management model

and its applicability in science and technology management in Vietnam"; Vietnam Journal of Science, Technology and Engineering

(ISSN 1859-3801); Volume No 6, Issue No.1 (2017), Pages 1-13

3 Luong Van Thang, “"Some trends of international cooperation on

science and technology”, The Review of External Information (ISSN

1859-2899), Issue No 96 (10/2017), Pages 29-33

4 Luong Van Thang, “International cooperation in the field of science

and technology in Vietnam”, The Review of External Information

(ISSN 1859-2899), Issue No 104 (6/2018), Pages 13-17

PREFACE

1 The necessity for researching the topic

"Foreign affairs is the extended arm of domestic affairs." It is understood that international cooperation is a significant channel

to join forces with domestic resources for successful implementation of the national policies The international cooperation in the field of science and technology (Science & Technology) also plays such an important role In each phase of Vietnamese socio-economic development, science & technology have always been defined as the leading motive force, foundation and national policy Science & technology plays a key role in developing a modern production force, improving productivity, quality, efficiency, development speed and competitiveness of the economy Hence, the international cooperation has become an inseparable part of science & technology development The international cooperation on science & technology contributes

to upgrading the domestic research level, shortening the technological gap with the world, improving technical infrastructure, and strengthening the scientific & technological potential for vietnam Furthermore, the international cooperation on science & technology is a component of the country's diplomatic activities

In the recent years, especially since the first law on science & technology was established in 2000, the international cooperation on science and technology has achieved the certain efficiency However, the result of this operation is still not as

expected The State management of this operation is facing with

a number of major challenges that directly impact on the effectiveness and efficiency of international cooperation on science and technology, namely (i) the overlap between State

management on science & technology, foreign, economic and security branches has not promoted the formation of a smooth

corridor for international cooperation (ii) the apparatus involved

in State management has many clues and intermediary administrative organizations has created certain obstacles; (iii) the system of legal documents that directly or indirectly governs the international cooperation on science and technology makes

it difficult to separate and lacks a transparent and long-term strategy; (iv) the public financial mechanism is not strong enough and not appropriate to the specific characteristics to maximize the effectiveness of international cooperation on science and technology In term of therory, the State management of international cooperation on science & technology is a narrow corner in the study of public management, so there have been no many works with overall

referrence to this content so far Therefore, research for renovatation of the State management of international cooperation on science and technology for Vietnam in the coming period becomes very necessary

2 The purpose and duty of the research:

2.1 The purpose of the research:

(i) Find out the fundamental principles for organizing and operating the State management of international cooperation on science & technology

(ii) Point out the renovation solutions for the State management of international cooperation on science & technology in Vietnam in the period of 2018-2030

2.2 The duty of the research:

(i) Researching the theoretical basis of

(ii) Study experiences of some countries in the world and lessons for Vietnam related to State management of international cooperation on science & technology

(iii) Study the actual status of State management of international cooperation on science & technology in Vietnam

in the period of 2000 - 2017; and analyze, assess the strengths and limitations affecting the State management of international cooperation on science & technology in Vietnam

(iv) Study the objectives and orientations of the international cooperation on science and technology in Vietnam, some major trends in the world affecting the national science & technology development

(v) Apply the theoretical basis of the principles in the State management of international cooperation on science & technology to propose the solutions for renovation of the State management thereof in Vietnam in the period of 2018 - 2030

3 The object and scope to be researched:

3.1 The research’s object:

The State management of international cooperation on science & technology

3.2 The scope to be researched:

+) In respect of the content: in general, the State management in the branches and fields includes many contents However, within this dissertation, the author only focuses on researching three key groups of issues related to the State management of international cooperation on science & technology: (i) power allocation and organization of the management apparatus; (ii) development of a system of management document; and (iii) public financial mechanism For implementation, the author divides the dissertation into 4 parts including: (i) the overview of domestic and overseas research situation; (ii) theoretical basis; (iii) actual status in Vietnam; (iv) Solutions for innovation of the State management

of international cooperation on science & technology in Vietnam In particular, besides the "Overview of the research",

the 3 remaining parts of focus on in-depth analysis into the three groups of issues mentioned above

+) In respect of the time: the period from 2000 (since the first law on science & technology was established) to 2030 (from the time ended the scientific & technological strategic vision to 2030)

+) In respect of the space: the State management of international cooperation on science & technology in Vietnam

4 Methodology and research method

4.1 Methodology: Dialectical materialism, historical

materialism; Ho Chi Minh's thoughts on foreign affairs; the Party's viewpoints on State management, organizational structure, vision and development orientation of Vietnam

4.2 Methods: Researching method of the secondary

documents, social surveys, interviews from the experts, history, analysis, comparison and summary, forecasts, observations,

5 Research questions and scientific hypotheses

5.1 Research questions:

(i) In which principles is the State management of international cooperation on science & technology organized for implementation?

(ii) In the period of 2018 - 2030, what are the fundamental solutions for renovation of the State management of international cooperation on science & technology in Vietnam?

5.2 Scientific hypotheses:

(i) The State management of international cooperation on science and technology should be implemented in the following principles:

- Thirdly: Create a public financial mechanism that enables

to simultaneously utilize the "repulsive force" and "attractive force" of the budget and allocates finance based on outputs (ii) In the period of 2018 - 2030, the State management of international cooperation on science and technology in Vietnam need be renovated in accordance with the following orientations and solutions:

- For the allocation of power and organization of apparatus: State management agencies should only retain the rights to make decisions for a few contents, synchroneous & direct decentralization to units/organizations currently operating international cooperation on science & technology; cutting down intermediary management agencies; encouraging the establishment and participation of autonomous non-business units, private enterprises in promoting international cooperation

on science & technology

- For construction of a system of management documents: reducing the number of macro documents (only focusing on a few documents defining the strategic objectives, principles of expenditure allocation, and supervision mechanism of output results, ); forming a number of international cooperation programs on science & technology with long-term strategic targets (this is a formation of macro-documents with a high feasibility)

- For usage of public finance: it is essential to synchronize and simplify regulations on the budget usage for international cooperation on science & technology; thoroughly apply the budget allocation mechanism based on the spending efficiency of national fund; optimally use the national budget through reciprocal capital sources to mobilize off-budget financial sources (including a large part from foreign partners); forming a

"special" financial mechanism for some long-term strategic international cooperation programs on science and technology

(importing the technologies, attracting qualified foreign experts, etc…)

6 The theoretical and practical meanings of the

dissertation

In theory, the dissertation contributes to strengthening the theory of international cooperation on science & technology and State management thereof, including concepts, characteristics and models (the major principles for designing and operating the State management)

In practice, the dissertation will provide the actual situation and assessment, comments on the State management of international cooperation on science & technology in the period

of 2000 - 2017; and the orientations for renovating the State management of international cooperation on science and technology in the period of 2018 - 2030

7 The structure of the dissertation

The dissertation shall consist of the major following contents:

Chapter 1: The overview of the research

Chapter 2: The theoretical basis of the State management of international cooperation on science and technology

Chapter 3: The actual situation of the State management of international cooperation on science and technology

Chapter 4: The renovation orientation and solution for the State management of international cooperation on science and technology

Conclusion

CHAPTER 1: THE OVERVIEW OF THE RESEARCH 1.1 In respect of international cooperation on science & technology

A number of scholars have studied the international cooperation on science & technology, particularly dealed with such issues as: concepts; viewpoints (consider the international cooperation on science & technology as a tool for scientific and technological development or an external tool); development trends; impact on the nation (on the developed and developing countries); the content and form The international cooperation

on science and technology in Vietnam is mainly studied by the domestic scientists, in which the international cooperation is mainly considered as a small content in science & technology activities

The author realizes that the current concept of international

cooperation on science and technology has not clarified the

implications as well as the externalities of this concept The viewpoint of international cooperation on science and technology

has not analyzed the compatibility of each viewpoint with the developed or developing country, or more specifically for each development stage of a nation Furthermore, this viewpoint has not been taken into consideration in the context of international integration, that is an indispensable trend in all fields The trend

of international cooperation on science and technology has not been mentioned much and systematically; No study about the route to adapt or exploit opportunities brought about by trends to

the nation, especially to the developing countries The content and form of international cooperation on science and technology

are studied in a various manner but still found inappropriate to point out which the State management model is compatible with international cooperation

1.2 The State management of international cooperation

on science & technology

At present, the author has not accessed to any documents on State management of international cooperation on science & technology The studies majorly refer to State management in general or State management on science & technology in particular Publications to date are limited to some suggestions and recommendations of certain policies to strenthen the international cooperation on science & technology, and are often framed in development policies of science & technology,

or economics, foreign affairs and security Hence, the major issues related to the State management of international cooperation on science & technology such as concepts, subject matters, objects, roles, characteristics, management content, models or fundamental principles to organize and operate the State management in relation to this content had better be studied fully and carefully in order to create a scientific basis for proposing solutions to enhance the effectiveness of State management of international cooperation on science & technology

Thus, the State management of international cooperation on science & technology is a new issue, the available studies mention cursorily and unsystematically about this content The author’s topic will be implemented from the inheritance of the results of works published previously, and the author also gives some viewpoints and proves some of author’s theoretical points related to the dissertation topic

CHAPTER 2: THE THEORETICAL BASIS OF THE STATE MANAGEMENT OF INTERNATIONAL COOPERATION ON SCIENCE AND TECHNOLOGY

2.1 International cooperation on science & technology

2.1.1 Concept

“International cooperation on science and technology is all international interaction activities between individuals and organizations including governmental and non-governmental, profit and non-profit organizations within the territory of a country with partners outside the country related to science & technology in order to achieve the set goals ”

2.1.2 Characteristics

International cooperation on science and technology

includes 5 key characteristics (i) nature; (ii) competitiveness; (iii) the pervasion of benefits; (iv) synergy with national diplomacy; (v) international accountability

2.1.3 The key contents

Group 1: Cooperation for creating scientific knowledge:

including scientific research cooperation; the exchange of scientists; doctoral and postdoctoral training (associated with research projects); sharing scientific and technological information; jointly publishing scientific works in the form of co-authors; and using the fund for these contents

Group 2: Cooperation for technology creation: including

cooperation for nursing and developing technological ideas; cooperation for development, testing and innovation of technology; training technological engineers, experts; sharing research infrastructure; sharing/ transferring/ seeking for technological know-how, and using financially for these contents

Group 3: Cooperation and application of science and technology to the reality: including: (i) cooperation in

commercialization of technologies (eg technology transfer, cooperation of technological integration, technology import); (ii) cooperation in large-scaled scientific & technological projects (eg spatial research); (iii) cooperation for settlement of regional and global-scale challenges of science & technology (eg climate change); and (iv) financial usage for these contents

2.2 The State management of international cooperation

on science and technology

2.2.1 Concept

2.2.1.1 Management

“Management means the usage of tools and mobilization of resources to affect any system to enable such system to achieve that goal, including two main goals such as maintenance of stability and development of the system”

2.2.1.2 The State management

“The State management means the command, running and social service of State competent authorities (legislature, law enforcement agency and judicial agency) in order to exercise the State’s power to ensure the nation's purpose in each stage

of development, in which the key purpose is to maintain the stability and promote sustainable development."

2.2.1.3 State management of international cooperation in the field of science & technology

“State management of international cooperation on science

& technology means the command, running and service of State competent authorities for organizations and individuals conducting the cooperation on science & technology with foreign partners (within bilateral and multilateral frameworks)

an international scale; (ii) restrict the backward and toxic technologies resulting in the environmental pollution from foreign countries; (iii) ensure the national technology security through international cooperation

- "Service" (supporting function): the State management ensures that the nation becomes an attractive destination for the international scientific & technological community for cooperation and carrying out the advanced science & technology activities so as to enable the nation to (i) share and maximize its investment costs; (ii) upgrade the quality of endogenous science

& technology; (iii) attract more and more technological resources

to create new added-value products; (iv) join in dealing with global science and technology issues, participate in significant science and technology projects of the world; (v) avoid lagging behind science and technology

2.2.3 Characteristics

There are 3 key characteristics: (i) high interdisciplinary nature; (ii) internationality; (iii) the prominence of "supporting" over "governing"

2.2.4 Major contents: There are 3 major contents:

Decentralization and organization of the State management apparatus: comprising such activities as assigning responsibilities/authority to make decisions, running, coordinatation, inspection, supervision and assessment of the subject towards management entity, between subjects related to international cooperation on science & technology Furthermore, it also consists of the contents of organizational structure (establishment, merging, dissolution; defining functions and missions, .), personnel organization (recruitment, mobilization, appointment and training ) This content is implemented joint with the state management’s content applied to the industry

(ii) Development of the management documents: including activities such as development of strategies, policies, planning,

plans, laws, and by-law regulations in relation to international cooperation on science & technology; Moreover, it also comprises activities of development, negotiation and conclusion

of conventions, agreements of cooperation with foreign partners

in the field of science and technology

(iii) Using the public financial tools: includes such activities

as searching, using and managing budget resources, public investments through programs/projects; managing revenues and expenditures; attracting capital sources from foreign partners to support international cooperation on science and technology

2.2.5 Fundamental principle : There are 3 key principles:

(i) The 1st principle: The combination of decentralization and centralization in power allocation and organization of management apparatus;

(ii) The 2nd principle: Synchronize the macro regulations, simplify the micro regulations in development of a system of management documents;

(iii) The 3rd principle: Creating a public financial mechanism that simultaneously utilize the "repulsive force" and

"attractive force" of the budget and allocates finance based on outputs

CHAPTER 3: THE ACTUAL SITUATION OF THE STATE MANAGEMENT OF INTERNATIONAL COOPERATION ON SCIENCE AND TECHNOLOGY

3.1 The actual situation

3.1.1 In respect of power and apparatus organization

For allocation of State management rights, the state

management of international cooperation on science & technology is not only governed by the uniform management of the Ministry of Science & Technology but it also subject to the management of many relevant ministries and branches such as the Ministry of Foreign Affairs, the Ministry of Public Security, the Ministry of Planning - Investment, Ministry of

Finance, and local people’s committee Meanwhile, the great power for directly conducting international cooperation on science & technology has been vested to science & technology

organizations, enterprises and individual scientists

For organizing the state management apparatus and conducting international cooperation on science and technology, there are 3 major groups as follows:

Group 1, the State management agencies for international cooperation on science & technology: the government directly

and uniformly manages this operation In particular, the Ministry of Science and Technology is assigned to be the focal point for unifying the management of international cooperation

on science & technology However, other ministries such as the Ministry of Foreign Affairs, the Ministry of Public Security, the Ministry of National Defense and the specialized ministries such as Health, Education and Training, Agriculture and Rural Development, Construction, Transportation, and the people’s committee of provinces/ cities directly under the Central Government are also assigned the responsibilities to manage the international cooperation on science and technology

Group 2, the agencies supporting the management of international cooperation on science & technology: they are

Vietnam Academy of Science and Technology (VAST) and Vietnam Academy and Social Sciences (VASS) These agencies are directly under the government, which don’t have the state management function but manage many underlying institutes/ research centers where international cooperation activities are carried out Some ministries organize institutes/ academies to manage the specialized research facilities These agencies organize focal points to manage scientific & technological and international cooperation operations of their underlying units Similarly in the sector of universities, two national universities,

a number of regional universities and large-scaled universities also organize their apparatus in the form of departments/ committees to manage the international cooperation operations

of their subsidiaries, usually the committees of international cooperation and science & technology The associations such as VUSTA, VINASA, VCCI, VNSME also have the focal points

to manage international cooperation on science and technology,

or to assist their subsidiary enterprises in buying, selling/ importing/ transferring technology from foreign countries

Group 3, agencies carrying out the international cooperation on science & technology: this group consists of

scientific and technological organizations in Vietnam, including: public research institutes/centers, national laboratories, private research institutes/centers, and overseas research institutes/ centers, or a network of universities