Exploring challenges in revenue diversification for public higher education in vietnam

VIETNAM NATIONAL Hình 1UNIVERSITY, HANOI VIETNAM JAPAN UNIVERSITY - NGUYEN THI THU HUONG EXPLORING CHALLENGES IN REVENUE DIVERSIFICATION FOR PUBLIC HIGHER EDUCATION IN VIETNAM MAJOR: Master’s Program in Public Policy; CODE: 8340402.01 RESEARCH SUPERVISOR: Dr NGUYEN THUY ANH, Vietnam Japan University Associate Prof, Dr KAWAGUCHI JUN, University of Tsukuba Hanoi, 2023 Acknowledgment First and foremost I am extremely grateful to my supervisors, Dr Nguyen Thuy Anh, Program Director of Master’s Program in Public Policy – Vietnam Japan University, Associate Prof, Dr Kawaguchi Jun, University of Tsukuba for their invaluable advice, continuous encouragement, and patience throughout my master's program During the entire time of my academic research, I have been inspired by their vast knowledge and wealth of experience Second, my profound appreciation goes to Prof Naohisha Okamoto, Program Director of Master’s Program in Public Policy - VJU, and Dr Vu Hoang Linh Program Coordinator of Master’s Program in Public Policy - VJU, and all of the instructors during my master course at VJU for their time, effort, and understanding in helping me succeed in this program Their vast wisdom and wealth of experience have inspired me throughout my studies and practices In addition, I’d like to thank Ms Nguyen Thi Huong, Program Assistant of Master’s Program in Public Policy - VJU, Ms Bui Thi Phuong Thao, Assistant of Global Initiatives, the University of Tsukuba and her colleagues for their assistance throughout my study, my internship and master thesis development, in Vietnam and Japan as well I’d like to express my gratitude to all participants in my in- depth interviews who took time to openly and sincerely share with me their observation and knowledge in the respective field Last but not least, I would like to thank all of my friends who have spent time looking into my draft report and gave me advice based on their expertise and experience I am also much appreciated my husband for his accompany and support through my study journey Thanks to their generosity and encouragement, my time spent on this master thesis has been truly rewarding Contents Acknowledgment Contents List of figures List of tables List of boxes List of abbreviations CHAPTER 1: INTRODUCTION 10 1.1 Research background 10 1.2 Research problem 13 1.3 Research objectives 13 1.4 Research questions 14 1.5 Research scope 14 CHAPTER 2: LITERATURE REVIEW AND ANALYTICAL FRAMEWORK 16 2.1 Literature review 16 2.1.1 Challenges and barriers to diversify the revenue of higher education institutions 16 2.1.2 Recommendations for varieties of revenue generation activities 19 2.2 Analytical framework 22 2.2.1 University autonomy and its taxonomy 22 2.2.2 Financial sustainability and revenue diversification 25 CHAPTER III: RESEARCH METHODOLOGY 29 3.1 Data sources 29 3.2 Methodology 29 3.3 Limitations of the study 31 CHAPTER IV: RESEARCH FINDINGS AND DISCUSSION 32 4.1 Research findings 32 4.1.1 Vietnamese legal framework on PHEI’s revenue sources: 32 4.1.2 Challenges in revenue diversification in PHEIs in Vietnam 35 4.2 Discussion 53 CHAPTER V: IMLICATIONS AND CONCLUSION 55 5.1 Implications 55 5.2 Conclusion 57 REFERENCES 60 Appendix 1: State expenditures for higher education, 2018-2020 69 Appendix 2: Interview questionnaire 70 Appendix Guidance on templates used for S&T projects and tasks at VAST 71 List of figures Figure 1: Research background 13 Figure 2: Research problem, objectives, questions and scope 15 Figure 3: Recommendations on revenue diversification for PHEIs 21 Figure 4: Research framework 28 Figure 5: Qualification profile of the research participants 30 Figure 6: Vietnam’s result of scientific research from 2016 - 2020 36 Figure Number of international publications of some ASEAN countries, period 2015-2020 37 Figure 8: Challenges in conducting S&T project funded by the state 41 Figure 9: BK-Holdings model 46 Figure 10: Challenges in donation and philanthropy 52 List of tables Table 1: Key challenges and barriers in revenue diversification for PHEIs 18 Table 2: Demographic profiles of the interview participants 30 List of boxes Box 1: University autonomy was firstly translated into Education Law 1998 24 Box 2: Revenue sources of higher education institutions as per regulated in Circular 36/2017/TT-BGDDT 26 Box 3: Decree 60/2021/NĐ-CP regulates permission for public universities to to enter into joint venture, cooperation or association 33 Box 4: Decree 77/1999/ND-CP on promulgating the regulation on organization and operation of the social funds and charity funds 34 Box 5: Decree 60/2021/ND-CP regulates permission for public universities to access to credit loans 35 Box 6: Works/Activities not eligible for contract costs as per regulated in Joint Circular 27/ TTLT-BTC-BKHCN 40 Box 7: Decree 109/2022/ND-CP regulating scientific and technological activities in higher education institutions 42 Box 8: Four methods of pricing asset value from S&T project funded by the state as regulated in Circular 10/2019/TT-BTC 43 Box 9: Development Fund, VNU-HCM 51 List of abbreviations ADB Asian Development Bank ASEAN Association of South East Asian Nations EU European Union FTU Foreign Trade University GDP Gross Domestic Product HERA Higher Education Reform Agenda HUST Hanoi University of Sciences and Technology MOET Ministry of Education and Training MOF Ministry of Finance MOLISA Ministry of Labour - Invalids and Social Affairs MOST Ministry of Science and Technology OECD The Organisation for Economic Co-operation and Development PPP Public-Private-Partnerships PHE Public higher education PHEIs Public higher education institutions R&D Research & Development S&T Science & Technology STA Scientific and technological activities T&E Training & Education U.S United States of America VASS Vietnam Academy of Social Sciences and Humanities VAST Vietnam Academy of Science and Technology VNU Vietnam National University WB World Bank CHAPTER 1: INTRODUCTION 1.1 Research background Reforms in the public sector that attempted to provide public institutions more independence from governments have been implemented throughout the previous three decades (Olsen, 2009) As a means of enhancing service delivery, it has been suggested that political authorities should have less direct control over public institutions To alter the coordination between government and institutions, higher education reformers in several OECD countries and beyond established policies as part of broader public service and management reforms (Olsen, 2009) Additionally, changes in regulation and funding on tertiary education mirrored both the push for mass higher education and worries about how appropriate the outcomes of higher education and research would be for the economy and society (Naidoo, 2007) Governments, students, parents, businesses, and philanthropists are just a few of the stakeholders who today contribute to the expense of tuition fees Universities are increasingly behaving like private businesses as higher education system has evolved into a kind of quasi-market Universities are currently actively looking for revenue streams outside of government financing (Le et al., 2021) Public universities in developing and emerging nations are under more pressure to participate in cost-sharing than public universities in developed nations, in part because the budgets of developing and emerging governments are more constrained than those of developed nations (World Bank, 2000) This shift indicates that, in order to sustain operations, public universities now need to pursue new revenue streams beyond tuition fees, such as donations, knowledge transfer services, and other services and products Such reforms in higher education have not been unfamiliar to Vietnam The Vietnamese government has consistently raised its spending in absolute terms over the past ten years on both higher education in particular and education in general (Pham and Vuong, 2019) However, this growth has not kept up with higher education's ongoing massification Higher education participation has grown from 162,000 students in 103 institutions in 1992–1993, to 1.54 million students in 322 institutions in 2006–2007, driven by an expanding economy and strong student demand, transforming the system that provided education to a wider cross-section of the population rather than one that primarily served the elite (Harman, Hayden, and Pham, 2009) However, the Vietnamese government has decreased its funding for public higher education (see Appendix 1) The 10 competitiveness compared to private sector in attracting and retaining talents The results of this study have several implications for Vietnamese policy makers and university administrators in improving legal documents on higher education and practical experiences in generating different sources of funding, aiming for financial sustainable and high-quality education system in Vietnam 59 REFERENCES Bok, D 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Ziderman, A., & Albrecht, D (1995) Financing universities in developing countries (Vol 16) Psychology Press 68 Appendix 1: State expenditures for higher education, 2018-2020 Unit: VND billion No Estimate 2018 1.523.200 Estimate 2019 1.633.300 Estimate 2020 1.747.100 314.999 63.642 338.573 73.584 361.157 83.418 251.357 264.989 277.739 Percenta ge Expenditure for higher education 3.1 Investment expenditure 3.2 Recurrent expenditure 20,06% 20,07% 20,67% 13.633,795 16.063,689 16.703,002 4.785,513 7.052,329 7.338,116 8.848,282 9.011,360 9.364,886 Expenditure for higher education & training education over State budget Expenditure for higher education over Expenditure for education & training Expenditure for higher education over GDP 0,90% 0,98% 0,96% 4,33% 4,74% 4,62% 0,25% 0,27% 0,27% 2.1 2.2 Expense Total expenditure Expenditure for Investment expenditure Recurrent expenditure Source: MOET, 2022 69 Appendix 2: Interview questionnaire VIETNAM NATIONAL UNIVERSITY, HANOI VIETNAM JAPAN UNIVERSITY Interview questionnaire Exploring challenges in revenue diversification for public higher education in Vietnam Part I: General information Interview Date: Name of the university: Full name of interviewee: Position: Contact Information: Part II: Exploring challenges in revenue diversification for public higher education in Vietnam Please share information/assessments on challenges and barriers to increase revenues from scientific research and technology transfer activities of public universities in Vietnam Please share information/assessment on challenges and barriers to increase revenue from services and production activities of public universities in Vietnam Please share information/assessment on challenges and barriers to increase revenue from donation and endowment activities to public universities in Vietnam Please share information/assessment on challenges and barriers to increase revenue from borrowings and loans for public universities in Vietnam Thank you for participating in the interview 70 Appendix Guidance on templates used for S&T projects and tasks at VAST LIST OF INSTRUCTIONAL FORMS AND TEMPLATES Issued with the Decision No 259/QD-VHL dated March 1, 2023 of the President of the Vietnam Academy of Science and Technology on promulgation of Regulations on management of topics in priority science and technology directions, independent science and technology project for young scientists at Vietnam Academy of Science and Technology STT Name of form and template Implementation registration dossier Application form Explanation of the topic And Scientific profile of the lead organization Scientific profile of the team lead Scientific profile of the support team (secretary, key experts, ) of lead organization Scientific profile of the support team (secretary, key experts, ) of member organization Certificate of eligibility to be the project leader 10 The commitment form of the individual registered as team lead 11 Certificate of coordination in the implementation of the project 12 Certificate of participation in the implementation of the project 13 Results of receiving registration documents 14 Decide to establish a Consultative Council at the level of the Vietnam Academy of Science and Technology to consider the leading unit and individual head of the project 15 Invitation to the meeting of the Advisory Council on Science and Technology at the level of the Vietnam Academy of Science and Technology 16 Comment form Registration dossier for project implementation 17 Assessment form for implementation of the project 71 18 Minutes summarizing assessment results of registration dossiers for project implementation 19 Science and technology project dossiers 20 Report on the completion of the project implementation registration dossier 21 Decide to approve the lead unit, the individual head of the project, the unit managing the budget and the implementation budget of the projects 22 Contract for the implementation of the project 23 Application for adjustment of project implementation estimate 24 Decision on project extension 25 Decide to change the topic leader 26 Decide to adjust the lead unit and the project budget management unit 27 Report on summarizing the results of the project 28 Summary of the results of the project in Vietnamese 29 Summary of the results of the project in English 30 Statistics on the results of the project 31 Báo cáo tình hình sử dụng, tốn tài đề tài 32 Certificate of submission of application for acceptance at the Vietnam Academy of Science and Technology 33 Decision on Establishment of Level Acceptance Council of Vietnam Academy of Science and Technology 34 Invitation to the Acceptance Council of the Vietnam Academy of Science and Technology 35 Comment form on the results of science and technology projects at the Vietnam Academy of Science and Technology 36 Rubric for evaluation of results of science and technology projects at the Vietnam Academy of Science and Technology 37 Minutes summarizing the results of assessment and classification of topics 38 Conclusions of the Council on the main results of the project 39 Report on the revision of the Summary Report on the results of the implementation of the project 72 40 Certificate of submission of the dossier of request for acceptance decision at the Vietnam Academy of Science and Technology 41 Decision on acceptance of science and technology projects at the level of the Vietnam Academy of Science and Technology 42 Minutes of liquidation of contracts for the implementation of the topic 73