JAPAN INTERNATIONAL VIETNAM NATIONAL UNIVERSITY COOPERATION AGENCY HO CHI MINH

TECHNICAL COOPERATION PROJECT FOR CAPACITY BUILDING OF HO CHI MINH CITY UNIVERSITY OF TECHNOLOGY TO STRENGTHEN UNIVERSITY-COMMUNITY LINKAGE (PHASE 2)

SUPREM-HCMUT

PROJECT COMPLETION REPORT

NOVEMBER 2012

KUMAMOTO UNIVERSITY

Technical Cooperation Project for Capacity Building of Ho Chi Minh City University of Technology To Strengthen University-Community Linkage (Phase 2)

SUPREM-HCMUT

Project Completion Report November 2012

CONTENTS

PHOTOGRAPHS ABBREVIATIONS

1. OUTLINE OF THE PROJECT ...... 1 1.1 Background ...... 1 1.2 Project Objectives and Strategies ...... 1 1.3 Project Approach ...... 4 1.4 Project Implementation Structure ...... 7 1.5 Reports and Outputs ...... 8 1.6 Plan of Operations (P/O) and Overall Work Flow ...... 9

2. RESOURCES REQUIRED FOR THE PROJECT ...... 10 2.1 Human Resources ...... 10 2.2 Project Office...... 10 2.3 Project Local Expenses ...... 11 2.4 Equipment ...... 11 2.5 Meetings and Seminars ...... 11

3. PROJECT ACTIVITIES ...... 12 3.1 Transformation to Research Based Education (RBE): Output 1 ...... 12 3.2 Strengthening R&D Capacity for University-Community Linkage: Output 2 ...... 18 3.3 Promotion of Academic Cooperation among Higher Education/Research Institutes: Output 3 ...... 36 3.4 Recognition of the Project Activities: Output 4...... 37 3.5 Expanding Research Activities ...... 38 3.6 Follow-Up of Four Pilot Projects Undertaken in Phase 1 ...... 40

4. PROJECT ACHIEVEMENTS ...... 42 4.1 Results of Terminal Evaluation ...... 42 4.2 Project Achievements Based on Project Design Matrix (PDM) ...... 42

5. LESSONS LEARNED AND RECOMMENDATIONS ...... 45 5.1 Lessons Learned ...... 45 5.2 Recommendations ...... 47

List of Tables

Table 1.1 Project Frameworks ...... 2 Table 1.2 Counterpart Organizations in Target Provinces ...... 8 Table 1.3 List of Reports ...... 9 Table 1.4 List of Technical Cooperation Outputs ...... 9 Table 2.1 Local Expenses Borne by Japanese Side ...... 11 Table 2.2 Local Expenses Borne by Vietnamese Side ...... 11 Table 3.1 Number of Papers Co-Authored by Master’s Students of Model Labs ...... 15 Table 3.2 Number of RBE Master’s Students at HCMUT ...... 17 Table 3.3 Overall Achievements of Batch 1 ...... 24 Table 3.4 Overall Achievements of Batch 2 ...... 28 Table 3.5 Overall Achievements of Batch 3 ...... 32 Table 3.6 List of Patents Applied For (as of October 2012) ...... 35 Table 4.1 Five Criteria of Evaluation ...... 42 Table 4.2 Achievement of Project Purpose ...... 43 Table 4.3 Achievement of Overall Goal ...... 44 Table 5.1 Lessons Learned ...... 45

List of Figures

Figure 1.1 Overall Structure of the Project ...... 3 Figure 1.2 Basic Strategy of SUPREM-HCMUT Project ...... 4 Figure 1.3 Holistic Approach to Implementing Activities at Model Laboratories ...... 5 Figure 1.4 Network-Based Partnerships Centered Around HCMUT ...... 6 Figure 1.5 Overall Implementation Structure ...... 8 Figure 3.1 Concepts of RBE ...... 13 Figure 3.2 Process of Needs Survey ...... 18 Figure 5.1 Capacity Building of HCMUT as a Prospective Research and Resource Hub in Southern Vietnam ...... 51

Appendix 1. Record of Discussions 2. Minutes of Meeting 3. Project Design Matrix 4. Plan of Operations 5. Overall Work Flow 6. List of JICA Experts Assigned for the Project 7. List of JCC Members 8. List of PMC and RDPC Members 9. List of Participants of Counterpart Training Program in Japan 10. List of Equipment Provided by JICA

11. List of Meetings and Seminars Held during Project Period 12. Long List of Research Topics Proposed by Provinces and HCMUT 13. Criteria for Evaluation of Joint Research Proposals 14. List of Research Proposals Submitted 15. Distribution of Research Topics by Faculty and Province 16. Research Topic, Category, Member Composition, Budget and Overseas Partner of Selected Joint Research Teams 17. List of Published Papers 18. Patent Strategy of HCMUT 19. Manual for Patent Mapping 20. List of Provincial Partners Participating in JR Activities at HCMUT 21. Summary of Project Achievements based on PDM

CD-R Appendix I. Minutes of JCC Meetings, Mid-Term Evaluation and Final Evaluation II. Implementation Plan for Introducing RBE into the Master’s Programs III. Guidelines for Introducing Research Based Education (RBE) to the Master’s Program IV. Detailed Research Plan V. Financial Management Guidelines VI. Report of Activities with Overseas Research Partners VII. Guidelines for Joint Research VIII. Joint Research Report IX. Patent Guidelines X. Guidelines for Strengthening Research Partnerships with Provinces, Industry and Other Universities

PHOTOGRAPHS

Inception Seminar (April 2009) Local Needs Survey in Tien Giang Province (May 2009)

Meeting with Provincial Visit to Laboratory, Faculty of Representatives (May 2009) Environment (July 2009)

RBE/JR/Patent Seminar Visit to Cashew Nut Factory (September 2009) (September 2009)

Site Visit with Overseas Research Site Visit with Overseas Research Partner, Rubber Plantation Partner, Red Pine Farm (September 2009) (September 2009)

The First Seminar of Visit by Overseas Research

University-Community Linkage, Partner (October 2009) Dalat, Lam Dong (October 2009)

Visit by Overseas Research Research Progress Monitoring

Partner (December 2009) (October-December 2009)

Research Progress Monitoring Research Based Education (RBE) (October-December 2009) Seminar (December 2009)

Counterpart Training in Japan Counterpart Training in Japan (November-December 2009) (November-December 2009)

R & D Promotion Committee Visit to Research Laboratories

Meeting (May 2010) (May 2010)

Meeting with Provincial Partners JCC Meeting (May 2010) (June 2010)

Visit to Factory in Province Joint Research and Patent Seminar (July 2010) (August 2010)

Discussion with Overseas Research Individual Seminar on Patent by Partner (August 2010) Specialist (August 2010)

Visit to Factory in Province Presentation of Research Paper at (October 2010) International Conference (October 2010)

TV Conference with Provincial Partners Industrial Site Visit, Training in Japan (December 2010) (December 2010)

Presentation of Research Progress by Master’s University-Industry Cooperation, Meeting with Students, International Workshop (December Company Representatives (January 2011) 2010)

Joint Research Symposium Poster Presentation, Joint Research (January 2011) Symposium (January 2011)

RDPC Meeting Joint Coordination Committee (JCC) (May 2011) Meeting (May 2011)

Presentation by Model Lab Leader at RBE Research Progress Monitoring Seminar (June 2011) (July 2011)

Laboratory Visit by JICA Representatives Seminar on Patent Application & Patent (July 2011) Strategy (August 2011)

Visit to Project Site in Province with Presentation of Research Outcomes by Overseas Research Partner Master’s Student (September 2011) (August 2011)

Laboratory Tour given by Research Team Project Visit by Japanese High School Member Students (November 2011) (November 2011)

With Overseas Research Partner and Lab Research Based Education (RBE) Seminar Members, Training in Japan (November 2011) (December 2011)

University-Industry Linkage Workshop Monitoring of Research Progress and (December 2011) Equipment Use (December 2011)

Presentation by Research Team, Joint Poster Presentations, Joint Research Research Seminar (January 2012) Seminar (January 2012)

Evaluation through Interviews of Equipment Inspection at Project Site, Provincial Partners, Final Evaluation by Final Evaluation by JICA Mission JICA Mission (June 2012) (June 2012)

Visit to Project Site in Target Province, Signing of Minutes of Meeting for Final Final Evaluation by JICA Mission Evaluation, Joint Coordination Committee (June 2012) Meeting (JCC) (June 2012)

Research Based Education (RBE) Seminar Final Seminar on Strengthening (June 2012) University-Community Linkage (September 2012)

Poster Session, Final Seminar With Participants, Final Seminar (September 2012) (September 2012) ABBREVIATIONS

C/P Counterpart Personnel DARD Department of Agriculture and Rural Development DONRE Department of Natural Resources and Environment DOST Department of Science and Technology ERO External Relations Office HCMUT Ho Chi Minh City University of Technology IPEJ Institution of Professional Engineers, Japan JCC Joint Coordination Committee JICA Japan International Cooperation Agency JR Joint Research KU Kumamoto University MOET Ministry of Education and Training MOST Ministry of Science and Technology NAFOSTED National Fund for Science and Technology Development NOIP National Office of Intellectual Property PMC Project Management Committee PMU Project Management Unit MM Minutes of Meeting PDM Project Design Matrix PGSO Postgraduate Study Office PMC Project Management Committee PMU Project Management Unit P/O Plan of Operations RBE Research Based Education R/D Record of Discussions RDPC Research & Development Promotion Committee RDPMO R&D and Project Management Office R&D Research and Development SUPREM Strengthen University Project of Research-based Education Model TUT Toyohashi University of Technology UCL University-Community Linkage VND Vietnamese Dong VNU-HCM Vietnam National University – Ho Chi Minh WG Working Group

SUPREM-HCMUT Project Completion Report

1. OUTLINE OF THE PROJECT

1.1 Background Vietnam has been implementing higher education reforms since the introduction of “Doi Moi” in the 1980’s and has made notable success in improving the quantity and quality of higher education, contributing to the country’s social and economic development. The government’s five-year socio-economic development plan (2006-2010) envisages the transformation of Vietnam into an industrialized country by 2020. However, the Vietnamese higher education institutions are yet to be fully capable of responding to the socioeconomic needs of the country. The Ministry of Education and Training (MOET) approved a resolution titled the “Vietnam Higher Education Renovation Agenda (2006-2010)” in 2005. Regional development requires practical and effective responses to issues that are unique to respective areas and regions, particularly in the field of engineering and technology. Ho Chi Minh City University of Technology (HCMUT) as the leading institution in engineering and research in southern Vietnam has been providing technical support to the local development needs of the region; however, achievements have been limited partly due to the lack of systematic approach. In view of the existing situation and upon the request from the Government of Vietnam (GOV), the Japan International Cooperation Agency (JICA) implemented the “Project on Capacity Building of Ho Chi Minh City University of Technology to Strengthen University- Community Linkage (JICA-HCMUT Project) (Phase 1)” for three years starting in January 2006. Its terminal evaluation conducted in September 2008 observed an improved capacity of HCMUT in (i) promoting university-community linkage (UCL); (ii) conducting research and development (R&D), and (iii) organizing workshops to promote research activities. In order for HCMUT to firmly establish itself as the region’s leading higher education and research institution in the field of engineering, a systematic and institutional setup that enables continuous R&D activities is necessary. The GOV therefore requested that the second phase of the Technical Cooperation Project be implemented at HCMUT to further strengthen university’s R&D capabilities and promote university-community cooperation. In response, JICA conducted a detailed planning survey and discussed the expected contents of the Phase 2 Project with the Vietnamese counterparts, the results of which were compiled in the Record of Discussions (R/D) (Appendix 1) and Minutes of Meeting (M/M) (Appendix 2). These documents were signed by both parties in December 2008 and the implementation of the Project was then entrusted to the JICA Project Team led by Kumamoto University in March 2009.

1.2 Project Objectives and Strategies

1.2.1 Project Objectives The Project aimed at improving the education and R&D capacity of Ho Chi Minh City University of Technology (HCMUT) in order to strengthen university-community linkage. The frameworks of the Project are shown in Table 1.1. The Project Design Matrix (PDM) and Plan of Operations (P/O) are provided in Appendix 3 and 4 respectively.

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Table 1.1 Project Frameworks

Project Purpose

Education and R&D capacity of HCMUT for promotion of university-community linkage is strengthened.

Outputs

(1) Master course program of model faculties in HCMUT is transformed from classroom- learning based to research based education. (2) R&D capacity for university-community linkage is strengthened in HCMUT. (3) HCMUT has hub roles to promote academic cooperation for university-community linkage among higher education institutions and research institutions in the southern part of Vietnam. (4) Activities by HCMUT to promote local development in the southern part of Vietnam are well recognized.

Activities

Activities to achieve Output (1) • HCMUT prepares overall implementation plan suitable for Master Course program by transforming classroom-learning based education to research based one. • HCMUT holds awareness-raising seminar on research based education for the model faculties. • HCMUT appoints model laboratories from the model faculties. • HCMUT coordinates model laboratories to prepare each action plan. • Each model laboratory implements each action plan. • Model laboratories hold weekly seminar among research members. • Model faculties develop guidelines to introduce research based education. • Model faculties organize workshops to share experiences among laboratories within the faculties.

Activities to achieve Output (2) • Model laboratories invite staff members involved in R&D activities from local institutions for research work. • Graduate students in model laboratories are involved in the R&D activities. • Model laboratories formulate R&D groups. • R&D groups support the needs survey in the southern part of Vietnam with the support from staff of the local institutions. • R&D groups implement the R&D activities for the practical use. • R&D groups hold regular meetings. • Each of the R&D groups submits papers to journals or international/local conferences. • Leaders of the R&D groups submit six-month activity reports. • Some of the R&D groups apply for patent with support from R&D and project management office.

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• R&D groups disseminate the outputs to local community.

Activities to achieve Output (3) • Staff from the local member institutions is involved in joint R&D activities for local development conducted by HCMUT. • HCMUT initiates inter-university committee to organize conferences at HCMUT or one of the local member institutions annually. • HCMUT dispatches staff to other local member institutions through staff exchange program and R&D activities. • HCMUT builds consensus clearly among people concerned on the intellectual property rights by the R&D activities before starting the activities. • • Activities to achieve Output (4) • HCMUT shares guidelines for university-community linkage with other local member institutions, local governments and communities. • HCMUT updates the guidelines when necessary. • HCMUT shares the information on staff members, the R&D topics, published papers for promotion of university-community linkage. • HCMUT holds workshops for promotion of university-community linkage. •

The four outputs expected under this project are interlinked to contributing to the attainment of the project purpose, as illustrated in Figure 1.1 below.

Figure 1.1 Overall Structure of the Project

1.2.2 Basic Strategy The basic strategy of the Project was to establish a sustainable triangular system founded on a synergetic effect of regional development, R&D and research based education (RBE) with HCMUT playing the central role in its implementation. The Project considered research activities by model laboratories for meeting technical needs of provincial communities to be essential for HCMUT’s capacity building and strengthening of university-community linkage (UCL). The model laboratories were expected to adopt RBE and involve/work together with local (provincial) partners. Figure 1.2 illustrates the concept of this triangular system.

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Figure 1.2 Basic Strategy of SUPREM-HCMUT Project

1.2.3 Target Provinces and Fields Geographically, the Project targeted the southern region of Vietnam: in particular, Ho Chi Minh City, Tien Giang province, An Giang province, Lam Dong province, Dong Nai province and Binh Duong province. These provinces were named “target provinces”. The target sector of the Project was higher education in the field of engineering, including (but not limited to) Chemical Engineering, Environmental Engineering, Mechanical Engineering and Civil Engineering. The faculties of these four engineering fields were named “model faculties”.

1.3 Project Approach The Phase 2 Project adopted the following approaches to achieving the project objectives.

1.3.1 Holistic Approach to Implementing Activities at Model Laboratories The Project aimed at creating a substantial model where the promotion of UCL contributes to the country’s development in general and industrialization in particular. In order to achieve such aim, HCMUT together with its partners carried out various activities throughout the project period. The Project underlined the importance of enhancing HCMUT’s institutional functions in identifying technical needs of partner provinces and matching these needs with research interests of the university researchers. The Project’s holistic approach is illustrated in Figure 1.3.

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Figure 1.3 Holistic Approach to Implementing Activities at Model Laboratories The following activities were carried out comprehensively by each of the selected model laboratories to encompass the Project’s three key components, i.e. RBE, R&D and UCL for regional development.

(i) Select one of the research topics formulated based on needs surveys (ii) Form a R&D group that includes master’s students as the members (iii) Carry out R&D activities throughout the students’ two-year master course program and let them complete their degree thesis using the research outcomes

(iv) Work with members of local/provincial institutions and share HCMUT’s resources with them (v) Build and maintain networks between HCMUT and local institutions through joint research activities

1.3.2 HCMUT as Resource University for Network-Based Partnership HCMUT is one of Vietnam’s resource universities acknowledged by the central government. Thus, the university is clearly expected to share its resources with other institutions in the region. Through the implementation of research activities by model laboratories, the Project aimed at improving or institutionalizing the role of HCMUT as a provider of capacity building services to local partner institutions in the target provinces. In return, the recipients of these services (i.e. partner institutions in the target provinces) were expected to contribute to the capacity building of other provinces in remote areas. Figure 1.4 displays the network-based partnerships with HCMUT as the core or leader institution.

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Source: Perry-Castañeda Library Map Collection Figure 1.4 Network-Based Partnerships Centered Around HCMUT

1.3.3 Development of Value-Added Creativity and Problem-Solving Skills through Research Based Education RBE under the Project aimed at training researchers to carry out R&D activities and develop technologies that can add value to existing resources and improve production. It also aimed at providing researchers with the opportunity to acquire skills for identifying, analyzing and solving disciplinary and inter-disciplinary problems, and improve communication and leadership skills. Researchers were required to take into consideration the availability of human and natural resources, environmental impacts and global market trends when carrying out research.

1.3.4 Needs Survey as Communication for Community Linkage Needs Surveys were considered essential for university-community linkage (UCL) to be established, recognized as worthwhile and institutionalized. Both quantitative and qualitative methods were applied for conducting needs surveys. Universities and industries generally have few occasions for information exchange and thus, implementation of needs surveys proved to be useful not only for collecting data but also for creating communication opportunities.

1.3.5 Development of Practical, User-Friendly Guidelines Practical and user-friendly guidelines on RBE, patent and UCL were developed in order to disseminate lessons learned from the implementation of the Project in the whole university.

1.3.6 Creating Incentives for Researchers Researchers at universities have responsibilities to provide students with quality education. At the

6 SUPREM-HCMUT Project Completion Report same time, they are expected to continue producing and updating their own research outcomes as they are researchers themselves. In order to motivate researchers to actively conduct research, systematic incentives, such as improved access to research funds for those whose research outcomes have become widely recognized, were sought during the Project.

1.3.7 Continuous Problem Identification and Solving through Monitoring In the education sector, it is only recent years that the importance of monitoring and follow-up has started to receive proper attention. Monitoring is vital in effectively implementing and managing a project. Under the SUPREM-HCMUT Project, monitoring of research progress was made a requirement. The methods of monitoring included semiannual progress reports prepared by model laboratories as well as interviews with model laboratory members. Through monitoring, problems were detected, and thus, leading to smooth implementation of research activities.

1.3.8 Patent Strategy from Early Stage of R&D In the international academic and business sectors, it is widely recognized that one must have the understanding of how to protect his/her own intellectual property rights as well as how not to violate those of others. The Project, through its three and a half years of R&D implementation, has contributed to increasing HCMUT’s institutional understanding and awareness of the importance of intellectual property rights.

1.3.9 Information Sharing through Website The Project actively used its website to share information on project activities and progress, such as seminars, events, forms and documents related to joint research.

1.3.10 Project as Everyday Activity Success of model laboratories and their research activities is often determined by the level of research progress and number of outcomes produced by them over a period of time. Conducting highly acclaimed research activities is essential for acquiring necessary research funds. Through the Project, R&D activities have gradually become part of everyday practice and culture at HCMUT. It is important that HCMUT encourages its researchers to continue conducting R&D activities even after the termination of the Project.

1.4 Project Implementation Structure The overall project implementation structure is illustrated in Figure 1.5.

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Figure 1.5 Overall Implementation Structure

1.4.1 Joint Coordination Committee (JCC) The Joint Coordination Committee (JCC) was formed in April 2009 with the following functions: • To authorize an annual work plan of the Project based on the P/O within the framework of R/D • To monitor and evaluate the project progress and results along annual work plans • To discuss and advise on major issues that arise during the course of the Project

1.4.2 Counterpart Team The Project Management Committee (PMC) was established as a counterpart team to discuss and make decisions on all issues that arise during the implementation the Project. In addition, the R&D Promotion Committee (RDPC) was formed, which focuses more on R&D related issues. Many of the PMC members are also the members of the RDPC.

1.4.3 Counterpart Organizations in Target Provinces The counterpart organization in each of the Project’s target province is shown in Table 1.2.

Table 1.2 Counterpart Organizations in Target Provinces Province Counterpart Organization Tien Giang Department of Science and Technology An Giang Department of Agriculture and Rural Development Dong Nai Department of Science and Technology Binh Duong Department of Science and Technology Lam Dong Department of Science and Technology

1.5 Reports and Outputs Table 1.3 shows the list of reports produced during the project period.

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Table 1.3 List of Reports Title Submission Date Status Inception Report May 2009 Completed Progress Report I September 2009 Completed Progress Report II March 2010 Completed 1st Year Completion Report March 2010 Completed Progress Report III September 2010 Completed Progress Report IV March 2011 Completed 2nd Year Completion Report March 2011 Completed Progress Report V September 2011 Completed Progress Report VI March 2012 Completed 3rd Year Completion Report March 2012 Completed Project Completion Report November 2012 This report

Table 1.4 shows the list of technical cooperation outputs.

Table 1.4 List of Technical Cooperation Outputs Title Submission Social and Economic Needs Survey Report I October 2009 Brochure on “Patent Strategy” October 2009 Patent Information Paper No.1 “Patent Applications” October 2009 Guidelines for Joint Research under SUPREM-HCMUT ver. 1 December 2009 Social and Economic Needs Survey Report II March 2011 Implementation Plan for Introducing RBE June 2009 Guidelines for Introducing RBE to the Master’s Program under March 2011 SUPREM-HCMUT (Preliminary Version) Guidelines for Joint Research under SUPREM-HCMUT ver. 2 June 2010 Guidelines for Joint Research under SUPREM-HCMUT ver. 3 March 2011 Patent Mapping Before Starting Research and Development January 2011 Guidelines for Joint Research under SUPREM-HCMUT ver. 4 June 2011 Patent Mapping Before Starting Research and Development August 2011 (Vietnamese) Patent Information Paper No.2 “Preparing Patent Document” August 2011 Guidelines for Introducing Research Based Education (RBE) to the Master’s Program under SUPREM-HCMUT (English and January 2012 Vietnamese) Patent Guidelines (English and Vietnamese) January 2012 Social and Economic Needs Survey Report III March 2012 Guidelines for Strengthening Research Partnerships with September 2012 Provinces, Industry and Other Universities Guidelines for Introducing Research Based Education (RBE) September 2012 (Revision) Social and Economic Needs Survey Report III October 2012

1.6 Plan of Operations (P/O) and Overall Work Flow The P/O and Overall Work Flow are shown in Appendix 4 and 5.

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2. RESOURCES REQUIRED FOR THE PROJECT

2.1 Human Resources

2.1.1 Assignment of JICA Project Team JICA experts were assigned for the Project as listed in Appendix 6.

2.1.2 Recruitment of National Staff To support the implementation of the Project, the JICA Project Team employed one Senior Officer (full-time), one Junior Officer (full-time), two Assistant Officers (one full-time, one part-time) and one Driver (full-time) from April 2009 and they worked closely with the experts and counterpart personnel (C/P).

2.1.3 Vietnamese Counterpart Personnel 1) Joint Coordination Committee (JCC)

The Joint Coordination Committee (JCC) was first formed in April 2009. After that, additional JCC members were assigned in October 2009 in order to strengthen the involvement of relevant offices and faculties of HCMUT, and target provinces. The JCC members are listed in Appendix 7 in which the additional members are marked with “*”. 2) Counterpart Team

The members of the Project Management Committee (PMC) and the R&D Promotion Committee (RDPC) are listed in Appendix 8. The names marked with *are the ones who became the members in October 2009. 3) Academic Training in Japan

Seventeen (17) JR team members participated in a one-month academic training program in Japan as shown in Appendix 9.

2.2 Project Office

2.2.1 Project Office Space HCMUT provided the JICA Project Team with all the rooms used for the Phase 1 Project, namely, Room 401, 402, 403, 404 and 405 in the A4 Building. These rooms were used for international experts, project staff, internal meetings, storage and meetings with PMC/RDPC, respectively. Due to the commencement of a new JICA/JST-funded biomass research project in December 2009, Room 404 was handed over to the project and Room 405 was used by the both projects.

2.2.2 Office Equipment and Facilities In addition to the video conference system installed in the A1 Building, which was provided by the AUN/SEED-Net Project in July 2009, the SUPREM-HCMUT Project purchased and installed video conference facilities at the counterpart organizations in the five target provinces in February-March 2010.

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2.2.3 Project Website In order to share information necessary for project implementation such as guidelines and forms, the JICA Project Team created a dedicated website, uploaded relevant information and maintained the content throughout the project period.

2.3 Project Local Expenses

2.3.1 Japanese Side The local expenses borne by the Japanese side are shown in the table below. The

Table 2.1 Local Expenses Borne by Japanese Side (Yen)

Japanese Fiscal Year Local Cost* Cost for JR Activities in Japan 2009 24,339,000 3,986,000 2010 32,335,000 6,240,000 2011 32,288,000 3,528,000 2012 9,227,000 0 * Total amount of budget allocated for project operation in Vietnam minus costs related to dispatching experts from Japan

2.3.2 Vietnamese Side The local expenses borne by the Vietnamese side are shown in the table below.

Table 2.2 Local Expenses Borne by Vietnamese Side (VND 1,000) Item 2009 2010 2011 2012 Total Office, office equipment 716,000 1,118,200 931,200 855,000 3,620,400 Research activities 264,000 1,071,000 2,206,800 1,644,000 5,185,800 Transportation 40,000 55,850 56,000 54,000 205,850 Project management 580,000 866,800 1,035,700 853,700 3,336,200 Others 0 88,150 200,000 150,000 438,150 Total 1,600,000 3,200,000 4,429,700 3,556,700 12,786,400

2.4 Equipment The equipment provided by the Japanese side is shown in Appendix 10.

2.5 Meetings and Seminars Appendix 11 shows the dates on which meetings and seminars were held at HCMUT and in provinces during the project period. The minutes of the JCC meetings, Mid-Term Evaluation and Final Evaluation are shown in CD-R Appendix I.

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3. PROJECT ACTIVITIES

This chapter explains the activities of the SUPREM-HCMUT Project for the entire period of its implementation, focusing in particular on the activities related to research based education (RBE), university-community linkage (UCL) and joint research (JR) activities.

3.1 Transformation to Research Based Education (RBE): Output 1

3.1.1 Baseline Survey and Understanding RBE 1) Grasping Current Situation

In order to introduce RBE into the master’s programs of HCMUT, the Postgraduate Study Office (PGSO) of HCMUT in cooperation with the JICA Project Team conducted a baseline survey in order to grasp the current situation of master’s students and research activities at HCMUT. The survey method was to distribute questionnaires to researchers of all the faculties at the university. Based on the results of the survey, PGSO and the JICA Project Team shared the following understanding of what must be changed in order to transfer the current master’s programs into RBE: Current situation: - More than 60% of the university’s master’s students start working on their thesis at the third semester and receiving advice from his/her specific supervisor. (In other words, the students have no specific supervisor before the end of the second semester.) - Most of the master’s students are non-fresh graduates from HCMUT (students who graduated from HCMUT a while ago) and have a part-time job. They usually have to bear the cost necessary for their thesis work. - A laboratory is usually a place where students conduct experimental work. It is not a space for research teams to conduct research activities. Activities necessary for transforming master’s programs into RBE: - Researchers must establish a research team that includes master’s students and introduce a hierarchical supervising system when implementing a research project. - Master’s students, especially those who are enrolled in the “RBE Master’s Program” which was launched in 2005, participate in their supervisor’s research project from an earlier stage of the study, ideally right from the first semester. 2) Understanding RBE

Through the Project, HCMUT has come to understand that researchers are responsible for initiating and thoroughly supervising RBE activities and it is important that the university gives organizational support to the researchers and PGSO, and motivate students to participate in research activities. Changing the curricula or official arrangements at laboratories is not essential. The concepts of RBE and how this type of education should be implemented at HCMUT is shown in Fig. 3.1

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Figure 3.1 Concepts of RBE

3.1.2 RBE Implementation Plan of HCMUT Based on the concepts of RBE (see 3.1.1), HCMUT in cooperation with the JICA Project Team developed the “Implementation Plan for Introducing RBE into the Master’s Programs under SUPREM-HCMUT” (CD-R Appendix II), which was authorized by HCMUT in June 2009. The major principles described in the Implementation Plan are as follows: - HCMUT introduces the concepts of RBE into its master’s programs. - The leaders of SUPREM’s joint research teams (=“model labs”) invite master’s students (particularly the ones who are enrolled in the “RBE Mater’s Program”) to join their research project and supervise them throughout. - Master’s theses are produced based on the outcomes of joint research activities under SUPREM and/or other research projects. - Master’s students of the model labs write academic papers as the first author.

During the project period, the PGSO regularly held seminars for promoting the concepts of RBE, sharing the Implementation Plan and distributing guidelines (see 3.1.4). The list of seminars held during the project period is shown in Appendix 11.

3.1.3 Implementation of RBE by Model Lab Leaders Following the holistic approach of the Project (see 1.3.1) and the major principles in the Implementation Plan, it was made compulsory that all researchers applying for joint research funds of the SUPREM-HCMUT Project form a research team (or “model lab”) with master’s students (preferably students of the “RBE Mater’s Program”). 1) Implementing RBE

Those researchers who successfully obtained the Project’s joint research funds were given the responsibility to implement RBE as the leader of his/her model lab. Over the three and a half years of project implementation, thirty five (35) leaders conducted joint research activities and contributed to solving local technical problems. Simultaneously, the leaders assisted master’s students in taking part in the Project as a model lab member (or research team member). Although the Implementation Plan particularly targeted students of the RBE Master’s Program, those of course-based master’s programs were also invited to participate in the Project. Flexibility was crucial for successful RBE implementation when considering

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the challenging situation faced by the university as described in 3.1.1. The leaders were requested to present their practical action plans for implementing RBE at the beginning of their joint research activities. The PSGO in cooperation with the JICA Project Team made regular visits to the model labs as a part of research progress monitoring to encourage the leaders to continue implementing RBE, improve arrangements at their laboratory, for example, by assigning research subtopics to students, and produce outputs such as increased number of RBE students and paper publications. 2) Constraints and Solutions

During the implementation of research activities and discussions at RBE seminars, the following constraints were expressed, especially by the first batch leaders: - It is difficult for most of the master’s students who are involved in the Project to work in the lab for the whole day since they have a part-time job. - The university’s lab facilities are not ideal in terms of size/space and equipment availability for master’s students to conduct research activities. - The leaders are not provided with enough research funds by HCMUT to finance the cost of master students’ research work, (i.e. cost for conducting RBE). - Often times, students do not have any motivation to work as a RBE master’s student. They prefer to obtain a degree by simply completing course (lecture)-based programs.

Possible solutions suggested by the participants at RBE seminars, HCMUT and the JICA Project Team are as follows: - Look for research funds together with local (provincial) partners. - Publishing papers should enable leaders or supervisors of master’s students to obtain more access to research funds and motivate students to participate in research projects.

3.1.4 Guidelines for RBE 1) Working Group for RBE Guidelines

HCMUT in cooperation with the JICA Project Team established a working group for developing RBE guidelines in September 2010. The group consisted of faculty representatives and the RDPC. The major tasks of the working group were to review the implementation of RBE by the model lab leaders, seek more practical ways for HCMUT to introduce RBE into its master’s programs and draw guidelines. 2) Preliminary Guidelines for RBE

The working group decided to prepare preliminary guidelines for RBE based on the experience gained through the implementation of RBE by the Batch 1 model labs. For this purpose, the group in cooperation with the JICA Project Team distributed questionnaires to the leaders of the twelve model labs, interviewed them individually and collected practical comments and suggestions from them.

The preliminary guidelines, the “Guidelines for Introducing Research Based Education (RBE) to the Mater’s Program (Preliminary Version)”, were published in February 2011 and

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uploaded on the project website. The PGSO in cooperation with the JICA Project Team collected public opinions on the guidelines through the discussion at a seminar given for this purpose in June 2011. The leaders of the Batch 2 and 3 model labs as well as other universities in the Mekong region discussed merits and difficulties of RBE (see 3.1.3). 3) Final Guidelines for RBE

The working group prepared a final draft of the guidelines for RBE and requested comments and suggestions at the seminar held in December 2011. Following the discussions at the seminar, the PGSO published the “Guidelines for Introducing Research Based Education (RBE) to the Master’s Program” (CD-R Appendix III) in January 2012 and distributed them to the participants of the Joint Research Seminar on January 7, 2012. The final Guidelines aimed at improving the quality of RBE at HCMUT and promoting the education concepts to other universities. They introduced several empirical examples of RBE implemented by the SUPREM-HCMUT research teams, showed the know-how for effective implementation of RBE, and presented possible problems and solutions. The Guidelines also explained how to monitor RBE and suggested possible measures for enabling “self-sustainable” RBE. Monitoring and self-evaluation of RBE performance, as explained in the Guidelines, are indispensable for any university aiming at becoming a research university. Considering HCMUT’s active cooperation with universities in the Mekong area such as Can Tho University, the PGSO distributed the Guidelines to these universities as well in order to encourage further cooperation. The Guidelines were again distributed at the Project’s final seminar in September 2012.

3.1.5 Monitoring RBE 1) Publication by Master’s Students

Paper publication is considered an output of RBE activities. To date 78 papers have been co-authored by master’s students and published in academic journals or presented at conferences as shown in Table 3.1

Table 3.1 Number of Papers Co-Authored by Master’s Students of Model Labs Domestic International Domestic International ID No. Conference * Conference * Journal ** Journal ** B1-1 B1-2 5 B1-3 2 5 B1-4 2 1 B1-5 1 1 B1-6 1 3 1 B1-7 1 B1-8 2 B1-9 1 1 B1-10 3 1

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B1-11 1 1 1 B1-12 1 6 23 3 3 Batch 1 Total 35 B2-1 1 B2-2 1 2 3 B2-4 3 B2-5 1 1 B2-6 1 B2-7 2 1 B2-8 1 1 1 3 B2-9 4 B2-10 B2-11 1 2 B2-12 2 1 8 13 6 5 Batch 2 Total 32 B3-1 1 B3-2 B3-3 1 B3-4 B3-5 B3-6 B3-7 1 B3-8 B3-9 2 1 B3-10 1 B3-11 1 B3-12 1 2 2 7 0 2 Batch 3 Total 11 Batch 1 - 3 16 43 9 10 Total 78 (Note) All papers include master’s students as the first author or a co-author. * Publications in conferences include posters. ** The number of papers in journals includes those submitted but yet to be published (being reviewed). 2) RBE Master’s Program

The PGSO conducted a survey on the situation of RBE at HCMUT at the end of the third year of the Project. This was a part of the first monitoring of RBE activities. The method used for the baseline survey in 2009 was adopted in this survey. . The results of the survey presented the following: - All the researchers who answered the survey questionnaire, who were mostly but not limited to the Project’s model lab leaders, have their own research team or belong to

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somebody else’s research team. - According to the surveyees, students of the RBE Master’s Program decide their own research topic and start researching as a research team member of their supervisor by the end of the second semester. About two thirds of them start their research work right from the first semester. - About 60% of the course (lecture)-based master’s students who belong to a research team also start their thesis work earlier than the third semester. - Most of the researchers have research budget of a few hundred million VND, mainly from HCMUT, VNU and central/local governments. Some answered that they have received research funds from industry.

The results suggest that, compared to the situation at the beginning of the Project, the RBE concepts shown in Fig.3.1 is now better understood especially by the model labs. The number of publications by master’s students, either as the first author or a co-author, suggests that RBE has helped to upgrade HCMUT’s master’s degree holders in terms of their R&D capabilities. 3) Organizational Arrangement by HCMUT

HCMUT has been making efforts to increase the number of students in its RBE Master’s Program since the program’s official commencement in 2007. Table 3.2 shows the progress made in increasing the number between 2007 and 2011.

Table 3.2 Number of RBE Master’s Students at HCMUT 2007 2008 2009 2010 2011

Number of RBE 55 47 83 75 111 Master’s Students

Total Number of 790 753 969 1,087 1,364 Master’s Students

% of RBE Master’s 7.0 6.2 8.6 6.8 8.1 Students

Source: “Postgraduate Study Office”

In order to secure quality students for the Program, increasing the intake of fresh graduates from HCMUT’s bachelor’s programs is recommended. Accepting lecturers of other universities to the Program is also a mission of HCMUT as a resource university. In this regard, the PGSO currently provides scholarships to some of the Program’s students. Additionally, HCMUT now provides researchers with competitive research funds in order to support their RBE activities.

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3.2 Strengthening R&D Capacity for University-Community Linkage: Output 2

3.2.1 Establishment of R&D Promotion Committee at HCMUT As explained in 1.4.2, the R&D Promotion Committee (RDPC) was established at HCMUT as a body responsible for the preparation of long-list of research topics, screening of research proposals, and monitoring and evaluation of R&D activities. The Committee includes members from the ERO, RDPO, PGSO, as well as representatives of the Project’s model faculties (see 1.2.3). In addition, the Faculty of Industrial Management was included in the Committee. The JICA Project Team assisted the Committee with all aspects of the project implementation, including the selection of joint research topics, execution of agreement with the selected joint research team leaders, monitoring of research progress, publication of research papers, application of patent, and settlement of research budget.

3.2.2 Conduct of Needs Survey 1) Process and Objectives

The process of conducting a needs survey is illustrated in Figure 3.2. It is important that research activities are carried out by HCMUT researchers and their partners based on the technical needs of relevant provinces. These research activities should lead to technological invention and contribute to the development of provincial communities.

Source: “JICA Project Team”

Figure 3.2 Process of Needs Survey The objectives of HCMUT in conducting needs surveys are: (1) to learn existing technical problems faced by provinces; (2) to convey the information on these problems to relevant faculties of HCMUT so that they can formulate appropriate research projects to solve these problems, and (3) to help establish and maintain communication channels between HCMUT and provinces. The role of HCMUT as a leading research and education institution in

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southern Vietnam is to produce quality human resources to lead the country’s future and cater to the needs of society, in particular of local industries, through the development of new technologies. 2) Survey Implementation

First Needs Survey In April – May 2009, the first local needs survey was conducted in the target provinces. Staff members representing the External Relations Office (ERO) and Faculty of Industrial Management visited the five provinces to conduct the survey. Through the needs survey, local technical needs were identified and collected, which were made into a long list of potential research topics for Batch 1 of the SUPREM-HCMUT Project. The detailed results of the survey were compiled in the “Needs Survey Report” in October 2009.

Second Needs Survey The second needs survey report, the “Report on Local Technical Needs and Socio-Economic Impact of Joint Research”, was developed in March 2011, aiming at demonstrating the significance of research activities undertaken by the Batch 2 joint research teams from the aspects of local needs and potential socio-economic impact. The report was created using the data and preliminary research findings provided by respective research leaders as well as their local partners in the government and industrial sectors. Third Needs Survey The JICA Project Team and the RDPMO collected relevant information from the Batch 3 joint research leaders and DOST in the target provinces, and developed the third needs survey report, the “Social and Economic Needs Survey Report III”, in March 2012. The report aimed at 1) demonstrating the significance of the newly selected Batch 3 joint research topics from the aspects of local technical needs and potential socio-economic impact, 2) identifying the current research needs proposed by the target provinces for further promoting university-community linkage, and 3) providing recommendations for improving research information management capabilities of HCMUT in order for researchers to better meet community demands/needs. Forth Needs Survey The JICA Project Team and the RDPMO collected research needs from DOST in six non-target provinces in southern Vietnam. The survey demonstrated that research needs also exist outside of the Project’s target provinces. The detailed results of the survey were compiled in the “Social and Economic Needs Survey Report IV” in October 2012.

3.2.3 Implementation of Joint Research Activities (Batch 1) The outline of the Batch 1 joint research activities is described here. The Batch 1 research period was from August 1, 2009 to July 31, 2010. 1) Identification of Potential Joint Research Topics

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Through discussions with representatives of the Department of Science and Technology (DOST), Department of Industry and Trade (DOIT), Department of Natural Resources and Environment (DONRE) and local universities in the five target provinces, 23 research needs/topics were identified (Appendix 12). Since there were only a small number of attractive research topics in the fields of civil and mechanical engineering, the Project requested both civil and mechanical engineering faculties of HCMUT to formulate potential research topics. Ten (10) research topics from the Faculty of Civil Engineering and 12 from the Faculty of Mechanical Engineering were proposed (Appendix 12). As a result, a total of 45 potential research topics were long-listed. 2) Call for Joint Research Proposals

These research topics were then announced to all faculties of HCMUT to call for submission of research proposals. 3) Selection of Joint Research Topics

A total of 27 proposals were submitted. The RDPC carefully evaluated the proposals and presentations given by the applicants, using five evaluation criteria developed by the Project (Appendix 13). In addition, HCMUT’s research policies as well as fair distribution of research topics among the model faculties and target provinces were taken into consideration in selecting research topics. Through discussions, the RDPC and the JICA Project Team decided to select 12 research topics, although the initial plan was to only select seven topics for the first batch of the Project. The research topics of the 27 proposals are listed in Appendix 14. The distribution of the selected topics among the model faculties and target provinces are shown in Appendix 15. 4) Preparation of Detailed Research Plans

The selection results were informed to the leaders of the 12 selected research teams. Then, the teams were requested to submit detailed research plans, including the: 1) expected number of publications and patent applications, 2) expected RBE activities to be carried out by students, 3) schedule of research activities and 4) estimation of research cost. The detailed plans of the 12 research teams are attached in CD-R Appendix IV. 5) Distribution of Joint Research Funds among Twelve Joint Research Teams

Having examined the detailed research plans submitted by the 12 research teams, the RDPC made a decision on how to distribute the available joint research funds. As a result of careful consideration, the 12 research teams were divided into three categories as follows: Category 1: In addition to research funds, the team receives the chance to work with an overseas research partner especially assigned to the team, who will visit HCMUT to support the team’s research activities. Additionally, one of the team members participates in a one-month counterpart training program at the laboratory of the overseas research partner in Japan.

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Category 2: In addition to research funds, the team receives the chance to work with an overseas research partner especially assigned to the team, who will visit HCMUT to support the team’s research activities. Category 3: The team receives research funds. The results of the research fund allocation and categorization are shown in Appendix 16. 6) Identification of Overseas Research Partners

An overseas research partner who shares the same or similar research interests was carefully identified for each of the seven research teams in Category 1 and 2. As a result, five research partners from Kumamoto University (Japan), one from Toyohashi University of Technology (Japan) and one from De La Salle University (the Philippines) were selected as shown in Appendix 16. 7) Preparation of Financial Management Guidelines

The leaders of the research teams were requested to take full responsibility for effectively using and properly managing the allocated research funds in accordance with their detailed research plans. The JICA Project Team prepared the “Financial Management Guidelines” (CD-R Appendix V) to help the leaders with the management. The Guidelines were distributed to all research leaders before the signing of an agreement. 8) Agreement with Joint Research Leaders

An agreement was signed between the JICA Project Team and each of the 12 research team leaders, and witnessed by the Project Manager/Vice Rector of HCMUT. The research funds were sent to the individual bank account of the 12 research leaders in August 2009, soon after the agreement signing was complete. 9) Visits of Overseas Research Partners

Four of the seven overseas research partners visited HCMUT between September and December 2009. They discussed with their HCMUT research partners how to best implement the joint research, introduced their research experience in Japan/the Philippines, and visited their partners’ laboratory and project sites. The reports of their activities are in CD-R Appendix VI. 10) Counterpart Training in Japan

One member from each joint research team in Category 1 (i.e. B1-01, 02, 03 and 04) participated in a month-long training program conducted in Japan as shown in Appendix 9. The main objectives of the training program were to: (i) carry on with joint research activities together with the overseas research partner; (ii) prepare for submission of papers to international conferences/journals, and (iii) obtain first-hand experience on RBE. The trainees worked at the university laboratory of their overseas research partner. 11) Monitoring of Joint Research Activities

The JICA Project Team together with the RDPC assisted the 12 joint research teams by monitoring their research progresses regularly. Monitoring is useful not only for

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understanding the progresses and problems of joint research activities but also for observing how RBE is actually being implemented and what the constraints are, if any. Various issues were discussed with the JR leaders and members including the progress made on research, level/frequency of communication among members and with partners, outputs produced to date, and management of research funds. The monitoring provided the opportunity for face-to-face discussion with the researchers and therefore, minimized the possibility of misunderstandings and facilitated problem resolutions. In particular, it helped to clarify issues related to the use and management of the research funds provided to each research team. 12) Additional Research Funds

As it became clear towards October 2009 that there will be a budget surplus, the JICA Project Team proposed the RDPC to provide additional research funds to the 12 joint research teams. Upon examination of the revised cost estimates submitted by the joint research teams, the RDPC decided to distribute an equal amount of VND50,000,000 to every team. In addition to the funds provided by the JICA Project Team, HCMUT prepared counterpart research funds and disbursed VND 22,000,000 to each research team in October 2009. 13) Development of Guidelines for Joint Research

In order to prepare for and implement joint research activities efficiently and smoothly, the “Guidelines for Joint Research” (CD-R Appendix VII) were developed. The guidelines describe the joint research implementation process and expected activities under the SUPREM-HCMUT Project, including the formulation of joint research topics, introduction of RBE, strengthening of university-community linkage, counterpart training program in Japan and management of research funds. 14) Submission of Activity Report I and II

The first and second Activity Reports were submitted on November 1, 2009 and February 1, 2010 respectively. The reports included such information as research progress, research inputs and outputs, action plans, financial reports on the use of research funds, and problems. The JICA Project Team and the RDPC examined the Reports and provided feedbacks if any corrections were required. 15) Disbursement of Research Funds for Batch 1 Part 2

To support research activities for the second part of Batch 1 (i.e. from May to July 2010), the JICA Project Team disbursed an equal amount of VND 40,000,000 to each of the 12 JR teams. An agreement was signed between the JICA Project Team and each JR leader, which was witnessed by the Project Manager/Vice Rector of HCMUT. 16) Submission of Activity Report III

The third Activity Report was submitted by each JR team on August 5, 2010. The JICA Project Team and the RDPC examined the submitted reports and provided feedbacks if any corrections were required.

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17) Submission of Joint Research Report

After the completion of the one-year research activities of Batch 1, the Joint Research Report was submitted by the JR teams on August 15, 2010. The reports included research objectives, reports on research implementation, inputs, outputs, problems and possible solutions, and future plans on RBE and joint research with local partners. The 12 reports are attached in CD-R Appendix VIII. 18) Overall Achievements of Batch 1 Joint Research Activities

The overall achievements of the joint research activities by the 12 research teams are summarized in Table 3.3 with the following implications: • All research activities were implemented as planned. The research funds provided by the Project were used completely and properly. Seven overseas research partners for B1-01 ~ B1-07 visited HCMUT. Four researchers selected from B1-01 ~ B1-04 participated in a one-month counterpart training program at the laboratory of their overseas research partner in Japan. • All research teams completed the preparation for experiment and/or simulation, implementation of experiment and/or simulation, analysis and paper writing. • Fifty six (56) faculty members, 11 undergraduate students, 29 master’s students and two (2) PhD candidates participated in the Project as joint research members. This implies that HCMUT has started transforming its academic programs into RBE through the implementation of the Batch 1 research activities. • As for the involvement of provinces, other universities and industry, 12 government officers, two (2) university staff and six (6) members from industry participated in the Project as research members. Their participation has accelerated technology transfer to relevant organizations in the target provinces. • Forty four (44) academic papers were presented at international and national conferences, and/or published in journals. • Twenty (20) master theses were prepared and submitted based on the outcomes of the Batch 1 joint research activities. • Three (3) patent applications have already been accepted and filed with the National Office of Intellectual Property (NOIP) in Vietnam. One (1) patent application is currently under review by the NOIP. One (1) application has been withdrawn.

The list of published papers can be found in Appendix 18.

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Table 3.3 Overall Achievements of Batch 1

HCMUT Province Output

Research ID No. topic Thesis Master Paper* Industry University Gov. Office PhD candidate PhD Undergraduate

member Faculty Patent Application** B1-01 Cashew nut 4 2 2 1 1 2 1 B1-02 Latex 6 4 2 5 4 1 B1-03 Flyash 5 9 5 5 2 B1-04 Taxol 5 2 2 1 1 1 1 B1-05 Riverbank 3 1 1 1 1 1 1 B1-06 Bauxite 4 3 2 1 3 2 B1-07 Collagen 5 1 1 1 2 1 1 B1-08 Green house 3 1 2 1 2 2 B1-09 Cherry 3 1 3 2 1 1 B1-10 Fish cage 7 2 2 1 4 2 B1-11 Biogas 8 1 2 2 1 B1-12 Embankment 3 2 1 3 1 Sub-total 56 11 29 2 12 2 6 31 20 5 Total 98 20 Source: Activity Report, JR Report and individual interviews Papers published in international journals/conferences (excluding poster * presentations and domestic journals/conferences.) Total 46 papers. ** Number of patent applciations that obtained the filing date; including those that are waiting for the final acceptance by NOIP or rejected by NOIP. 4 accepted 1 waiting.

3.2.4 Implementation of Joint Research Activities (Batch 2) The outline of the Batch 2 joint research activities, which is basically the same as that of Batch 1, is explained here. The Batch 2 research period was from August 1, 2010 to July 31, 2011. 1) Identification of Potential Joint Research Topics

HCMUT sent a questionnaire sheet to each of the five target provinces in order to identify their problems and technical needs. The responses from these provinces showed that the needs are mostly in the areas of chemical and environmental engineering. The RDPC decided to also include research topics proposed by the Faculties of Civil Engineering and Mechanical Engineering for Batch 1. As a result, the long list for the second batch of the Project consisted of topics categorized into three groups as follows: 1) topics proposed by the target provinces, 2) topics proposed by the Civil and Mechanical faculties, and 3) topics formulated for but unadopted in the first batch. The number of topics in each category was 33, 19 and 12, respectively. The total number of topics proposed for Batch 2 was therefore 64 as shown in Appendix 12. 2) Call for Joint Research Proposals

The long list of proposed research topics was announced to all faculties of HCMUT on March 12, 2010 to call for submission of research proposals by April 5, 2010.

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3) Selection of Joint Research Topics

A total of 19 proposals were submitted. The RDPC carefully evaluated the proposals and presentations given by the applicants. Through discussions, the RDPC and the JICA Project Team decided to select 12 research topics. The topics of the 19 proposals are listed in Appendix 14. The distribution of the selected topics among the faculties and target provinces are shown in Appendix 15. 4) Preparation of Detailed Research Plans

The selection results were informed to the leaders of the 12 selected research teams. Then, the teams were requested to submit detailed research plans. The detailed plans of the 12 research teams are attached in CD-R Appendix IV. 5) Distribution of Research Funds among Twelve Joint Research Teams

The RDPC examined the detailed research plans submitted by the 12 research teams. As the total cost estimated by the 12 research teams in carrying out their proposed research activities was nearly the same as the amount of budget available, every team received the amount they proposed/estimated. The teams were then categorized into two1 groups as follows: Category 1: In addition to research funds, the team receives the chance to work with an overseas research partner especially assigned to the team, who will visit HCMUT to support the team’s research activities. Additionally, one of the team members participates in a one-month training program at the laboratory of the overseas research partner in Japan. Category 3: The team receives research funds. The results of the research fund allocation and categorization are shown in Appendix 16. 6) Identification of Overseas Research Partners

An overseas research partner who shares the same or similar research interests was carefully identified for each of the seven research topics in Category 1. As a result, six research partners from Kumamoto University (Japan) and one from Toyohashi University of Technology (Japan) were selected as shown in Appendix 16. 7) Revision of Financial Management Guideline

The leaders of the research teams were requested to take full responsibility for effectively using and properly managing the allocated research funds in accordance with their detailed research plans. The JICA Project Team revised the “Financial Management Guidelines” which was created at the beginning of the project in 2009, based on lessons learnt from Batch 1 (CD-R Appendix V). The Guidelines were distributed to all research leaders before the signing of an agreement.

1 No research topics in Category 2 for Batch 2 (Category 2: In addition to research funds, the team receives the chance to work with an overseas research partner especially assigned to the team, who will visit HCMUT to support the team’s research activities.)

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8) Agreement with Joint Research Leaders

An agreement was individually signed between the JICA Project Team and each of the 12 research team leaders, and witnessed by the Project Manager/Vice Rector of HCMUT on August 2, 2010. The research funds were sent to the individual bank account of the 12 research leaders on August 3, 2010, soon after the agreement signing was complete. (B2-03 withdrew in mid-course and returned the entire amount of research funds to the JICA Project Team.) 9) Visits of Overseas Research Partners

The seven overseas research partners visited HCMUT between August and September 2010 as shown in Appendix 16. The reports of their activities are in CD-R Appendix VI. 10) Counterpart Training in Japan

One member from each joint research team in Category 1 (i.e. B2-01, 02, 04, 05, 06, 09 and 10) participated in a month-long training program conducted in Japan as shown in Appendix 9. 11) Additional Research Funds

As it became clear towards October 2010 that there will be a budget surplus, the JICA Project Team proposed the RDPC to provide additional research funds to the 11 JR teams. Upon examination of the financial conditions of all the JR teams, the RDPC decided to distribute an equal amount of VND40,000,000 to every team. In addition to the funds provided by the JICA Project Team, HCMUT also prepared counterpart research funds and disbursed VND 40,000,000 to each research team in October 2010. 12) Submission of Activity Report I and II

The first and second Activity Reports were submitted on November 1, 2010 and January 10, 2011 2 respectively. The JICA Project Team and the RDPC examined the reports and provided feedbacks if any corrections were required. 13) Disbursement of Research Funds for Batch 2 Part 2

To support research activities for the second part of Batch 2 (i.e. from April to July 2011), the JICA Project Team disbursed an equal amount of VND 40,000,000 to each of the 11 JR teams. An agreement was signed between the JICA Project Team and each JR leader, which was witnessed by the Project Manager/Vice Rector of HCMUT. 14) Submission of Activity Report III

The third Activity Report was submitted by the JR teams on August 1, 2011. The JICA Project Team and the RDPC examined the submitted reports and provided feedbacks if any corrections were required.

2 The second activity report included the financial report up to January 9 2011. However, to spend the budget provided additionally, the JICA Project Team and JR teams agreed to extend the submission deadline of the final financial report to February 25 2011.

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15) Submission of Joint Research Report

After the completion of the one-year research activities of Batch 2, the Joint Research Report was submitted by the JR teams on August 15, 2011. The 11 Joint Research Reports are attached in CD-R Appendix VIII. 16) Overall Achievements of Batch 2 Joint Research Activities

The overall achievements of the research activities by the 11 research teams are summarized in Table 3.4 with the following implications: • All research activities were implemented as planned. The research funds provided by the Project were used completely and properly. Seven overseas research partners visited HCMUT. Seven model lab researchers were selected and participated in a one-month counterpart training program at the laboratory of their overseas research partner in Japan. • All research teams completed the preparation for experiment and/or simulation, implementation of experiment and/or simulation, analysis and paper writing. • A total number of 94 people (52 faculty members, 15 undergraduate students, 26 master’s students and one (1) PhD candidate) participated in the second batch of the Project as joint research members. This implies that HCMUT continued to transform its academic programs into RBE through the implementation of the Batch 2 research activities. • As for the involvement of provinces, other universities and industry, 26 government officers, two (2) university staff and three (3) members from industry participated in the Project as research members. Their participation has contributed to accelerate technology transfer to relevant organizations in the target provinces. • Thirty one (31) academic papers were published at national and international, and in journals. • Twenty Seven (27) master theses were prepared and submitted based on the outcomes of the Batch 2 joint research activities. • Three (3) patent applications have already been accepted and filed with the NOIP in Vietnam. One (1) application is under review by the NOIP. One (1) application has been withdrawn.

The list of published papers can be found in Appendix 17.

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Table 3.4 Overall Achievements of Batch 2

HCMUT Province Output

ID No. Research topic Thesis Master Paper* Industry University Gov. Office PhD candidate PhD Undergraduate Faculty member Faculty Patent Application**

B2-01 Solar system 9 3 2 2 1 B2-02 Embankment 6 4 7 1 2 2 2 B2-04 Taxol 2 1 1 3 2 B2-05 Tea tree 4 1 2 2 1 2 B2-06 Collagen 3 3 1 1 1 2 4

B2-07 Diatomite 5 2 2 1 1 1 B2-08 Barbados cherry 4 2 2 1 6 2 B2-09 Biogas 8 4 2 1 3 1 Domestic wastewater B2-10 4 2 3 2 2 2 treatment Assessment of B2-11 3 4 2 5 2 6 pollution and treatment B2-12 Wastewater MBR 4 5 3 2 5 2

Sub-total 52 15 26 1 26 2 3 27 27 4 Total 94 31 Source: Activity Report, JR Report and individual interviews

* Papers published in international journals/conferences (excluding poster presentations and domestic journals/conferences.) Total 41 papers. ** Number of patent applciations that obtained the filing date; including those that are waiting for the final acceptance by NOIP or rejected by NOIP. 2 accepted, 2 rejected.

3.2.5 Implementation of Joint Research Activities (Batch 3) The outline of the Batch 3 joint research activities, which is basically the same as that of Batch 1 and 2, is described here. The Batch 3 research period was from August 1, 2011 to July 31, 2012.

1) Long List of Research Topics Video conference meetings with the provincial counterpart organizations were held on December 16-17, 2010, where technical needs of these provinces were provided. The RDPC and the JICA Project Team reviewed these needs and made a long list of potential research topics for Batch 3. The research topics formulated for but unadopted in Batch 1 and Batch 2 as well as topics proposed by HCMUT faculties3 were added to the list. The number of topics in the long list was 77, consisting of 36 from the target provinces, 23 from Batch 1 and 2, and 18 from HCMUT (Appendix 12).

3 The topics proposed by the provinces are mostly in the areas of chemical and environmental engineering. Therefore, the RDPC decided to include topics proposed by the Faculties of Civil Engineering and Mechanical Engineering in the long list for Batch 3. 28 SUPREM-HCMUT Project Completion Report

2) Call for Short Research Proposals All faculties of HCMUT were called for submitting two-page short research proposals by January 15, 2011. They were requested to include the following in their proposals: (1) research topic, (2) research members (leader, faculty members, RBE master’s students and research partners in relevant target province), (3) publications by the leader, and (4) brief explanation of the proposed research (problems to be solved, research plans and expected outcomes).

Non-model faculties were also encouraged to submit short proposals in order to expand joint research activities and RBE at HCMUT as a whole. As a result, a number of researchers from the Faculties of Material Technology, Computer Science and Engineering, and Industrial Management submitted short proposals. Even though some of their proposals were not necessarily related to any of the long-listed topics, they were still accepted.

3) First Selection of Short Proposals A total of 28 short proposals were submitted. The RDPC organized a selection meeting on January 24, 2011. After a careful evaluation of the submitted proposals, 19 research topics/proposals were short-listed for the final selection.

4) Preparation of Guidelines for Batch 3 Joint Research In order to conduct efficient and smooth joint research activities, the “Guideline for Joint Research” was updated for Batch 3 (CD-R Appendix VII).

5) Selection of Joint Research Topics The leaders of the short-listed teams (19 research topics/proposals) were requested to submit a full proposal for the final selection by March 10, 2011. A total of 18 proposals were submitted. The RDPC carefully evaluated the proposals and presentations by the leaders. Through discussions, the RDPC and the JICA Project Team decided to select 12 research topics as planned. The topics of the 18 proposals are listed in Appendix 14. The distribution of the selected topics among different faculties and provinces are shown in Appendix 15.

6) Preparation of Detailed Research Plans The selection results were informed to the leaders of the 12 selected research teams. Then, the teams were requested to submit detailed research plans. The detailed plans of the 12 research teams are attached in CD-R Appendix IV.

7) Disbursement of Research Funds among Twelve Joint Research Teams

The RDPC examined the detailed research plans submitted by the 12 research teams. Based on the budget requested by each research team, the RDPC adjusted and decided the amount

29 SUPREM-HCMUT Project Completion Report

to be allocated to each team. The 12 teams were then categorized into two groups4 in the following way:

Category 1: In addition to research funds, the team receives the chance to work with an overseas research partner especially assigned to the team, who will visit HCMUT to support the team’s research activities. Additionally, one of the team members participates in a one-month training program at the laboratory of the overseas research partner in Japan. Category 3: The team receives research funds. The results of the research fund allocation and categorization are shown in Appendix 16.

8) Identification of Overseas Research Partners An overseas research partner who shares the same or similar research interests was carefully identified for the six research topics in Category 1 (five research partners from Kumamoto University and one from Toyohashi University of Technology) as shown in Appendix 16.

9) Revision of Financial Management Guidelines The leaders of the research teams were requested to take full responsibility for effectively using and properly managing the allocated funds in accordance with their detailed research plans. The JICA Project Team revised the “Financial Management Guidelines” based on lessons learnt from Batch 2 (CD-R Appendix V).

10) Agreement with Joint Research Leaders An agreement was signed between the JICA Project Team and each of the 12 research team leaders, and witnessed by the Project Manager/Vice Rector of HCMUT on July 29, 2011. Upon signing the agreement, the full amount of research funds was disbursed to the individual bank account of the 12 research leaders on July 29, 2011.

11) Visits of Overseas Research Partners The six overseas research partners visited HCMUT between August and September 2011 as shown in Appendix 16. The reports of their activities are attached in CD-R Appendix VI.

12) Counterpart Training in Japan One member from each of the following JR teams participated in a month-long training program conducted in Japan: B3-01, 06, 08, 09, 10 and 12 (Appendix 9).

13) Other Research Funds

HCMUT provided counterpart research funds of VND 40,000,000 on average to each research team in 2011.

4 No research topics in Category 2 for Batch 3 (Category 2: In addition to research funds, an overseas research partner is identified for the team, who will visit HCMUT to support the team’s research activities.) 30 SUPREM-HCMUT Project Completion Report

14) Submission of Activity Report I and II The first and second Activity Reports were submitted by the research teams on November 1, 2011 and January 9, 20125, respectively. The JICA Project Team and the RDPC examined the reports and provided feedbacks if any corrections were required.

15) Submission of Joint Research Report After the completion of the one-year research activities of Batch 3, the Joint Research Report was submitted by the JR teams on August 15, 2012. The 12 reports are attached in CD-R Appendix VIII.

16) Overall Achievements of Batch 3 Joint Research Activities

The overall achievements of the joint research activities by the 12 research teams are summarized in Table 3.5 with the following implications:

• All the research activities were implemented as planned. The research funds provided by the Project were used completely and properly. Six overseas research partners visited HCMUT. Six model lab researchers were selected and participated in a one-month counterpart training program at the laboratory of their overseas research partner in Japan. • All research teams completed the preparation for experiment and/or simulation, implementation of experiment and/or simulation, analysis and paper writing. • Fifty two (52) faculty members, 12 undergraduate students, 33 master’s students and one (1) PhD candidate participated in the Project as joint research members. This implies that HCMUT continued to transform its academic programs into RBE through the implementation of the Batch 3 research activities. • As for the involvement of provinces, other universities and industry, 15 government officers, three (3) university staff and five (5) members from industry participated in the Project as joint research members. Their participation has facilitated or accelerated technology transfer to relevant organizations in the target provinces. • Thirty (30) academic papers were published at national and international conferences, and in journals. • Twenty two (22) master theses were prepared and submitted based on the outcomes of the Batch 3 joint research activities. • One (1) patent application has already been accepted and filed with the NOIP in Vietnam. Two applications are currently under review by the NOIP. The list of published papers can be found in Appendix 17.

5 The second Activity Report included the Financial Report up to January 9, 2011. However, as many teams were yet to finish spending the entire budget, the JICA Project Team extended the spending deadline and required the teams to submit another Financial Report on February 24, 2012. 31 SUPREM-HCMUT Project Completion Report

Table 3.5 Overall Achievements of Batch 3

HCMUT Province Output Patent

ID No. Research topic Paper Master Industry University Planned Gov. Office Undergraduate candidate PhD Faculty member Faculty Thesis (planned) Thesis Application ** Application

B3-01 Embankment 6 4 6 5 1 1 1 1 1 B3-02 Collagen 4 2 3 1 1 1 1 0 4 1 B3-03 Diatomite 5 2 1 1 2 1 B3-04 Fish sauce 4 2 1 1 1 1 1 B3-05 Drying machine 3 2 2 1 0 3 B3-06 Tea tree 6 1 1 1 1 1 1

B3-07 Taxol 4 2 2 1 1 1 1 1 B3-08 Hospital 3 1 1 1 2 Real estate B3-09 6 3 1 1 3 1 management Industrial wastewater B3-10 4 4 2 1 13 treatment B3-11 Biomass Carrier 4 4 1 3 2 1 B3-12 Biogas 3 4 1 3 3 1 Sub-total 52 12 33 1 15 3 5 14 36 3 6 Total 98 23 Source: Activity Report, JR Report and individual interviews * Papers published in international journals/conferences (excluding poster presentations and domestic journals/conferences.) Total 17 papers. ** Number of patent applciations that obtained the filing date; including those that are waiting for the final acceptance by NOIP or rejected by NOIP. 1 accepted, 2 waiting.

3.2.6 Intellectual Property Right Intellectual property management is important for universities in terms of securing financial resources for R&D as well as helping communities and industry to utilize new technologies that universities have developed. HCMUT in cooperation with the JICA Project Team has therefore conducted activities that strengthen the university’s intellectual property management ability throughout the project period.

1) Developing Organizational Management System The RDPMO is the unit responsible for patent applications at HCMUT. However, since patent applications have traditionally been conducted by fund proving organizations such as central/local government and VNU6, the patent application process and regulations had not been clearly understood by HCMUT and its researchers.

6 According to the Vietnamese law, the organization that provides funds for the invention of a technology, such as central/local government, should own the industrial (intellectual) property right to the invention while the profits from the right must be shared with the inventor(s). 32 SUPREM-HCMUT Project Completion Report

The RDPMO therefore made arrangements so that HCMUT can be the applicant and thus owner of the intellectual property rights to inventions developed by the university’s researchers7. Accordingly, the RDPMO prepared guidelines (CD-R Appendix IX) for the JR team leaders as well as other researchers to facilitate patent applications (also see 6)). Application fees and other costs necessary for the examination of inventions (which is carried out by the NOIP Vietnam), and registration and maintenance of patents are borne by HCMUT.

2) Defining HCMUT’s Patent Strategy In order to secure and utilize intellectual property rights in a timely manner, most organizations including private enterprises have their own “patent strategy” to follow. HCMUT has also established a patent strategy that urges researchers to apply for patents before publishing academic papers. The comprehensive flow of actions or “patent strategy” that researchers of HCMUT should follow is shown in Appendix 18.

3) Patent Map Researchers must create their own patent map before starting R&D in addition to searching for academic papers published in the related research field. The purpose is to find whether a specific technology that they are interested in developing is worthwhile and confirm that their R&D produces new values.

In order to disseminate patent mapping to all researchers of HCMUT, the RDPC requested all applicants for the SUPREM-HCMUT Project to attach a patent map of the technology they are interested in developing. The JICA Project Team assisted the RDPMO in preparing a manual for patent mapping (Appendix 19) as well as instructed the applicants how to draw a patent map.

4) Patent Application Based on the outcomes of joint research activities under the SUPREM-HCMUT Project, HCMUT applied for 12 patents as shown in Table 3.6. In Vietnam, it usually takes more than several months to complete the application procedure even after obtaining a filing date in Ho Chi Minh City. This often discourages applicants to proceed with the application process. On the contrary, applications are immediately accepted or rejected in Japan and other developed countries.

As of October 2012, seven (7) applications have been accepted while three (3) are waiting for a final acceptance letter from the NOIP. Two (2) teams have withdrawn their application after long communications with the NOIP. The JICA Project Team assisted HCMUT in requesting the NOIP to examine the inventions whose patent application has already been

7 HCMUT researchers are included as inventors (authors) in patent applications and share the profits from the intellectual property rights to their inventions. 33 SUPREM-HCMUT Project Completion Report

accepted. The Team also encouraged the inventors in patiently pursuing the complete process until their patent application was accepted.

5) Utilization of Intellectual Property Rights HCMUT has so far only gone through the patent application process and is yet to experience the utilization of acquired intellectual property rights. In this regard, the JICA Project Team assisted HCMUT in drafting internal agreements and regulations necessary for any utilization of the university’s intellectual property rights. The Team also encouraged the inventors to promote their inventions to industry so that profits can be made and shared with them. Additionally, Kumamoto University dispatched an expert of intellectual property rights to work at HCMUT for several days per year during the project period in order to assist the university.

34 SUPREM-HCMUT Project Completion Report

Table 3.6 List of Patents Applied For (as of October 2012)

Curent Situation of Model Lab Research Topic Name of Invention Filing No. Filing Date Patents Semi-automatic cashew nut shell cutting Accepted on B1-01 Thiết bị tách vỏ cứng hạt điều 1-2010-01249 17-May-10 machine 31-May-2011

Anaerobic PVA-Gel carrier process followed by swim-bed B1-02 Latex processing wastewater treatment ANNAMOX process using non-woven polyester carrier for 2-2010-00280 17-Dec-10 Waiting latex processing wastewater treatment

Collagen extraction from waste of fishery Method of extracting collagen from skins of Pangasius Accepted on B1-07/B2-06 1-2010-03347 14-Dec-10 processing Hypophthamus fish 28-Sep-2011

Method for Acerola (Malpighia Emarginata ) mash Accepted on B1-09/B2-08 Barbados cherry juice processing 1-2010-01055 27-Apr-10 treatment by ultrasound in Acerola juice 31-Mar-2011

Power generation system by internal combustion Biogas-fueled power generation system using smart 2-2-10-00289 B1-11/B2-09 24-Dec-10 Withdrawn engine using biogas electronic speed controller (Utility solution)

Preparation of Filter Aids Based on Lam-Dong’s B2-07 Phương pháp xử lý Diatomite để sản xuất chất trợ lọc 1-2011-01176 9-May-11 Withdrawn Diatomite

Study on low cost decentralized domestic Công nghệ xử lý nước thải sinh hoạt bằng phương pháp Accepted on B2-10 wastewater treatment technology for household 2-2011-00099 17-May-11 giá thể di động (Moving bed biofilm reactor - MBBR) 30-Mar-2012 and small community

Study on low cost decentralized domestic Phương pháp xử lý nước thải sinh hoạt bằng đất ngập Accepted on B2-10 wastewater treatment technology for household 2-2011-00100 17-May-11 nước kiến tạo(constructed wetland) 12-Sep-2012 and small community

Extraction of Taxol and 10- DEACETYLBACCATIN III from Red pine (TAXUS Quy trình chiết PACLITACXEL và 10-DAB từ cây Thông đ Accepted on B1-04/B2-04 WALLICHIANA ZUCC) to apply in pharmaceutical 1-2011-00678 14-Mar-11 ỏ Taxus Wallichiana Zucc 12-Aug-2011 field to produce medicine against cancer: Kinetics, Mathematical modeling and scale-up

Study on fish sauce technology from the wastes Quy trình sản xuất nước chấm từ phế liệu của quy trình B3-4 1-2012-01603 8-Jun-12 Waiting of fishery processing plant sản xuất phi lê cá Tra (Pangasius hypophthalmus) Study on purification of terpinen 4-ol from tea tree Accepted on B3-6 raw essential oil in pilot scale for pharmaceutical Quy trình tinh chế Terpinen 4-ol từ tinh dầu Tràm Trà 1-2012-01572 20-Sep-12 20-Sep-2012 application Giải pháp và bộ chuyển đổi động cơ diesel thành động cơ Development Appropriate Technology for High- B3-12 sử dụng nhiên liệu khí sinh học hoàn toàn cho mục đích 2-2012-00193 27-Aug-12 Waiting performance Biogas-based-Diesel Engine phát điện 35 SUPREM-HCMUT Project Completion Report

6) Patent Guidelines The RDPMO in cooperation with the JICA Project Team developed a comprehensive booklet (CD-R Appendix IX) that explains: what a patent strategy is; why universities need to follow it; how to draw a patent map; how to apply for a patent, and how to utilize intellectual property rights. HCMUT has distributed the booklet on various opportunities in order to share the information and know-how with universities, communities and government in southern Vietnam.

3.3 Promotion of Academic Cooperation among Higher Education/Research Institutes: Output 3

3.3.1 Research Group-Based Cooperation The cooperation between HCMUT and provinces was gradually strengthened through the participation of provincial researchers in the joint research activities of the SUPREM-HCMUT Project. Twenty (20), 31 and 23 provincial researchers participated in the Batch 1, 2 and 3 joint research teams, respectively. These researchers were from government offices, local universities and industry.

3.3.2 Joint Research Activities with Provincial Partners at HCMUT Based on a request from the target provinces made during Batch 1, the Project introduced joint research activities with direct involvement and participation of provincial partners from Batch 2 in order to accelerate technology transfer to the provinces. Each team had opportunities to invite their provincial partners to work in their laboratory for 30 to 40 days. The participation of these provincial partners during Batch 2 and 3 is shown in Appendix 20.

3.3.3 Academic Cooperation with Other Universities The project activities have also expanded to other universities in the target and non-target provinces. For example, the RBE Seminars held at HCMUT on June 24, 2011 and December 1, 2011 received 19 participants from seven (7) universities and 12 participants from six (6) universities, respectively.

3.3.4 Cooperative Relations with Foreign Companies In order to develop cooperative relations with Japanese companies for joint research and use of research outcomes, the JICA Project Team, in cooperation with the ERO as well as other relevant offices of HCMUT, tried to identify appropriate partners. The results or progresses are summarized as follows:

1) NIDEC-TOSOK (Vietnam)

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The company started manufacturing in Dong Nai province in 1994 and currently has 3,600 employees. The main products are automobile parts such as control valve systems for AT and CVT, spool valves, solenoid valves, and stepping motor. They are planning to shift their R&D activities from Japan to Vietnam gradually, for which they expect HCMUT to be a partner institute for conducting joint research activities and a supply source of high quality engineers.

Cooperative activities such as factory visits by faculty members and students, lectures by the company’s engineers have taken place. Also, the company has recruited over 15 graduates from the Faculty of Mechanical Engineering of HCMUT in 2012.

As for the initiatives for joint research, a research topic was first proposed by NIDEC-TOSOK. Through a series of discussions, a joint research proposal titled “Study the influence of physical parameters to the hysteresis of linear solenoid valve” was drafted and submitted by HCMUT. After both parties agreed with the research plans and signed a “Confidential Agreement”, the joint research between the company and university started in 2012.

2) Tenox Kyushu Corporation The company works in Vietnam on project basis in the field of soil foundation improvement. They showed their interest in B2-02/B3-01 and decided to join the team in drafting a research proposal for the Collaborative Research Program with Industry (CRI) under the AUN/SEED-Net Project and provide counterpart budget, which amounts to 20% of the research grant. The proposal was selected and joint research commenced in October 2011.

3) Kokusai Kogyo Co., Ltd. It is the leading company in the field of geospatial information technology in Japan and has provided their professional services in over 100 countries for 40 years. The company has shown a strong interest in the research on digital mapping by B3-09. In this regard, the leader of B3-09 visited the company in March 2012 and in return the company dispatched a mission to HCMC in June 2012 to discuss possible cooperation and joint research. The company has shown their willingness to provide counterpart budget, which amounts to 20% of the research grant of the CRI under the AUN/SEED-Net Project.

3.4 Recognition of the Project Activities: Output 4

3.4.1 RBE-Related Activities The activities of the Project have gradually become known among other (non-target) provinces in southern Vietnam. For example, several universities from non-target provinces attended the RBE seminars organized during the project period.

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3.4.2 Joint Research Activities Through the implementation of 35 one-year joint research activities during Batch 1, 2 and 3 of the Project, a total of 74 provincial researchers participated as JR team members. Also, a number of workshops and seminars were held during this period, inviting members from government offices and universities in both target and non-target provinces, and industry (for example, a seminar on the embankment research organized by B2-02/B3-01 on March 9, 2012 received a total of approximately 240 participants including 91 from non-target provinces and 111 from industry). As a result, the project activities have become widely recognized in southern Vietnam.

3.4.3 Public Relations In order to promote project activities, the Project distributed project pamphlets, newsletters (six issues) and monthly mail magazines (11 issues) to relevant organizations and individuals during the project period.

Furthermore, in order to provide up-to-date information such as upcoming events and recent news on joint research activities, the Project maintained a website at http://www.jica.hcmut.edu.vn/suprem/, which provides various resources for download, including guidelines, reports and forms.

3.5 Expanding Research Activities The Project encouraged and supported HCMUT researchers to apply for and obtain research funds from various sources for sustainability and expansion of their research activities and therefore RBE. The “Guidelines for Strengthening Research Partnerships with Provinces, Industry and Other Universities” were developed based on the lessons learned through the project activities as shown in CD-R Appendix X. The following are some examples of research funds successfully obtained by the Project’s JR teams:

3.5.1 DOST The JR team leader of B1-02/B3-10, together with his research partner, the Institute of Vietnam Rubber Research, obtained a research fund of VND1.3 billion from the DOST in Binh Duong. The research topic is "Set-up of regulation on effluent quality standards for latex processing industry and husbandry farms for irrigation reuse for rubber tree farms", which was formulated based on the experience and results of the SUPREM-funded research activities.

3.5.2 National Fund for Science and Technology Development (NAFOSTED) The JR team leader of B2-12 successfully obtained a research fund of VND 280 million from the NAFOSTED. His proposed topic is "Application of wetland roof for domestic wastewater treatment: a solution for mitigating effects from climate change", which was formulated based on

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SUPREM-HCMUT Project Completion Report the experience and results of the SUPREM-funded research activities.

In addition to B2-12, HCMUT was granted funds for three (3) more research topics by the NAFOSTED in 2011. This is an achievement considering only one research topic from the university received funding in 2010.

3.5.3 Potential Researchers’ Fund The Ministry of Science and Technology (MOST) has a research fund scheme for young researchers called “Potential Researchers’ Fund for Young Researchers under 43 Years Old”. The number of research topics granted funds in Vietnam was 28 in 2011, out of which 10 was from southern Vietnam. Five (5) out of the 43 research proposals submitted by HCMUT researchers received a grant in 2011. The JR leaders of B2-02/B3-01 and B2-07/B3-03 were among the successful.

3.5.4 AUN-SEED Net (1) Collaborative Research Program with Industry (CRI) The JR team leader of B2-02/B3-01 obtained a research fund of US$ 42,500 from the CRI under the JICA-funded AUN-SEED Net Project. Coordinated by Prof. Otani of Kumamoto University who was an overseas research partner of the team, a new joint research team was formed to apply for the fund. The joint research team included Prof. Kitazume of Tokyo Institute of Technology, Prof. Otani and Tenox Kyushu Corporation. The research proposal was prepared based on the experience and results obtained by B2-02 and B3-01 under SUPREM.

The JR team leader of B1-06 also obtained a research fund from the CRI. His research topic is “Producing of pigment 3 compositions M1M2Al2O4 (M1, M2: Co, Ni, Cu, Fe) at low temperature through metallic organic complex compound." Dong Paint Stock Company was chosen as the research partner.

(2) Special Research Program for Alumni Members (SRA) In addition, four (4) AUN-SEED Net alumni at HCMUT obtained research funds from the SRA under the AUN-SEED Net Project. The budget is US$ 25,000 per research topic.

3.5.5 Research Agreements with Korean Companies HCMUT signed six (6) research agreements with POSCO (formerly Pohang Iron and Steel Company) in 2011. The research budget was US$ 30,000 per agreement. HCMUT screened 14 out of the 40 research proposals submitted. POSCO selected six (6) proposals in the end.

In addition, HCMUT signed two (2) research agreements with Samsung Group. The research

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SUPREM-HCMUT Project Completion Report budget was US$ 30,000 per agreement.

3.6 Follow-Up of Four Pilot Projects Undertaken in Phase 1 In order to follow up the four pilot projects undertaken in Phase 1, and support HCMUT and relevant organizations in the provinces, the JICA Project Team monitored the projects throughout the duration of the Phase 2 Project.

1) Research on Production of Essential Oil from Melaleuca Trees The assembling of all machines in the workshop in Tien Giang province was completed and the operation technicians were recruited. A melaleuca-related joint research was implemented by a Batch 2 model lab. One of the model lab members conducted research at Toyohashi University of Technology (TUT) under the JICA counterpart training program.

The objectives of the joint research conducted by the Batch 2 model lab were to: i) find the optimized conditions of the large-scale process; ii) develop value-added commercial products, taking into consideration the needs of local and/or Japanese companies, and iii) conduct further separation of extracted products in order to add more values to the final products.

2) Research on Optimization of Cacao Fermentation for Improvement in Cacao Grain Tien Giang province now produces fermented cacao beans, utilizing the technology developed by the Phase 1 Project, and exports them to Europe. Due to the increasing demand for export of cacao, the People’s Committee of Tien Giang province has approved the plan to expand the existing cacao cultivation area by 1,000ha, of which 300ha (158,000 trees) have already been expanded in 2010.

The effort to further improve the quality of cacao beans produced in Tien Giang has led to several projects being carried out by the DOST in Tien Ginag with support from various organizations. One such example is a cooperation project by ACDI/VOCA (a US-based Non-Governmental Organization (NGO)) and the DOST, aiming at ensuring quality control over post-harvesting activities and improving fermentation techniques. Every month, the DOST receives a 2kg sample of fermented seeds from farmers to analyze their components and determine the quality criteria. Another example is a project by Helvetas (a Swiss-based NGO) and the DOST, which has started in 2010 and will continue until 2014, also to ensure quality control over the production process in accordance with international certification programs such as UTZ CERTIFIED.

3) Development of Treatment Methods of Contaminated Water from Aquaculture Ponds Ten (10) sets of aerators were installed in a 25ha fish farm located in the Vinh Thanh community of Long Xuyen City, An Giang province in July 2009. This indicates that the water treatment methods developed by the Phase 1 Project have been disseminated in the

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local aquaculture industry.

4) Research and Manufacturing of Basa Fish Filleting Machine to Replace Manual Processing The Nam Viet Corporation, a leading fish processing company in An Giang province, has recognized the quality of the filleting machine developed by the Phase 1 Project. However, as there is a sufficient supply of workers, the company has not yet decided whether to introduce and utilize the machine.

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4. PROJECT ACHIEVEMENTS

4.1 Results of Terminal Evaluation The JICA Terminal Evaluation Team was dispatched to evaluate the performance of the SUPREM-HCMUT Project from June 12 to 22, 2012. After a careful evaluation analysis of the data and information collected, the Evaluation Team made assessments on the project performance, achievements and implementation process by using the five criteria in Table 4.1.

Table 4.1 Five Criteria of Evaluation Criteria Result 1 Relevance Very high 2 Effectiveness High 3 Efficiency High 4 Impact High 5 Sustainability Partially attained but with remaining challenges and concerns

Based on the assessments, the Evaluation Team drew the following conclusions:

• As a result of HCMUT’s work on RBE and implementation of university-community linkage activities under the supervision of the Japanese experts, the expected outputs have been produced and it is considered that the project purpose will be achieved towards the end of the project period. • Favorable research environment has been gradually developed in HCMUT while greater efforts need to be made in securing research funds, and providing financial support to and creating motivation among researchers and students. HCMUT has been recognized as a model research university, carrying out research and development in response to the needs of the society with successful introduction of RBE. • The Project has successfully been implemented without any major or critical problems and will mostly achieve its expected outputs by the end of the project period. The prospect of achieving the project purpose is evaluated high, thus, it is concluded that the Project will be terminated as stipulated in the Record of Discussions (R/D).

4.2 Project Achievements Based on Project Design Matrix (PDM) The project achievements based on the PDM are summarized in Appendix 21. The major achievements are described below:

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SUPREM-HCMUT Project Completion Report

4.2.1 Achievement of Project Purpose The achievement of the project purpose is summarized below:

Table 4.2 Achievement of Project Purpose

Project purpose: Education and R&D capacity of HCMUT for promotion of university-community linkage is strengthened.

a) Requests from local Research needs surveys were conducted every year provinces in the southern during the Project period. region to solve their technical problems are annually collected.

b) At least 5 topics related to Based on the surveys above, 12 model laboratories for the above requests every year the first, 11 for the second and 12 for the third batch are selected in HCMUT and were selected. Each model laboratory carried out joint concerned local member research on a specific topic together with researchers of institutions for promotion of partner provinces and industries. local development.

c) More than 30% of R&D According to interviews with relevant HCMUT offices, activities carried out by 30% of all the research activities at the university have researchers from HCMUT been conducted under SUPREM with the aim of and related local member contributing to local community development. institutions have relation to Considering some of the non-SUPREM researches (the local development activities. remaining 70%) also aim to contribute to community development, it can be said that more than 30% of the R&D activities carried out at HCMUT are community development-related.

d) Number of patents applied Before SUPREM, there was no patent application increases. directly filed by HCMUT. Through the Project, however, a total of ten (10) patents were applied by HCMUT based on the 35 research outcomes. There are, however, some model laboratories that chose publication of their research results in conferences and journals over patent application from the viewpoint of promoting RBE.

e) Number of R&D related 44, 31 and 33 research papers were presented at papers/reports published in international/domestic conferences and published in international/local journals international academic journals by the first, second and increases. third batch model laboratories accordingly.

Overall achievement: It is considered that the project purpose was achieved.

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SUPREM-HCMUT Project Completion Report

4.2.2 Achievement of Overall Goal The achievement of the Project’s overall goal is summarized below:

Table 4.3 Achievement of Overall Goal

Overall goal: HCMUT becomes the core university to promote local development in the southern part of Vietnam.

a) At least one of the local member Through the participation of researchers from institutions of each province in partner provinces in joint research activities at the southern part of Vietnam and HCMUT, technology transfer from HCMUT to HCMUT has certain roles to local communities has become possible. There promote local development. have been some cases in which partner provinces try to actively utilize the outcomes achieved through such activities.

b) University-community linkage 12, 11 and 12 university-community linkage activities are carries out in a wider activities (or joint research activities) were carried scale in terms of the number of out during the first, second and third batches of university-community linkages the Project, respectively.. (more than five (5)) and/or the number of cooperating local provinces/communities in the southern part of Vietnam.

c) Local related people recognize In addition to the activities mentioned above, the that HCMUT and related local research outcomes from the first, second and third member institutions promote local batches of the Project have been shared at development in the southern part seminars organized in partner provinces. of Vietnam. Members of local government offices, universities and enterprises participated in these seminars where they became aware on the contributions made by HCMUT.

Overall achievement: It is considered that the overall goal will be achieved in near future, if HCMUT will make efforts to maintain and further expand the current activities.

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5. LESSONS LEARNED AND RECOMMENDATIONS

5.1 Lessons Learned The lessons learned through implementing the Project are summarized in Table 5.1.

Table 5.1 Lessons Learned Overall

The basic strategy to establish a sustainable system founded on a triangular relationship and synergetic effect of regional development, R&D and RBE is effective to build capacity to strengthen university-community linkage.

The joint research among HCMUT, overseas and domestic universities, provinces and industry accelerates to strengthen research capabilities of researchers involved.

RBE

Researchers of HCMUT had many reasons why they cannot implement RBE, meaning they do not conduct qualified research since there is no time and money for them to do so. After experiencing RBE and obtaining remarkable outputs such as international publication and patent applications, researchers are happy to use more time for research and aggressively searching accesses to research funds in order to continue producing high quality research outputs.

Good experiences of model labs have changed the research culture, although little by little. It is important that universities involve and keep encouraging persons who are motivated but had been hesitating to introduce RBE due to the lack of information on methods or practical ways, when first introducing RBE.

RBE can be implemented by researchers without drastic changes of curricula and/or organizational arrangements. RBE is an issue for researchers, directly related to their continuously-upgrading research outputs. Sharing this understanding is another key for successful introduction.

RBE for master’s programs is that researchers conduct research with his/her research team members, including master’s students, and assist his/her master’s students in producing a thesis based on their research outputs from an early stage of the study. Monitoring the progress of master thesis writing and/or paper publication is indispensable for an institution that aims at enhancing RBE and upgrading research capabilities.

Competitive research funds can be used by universities for motivating researchers to implement RBE, if the fund is provided based on research outputs of researchers and master’s students. Organizational support for researchers’ research activities is the fundamental issue for sustainable RBE.

An RBE research team is a family. Keeping contacts with alumni of the research team benefits both researchers and students in terms of obtaining information such as

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potential research topics, research funds, advanced information on technologies, and job opportunities. Nurturing such team atmospheres is also anticipated through RBE.

University-Community Linkage

The most critical issue for the HCMUT researchers is to acquire research fund. Through the Project, the researchers learned that frequent communication with fund suppliers or establishment personal relations is one of the most important key factors.

In order to formulate attractive research topics and to acquire research funds, it is critically important for HCMUT researchers to learn and discuss research needs from provinces, industry and other universities.

The provinces know technical problems, but don’t know relevant state-of-the-art technologies. The HCMUT researchers are expected to help DOSTs by providing the most suitable and applicable technological solutions.

There exist the needs for provincial researchers in both public and private sectors to participate in short-term training or degree-courses at HCMUT.

The industry wants to acquire up-to-date practical technologies to help produce higher quality/value added products and improve productivities, while the HCMUT researchers have more academic research interests. The mutual understandings are needed before starting researches.

The industry wants to establish relationship with HCMUT for facilitating staff recruitments, in particular potential researchers which can be only identified through implementing joint researches.

The foreign universities want to increase the opportunities to formulate unique research topics through cooperation with overseas researchers and utilization of resources which are otherwise unavailable domestically. Unique research topics formulated together with overseas researchers will increase the chance of obtaining international research funds

The foreign universities intend to build the foundation for expanding overseas or developing new markets (recruitment of prospective students, university branding, etc.). In addition, the foreign universities have a mission to internationalize their universities through active academic exchanges with HCMUT and other Vietnamese universities. On the other hands, HCMUT has more chances to acquire the latest research technologies through academic exchange program such as joint research. So, there exist mutual benefits between both parties.

Other

A strong motivation of C/P to achieve the goal and become a research university is the most vital engine of the Project.

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SUPREM-HCMUT Project Completion Report

5.2 Recommendations HCMUT has successfully completed the SUPREM-HCMUT Project with significant outputs as described in this Report. Through the Project, HCMUT has started transforming its traditionally lecture-oriented master’s courses into more research-oriented ones or “Research Based Education (RBE)”.

However, as RBE has only been introduced to individual labolatories (small scale) as opposed to the university as a whole (large scale), it can be said that HCMUT is still halfway along the path to becoming a “research university”. Similarly, more time is needed for HCMUT to establish itself as a “resource university” that is capable of supplying competent human resources for the development of southern Vietnam.

In this regard, recommendations are summarized below in order for HCMUT to continue generating significant impacts on local communities in southern Vietnam through R&D and ultimately become a research and resource hub in the region (see Figure 5.1).

Goal

The ultimate goal is for universities in southern Vietnam to become research universities and provide technological solutions to problems faced by local communities. To achieve this goal, HCMUT transforms itself into the research and resource hub in the region.

Approaches

1) To define a “research university”

There is no specific definition of a “research university” available in Vietnam. As a potential model research university, HCMUT should define what a “research university” is, develop institutional settings in such a way that the university can function as a research university, and increase the public awareness of the meaning and roles of a research university.

2) To follow a holistic strategy for becoming a research university

Researchers should keep conducting research activities and securing sufficient research funds through collaboration with communities and industry. Once research outputs are produced and the results are well recognized by the public, there will be increased access to research funds, resulting in upgraded RBE or research capabilities. This in turn will produce high quality human resources (with a RBE Master’s degree) capable of actively contributing to academic and industrial development of southern Vietnam.

3) To support and keep researchers motivated

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SUPREM-HCMUT Project Completion Report

HCMUT’s strategy needs to be put in practice by its researchers if the university aims at becoming a research university. In order to continue and sustain RBE as described in 1), HCMUT should provide researchers with incentives not limited to financial benefits. For example, the university can give priority to those who have successfully produced significant and highly acclaimed research outcomes in the process of selecting fund recipients. In the meanwhile, supporting researchers without notable research results or success in obtaining research funds is indispensable for HCMUT in achieving its long-term goal of becoming a research university.

4) To continue promoting the outcomes of the Project through the utilization of information and communication technology (ICT)

Under the SUPREM-HCMUT Project, information was distributed to relevant or interested parties through the project website, mail magazines, newsletters and e-mails. The use of ICT contributed to smooth and efficient operation as well as effective promotion of the Project. HCMUT should continue utilizing ICT to promote the outcomes of SUPREM-HCMUT even after the project’s completion.

5) To keep transparency of all activities

In regard to motivating researchers, transparency of decision makings, including selection of research fund grantees, is indispensable. It is needless to mention the necessity for transparency of the university management system as a whole.

Strategies

The strategies for achieving the goal can be summarized as follows:

(1) Make a full use of lessons learned from SUPREM-HCMUT in regards to further developing RBE and university-community linkage

(2) Strengthen university-public-industry partnerships by carefully matching research needs, finding suitable researchers from each sector and securing funds

(3) Take a comprehensive and systematic approach to transforming HCMUT into a research university

(4) Enhance the university’s organizational structure namely, research management system, and information and communication networks

(5) Collaborate with universities in southern Vietnam and establish HCMUT as their core resource university responsible for supplying competent human resources

(6) Implement joint research activities with researchers from overseas and domestic universities, partner universities, provinces and industry

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SUPREM-HCMUT Project Completion Report

(7) Secure research funds from governmental institutions such as MOST, DOST, NAFOSTED and other ministries

Action Plans

Five action programs are recommended:

(1) Information and communication networks to be strengthened among stakeholders.

 HCMUT should establish information and communication networks among the VNU, Japanese supporting universities, Vietnamese partner universities, the DOST, the MOST, other relevant ministries, potential research fund suppliers, and domestic and international companies.  HCMUT should develop a human resource database of HCMUT researchers and representative of all relevant organizations.  HCMUT should establish an efficient communication system with the use of websites, e-mails and video conference facilities.

(2) Research Based Education (RBE) to be introduced to and adopted by every faculty in order for HCMUT to become a research university.

 HCMUT should prepare qualification standards to be a research university.  HCMUT should develop strategies and approaches to becoming a research university  HCMUT should develop overall implementation plans to introduce RBE to every HCMUT faculty.  HCMUT should secure sufficient budget for implementing the plans.  HCMUT should transfer its know-how to other universities in southern Vietnam.

(3) The research quality at HCMUT to be upgraded.

 HCMUT and partner universities should identify research needs together with the DOST and industry.  HCMUT researchers should conduct and enhance joint research activities with researchers from overseas universities, partner universities, provinces and industry.  HCMUT should encourage researchers and students to develop theses, publish papers and apply for patents based on joint research outcomes.

(4) The R&D support system at HCMUT to be enhanced in such a way that researchers can easily receive assistance and guidance as needed, and it gives researchers incentives to start or continue their research activities.

 HCMUT should strengthen the functions and capabilities of the External Relations Office and the R&D Project Management Office.  HCMUT should develop financial guidelines for research activities.

49

SUPREM-HCMUT Project Completion Report

 HCMUT should conduct seminars to support researchers in identifying research needs, forming research teams, preparing proposals, seeking financial sources, preparing academic papers and applying for patents.

50

SUPREM-HCMUT Project Completion Report

Figure 5.1 Capacity Building of HCMUT as a Prospective Research and Resource Hub in Southern Vietnam

51

Appendix 1

Record of Discussions

Appendix 2

Minutes of Meeting

Appendix 3

Project Design Matrix

Appendix 4

Plan of Operations

Appendix 5

Overall Work Flow Work Flow

1st Year 2nd Year 3rd Year 4th Year Year FY2009 FY2010 FY2011 FY2012 Month 345678910111212345678910111212345678910111212345678910

Activities in Development of Japan implementatio

Discussion on Inception Report JCC JCC JCC Final erall JCC meeting v meeting meeting meeting Seminar Ov Inception Report SeminarSeminar Development of guideline on RBE Development of guideline on Seminar on RBE RBE model based f from ff hh Workshop on Preparation for TV RBE conferencing Workshop on RBE

Preparation of Research forum UT is transformed r course program o r course program implementation plan for RBE ng based to researcn ee i MM Implementation of RBE Development of action plan of RBE Implementation of RBE at model laboratories Introduction of RBE Introduction of RBE Output (1) Mast faculties in HC classroom-learni education d ee Establishment of Preparation of R&D report R&D promotion committee Preparation of R&D report

Needs survey in 5 provinces Preparation of R&D nkage is strengthenn i report

Selection of R&D topics to be continued every year and groups Application and registration for patent

Preparation for patent application ersity-community li etname i v Development of detail Preparation for patent application plan for R&D

Implementation of R&D activities Implementation of R&D activities Implementation of R&D activities Implementation of R&D

Activities in Vi Activities in activities D capacity for univ && Promotion of research outcomes Promotion of research outcomes to community Promotion of research outcomes to community

Presentation at academic conferences and journals Presentation at academic conferences and journals Presentation at academic Output (2) R in HCMUT

Establishment of arch gg e Inter-university inter-university Inter-university Inter-university

r coordination f coordination coordination es to

l committee committee committee committee art o ro p b

u Staff exchange Staff exchange Staff exchange h program program program as h T nity linkage amon southern institutions and resei c cooperation foc uu UU i e HCM )

3 Participation of members from local member institutions in R&D activities Participation of members from local member institutions in R&D activities

( Participation of members from local member institutions in R&D activities Output promote academi university-comm higher education institutions in the

Promotion of guideline on university-community linkage Revision of guideline on university- Revision of guideline on university- Revision of guideline on university- community linkage community linkage community linkage

Development of database on university- Development of database on university- Development of database on university- community linkage and R&D activities community linkage and R&D activities community linkage and R&D activities s by HCMUT to s by HCMUT lopment in thel e etnam are well ee Workshop on e Workshop on Workshop on university- university- community linkage university- community community linkage linkage

Follow-up of the four pilot projects undertaken in Phase 1 Follow-up of four pilot projects undertaken in Phase 1 Output (4) Activiti deve local promote southern part of Vi recognized

PR/R (4) Reports IC/R PR/R (1) PR/R (2) PR/R (3) PR/R (5) PR/R (6) Project Completion Report 2nd Year Completion 1st Year CliCompletion Report 4th Year Report 3rd Year Completion R&D Report (1) R&D Report (2) Report R&D Report (3) Completion Other OutputsOutputs Guideline on university- Report Guideline on university- Guideline on university- community linkage (2) community linkage (1) Guideline on RBE (1) community linkage (3) Guideline on RBE (2)

Appendix 6

List of JICA Experts Assigned for the Project

Position / No Name Team Members’ Input Field of Expertise 19/04/09-23/04/09 (5 days) 09/06/09-13/06/09 (5) 25/07/09-31/07/09 (7) 05/09/09-12/09/09 (8) 24/12/09-30/12/09 (7) 11/05/10-15/05/10 (5) 22/05/10-28/05/10 (7) 22/07/10-31/07/10 (10) 23/08/10-01/09/10 (10) 01/12/10-03/12/10 (3) 26/12/10-14/01/11 (20) Dr. Tsuyoshi USAGAWA 17/01/11-21/01/11 (5) 1 Team Leader 15/05/11-21/05/11 (7) 23/06/11-25/06/11 (3) 24/08/11-30/08/11 (7) 11/09/11-17/09/11 (7) 06/11/11-11/11/11 (6) 21/12/11-31/12/11 (11) 08/01/12-13/01/12 (6) 26/02/12-29/02/12 (4) 02/05/12-05/05/12 (4) 17/06/12-30/06/12 (14) 25/09/12-07/10/12 (13) 30/10/12-03/11/12 (5) 06/04/09-20/05/09 (45) 19/07/09-08/08/09 (21) 06/09/09-27/10/09 (52) 22/02/10-15/03/10 (22) 20/07/10-04/09/10 (46) Deputy Team Leader / 15/12/10-27/01/11 (44) 2 University-Community Mr. Toru ISHIBASHI 14/02/11-15/03/11 (30) Linkage Activities 26/04/11-25/05/11 (30) 25/07/11-07/09/11 (45) 26/11/11-14/01/12 (50) 05/02/12-15/03/12 (40) 16/05/12-29/06/12 (45) 30/08/12-13/10/12 (45) 11/04/09-23/04/09 (13) 06/06/09-19/06/09 (14) 29/08/09-13/09/09 (16) 24/11/09-30/12/09 (37) 10/05/10-29/06/10 (51) Deputy Team Leader / Ms. Kyoko NAKANO 3 19/07/10-27/08/10 (40) Research Based Education 08/09/10-12/10/10 (35) 18/11/10-21/12/10 (34) 05/01/11-29/01/11 (25) 08/05/11-21/05/11 (14) 22/06/11-30/07/11 (39) 15/08/11-29/09/11 (47) 06/11/11-07/12/11 (32) 17/06/12-07/07/12 (22) 23/09/12-16/10/12 (24) 06/04/09-15/05/09 (30) 03/06/09-27/06/09 (25) 24/01/10-06/02/10 (15) 4 Socio-Economic Survey Ms. Yoko SATOMI 01/03/10-09/03/10 (10) 27/06/10-04/07/10 (8) 06/10/10-27/10/10 (22) 14/02/11-15/03/11 (30) 06/09/09-13/09/09 (8) 22/08/10-28/08/10 (7) 09/01/11-13/01/11 (6) 5 Intellectual Property Dr. Norio IRIGUCHI 28/08/11-03/09/11 (7) 04/01/12-10/01/12 (7) 30/09/12-04/10/12 (5) 03/09/09-10/09/09 (8) 6 Overseas Research Partner Dr. Kenji FURUKAWA 15/09/10-21/09/10 (7) 18/09/11-24/09/11 (7) 06/09/09-12/09/09 (7) 7 Overseas Research Partner Dr. Mitsuru SASAKI 08/08/10-12/08/10 (5) 29/11/09-05/12/09 (7) 8 Overseas Research Partner Dr. Jun OTANI 22/08/10-28/08/10 (7) 21/08/11-27/08/11 (7) 9 Overseas Research Partner Dr. Naoki UCHIYAMA 06/09/09-12/09/09 (7) 10 Overseas Research Partner Dr. Mitsuhiro SHIGEISHI 24/09/09-30/09/09 (7) 06/09/09-12/09/09 (7) 11 Overseas Research Partner Dr. Mitsuru SASAKI 08/08/10-12/08/10 (5) 12 Overseas Research Partner Dr. Pag-Asa D. GASPILLO 06/09/09-10/09/09 (5) 18/10/09-24/10/09 (7) 13 Overseas Research Partner Dr. Shigeru MORIMURA 19/09/10-25/09/10 (7) 12/09/10-18/09/10 (7) 14 Overseas Research Partner Dr. Shuichi TORII 11/09/11-17/09/11 (7) 15 Overseas Research Partner Dr. Hajime MIYAUCHI 09/09/10-16/09/10 (9) 20/09/10-26/09/10 (7) 16 Overseas Research Partner Dr. Seiji IWASA 28/08/11-03/09/11 (7) 17 Overseas Research Partner Dr. Riken HOMMA 28/08/11-03/09/11 (7) 18 Overseas Research Partner Dr. Tomohiko IGASAKI 04/09/11-10/09/11 (7)

Appendix 7

List of JCC Members

JCC Members

Name Organization Title/position Remark Prof. Dr. Phan Thanh Binh VNU Director Prof. Dr. Le Quang Minh VNU Deputy Director Prof. Dr. Huynh Thanh Dat VNU Deputy Director VNU - R&D, Project Prof. Dr. Hoang Dung Manager Management Prof. Dr. Tran Thi Hong VNU – International Relations Manager Mr. Ngo Dinh Thanh VNU – Finance & Planning Manager VNU – Personnel & MSc. Le Trung Hieu Manager Administration Dr. Le Thanh Long VNU - International Relations Deputy Manager Prof. Dr. Vu Dinh Thanh HCMUT Rector Dr. Phan Dinh Tuan HCMUT Vice Rector Proj.Manager HCMUT - R&D, Project Dr. Nguyen Van Nho Manager Management Dr. Nguyen Tan Tien HCMUT – External Relation Manager Dr. Le Trung Chon HCMUT – Post Graduation Manager Dr. Nguyen Thanh Nam HCMUT – Academic Affair Manager HCMUT – Personnel & MSc. Hoang Minh Nam Manager Administration HCMUT – Financial and Ms. Tran Thi Loan Manager Planning HCMUT – Equipment & Dr. Luong Van Lang Manager Facilities Management Dr. Pham Thanh Quan HCMUT – Chemical Engineering Dean Dr. Mai Thanh Phong HCMUT – Chemical Engineering Vice Dean Proj.Coordinator Dr. Bui Cong Thanh HCMUT – Civil Engineering Dean HCMUT – Environmental Dr. Nguyen Phuoc Dan Dean Engineering HCMUT – Mechanical Dr. Tran Thien Phuc Dean Engineering HCMUT – Transportation Dr. Nguyen Huu Huong Dean Engineering MSc. Doan Huu Luc An Giang University Vice Rector Mr. Nguyen Van Chau Tien Giang DOST Director Mr. Nguyen Hoang Hanh Tien Giang DOST Deputy Director Mr. Pham Van Sang Dong Nai DOST Director Mr. Pham Gia Hai Dong Nai DOST Deputy Director Mr. Truong Tro Lam Dong DOST Director Mr. Le Xuan Tham Lam Dong DOST Deputy Director Mr. Nguyen Tri Dien Lam Dong DIT Director Mr. Nguyen Van Rua Binh Duong DOST Director Mr. Ngo Van Dinh Binh Duong DOST Deputy Director Mr. Yasuhiro Tojo JICA Vietnam Office Senior Representative Prof. Dr. Tsuyoshi Usagawa Kumamoto University JICA Team Leader

Appendix 8

List of PMC and RDPC Members

PMC & RDPC Members

Name Organization Title/position PMC RDPC Remark Project Dr. Phan Dinh Tuan Rector Board Vice Rector x x Manager Project Dr. Mai Thanh Phong Chemical Engineering Vice Dean x x Coordinator Head of Dr. Nguyen Tan Tien External Relations x x Department Acting Head Dr. Le Trung Chon Postgraduate Study of x x Department Environmental Dr. Nguyen Phuoc Dan Dean x x Engineering Environmental Dr. Le Thi Hong Tran* Vice Dean x Engineering Dr. Bui Cong Thanh Civil Engineering Dean x x

Dr. Hoang Nam* Civil Engineering Vice Dean x

Dr. Tran Thien Phuc Mechanical Engineering Dean x x

Dr. Bui Trong Hieu* Mechanical Engineering Vice Dean x

Dr. Le Nguyen Hau Industrial Management Dean x x Planning & Financial Head of Ms. Tran Thi Loan x Affairs Department Equipment & Facilities Head of Mr. Luong Van Lang x Management Department R&D, Project Head of Dr. Nguyen Van Nho x x Management Department Ms. Tran Thi Phuc* External Relations Senior Officer x

Appendix 9

List of Participants of Counterpart Training Program in Japan

Counterpart training in Japan

Host Oversea Research No. Research topic Visit to Japan Participant Position Institution Partner Designing and manufacturing semi-automatic cashew nut 21 Nov. – 19 Dec. Master B1-01 Mr. Le Thanh Tin TUT Dr. Naoki Uchiyama shell cutting machine to 2009 Student replace manual operation Study on appropriate technology for latex 28 Nov. – 26 Dec. B1-02 Dr. Dang Viet Hung JR Member KU Dr. Kenji Furukawa processing wastewater 2009 treatment Inorganic composite materials for road surface 6 Dec. – 29 Dec. B1-03 utilizing laterit flyash and red Dr. Nguyen Van Chanh JR Leader KU Dr. Mitsuhiro Shigeishi 2009 sludge waste in Lam Dong province Research on extracting Taxol from Red pine (Taxus Wallichiana Zucc) to apply 28 Nov. – 26 Dec. B1-04 Dr. Le Thi Kim Phung JR Leader KU Dr. Mitsuru Sasaki in pharmaceutical field to 2009 produce medicine against cancer Rooftop solar system for 4 Jan. – 4 Feb. B2-01 household and small scale Mr. Phan Quang An JR Member KU Dr. Miyauchi Hajime 2010 farming applications Sliding and overall instability of embankments along 14 Nov. – 15 Dec. B2-02 Dr. Tran Nguyen Hoang Hung JR Leader KU Dr. Jun Otani riverbanks and on soft 2010 ground Extraction of Taxol and 10- DEACETYLBACCATIN III from Red pine (TAXUS WALLICHIANA ZUCC) to 14 Nov. – 15 Dec. Master B2-04 apply in pharmaceutical field Mr. Nguyen Quang Duy KU Dr. Mitsuru Sasaki 2010 Student to produce medicine against cancer: Kinetics, Mathematical modeling and scale-up Study on the production of Tea Tree Essential Oil and 7 Nov. – 8 Dec. B2-05 Dr. Huynh Quyen JR Member TUT Dr. Seiji Iwasa develop its products for 2010 practical use Study on the collagen extraction and purification from the waste of fishery 14 Nov. – 15 Dec. PhD B2-06 Ms. Le Thi Thu Huong KU Dr. Shigeru Morimura processing plant for cosmetic 2010 Candidate and pharmaceutical application A pilot study on the appropriate technology for 31 Oct. – 27 Nov. B2-09 compression, storage and use Dr. Huynh Thanh Cong JR Leader KU Dr. Torii Shuichi 2010 of biogas as fuel for motorcycle Study on low cost decentralized domestic 24 Oct. – 23 Nov. B2-10 wastewater treatment Dr. Nguyen Tan Phong JR Leader KU Dr. Kenji Furukawa 2010 technology for household and small community Sliding and overall instability of embankments along riverbanks and on soft 13 Nov. – 14 Dec. B3-01 Dr. Tran Nguyen Hoang Hung JR Leader KU Dr. Jun Otani ground in AG province: Field 2011 experiment study (the second stage) Study on purification of terpinen 4-ol from tea- tree 7 Nov. – 8 Dec. Master B3-06 raw essential oil in pilot scale Ms. Tran Tuyet Suong TUT Dr. Seiji Iwasa 2011 Student for pharmaceutical application Developing the public system for sharing medical 7 Nov. – 8 Dec. B3-08 Dr. Dang Tran Khanh JR Member KU Dr. Tomohiko Igasaki records in the Thong Nhat 2011 Hospital Applying IT into real estate 7 Nov. – 8 Dec. B3-09 resource information Mr. Luu Dinh Hiep JR Member KU Dr. Riken Homma 2011 management Research on a low-cost compact industrial 13 Nov. – 14 Dec. B3-10 wastewater treatment plant Mr. Tran Tien Khoi JR Leader KU Dr. Kenji Furukawa 2011 with capacity of 10-15m3/day for small-scale industries Development Appropriate Technology for High- 13 Nov. – 14 Dec. B3-12 Dr. Nguyen Ngoc Dung JR Leader KU Dr. Torii Shuichi Performance Biogas-based- 2011 Diesel Engine

Appendix 10

List of Equipment Provided by JICA

Equipment Purchased under SUPREM-HCMUT

Unit Price Total Price Receipt Date Name of Equipment Brand, Model, Serial Number Currency Quantity (incl. VAT) (incl. VAT) 22-Apr-09 Server HP ML310T5 3210HP VND 26,817,000 1 26,817,000 22-Apr-09 OS for server PM WIN SVR 2008 VND 13,180,000 1 13,180,000 04-May-09 FAX machine Panasonic KX-FL402 VND 4,300,010 1 4,300,010 04-May-09 Windows XP, MS Office (for desktop computer) WIN XP PRO SP3, PRO 2007 VND 8,336,000 1 8,336,000 05-Jun-09 Color printer OKI C3600n VND 8,568,000 1 8,568,000 17-Jun-09 Laptop computer Vostro 1510n VND 18,585,000 1 18,585,000 17-Jun-09 Windows XP (for laptop computer) WIN XP PRO SP3 VND 2,545,000 1 2,545,000 07-Aug-09 MS Office (for laptop computer) PRO 2007 VND 5,807,000 1 5,807,000 24-Oct-09 Double-side printer LBP3460 VND 13,650,000 1 13,650,000 26-Oct-09 PC monitor Dell LCD 17"E170S VND 2,338,000 2 4,676,000 05-Mar-10 Video conference system (Windows OS） Win 7 PRO 32bit VND 2,780,000 1 2,780,000 Video conference system (laptop, web camera, Dell 1545 (laptop), Logitech Aphere AF (web camera), 05-Mar-10 VND 20,256,500 1 20,256,500 speaker) Logitech S150 (speaker) POLYCOM VCS-VSX6000 3,216.40 4 09-Mar-10 Video conference system (Polycom) Samsung TV LCD 22" 22B450 USD 289.30 4 14,193.30 POLYCOM PVX v8.0.2 PC conferencing application 170.50 1 Conductivity Detector: Shimadzu CDD-10Avp 151,189,500 1 System Controller: Shimadzu SCL-10Aｖｐ 162,393,000 1 LC Solution software: RS-232 cable 0 1 PC with FDD and RS-232 connector 16,863,000 1 04-Mar-11 Conductivity detector set VND 486,486,000 Supressor controller: Dionex RFC-10 56,595,000 1 Anion self-degenerating supressor: Dionex ASRS300 45,622,500 1 Anion exchange column: Dionex IonPac AS12A 38,115,000 1 Guard anion column: Dionex IonPac AG12A 15,708,000 1 Equipment and Other Items* Purchased under SUPREM-HCMUT for Batch 1 Joint Research Activities

Research Receipt Unit Price (VND) Total Price (VND) e Name of Equipment Brand, Model, Serial Number Quantity ID Date (Incl. VAT) (Incl. VAT) c

B1-01 20-Jan-10 Semi-automatic cashew nut shell cutting machine Order-made 250,000,000 1 250,000,000

15-Oct-09 DO Meter coupled with computer WTW, InoLab Oxi740 87,770,000 1 87,770,000

Anamox Reactor Order-made Anamox Reactor Swim Bed Reactor Order-made 25-Oct-09 14,000,000 1 14,000,000 System (1 set) Setting Tank Order-made B1-02 Anaerobic Reactor Order-made

11-Dec-09 Peristaltic pumps Selecta, Percom N-M 3001300 32,670,000 2 65,340,000

Gas sampling Shimadzu MGS - 4,6 port 14,155,000 1 14,155,000 31-Dec-09 Rotameter Supelco 23320-U 6,158,000 1 6,158,000

21-Oct-09 Laptop Sony VGN-CR590 19,885,000 1 19,885,000

B1-05 2-Nov-09 Steel Analysis Model Order-made 18,760,000 1 18,760,000

Sony VAIO VPCM 126AG, 30-Jul-10 Laptop 9,990,000 1 9,990,000 126AG/LE1

9-Oct-09 Vacumm Pump GHP-200 12,600,000 1 12,600,000 B1-06 10-Oct-09 Vacumm Pump MLW DS 4/1 12,600,000 1 12,600,000

10-Nov-09 Freezer Sanyo HF-S6L(S) 6,190,000 1 6,190,000

Thermo-control tub Memmert - WNB14 55,050,000 1 55,050,000

Drying box Memmert - UBN500 50,120,000 1 50,120,000 B1-07 23-Nov-09 Micropipette: 0.5 - 10 µl, 10 - 100 µl, 20 - 200 µl, 100 - 1000 µl, 8036463, 9003881, 7058355, 19,900,000 1 19,900,000 1000 - 5000 µl (1 set is including 5 pieces) 9038938, 5090247

Column Gel N/A 8,000,000 4 32,000,000

Mini - Protean Tetra Cell, Bio Lab., 28-Dec-09 Small Vertical Electrophoresis 50,150,000 1 50,150,000 USA, 041BR71844 Processor Intel Duo Core E6300 2M Bus 1066

Gigabyte GA G31/ICH7 Chipset, Mainboard including VGA

Desktop Computer Double Data Rate (DDR) Kingston 2Gb, DDRam2, bus800 3-Nov-09 7,521,780 1 7,521,780 (1 set) Hard disk Samusung 1000Gb B1-08 DVD Rewrite ASUS DVDRW Keyboard Mitsumi KEYBOARD Case SD-M500W Mouse P/S2 Optical AOC ph sensor EasySense pH32, 52003768 6,306,795 1 6,306,795 25-Jan-10 EC sensor EasySense Cond77, 52003810 8,674,155 1 8,674,155 Single channel transmitter M200 Easy 1/4 DIN, 52121554 6,473,250 1 6,473,250 4-Sep-09 Ultrasonic Processor SONIC VC750 103,950,000 1 103,950,000 18-Jan-10 Tubular Filter Inox304 29,700,000 1 29,700,000 B1-09 18-Jan-10 Dispenser N/A 8,000,000 1 8,000,000

15-Oct-09 Handled DO Meter WTW, Oxi 3210 42,439,000 1 42,439,000

30-Nov-09 Digital Camera Canon PowerShot, A2100IS 6,280,000 1 6,280,000

21-Dec-09 Handled pH Meter WTW Model 3310 24,570,000 1 24,570,000 B1-10 6-Jan-10 GPS Map Garmin, 76CSx 8,591,000 1 8,591,000 20-Jan-10 Laptop Sony Vaio, VGN-NW240/B 17,170,000 1 17,170,000

23-Feb-10 Alpha Water Sample Wildco 3909 19,739,500 1 19,739,500

2-Nov-09 4-cylinder Engine Toyota 4Y 24,750,000 1 24,750,000

2-Nov-09 Electric Generator Mn Robo 904950, 20kW 14,962,500 1 14,962,500

2-Nov-09 Electronic Speed Regulator Device Order-made 10,000,000 1 10,000,000 B1-11 2-Nov-09 Frame of Generation System Order-made 8,200,000 1 8,200,000

22-Jan-10 Exhaust Gas Analyzer (Automotive Emission Analyzer) Heshbon HG-520 64,790,000 1 64,790,000

25-Feb-10 Multi Gas Detector Quest ML-2000-NIC 51,612,000 1 51,612,000 23-Nov-09 Intel Computer Set Intel Q9550 18,884,000 1 18,884,000

B1-12 27-Nov-09 Color Printer HP CLJ CP1515N 8,252,000 1 8,252,000

* Any item which is VND5,000,000 or more in unit price (incl. VAT)

** See the table on the right: Equipment and Other Items* Purchased under SUPREM-HCMUT for Batch 2 Joint Research Activities

Research Receipt Unit Price (VND) Total Price (VND) Name of Equipment Brand, Model, Serial Number Quantity ID Date (Incl. VAT) (Incl. VAT) Mixed signal oscilloscope Rigol DS1102D 42,537,000 1 42,537,000 Differential probe Hameg HZ100 12,507,000 2 25,014,000 AC/DC current probe Hameg HZ050 18,172,000 2 36,344,000 Digital signal controller Texas Instruments F28335 14,459,500 1 14,459,500 DSP Texas Instruments F2812 13,118,600 1 13,118,600 Development Kit Texas Instruments 9,625,000 2 19,250,000 6-Oct-10 B2-01 MCB 1760UME 11,691,900 1 11,691,900 Solar panel Yingli YL225P-29b 14,907,200 4 59,628,800 Battery Phoenix TS122000 16,379,000 2 32,758,000 Pyranometer Apogee MP-100 11,110,000 2 22,220,000 Precision Amplified Pyranometer Apogee SP-215 6,879,400 2 13,758,800 Digital triple output DC power supply Extech 382213 5,260,200 2 10,520,400 24-Feb-11 Supporting frame for solar battery Order-made 7,400,000 1 7,400,000 Apple Macbook Pro 25-Aug-10 Laptop 43,000,000 1 43,000,000 (MC372ZP/A) B2-02 20-Sep-10 Camera Canon EOS 500D 15,400,000 1 15,400,000 3-Jan-11 Water level indicator Yamayo RWL50M 11,000,000 2 22,000,000 4-Jan-11 Soxhlet extractor Schott Duran/Glassco, Germany 19,000,000 1 19,000,000 B2-04 8-Jan-11 Reversed phase column ODS C18 19,500,000 1 19,500,000 27-Oct-10 Viscometer Brookfield LVDV-E 61,990,500 1 61,990,500 29-Oct-10 Vortex Mixer IKA MS3 Basic 11,000,000 1 11,000,000 21-Dec-10 Disperser Utra-turrax T18 Basic 51,700,000 1 51,700,000 23-Dec-10 Small sample adaptor Brookfield, USA 27,152,400 1 27,152,400 22-Feb-11 Shaking water bath Memmert, Germany, WNB14 67,980,000 1 67,980,000

B2-05

23-Feb-11 Column Agilent, USA, DB-1 23,470,000 1 23,470,000

24-Feb-11 Column Agilent, USA, Z-AG-125-7062, DB 36,300,000 1 36,300,000 Moisture Balance OHAUS, Germany, MB45 59,000,000 1 59,000,000 Ovens Memmert UNB500 50,120,000 1 50,120,000 1-Oct-10 Magnetic standard Heidolph, Germany, MR Hei 31,880,000 1 31,880,000 Refrigerator Toshiba GR-M32 VPD 9,800,000 1 9,800,000 Dialysis membrane Spectra, 132680 11,100,000 1 11,100,000 B2-06 Balance Sartorius CPA 324S 45,000,000 1 45,000,000 Order-made 65,000,000 1 65,000,000 1-Nov-10 Reactor system Centrifuge Labnet Spectrafuge 24D 75,000,000 1 75,000,000 Soxhlet extractor Isolab - Wertlab 9,820,000 2 19,640,000 19-Jan-11 pH Meter EUTECH Ph 510 / Seri No. 537028 25,000,000 1 25,000,000 Muffle furnace Humanlab DMF-05 86,000,000 1 86,000,000 6-Oct-10 Vacuum filter MRC-Israel 40,200,000 1 40,200,000 B2-07 Drying oven Memmert UFB 400 68,800,000 1 68,800,000 SensION 378 / Seri No. 18-Jan-11 pH Meter 35,000,000 1 35,000,000 08120C095140 39,780,000 1 39,780,000 22-Feb-11 pH Meter SevenEasy S20 39,900,000 1 39,900,000 B2-08 Electronic balance Shimadzu AUY-220 64,890,000 1 64,890,000 24-Feb-11 Moisture apparatus A&D ML50 Brix meter Atago Master M 9,960,000 1 9,960,000 21-Sep-10 Electronic weight balancer JADEVER, Taiwan, JWE-15K 17,160,000 1 17,160,000 27-Oct-10 Biogas check analyzer Geotech-UK, Biogas 110,000,000 1 110,000,000 3-Dec-10 Generator Tawasi, 5KVA 12,595,000 1 12,595,000 14-Feb-11 Motorcycle Honda Wave S 15,700,000 1 15,700,000 20-litre Tank Order-made 5,472,500 1 5,472,500 18-Feb-11 100-litre Tank Order-made 7,975,000 1 7,975,000 Pressure stabilization tank (20L) Order-made Surge tank (100L) Order-made B2-09 Biogas tank (20L - 10 Bar) Order-made Biogas tank (50L - 20 Bar) Order-made Biogas Air compressor (8 Bar) Order-made purification Air compressor (15 Bar) Order-made 18-Feb-11 and Gas compressor Order-made 105,638,500 1 105,638,500 compression High pressure water pump Order-made system (1 set) CO2, H2S Cleaning Tower Order-made Regenerative water tower Order-made Mobile Frame Order-made Heat exchanger Order-made Radiator Order-made 5-Oct-10 Water quality checker TOA WQC-22A 100,275,000 1 100,275,000 B2-10 12-Oct-10 Digital camera Canon IXUS 130IS 6,830,000 1 6,830,000 9-Oct-10 Visible spectrophotometer SpectroFlex 6100 88,770,000 1 88,770,000 B2-11 29-Nov-10 Water Target Academic Software 2-year License KBC Singapore 56,320,000 1 56,320,000 26-Aug-10 Electronic Balance OHAUS PA2102 13,420,000 1 13,420,000 1-Sep-10 pH Meter EUTECH 10BNC 5,630,625 1 5,630,625 Blue&White, USA, C660P 6,500,000 2 13,000,000 3-Sep-10 Dosing Pump Dosing Pump Blue&White, USA, C645P 6,500,000 1 6,500,000 3-Sep-10 DO meter EUTECH DO6+ 13,963,950 1 13,963,950 B2-12 20-Sep-10 Dosing pump Pulsafeeder, USA, Chemtech 6,000,000.6 2 12,000,001 18-Oct-10 Filtration module Order-made 9,000,000 3 27,000,000 Ultrafiltration stirred cell Amicon 8400 - 400mL 45,500,000 1 45,500,000 4-Jan-11 MFI system Sartoconnect software Weigher-to-PC data bridge 12,500,000 1 12,500,000 Laptop Sony Vaio Y21 AFX 20,650,000 1 20,650,000

* Any item which is VND5,000,000 or more in unit price (incl. VAT)

** See the table on the right: Equipment and Other Items* Purchased under SUPREM-HCMUT for Batch 3 Joint Research Activities

Total Price Receipt Unit Price (VND) Research ID Name of Equipment Brand, Model, Serial Number Quantity (VND) Date (Incl. VAT) (Incl. VAT) Piezometer 4500S - 350VW 13,778,580 3 41,335,740 Readout GK403 VW 73,520,820 1 73,520,820 B3-01 24-Feb-12 Datalogger 8002 - 16 - 2 LC-2 58,585,260 1 58,585,260 Datalogger 800 - 4 - 2 LC-2 36,707,820 1 36,707,820 Stirring machine IKA, RW 20 35,000,000 1 35,000,000 B3-02 5-Oct-11 Magnetic stirrer IKA, C-MAG HS7 32,000,000 1 32,000,000 B3-03 4-Oct-11 Ultrasonic bath DAIHAN LabTech, LUC-410 60,000,000 1 60,000,000 Boiler Order-made 38,500,000 1 38,500,000 5-Dec-11 Oven Order-made 36,520,000 1 36,520,000 Centrifuge Order-made 35,200,000 1 35,200,000 13-Jan-12 Cutting machine Order-made 16,500,000 1 16,500,000 B3-04 Bottling machine Order-made 15,950,000 1 15,950,000 Stirred Test cell Sterlitech HP4750 88,000,000 1 88,000,000 23-Feb-12 Pore Explorer 12, size 50K (WSE1205001) 32,250,000 1 32,250,000 Pore Explorer 12, size 100K (WSE1210001) 32,250,000 1 32,250,000 Stainless steel fan Order-made 50,000,000 1 50,000,000 31-Oct-11 Heat panel Order-made 45,000,000 1 45,000,000 B3-05 Control table Order-made 40,000,000 1 40,000,000 13-Jun-12 pH Meter Ohaus Starter 3000 39,000,000 1 39,000,000 27-Oct-11 PLC (for vacuum distillation system) OMRON ZEN-20C1AR-A-V2 17,100,000 1 17,100,000 28-Oct-11 On-off valve: Ball type 316SS - 1" 6,374,000 1 6,374,000 Pressure transmitter Order-made 5,371,000 1 5,371,000 29-Oct-11 Vacuum pressure transmitter Order-made 9,436,000 1 9,436,000 B3-06 31-Oct-11 Differential pressure level transmitter Order-made 5,177,000 2 10,354,000 20-Feb-12 Overhead Stirrer VELP - ES 31,000,000 1 31,000,000 21-Feb-12 GC/MS Column Restek - Rtx-5MS 26,290,000 1 26,290,000 24-Feb-12 Drying Oven Yamato DX402 53,450,000 1 53,450,000 13-Jun-12 Inverter LS600 (on receipt), SAVCh S1100 (actual) 9,500,000 1 9,500,000 29-Jun-12 GC Columns Agilent J&W DB-1701 19,930,000 1 19,930,000 HPLC column with protector Eclipse XDB-C18 4.6x150 5u 15,995,000 1 15,995,000 B3-07 27-Oct-11 Anion exchanger Diaion hd20 18,500,000 1 18,500,000 3-Oct-11 Auto Code Creating Toolkit Order-made 120,000,000 1 120,000,000 Main board Asus P8H67 - MLX Processor Intel Core I3 - 2100 (3.1 GHz) Double Data Rate (DDR) Kingmax 2Gb (1333) Hard disk 320Gb WD (Blue) - 3200AAKX (16MB) Case X5 (no power) Desktop Computer Power supply unit CM 400W Elite (Cooler Master) 6-Oct-11 12,648,009 4 50,592,036 (4 sets) LCD Monitor Dell 17" E170S Mouse Mitsumi 6703 B3-08 DVD WR Samsung Video Graphic Array - VGA 1Gb Gigabyte R465OC - 1GI Keyboard Genius 110 Universal Serial Bus-USB flask disk 2Gb Transcend UF500 Software ACCT ver1.1 2009 Laptop Sony VPC - SB38GG/B 29,989,993 1 29,989,993 21-Oct-11 Laptop Sony VPC - SB36FG/S 24,990,020 2 49,980,040 21-Feb-12 Server HP - ML 150G6 E5520 36,300,000 1 36,300,000 11-Jun-12 Software upgrading Auto Code Creating Toolkit (ACCT) Version 2012 37,000,000 1 37,000,000 Software ArcView 9.2 Single use (ESRI) 45,000,000 1 45,000,000 20-Oct-11 SPOT5 (1/4 scene) year 2010 and 1/4 year 2011 (cover Satellite Image 56,000,000 2 112,000,000 30km x 30km) 27-Dec-11 GPS Receiver Promark 3 (PM3) (without RTK) 90,000,000 1 90,000,000 B3-09 23-Feb-12 Software Bentley Map 39,000,000 1 39000000 Sony T13 114FX/B Ivy Bridge (on receipt) 4-Jul-12 Notebook Sony Vaio Product Name: SVT13114GXS (Model: 19,800,000 1 19,800,000 SVT131A11L) (actual) 13-Oct-11 Laptop Toshiba R835-P56X 19,466,000 1 19,466,000 Annamox model Order made 19,000,000 1 19,000,000 Research Reactor UMBR + MBR model Order made 35,000,000 1 35,000,000 31-Oct-11 Model SBR model Order made 16,000,000 1 16,000,000 MBR model Order made 22,000,000 1 22,000,000 30-Dec-11 Air blower HC-40S 22,000,000 1 22,000,000 B3-10 30-Dec-11 Membrane Motimo 9,900,000 2 19,800,000 21-Feb-12 pH Meter HI8424 8,400,000 1 8,400,000 Water Pump 1HP 7,000,000 1 7,000,000 22-Feb-12 Water Pump 1/4HP 5,000,000 2 10,000,000 Agitator 15,000,000 1 15,000,000 29-Jul-12 Anammox Feeding Column Order-made 16,000,000 1 16,000,000 B3-11 17-Nov-11 Laptop Sony VPC-SB36FG/B 24,990,000 1 24,990,000 14-Oct-11 Generator Meiden AC 55 kVA 97,900,000 1 97,900,000 Thermister 1KW Order made Thermister 2KW Order made Thermister 5KW Order made Thermister 10KW Order made Potential display set Order made Potential display set switch Order made Current display set Order made Current display set switch Order made Electric load 27-Dec-11 Current transformer Order made 75,420,400 1 75,420,400 (1 set) Contactor Order made MCCB Order made Signal light Order made B3-12 Push-button Order made Switch Order made Mobile control panel Order made Cooling fan Order made Accessories (cable, plastic Order made 29-Dec-11 Automatic voltage regulator system Order made 15,950,000 1 15,950,000 Ventury tube Order-made 6,249,100 1 6,249,100 Orifice tube Order-made 5,500,000 1 5,500,000 5-Jan-12 Mobile engine underframe Order-made 7,700,000 1 7,700,000 Mobile generator underframe Order-made 6,600,000 1 6,600,000 Generator suspension shell Order-made 9,900,000 1 9,900,000 6-Jan-12 Laptop Fujitsu LH531 11,290,400 1 11,290,400 28-Jun-12 Instrument Cabinet Jonnesway C7DW104 28,490,000 1 28,490,000

* Any item which is VND5,000,000 or more in unit price (incl. VAT)

** See the table on the right:

Appendix 11

List of Meetings and Seminars Held during Project Period

List of Seminars and Workshops Held/List of Seminars in Partner Provinces (As of Oct. 2012)

No. of Participants Date Content of Meeting Venue HCMUT Province JICA Total

21 Apr. 2009 Meeting with Faculties’ Members HCMUT 13 0 6 19

Joint-Coordinating Committee 22 Apr. 2009 HCMUT 27 0 9 36 (JCC)

22 Apr. 2009 Inception Seminar HCMUT 15 8 9 42

Meeting with People’s Committee and 27 Apr. 2009 Tien Giang 2 9 2 13 related departments in Tien Giang

28-29 Apr. Meeting with An Giang University and An Giang 2 14 2 18 2009 related departments in An Giang Meeting with DOST and related 5-6 May 2009 Dong Nai 2 8 2 12 departments in Dong Nai Meeting with DOST, and related 7 May 2009 Binh Duong 4 14 2 20 departments in Binh Duong

Meeting with DOST and related 11 May 2009 Lam Dong 3 3 7 13 departments in Lam Dong Project Management Committee 14 May 2009 HCMUT 8 0 5 13 (PMC)

Meeting on Research Based 8 Jun. 2009 HCMUT 15 0 5 20 Education (RBE)

12 Jun. 2009 Meeting for Proposals Review HCMUT 5 0 4 9

Meeting on Implementation Plan for 12 Jun. 2009 HCMUT 8 0 3 11 RBE

Meeting on Research Based 17 Jun. 2009 HCMUT 9 0 5 14 Education (RBE)

28 Jul. 2009 R&D Promotion Committee HCMUT 15 0 5 20

13 Aug. 2009 Meeting on Financial Management HCMUT 10 0 3 13

Research Based Education (RBE)– 8 Sep. 2009 HCMUT 42 0 14 56 Joint Research (JR)–Patent Seminar

Meeting with Tien Giang People’s 1 Oct. 2009 Tien Giang 6 10 1 17 Committee and DOST 12-13 Oct. The 1st Seminar for University – Lam Dong 27 40 5 72 2009 Community Linkage cum PMC

15 Dec. 2009 RBE Seminar HCMUT 60 0 4 64

Meeting with Dong Nai People’s 16 Dec. 2009 Dong Nai 3 8 1 12 Committee and DOST Meeting with Binh Duong People’s 16 Dec. 2009 Binh Duong 3 10 1 14 Committee and DOST

Meeting with Lam Dong People’s 24 Dec. 2009 Lam Dong 3 6 1 10 Committee and DOST

Joint-Coordinating Committee 27 May 2010 HCMUT 18 11 11 40 (JCC)

29 Jun. 2010 Meeting with Dong Nai DOST Dong Nai 7 6 1 14

29 Jun. 2010 Meeting with Binh Duong DOST Binh Duong 7 8 1 16

30 Jun. 2010 Meeting with Tien Giang DOST Tien Giang 5 6 1 12

1 Jul. 2010 Meeting with An Giang DOST An Giang 5 13 1 19

7 Jul. 2010 Meeting with Lam Dong DOST Lam Dong 7 5 1 13

SUPREM Joint Research - Patent 25 Aug. 2010 HCMUT 30 24 8 62 Seminar

Monthly Meeting of Project 31 Aug. 2010 HCMUT 4 0 2 6 Management Unit (PMU)

24 Sep. 2010 Monthly Meeting of PMU HCMUT 5 0 2 7

Seminar on “The collagen extraction 8 Oct. 2010 from PangasiusHypopthalmus for An Giang 8 13 2 23 cosmetics” (B1-07/B2-06)

25 Oct. 2010 Monthly Meeting of PMU HCMUT 6 0 2 8

29 Nov. 2010 Monthly Meeting of PMU HCMUT 7 0 2 9

30 Dec. 2010 Monthly Meeting of PMU HCMUT 7 0 3 10

SUPREM Symposium on Joint 7 Jan. 2011 HCMUT 86 19 9 134* Research

20 Jan. 2011 Monthly Meeting of PMU HCMUT 5 0 4 9

Seminar on “Sliding and overall 1 Mar. 2011 instability of embankments along An Giang 11 15 2 28 riverbanks and on soft ground” (B2-2)

Seminar on “Power generation system by internal combustion engine 10 Mar. 2011 Binh Duong 9 29 2 40 using biogas in Binh Duong”(B1-11/B2-9)

14 Mar. 2011 Monthly Meeting of PMU HCMUT 7 0 3 10

16 May 2011 Monthly Meeting of PMU HCMUT 4 0 3 7 Joint-Coordinating Committee 20 May 2011 HCMUT 18 8 11 37 (JCC)

Seminar on RBE for Master’s 24 Jun. 2011 Program – Introduction of HCMUT 44 22 5 71 Pre-guidelines for RBE

26 Jul. 2011 Monthly Meeting of PMU HCMUT 3 0 3 6

Seminar on “R&D on Diatomite Utilization for Filter Aids and Taxol 1 Aug. 2011 Lam Dong 18 19 2 39 Extraction from Red Pine” (B1-04/B2-04 and B2-07)

24 Aug. 2011 Monthly Meeting of PMU HCMUT 5 0 3 8

Seminar on “Joint Research Seminar 25 Aug. 2011 in An Giang: Sliding and Overall An Giang 24 97 2 123 Instability of Embankment”

Seminar on “Patent Application and 29 Aug. 2011 HCMUT 34 1 9 44 Patent Strategy”

Seminar on “Production of Tea Tree Essential Oil and Purification of Terpinen 4-ol from Essential Oil in 30 Aug. 2011 Tien Giang 6 12 2 20 Pilot Scale for Pharmaceutical Application” (B2-05, B3-06)

10 Nov. 2011 Monthly Meeting of PMU HCMUT 5 0 3 8

01 Dec. 2011 RBE Seminar HCMUT 54 3 5 62

23 Dec. 2011 Monthly Meeting of PMU HCMUT 4 0 3 7

09 Jan. 2012 SUPREM Joint Research Seminar HCMUT 58 11 10 101**

Seminar on “Rooftop Solar System 13 Jan. 2012 for Household and Small Scale Lam Dong 3 15 0 18 Farming Applications” (B2-01)

28 Feb. 2012 Monthly Meeting of PMU HCMUT 6 0 3 9

International Seminar on Soft Ground & New Soft Ground Improvement 9 Mar. 2012 HCMUT 25 213 2 240 Technologies (B3-01)

5 Jun. 2012 Monthly Meeting of PMU HCMUT 6 0 2 8

19 Jun. 2012 RBE Seminar HCMUT 44 6 10 60 Joint-Coordinating Committee 22 Jun. 2012 HCMUT 18 6 11 35 (JCC)

Final Seminar on Strengthening 28 Sep. 2012 HCMUT 81 20 16 130*** University-Community Linkage

4 Oct. 2012 Monthly Meeting of PMU HCMUT 7 0 5 12

* There were 134 participants attending the SUPREM Symposium, including 86 from HCMUT, 19 from provinces, 9 from JICA, 2 from the Japanese Consulate, 2 media reporters and 16 from industries (7 Jan. 2011) ** Including 58 from HCMUT, 11 from provinces, 10 from JICA, 3 media reporters, 18 industries and 1 from Chulalongkorn Uni. *** Inclidung 81 from HCMUT, 20 from provinces, 14 from JICA, 2 from the Japanese Consulate and 13 from industries.

Appendix 12

Long List of Research Topics Proposed by Provinces and HCMUT

Long List of Research Topics Proposed by Provinces and HCMUT (Batch 1)

Source: “JICA Project Team”

Long List of Research Topics Proposed by Provinces (Batch 2)

Source: “JICA Project Team”

Long List of Research Topics Proposed by HCMUT (Batch 2)

Note: CE: Civil Engineering CH: Chemical Engineering ME: Mechanical Engineering EE: Environmental Engineering TE: Transportation Engineering Source: “JICA Project Team”

Long List of Research Topics Proposed by Provinces and HCMUT (Batch 3)

Research Topic Province (1) From Provinces Tien Giang 1 Build a factory for Biodiesel manufacturing from Basa fish 2 Gelatin extraction from Basa fish skin 3 Support Tien Giang University to establish a center for applied radiation 4 Research on solution to overcome the subsidence (giant hole) Research and manufacture a system to harvest and process agricultural products after 5 harvesting 6 Local fruit processing such as jackfruit, durian Building and managing level database to serve for urban planning and developing 7 and counter-flooding for My Tho City 8 Applying IT into real estate resource information management 9 Wastewater treatment from aquaculture farming areas and households. An Giang 10 Solutions to treat wastes and reduce pollution from brick kilns and rice dryer 11 Produce fish sauce from the wastes of Tra and Basa fish 12 Use IT to control water quality from aquaculture ponds 13 Take advantage of rice bran to produce malt Research and manufacture straw collecting machine (low-cost, suitable for farmers), 14 improve agricultural machinery and manufacture spare parts for combined harvesting machine 15 Develop some biological products to support insects inducement Dong Nai 16 Research on production of self-compacting concrete Application of IT to support a system for medical diagnosis and treatment at Thong 17 Nhat Hospital, Dong Nai province 18 Research on irrigation system for coffee growing in the area of water deficiency 19 Application of biotechnology in developing new crops Application of Biomass carrier technology in small and medium scale waste-water 20 treatment Binh Duong 21 Produce EM preparation (Test production) 22 Growing vegetables and chili by hydroponics 23 Wastewater treatment from the production of packaging from water hyacinth Research and develop a wastewater treatment module for small-scale industry (10- 24 15m3/day) with low-cost and high application 25 Application of solar energy in urban lighting network 26 Solutions to treat and reduce air pollution from brick kilns 27 Build an information sharing model between businesses and governmental agencies Solutions to reduce trade deficit by encouraging enterprises to use domestic materials 28 to reduce materials import 29 Research on glue and paint producing to serve wooden production industry

Research Topic Province Lam Dong New technological solutions to efficiently exploit the mineral resources of the 30 province: Diatomite, Bentomite, Kaolin 31 Agricultural storage and processing: coffee, cashew, vegetables, fruits, etc Research and manufacture coffee drying equipment using renewable energy (solar, 32 biomass) 33 Processing of agricultural wastes into fuel and organic fertilizer 34 Renewable energy: biogas, wind power, solar energy Technology serves high-tech agriculture: budget greenhouse model, irrigation, 35 humidity and temperature control, etc 36 Solutions to treat and take advantage of red mud from bauxite processing (2) From HCMUT Civil Engineering

Soil concrete blocks to stabilize/prevent land slide at mountain slope for Lam Dong 1 Lam Dong province 2 Light concrete for low cost housing in Lam Dong, Tien Giang, An Giang An Giang 3 Local concrete road - a solution for flooding areas 4 The evaluation and development of the bus system in Bien Hoa, Dong Nai province Dong Nai

The study on critical factors of traffic accidents and the improvement of "black road" 5 Dong Nai in Bien Hoa, Dong Nai province

Application of GIS to land value evaluation, land parcel management, transportation 6 NA management, land suitability analysis, urban infrastructure management Building DTM of Bien Hoa/Thu Dau Mot/Da Lat/My Tho/Long Xuyen by using 7 NA GPS RTK technique for infrastructural management

Constructing special e-atlas to manage administrative problem of the interested 5 8 NA provinces. Mechanical Engineering 9 Automatic System Monitoring and control of Rain and Flood level in province area NA 10 Automatic System of Monitoring and irrigating for flower and decorative plant NA 11 Material transportation OMNI robot in manufacturing mill NA

Sterilization, and preservation for cashew processing by using cashew steam 12 NA technology

Research and apply friction stir welding in manufacturing equipment with aluminum 13 NA covered. 14 Research on the optimization of the operation of wind voltaic system for remote area. NA

Research, design and make automatic cutting and removing peel machine for 15 NA rambutan.

Research on technology of drying water hyacinth, design and make drying machine 16 NA for handicraft 17 Design and make healthcare doss to support patients who are bedridden NA 18 Research, design and make boring machine to bore tube of propeller shaft NA

Appendix 13

Criteria for Evaluation of Joint Research Proposals

Scoring Sheet for Joint Research under SUPREM-HCMUT

June 12, 2009

Research Topic: .

Principal Investigator: .

(Province) (Institution) Local partners

Number of Master (Research) (Course) students

Those who have earned a plus score will be the qualified candidates, among whom interviewees as the final candidates are to be recommended*.

-5 -4 -3 -2 -1 0 1 2 3 4 5

Whether the quality of the research proposal submitted is good enough from the academic viewpoint

Whether the research topic is appreciable as an academic work by researchers and postgraduate students of HCMUT Whether the expected outcomes of this R&D should provide new technologies to be used for solving the local technical problems Whether the research group, including master students and local partners, is well organized under the leadership of the principal investigator Whether the research is feasible and sustainable at HCMUT in terms of nurturing a strong research group in the related field Total Score

Balance among the research fields and the availability of Japanese partners should be also taken into consideration.

Appendix 14

List of Research Proposals Submitted

LIST OF PROPOSALS SUBMITTED (BATCH 1) Topic Number Team Leader Faculty Research Topic Target Province No. (from Long List) Mechanical Designing and manufacturing semi-automatic cashew nut 1 Dr. Tran Doan Son University B5 Dong Nai Engineering shell cutting machine to replace manual operation Dr. Tran Thien Phuc / Dr. Le Mechanical Study on water hyacinth drying process and design, 2 University B9 Not mentioned Quy Duc Engineering manufacture dryer machine applied in handicraft Dr. Bui Trong Hieu / Dr. Mechanical Research, design and manufacture the automatic equipment 3 University B8 Not mentioned Nguyen Le Quang Engineering for cutting and removing the cover of rambutan Automatic monitoring and control system of irrigation and Mechanical 4 Dr. Chung Tan Lam environmental growing condition for flower and decorative University B2 Not mentioned Engineering plant Assoc.Prof. Dr. Mechanical Study on Green House system applying for growing 5 University B10 Lam Dong Nguyen Tan Tien Engineering agricultural products Chemical Research on jelly processing from pineapple (Ananas 6 Dr. Le Van Viet Man Province B4 An Giang Engineering comusus) and sugar palm (Borassus flabellifer) mixture Chemical 7 Dr. Le Van Viet Man Research on Barbados cherry processing Province A2 Tien Giang Engineering Chemical 8 Dr. Pham Thanh Quan Extraction of polyphenol and caffein from green tea Province E2 Lam Dong Engineering Chemical Study on activating the waste mud of Bao Loc bauxite ore 9 Dr. Huynh Ky Phuong Ha Province E3 Lam Dong Engineering refining to use as adsorbent substances Research on extracting Taxol from Red pine (Taxus Chemical 10 Dr. Le Thi Kim Phung Wallichiana Zucc) to apply in pharmaceutical field to Province E1 Lam Dong Engineering produce medicine against cancer Study on the Collagen extraction from the wastes of fishery Chemical 11 Dr. Nguyen Hoang Dung processing plant for cosmetic and pharmaceutical Province B5 An Giang Engineering application Environmental 12 Dr. Nguyen Tan Phong Research and use mud in pond for compost fertilizer Province B1 An Giang Engineering Environmental Study on low-cost decentralized domestic wastewater 13 Dr. Nguyen Phuoc Dan Province D2 Binh Duong Engineering treatment technology for household and small community Environmental Study on the appropriate approaches for treatment, disposal 14 Dr. Nguyen Phuoc Dan Province E3 Lam Dong Engineering and reuse of bauxite waste Environmental Study on appropriate technology for latex processing 15 Dr. Nguyen Phuoc Dan Province C2 Dong Nai Engineering wastewater treatment Research the impacts of river/sea flow on commercial Environmental scallop, establish solutions to protect cultivating area in 16 Dr. Vo Le Phu Province A6 Tien Giang Engineering Tien Giang and use this resource sustainably around river mouth, dune areas Research on the impact of hydrology and environmental Environmental pollution on fish floating farms and catfish intensive 17 Dr. Vo Le Phu Province A5 Tien Giang Engineering cultivation, finding technological solutions to protect and develop aquacultural environment in Tien Giang Environmental Assessment on capacity of self-purification of Hau River in 18 Mr. Le Hoang Nghiem Province B6 An Giang Engineering An Giang Province The study on critical factors of traffic accidents and the 19 Dr. Chu Cong Minh Civil Engineering improvement of "black road" in Bien Hoa, Dong Nai University A6 Dong Nai province River bank stabilization in the Mekong River Delta by deep 20 Mr. Nguyen Minh Tam Civil Engineering Province A3 Tien Giang cement mixing column method The evaluation and development of the bus system in Bien 21 Dr. Chu Cong Minh Civil Engineering University A5 Dong Nai Hoa, Dong Nai province Assoc.Prof. Inorganic composite materials for road surface utilizing 22 Civil Engineering University A2 Lam Dong Nguyen Van Chanh laterit flyash and red sludge waste in Lam Dong province Assoc.Prof. Portland cement concrete pavement construction of road in 23 Civil Engineering University A4 An Giang Nguyen Van Chanh Mekong Delta - a solution for flooding area Assoc.Prof. Soil concrete blocks to stabilize/prevent land slide at 24 Civil Engineering University A1 Lam Dong Nguyen Van Chanh mountain slope for Lam Dong province Assoc.Prof. Lightweight concrete technology for low cost housing in Lam Dong, Tien 25 Civil Engineering University A3 Nguyen Van Chanh Lam Dong, Tien Giang, An Giang Giang and An Transportation Power generation system by internal combustion engine 26 Assoc.Prof. Pham Xuan Mai Province D1 Binh Duong Engineering using biogas generated from manure from pig farming Study on reasonable embankment preloading technique to 27 Dr. Tran Tuan Anh Civil Engineering University A10 Dong Nai improve soft ground by vertical drain in Dong Nai province LIST OF PROPOSALS SUBMITTED (BATCH 2) Topic Number Target Previous No. Team Leader Faculty Research Topic (from Long Province Batch List) Mechanical Perfection the system semi-automatic cashew shell cutting B1-01 1 Dr. Tran Dooan Son B1-01 Dong Nai Engineering machine to replace manual operation Leader Application of cellulose preparation, hemicellulase Chemical preparation and combined cellulase, hemicellulase and B1-09 2 Dr. Le Van Viet Man B1-09 Tien Giang Engineering ultrasound treatment to Barbados cherry juice production for Leader improvement in extraction yield and product quality Utilizing rice husk as fuel for production of small-cale 3 Dr. Nguyen Thi Van Ha Environment Province B20 An Giang electricity and amorphous silica Extraction of Taxol and 10-DEACETYLBACCATIN III from Red pine (TAXUS WALLICHIANA ZUCC) to apply B1-04 4 Dr. Le Thi Kim Phung Environment B1-04 Lam Dong in pharmaceutical field to produce medicine against cancer: Leader Kinetics, Mathematical modeling and scale-up Civil B1-03 5 Dr. Tran Van Mien Light concrete for low cost housing in An Giang University A47 An Giang Engineering Member Study on soft ground improvement method by using earth's Civil B1-12 6 Dr. Le Van Nam atmospheric pressure, applied to a soft ground area of Dong Not defined Dong Nai Engineering Member Nai Province Dr. Tran Nguyen Hoang Civil Sliding and overall instability of embankments along 7 Not defined An Giang Hung Engineering riverbanks and on soft ground in An Giang province Measuring capacity of self-cleaning of Hau River in An B1-10 8 Dr. Le Hoang Nghiem Environment Province B25 An Giang Giang Province Member The assessment of the status of pollution and treatment of water from selected textile mills and pulp mills in Di An B1-10 9 Dr. Le Hoang Nghiem Environment district, Binh Duong province, the identification of problem Not defined Binh Duong Member situations and the proposal of technological solutions to overcome these problems Dr. Nguyen Tan Phong Study on low cost decentralized domestic wastewater 10 Environment Province C25 Dong Nai Dr. Le Thi Hong Tran treatment technology for household and small community Wastewater Treatment for Textile and Garment Industries By 11 Dr. Bui Xuan Thanh Environment Membrane Bioreactor Coupling with Advanced Oxidation Province D33 Binh Duong Processes Research on moving/treating bad odor at rubber processing 12 Msc. Tran Tien Khoi Environment Province D36 Binh Duong factories in Binh Duong province Electrics- Rooftop solar system for household and small scale farming 13 Dr. Nguyen Quang Nam Province E42 Lam Dong Electronics applications Transportation A pilot study on the appropriate technology for purification B1-11 14 Dr. Huynh Thanh Cong B1-11 Binh Duong Engineering and compression of biogas for the various purposes Member Chemical Research processes and pilot devices to produce value-added 15 Dr. Pham Thanh Quan Province E38 Lam Dong Engineering products from green tea (catechins and caffeine) Chemical 16 Dr. Mai Thanh Phong Preparation of Filter Aids Based on Lam-Dong’s Diatomite Province E37 Lam Dong Engineering Chemical 17 Dr. Nguyen Ngoc Hanh Synthesis of furfural from rice husk Province B20 An Giang Engineering Chemical Study on the production of Tea Tree Essential Oil and 18 Dr. Nguyen Thi Lan Phi, Province A18 Tien Giang Engineering develop its products for practical use Study on the collagen extraction and purification from the Chemical B1-07 19 Dr. Phan Ngoc Hoa wastes of fishery processing plant for cosmetic and B1-7 An Giang Engineering Member pharmaceutical application LIST OF PROPOSALS SUBMITTED (BATCH 3) Topic Number Previous No. Team Leader Faculty Research Topic Target Province (from Long List) Batch Purification of collagen and test application as food 1 Dr. Vu Ba Minh Chem E. 7, Batch2 An Giang Batch1,2 and cosmetic raw materials The study on activating Lam Dong Bentonite to use as 2 Dr. Huynh Ky Phuong Ha Chem E. adsorbent substance to recycle of waste lubricant and 3 New treatment of some heavy metal ions Preparation of Filter Aids and Conductive Composites 3 Dr. Mai Thanh Phong Chem E. 29 Lam Dong Batch2 Based on Lam-Dong’s Diatomite Study on purification of terpinen 4-ol from tea- tree 4 Dr. Huynh Quyen Chem E. raw essential oil in pilot scale for pharmaceutical B2-5 Tien Giang Batch2 application Study and production of a drying equipment using 5 Mr. Hoang Minh Nam Chem E. renewable energy resources for agricultural and 31 Lam Dong New pharmaceutical products Study on fish sauce technology from the wastes of 6 Dr. Nguyen Hoang Dung Chem E. 11 An Giang New fishery processing plant Food product development from Barbados cherry 7 Dr. Le Van Viet Man Chem E. B1-9, B2-9 Tien Giang Batch1,2 (Malpighia glabra) juice Pre-purification and purification of Taxol and it 8 Dr. Phung Le Chem E. nature analogues from the crude extracts of Taxus Batch1,3 Lam Dong Batch1,2 spp. cultivated in Lam Dong 9 Dr. Nguyen Quang Nam Elec. E. Application of solar energy in urban lighting network 26 Binh Duong Batch2 Energy saving in cold storage system for seafood 10 Dr. Phan Quoc Dung Elec. E. - Binh Duong New factories HOA NAM Sliding and overall instability of embankment along Dr. Tran Nguyen Hoang 11 Civil riverbanks and on softground in AG province: Field B2-03 An Giang Batch Hung experiment study (the second stage) High durable self-compacting concrete technology for 12 Dr. Nguyen Van Chanh Civil construction and precast concrete manufacturing in 4 Tien Giang Batch1 Tien Giang Province, Me Kong delta region Study on Application of Biomass Carrier for Low 13 Dr. Nguyen Tan Phong Env. E. Cost Small Scale Domestic and Industrial Wastewater 20, Batch3 Dong Nai Batch2 Treatment Technology Research on treatment of different wastewaters by Tien Giang, Dong 14 Dr. Dang Viet Hung Env. E. using swim-bed technology with bio-fringe immersed 9 New Nai, Long An media (biomass carrier) Application of biomass carrier technology in small 15 Dr.Lam Van Giang Env. E. 20 Dong Nai New and medium scale wastewater treatment Research on a low-cost compact industrial wastewater Mr. Tran Tien Khoi 16 Env. E. treatment plant with capacity of 10-15m3/day for 24 Binh Duong New Dr. Nguyen Phuoc Dan small-scale industries Study on Anti-Fouling Properies of Ultrafiltration Nguyen Thi Ngoc Quynh 17 Env. E. Memebranes Coated with PVA & TiO2 and Their 24 Binh Duong New Dr. Nguyen The Vinh Application in Wastwater Treatment Waste treatment from the paper production from 18 Dr. Bui Xuan Thanh Env. E. 23 Binh Duong Batch2 water hyacinth Processing of Agricultural Wastes into Biofuel and 19 Dr. Bui Xuan Thanh Env. E. 32 Lam Dong Batch2 Organic Fertilizer Application of Biomass Carrier for Low Cost Small Batch2, Letter from 20 Dr. Nguyen Tan Phong Env. E. Tien Giang Scale Slaughter-House Wastewater Treatment TG DARD Applying IT into real estate resource information 21 Dr. Le Van Trung Env. E. 9 New management Design and manufacture small capacity and low price 22 Dr. Tran Doan Son Mech. E. coffee roasting device, suitable for family-scale coffee - Lam Dong Batch1 roasting workshops in Lamdong province. Binh Duong, Dong DevelopmentAppropriate Technology for High- 23 Dr. Nguyen Ngoc Dung Transpotation Nai, Tien Giang, Batch2 PerformanceBiogas-based-Diesel Engine Lam Dong Research on a High Efficiency and Low Cost Wind 24 Mr. Tran Dang Long Transpotation (4)B,15 An Giang New Generator for Low Power Applications 25 Dr. Do Quang Minh Material Tech. Using red mud to make unfired bricks 36 Lam Dong New Preparation of Filter aids based on Diatomite of Lam 26 Dr. Nguyen Khanh Son Material Tech. (Batch2) Lam Dong New Dong Developing the public system for sharing medical records in the Thong Nhat Hospital (Application of IT 27 Dr. Thoai Nam Computer S&E to support a system for medical diagnosis and 18 Dong Nai New treatment at Thong Nhat Hospital, Dong Nai province) Small-Medium Enterprises in Lam Dong: Market Industrial 28 Dr. Le Nguyen Hau Orientation to overcome challenges forlon term Lam Dong New management development

Appendix 15

Distribution of Research Topics by Faculty and Province

Distribution of Research Topics by Faculty

No. of Proposals Submitted No. of Proposals Selected Faculty Batch 1 Batch 2 Batch 3 Batch 1 Batch 2 Batch 3 Mechanical Engineering 5 1 1 2 0 0 Chemical Engineering 6 7 8 4 5 6 Environment Engineering 7 6 9 2 3 3 Civil Engineering 8 3 2 3 1 1 Transportation Engineering 1 1 2 1 1 1 Electric – Electronic Engineering 0 1 2 0 1 0 Computer Science & Engineering 0 0 1 0 0 1 Material Engineering 0 0 2 0 0 0 Industrial Management 0 0 1 0 0 0 Total 27 19 28 12 11 12 Source: “JICA Project Team”

Distribution of Research Topics by Province

No. of Proposals Submitted No. of Proposals Selected Province Batch 1 Batch 2 Batch 3 Batch 1 Batch 2 Batch 3 Tien Giang 5 2 5 3 2 2 An Giang 6 6 3 1 2 3 Dong Nai 5 3 4 3 2 2 Binh Duong 2 4 6 1 3 2 Lam Dong 8 4 9 4 3 3 Not specified 3 0 1 0 0 0 Total 29* 19 28*/** 12 12 12** Note: * One proposal mentioned three provinces as its target provinces ** One proposal mentioned four provinces as its target provinces Source: “JICA Project Team

Appendix 16

Research Topic, Category, Member Composition, Budget and Overseas Partner of Selected Joint Research Teams

Research Topic, Category, Member Composition, Budget and Overseas Partner of Selected Joint Research Teams (Batch 1) Target Members Budget Allocation Japanese Partner No. Team Leader Faculty Research Topic Category Province Faculty Student Province Amount Share Name Department Univ.

Mechanical Designing and manufacturing semi-automatic cashew nut shell Mechanical B1-1 Dr. Tran Doan Son Dong Nai 1 3 1 2 304,710,000 8.6% Dr. Naoki Uchiyama TUT Engineering cutting machine to replace manual operation Engineering

Civil and Environmental Study on appropriate technology for latex processing B1-2 Dr. Nguyen Phuoc Dan Dong Nai 1 5 2 3 296,000,000 8.4% Dr. Kenji Furukawa Environmental KU Engineering wastewater treatment Engineering

Civil and Inorganic composite materials for road surface utilizing laterit B1-3 Dr. Nguyen Van Chanh Civil Engineering Lam Dong 1 4 3 5 270,000,000 7.6% Dr. Mitsuhiro Shigeishi Environmental KU flyash and red sludge waste in Lam Dong province Engineering

Research on extracting Taxol from Red pine (Taxus Chemical Chemical B1-4 Dr. Le Thi Kim Phung Wallichiana Zucc) to apply in pharmaceutical field to produce Lam Dong 1 5 1 1 351,700,000 10.0% Dr. Mitsuru Sasaki Engineering KU Engineering medicine against cancer

Civil and River bank stabilization in the Mekong River Delta by deep B1-5 Dr. Nguyen Minh Tam Civil Engineering Tien Giang 2 2 1 1 278,000,000 7.9% Dr. Jun Otani Environmental KU cement mixing column method Engineering

Chemical Study on activating the waste mud of Bao Loc bauxite ore Chemical B1-6 Dr. Huynh Ky Phuong Ha Lam Dong 2 3 1 1 300,320,000 8.5% Dr. Pag-Asa D. Gaspillo Engineering refining to use as adsorbent substances Engineering

Chemical Study on the Collagen extraction from the wastes of fishery Chemical B1-7 Dr. Nguyen Hoang Dung An Giang 2 4 2 1 347,400,000 9.8% Dr. Shigeru Morimura KU Engineering processing plant for cosmetic and pharmaceutical application Engineering Mechanical Study on Green House system applying for growing B1-8 Dr. Nguyen Tan Tien Lam Dong 3 2 1 2 272,500,000 7.7% NA Engineering agricultural products Chemical B1-9 Dr. Le Van Viet Man Research on Barbados cherry processing Tien Giang 3 2 1 3 284,000,000 8.0% NA Engineering Research on the impact of hydrology and environmental Environmental pollution on fish floating farms and catfish intensive B1-10 Dr. Vo Le Phu Tien Giang 3 7 2 7 261,245,720 7.4% NA Engineering cultivation, finding technological solutions to protect and develop aquacultural environment in Tien Giang Advanced Transportation Power generation system by internal combustion engine using B1-11 Dr. Pham Xuan Mai Binh Duong 3 7 1 2 308,000,000 8.7% Dr. Shuichi Torii Mechanical KU Engineering biogas generated from manure from pig farming System

Stufy on reasonable embankment preloading technique to B1-12 Dr. Tran Tuan Anh Civil Engineering Dong Nai 3 2 1 1 255,918,650 7.3% NA improve soft ground by vertical drain in Dong Nai province

Category 1 Research Fund + Overseas Partner + One-Month Joint Research Activities in Japan Total 46 17 29 3,529,794,370 100.0%

Category 2 Research Fund + Overseas Partner

Category 3 Research Fund Research Topic, Category, Member Composition, Budget and Overseas Partner of Selected Joint Research Teams (Batch 2) New or Members Budget Allocation Japanese Partner Target No. Team Leader Faculty Research Topic Continued Category Province Faculty Student Province Amount Share Name Department Univ. from: Computer Science Electrics- Dr.Hajime B2-1 Dr. Nguyen Quang Nam Rooftop solar system for household and small scale farming applications LD New 1 9 5 2 473,161,000 9.5% and Electrical KU Electronics Miyauchi Engineering Civil and Dr. Tran Nguyen Hoang Civil Sliding and overall instability of embankments along riverbanks and on B2-2 AG New 1 6 3 5 460,150,000 9.3% Dr. Jun Otani Environmental KU Hung Engineering soft ground in An Giang province Engineering Civil Study on soft ground improvement method by using earth's atmospheric B2-3 Dr. Le Van Nam DN B1-12 3 3 2 1 0.0% NA Engineering pressure, applied to a soft ground area of Dong Nai Province

Extraction of Taxol and 10-Deacetylbaccatin III from Red pine (Taxus Chemical Chemical Dr. Mitsuru B2-4 Dr. Le Thi Kim Phung Wallichiana Zucc) to apply in pharmaceutical field to produce medicine LD B1-04 1 2 1 1 436,840,000 8.8% Engineering KU Engineering Sasaki against cancer: Kinetics, Mathematical modeling and scale-up

Chemical Study on the production of Tea Tree Essential Oil and develop its products B2-5 Dr. Nguyen Thi Lan Phi, TG New 1 5 1 2 479,050,000 9.7% Dr. Seiji Iwasa Material Science TUT Engineering for practical use Dr. Shigeru Chemical Study on the collagen extraction and purification from the wastes of fishery Chemical B2-6 Dr. Phan Ngoc Hoa AG B1-07 1 4 4 1 585,780,000 11.8% Morimura KU Engineering processing plants for cosmetic and pharmaceutical application (Cont.) Engineering

Chemical B2-7 Dr. Mai Thanh Phong Preparation of Filter Aids Based on Lam-Dong’s Diatomite LD New 3 5 2 2 458,300,000 9.2% NA Engineering Application of cellulase preparation, hemicellulase preparation and Chemical combined cellulase, hemicellulase and ultrasound treatment to Barbados B2-8 Dr. Le Van Viet Man TG B1-09 3 5 2 1 395,000,000 8.0% NA Engineering cherry juice production for improvement in extraction yield and product quality Dr. Huynh Thanh Cong Transportation A pilot study on the appropriate technology for compression, strage and Advanced B2-9 BD B1-11 1 9 3 2 518,400,000 10.5% Dr.Shuichi Torii KU Dr. Nguyen Ngoc Dung Engineering use of biogs as fuel for motorcycle Mechanical System Civil and Dr. Nguyen Tan Phong Study on low cost decentralized domestic wastewater treatment technology Dr. Kenji B2-10 Environment DN New 1 6 2 3 380,260,000 7.7% Environmental KU Dr. Le Thi Hong Tran for household and small community Furukawa Engineering The assessment of the status of pollution and treatment of water from selected textile mills and pulp mills in Di An district, Binh Duong B2-11 Dr. Le Hoang Nghiem Environment BD B1-10 3 5 2 5 391,003,000 7.9% NA province, the identification of problem situations and the proposal of technological solutions to overcome these problems

Wastewater Treatment for Textile and Garment Industries By Membrane B2-12 Dr. Bui Xuan Thanh Environment BD B1-2 3 5 3 2 378,041,000 7.6% NA Bioreactor Coupling with Advanced Oxidation Processes

Note: Category 1 Research Fund + Overseas Partner + One-Month Joint Research Activities in Japan Total 64 30 27 4,955,985,000 100.0% Category 2 Research Fund + Overseas Partner (No joint researches in Category 2 for Batch 2) Category 3 Research Fund Research Topic, Category, Member Composition, Budget and Overseas Partner of Selected Joint Research Teams (Batch 3) New or Members Budget Allocation Japanese Partner Target ID Team Leader Faculty Research Topic Continued Category Province Faculty Student Province Amount Share Name Department Univ. from: Civil and Dr. Tran Nguyen Hoang Civil Sliding and overall instability of embankment along riverbanks and on B3-1 AG Batch 2 1 6 10 10 551,000,000 11.9% Dr. Jun Otani Environmental KU Hung Engineering softground in AG province: Field experiment study (the second stage) Engineering Chemical Purification of collagen and test application as food and cosmetic raw B3-2 Dr. Phan Ngoc Hoa AG Batch 1 & 2 3 5 2 2 344,501,000 7.4% NA Engineering materials Chemical Preparation of filter aids and conductive composites based on Lam-Dong’s B3-3 Dr. Mai Thanh Phong LD Batch 2 3 5 2 3 341,000,000 7.3% NA Engineering diatomite Chemical B3-4 Dr. Nguyen Hoang Dung Study on fish sauce technology from the wastes of fishery processing plant AG New 3 6 4 1 453,500,000 9.8% NA Engineering Chemical Study and production of a drying equipment using renewable energy B3-5 Mr. Hoang Minh Nam LD New 3 3 4 2 341,000,000 7.3% NA Engineering resources for agricultural and pharmaceutical products Chemical Study on purification of terpinen 4-ol from tea- tree raw essential oil in pilot B3-6 Dr. Huynh Quyen TG Batch 2 1 6 1 3 341,000,000 7.3% Dr. Seiji Iwasa Material Science TUT Engineering scale for pharmaceutical application Chemical Pre-purification and purification of Taxol and it nature analogues from the B3-7 Dr. Le Thi Kim Phung LD Batch 1 & 2 3 5 3 1 391,000,000 8.4% NA Engineering crude extracts of Taxus spp. cultivated in Lam Dong Computer Developing the public system for sharing medical records in the Thong Nhat Human & Dr. Tomohiko B3-8 Dr. Thoai Nam Science & Hospital (Application of IT to support a system for medical diagnosis and DN New 1 3 7 9 340,000,000 7.3% Environmental KU Igasaki Engineering treatment at Thong Nhat Hospital, Dong Nai province) Informatics

Environmental Research Center of B3-9 Dr. Le Van Trung Applying IT into real estate resource information management TG New 1 6 3 2 408,000,000 8.8% Dr. Riken Homma KU Engineering Higher Education Civil and Mr. Tran Tien Khoi Environmental Research on a low-cost compact industrial wastewater treatment plant with B3-10 BD Batch 2 1 4 2 3 364,000,000 7.8% Dr. Kenji Furukawa Environmental KU Dr. Nguyen Phuoc Dan Engineering capacity of 10-15m3/day for small-scale industries Engineering Environmental Study on Application of Biomass Carrier for Low Cost Small Scale Domestic B3-11 Dr. Nguyen Tan Phong DN Batch 2 3 5 4 4 364,000,000 7.8% NA Engineering and Industrial Wastewater Treatment Technology Transpation DevelopmentAppropriate Technology for High-Performance Biogas-based- BD (DN, LD, Advanced B3-12 Dr. Nguyen Ngoc Dung Batch 1 & 2 1 5 2 2 409,950,000 8.8% Dr.Shuichi Torii KU Engineering Diesel Engine TG) Mechanical System Note: Category 1 Research Fund + Overseas Partner + One-Month Joint Research Activities in Japan Total 59 44 42 4,648,951,000 100.0% Category 2 Research Fund + Overseas Partner (No joint researches in Category 2 for Batch 2) Category 3 Research Fund

Appendix 17

List of Published Papers

List of Academic Papers Published at Domestic/International Conferences under SUPREM-HCMUT (As of October 2012)

Batch 1 Model Labs

Prof. Tran Doan Son; Prof. Uchiyama; Suguru Kirita; Norifumi Yamanaka; Ho Minh Phat, B1-01 “Towards the automation of cashew shelling operation, ” The 16th International Symposium on Artificial Life and Robotics, Oita, Japan, January 27-29, 2011 L.T.T. Phuong, P.T. Nhat, D.T.T. Phuong, N.Le, N.P.Dan, Kenji Furukawa, 2010, “Situation of rubber wastewater treatment and proposed improvement solutions to enhance treatment efficiency in South of Vietnam”, The 2nd Regional Conference on Global Environment, Ho Chi Minh City, Vietnam, March 8-9, 2010 Le Thi Thuy Phuong, Nguyen Phuoc Dan, Le Hoang Nghiem, Kenji Furukawa, 2010, “Study on PVA-GEL Carrier in UASB Reactor for lax wastewater treatment, ” International Conference on Environment (ICENV) 2010, Penang, Malaysia, December 13-15, 2010 Phan The Nhat, Nguyen Phuoc Dan, Dang Viet Hung, Kenji Furukawa, 2010, “Study on B1-02 Anammox Process using biomass carrier for nitrogen removal in latex wastewater treatment,” International Nguyen Le, Da ng Viet Hung , Nguyen Phuoc Dan, N guyen Ng oc Bich, K enji Fur ukaw a, 2010, “Study on Swim-bed technology for COD removal and nitrification for latex wastewater treatment,” International Conference on Environment (ICENV) 2010, Penang, Malaysia, December 13-15, 2010 Do Thi Thuy Phuong, Bui Xuan Thanh, Nguyen Phuoc Dan, Nguyen Ngoc Bich, Kenji Furukawa, 2010, “Study on the impact of TKN loadings on nitritation for latex processing wastewater treatment,” (Poster) International Conference on Environment (ICENV) 2010, Penang, Malaysia, December 13-15, 2010

Tran Quoc Tho and Nguyen Van Chanh, 2009, “Inorganic Composite Materials for Road Surface Utilizing Laterite, Fly-ash and Red sludge waste in Vietnam,” The 8th International Conference on Civil and Environmental Engineering, Pusan, Korea, October 28-30, 2009 Tran Quoc Tho, Tran Ngoc Kieu Nga, Nguyen Van Chanh, 2009, “Research on Inorganic Composite Materials for Rural Road in Highland of Vietnam,” The 11th Science and Technology Conference in University of Technology, Ho Chi Minh city, Vietnam, October 21-23, 2009

Nguyen Thi Thu Tra, Nguyen Van Chanh, 2009, “Jute fiber reinforced laterite soil to control slope erosion”, The 11th Science and Technology Conference in University of Technology, Ho Chi Minh city, Vietnam, October 21-23, 2009

Tran Quoc Tho, Nguyen Huu Viet Dung and Nguyen Van Chanh, 2009, “Research on New Inorganic Composite Materials based on Bauxite, Fly ash and Red mud for Road Construction in Lam Dong province,” ACI/VCA International Symposium On Recent Advances In Concrete Technology And Sustainability Issues, Hanoi, Vietnam, December 2,

B1-03 2009 Tran Quoc Tho, Nguyen Van Chanh, Mitsuhiro Shigeishi, 2010, “Inorganic Composite Materials for Road Surface Utilizing Bauxite, Flyash and Red sludge waste in Lam Dong province,” The 4th Conference on Science and Technology - Vietnam Science and Technology Institute, Lam Dong, Vietnam, August 20-21, 2010 Tran Quoc Tho, Nguyen Van Chanh, Mitsuhiro Shigeishi, 2010, “Inorganic composite material based on fly ash, red residue from bauxite ore for road building projects in Vietnam,” International Conference on Manufacturing Science and Technology, Kuala Lumpur, Malaysia, November 26-28, 2010 Tran Quoc Tho, Nguyen Van Chanh, Mitsuhiro Shigeishi, 2010, “Inorganic Composite Material Based On Fly Ash, Red Residue from Bauxite Ore for Road Construction,” The 3rd Regional Conference Interdisciplinary on Natural Resources and Materials Engineering (3rd RC-NMR), Langkawi, Malaysia, October 25-26, 2010 Nguyen Van Chanh, Tran Quoc Tho, Mitsuhiro Shigeishi and Trần Ngọc Kiều Nga, 2010, “Synthesis and Characteristics of Fly Ash and Red Residue from Bauxite Ore for Construction Materials,” The 4th ACF International Conference, Taipei, Taiwan, November 28-December 1, 2010 Nguyen Quang Duy, 2009, “An alternative taxol resource from 5 year old taxuswallichiana zucc cultivated in Dalat, Vietnam,” (Poster) The 3rd International Student Conference on Advanced Science and Technology (ICAST), Seoul, B1-04 Republic of Korea, December 11-12, 2009 Nguyen Quang Duy, Phan Dinh Tuan, Le Thi Kim Phung, 2010, “Supercritical fluid extraction of paclitaxel and

10-deacetylbaccatin III from taxuswallichiana zucc: multivariate statistical modeling,” The 1st International Chemical

and Environmental Engineering Conference 2010, Kuala Lumpur, Malaysia, November 25-29, 2010 Nguyen Minh Tam, Nguyen Ngoc Thang & Jun Otani, 2010, “Study on Riverbank Stabilization at the Mekong River Delta by Deep Cement Mixing Column Method,” International Workshop on New Frontiers in Computational Geotechnics, Brisbane, Australia, July 26-27, 2010 B1-05 Nguyen Ngoc Thang, Nguyen Thanh Dat, Nguyen Minh Tam, Le Anh Tuan, 2011, "An Analytical Study on Cement Column Stabilized in the River Bank by Deep Mixing Column", The 2011 International Student Conference on Advanced Science and Technology (ICAST 2011), Jinan, China, September 23 – 27, 2011

Huynh Ky Phuong Ha, Tran Bao Phuc, Tran Ngoc Mai, 2010, “The Study on Activation Process of Waste Mud from Baoloc-Lam Dong Bauxite Ore Refining to Use as Adsorbent Substances Using Design-Expert Software,” A UN/SEED-Net 2nd Regional Conference on Global Environment , Ho Chi Minh City, Vietnam, March 8-9, 2010

Huynh Ky Phuong Ha, Tran Bao Phuc, Tran Ngoc Mai, 2010, “The Study on Activation Process of Waste Mud from Bao Loc-Lam Dong Bauxite Ore Refining to Use as Adsorbent Substances in Ion As5+,” The 1 st Conference on Science and Technology, HUTECH, HCMC, Vietnam, April 15, 2010 B1-06 Nguyen Thi Nhat Phuong, Tran Bao Phuc, Huynh Ky Phuong Ha, Pag-Asa Gaspilo, 2010, “Optimization of Acid Activation Process of Waste Mud from Bauxite Ore Refining for Use as Adsorbent Using Reponse Surface Technology,” International Conference on Environment (ICENV) 2010, Penang, Malaysia, December 13-15, 2010

Huynh Ky Phuong Ha, Tran Bao Phuc, Tran Ngoc Mai, 2011, “A study on activating red mud and its use as Arsenic (V) adsorbent substance using Design-Expert software,” 3rd Regional Conference on Chemical Engineering 2011, ISSN 2094-3237, Manila, Philippines, January 20-21, 2011 Le Thi Thu Huong, Ngo Hong Bao Chau, Nguyen Thi Diem Phuong, Phan Dinh Tuan, Nguyen Hoang Dung, Mai Thanh Phong, Nguyen Thi Nguyen, 2010, “Acetic acid extraction of collagen from basa fish skin,” The 2nd Regional B1-07 Conference on Biotechnology: Research and Development on Food Biotechnology, Phnom Penh, Cambodia, February 11-12, 2010

Le Thi Thu Huong, Phan Dinh Tuan, Nguyen Hoang Dung, Mai Thanh Phong, Nguyen Thi Nguyen, 2011, “Extraction of collagen from the skin of striped catfish (Pangasius hypophthalmus)”, CIGR International Symposium of Sustainable Bioproduction-Water, Energy, and Food”, Tokyo, Japan, September 19 – 23, 2011 Thanh Tung Tran, Duy Anh Nguyen, Tan Tien Nguyen, 2010, “Study on Control of Temperature, Humidity, Light, and CO2 Concentration for Greenhouse Systems,” The 5th Vietnam Conference on Mechatronics (VCM2010), Ho Chi Minh City, Vietnam, October 22-23, 2010 Hoang Nguyen, Van Tung Tran, Duy Anh Nguyen, Tan Tien Nguyen, 2010, “Fuzzy Logic Controller for Regulation of the pH and EC for Irrigation System in Greenhouse,” The 5th Vietnam Conference on Mechatronics B1-08 (VCM2010), Ho Chi Minh City, Vietnam, October 22-23, 2010 Quoc Dat Le, Quoc Toan Truong, Ky Hoa Lu, Duy Anh Nguyen, Tan Tien Nguyen, 2010, “Study on pH Control for Agricultural Irrigation,” The 5th Vietnam Conference on Mechatronics (VCM2010), Ho Chi Minh City, Vietnam, October 22-23, 2010 Quoc Dat Le, Duy Anh Nguyen, Tan Tien Nguyen, 2011, “Study on pH Control for Agricultural Irrigation,” International Engineering Symposium, Kumamoto, Japan, March 3-5, 2011

Dang Bui Khue, Huynh Trung Viet, Le Van Viet Man, 2010, “Simultaneous treatment of acerola mash by ultrasound and pectinase preparation in acerola juice processing: Optimization of the pectinase concentration and pectolytic time B1-09 by response surface methodology,” International Conference on Food Research 2010, Putrajaya, Malaysia, November 21-25, 2010

Nguyen Ngoc Bao Tram, Vo Le Phu, 2009, “Impact of Water Quality on Fish Cage Culture in Tien Giang, Vietnam,” 2nd Regional Conference on Global Environmental Issues for Sustainable Development in the ASEAN Region, HCMC, Vietnam, March 8-9, 2009 Nguyen Ngoc Bao Tram and Tran Ngoc Chau, 2010, “Floating Fish Farming in TienGiang: A Review of Issues, Challenges B1-10 and Perspectives” (Poster) The 2nd Global Conference on Aquaculture 2010 “Farming the Waters for Food and People”, Bangkok, Thailand, June 9-12, 2010

Nguyen Ngoc Bao Tram, Vo Le Phu, 2010, “Tilapia Cage Farming in Tien Giang, Vietnam: Impacts of Water Quality on the Production,” GMSTEC 2010: International Conference for a Sustainable Greater Mekong Sub-region, Bangkok, Thailand, August 26-27, 2010

Phu Le Vo, Vo Thi Thu Tinh, Phan Huynh Cam Tu, Ha Pham Thuy Dung, Nguyen Van Dien, Trinh Thi Bich Huyen, 2012, “Rainwater harvesting as an adaption measure to climate change: an implication to Ho Chi Minh city, Vietnam”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 Pham Xuan Mai, Tran Minh Tien et al., 2009, “Power generation system by internal combustion engine using biogas generated from manure from pig farming,” The 11th Conference on Science & Technology, HCMUT, Vietnam, October 21-23, 2009 B1-11 Tran Minh Tien, Pham Xuan Mai, 2010, “A study on power generation system fueled with biogas from the waste of pig farm,” The International Forum on Strategic Technology (IFOST2010), Ulsan, Korea, October 13-15, 2010 Huynh Thanh Cong et al., 2010, “A study on power generation system using with biogas,” Innovation for Renewable Energy 2010, Hanoi, Vietnam, September 20-23, 2010 Tuan Anh Tran, Dinh Quy Tran, Phan Vo, 2010, “Study on key factors affecting consolidation of a soft ground improvement project of Nhon-Trachthermal power plant, Dong Nai Province, Vietnam,” The 2nd ASEAN Civil engineering Conference, Vientiane, Laos, March 11-12, 2010 Tuan Anh Tran, Van Nam, 2010, “Numerical simulation of a deep foundation improvement by prefabricated vertical B1-12 drains under a full-scale embankment,” The CIGOS Conference on High-Rise Buildings and Underground Structures, Paris, France, November 18-19, 2010 Tuan Anh Tran, Van Nam, 2010, “Parametric study of stability of a deep soft clay deposit under a trial embankment combined with PVDs installation,” International Symposium on Geotechnical and Geosynthetics Engineering: Challenges and Opportunities in Climate Change, Bangkok, Thailand, December 7-8, 2010

Batch 2 Model Labs

Phan Quang An, 2011, “A Comparison of Perturb & Observe and Fuzzy MPPT Control Algorithm for a PV System”, The 4th AUN/SEED-Net Regional Conference on New & Renewable Energy, HCMC, Vietnam, October 12-13, 2011

B2-01 Phan Quang An, Nam Nguyen-Quang, Nguyen Gia Minh Thao, Duong Nguyen-Nam, Ngo Ngoc Thach, 2011, "An Improved Incremental Conductance MPPT Algorithm with Fuzzy Logic for Standalone PV Systems", Minamata International SympoSIum ON Environment And Energy Technology 2011 (MISSION 2011), Kumamoto city and Minamata city, Japan, 5-6 December 2011

Tran-Nguyen, Hoang-Hung, Nguyen, Cuong V.H., Tran, Hoang H., Le, Viet X., 2011, “Sliding of highway embankments along riverbanks on soft ground in An Giang Province, Vietnam: A case study,” the 5th International Symposium on Deformation Characteristics of Geomaterials, Seoul, Republic of Korea, August 31 – Sep 3, 2011 Tran-Nguyen, H.-H., and Le, X.V. (2011), "Failures of highway embankments along the Hau Riverbanks: The causes B2-02 and remedial solutions", International conference on geotechnics for sustainable development, October 6-7th, 2011, Hanoi, Vietnam. Le Xuan Viet and Tran Nguyen Hoang Hung, 2011, “Research on Sliding of highway embankments along the riverbank on soft ground at km 88 + 937 in Binh My, Chau Phu, An Giang”, The 12th conference on Science & Technology, HCMUT, October 26-28, 2011 Nguyen Quang Duy, 2010, “Mathematical modeling of supercritical fluid extraction of 10-deacetylbaccatin III from cultivated Taxus Wallichiana zucc ,” The 3rd RC-NRM, Langkawi, Malaysia, October 25-26, 2010 Nguyen Quang Duy, Siti Machmudah, Mitsuru Sasaki, Motonobu Goto and Le Thi Kim Phung, 2010, “Supercritical fluid extraction of 10-DAB III from TaxusWallichiana Zucc,” The 23rd International Symposium on B2-04 Chemical Engineering - Fukuoka, Japan, December 4-5, 2010 Nguyen Quang Duy, Ho Cong Truc, Chau Ngoc Do Quyen, Phan Dinh Tuan, Le Thi Kim Phung, 2012, “Supercritical fluid extraction of 10-DAB III from Taxus Wallichiana Zucc: mathematical modeling and simulation”, The 14th Asia Pacific Confederation of Chemical Engineering Congress, Singapore, February 21-24, 2012

Le Thi Ngoc An, Phan Dinh Tuan, Nguyen Thi Lan Phi, 2011, “Study on the antimicrobial activity of tea tree (Melaleuca alternifolia) essential oil from Vietnam”, The 2nd National Biotechnology Conference in Southern Vietnam 2011,

November 25, 2011 Nguyen Thi Lan Phi, Nguyen Thi Le Uyen, Phan Dinh Tuan, Seiji Iwasa, Masayoshi Sawamura, 2012, “Study on Tea B2-05 Tree (Melaleuca Alternifolia) essential oil grown in Vietnam”, Proceedings of The 56th Symposium on Terpene and Essential Oil Chemistry (TEAC 2012), Kagoshima City, Japan, October 27-29, 2012 Le Thi Thu Huong, Hoang Ngoc Thach, Nguyen Hoang Dzung, Phan Dinh Tuan, 2011, “Purification of acid-solubilized collagen from the skin of tra fish (Pangasius Hypophthalmus)”, The 3rd Regional Conference in Biotechnology, Hanoi University of Science and Technology, March 3-4, 2011 B2-06 Le Thi Thu Huong, Phan Ngoc Hoa, Nguyen Hoang Dzung and Phan Dinh Tuan, 2012, “Optimization of conditions for extraction of collagen from the skin of Pangasius hypophthalmus by response surface methodology”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 Tran Duy Hai, Mai Thanh Phong, 2012, “Comparison of Lam Dong and Phu Yen diatomite as raw materials for filter aid B2-07 manufacture”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012

Nguyen, T.X.L., Vuong T.M.T., Le, V.V.M., 2011, “Application of ultrasound and hemicellulase preparation to acerola mash treatment for improvement in juice yield and quality”, The 2nd Conference on Food Science and Technology, Food Safety and Food Quality in South-east Asia (Mekong Food), Can Tho City, Vietnam, November 9 – 12, 2011 B2-08 Nguyen, T.X.L., Vuong T.M.T., Le, V.V.M., 2012, “Application of ultrasound and hemicellulase preparation to acerola juice processing”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 Ho Thanh Tho, Nguyen Ngoc Dung, Tran Dang Long, 2011, “A study on the electronic fuel supply system for biogas fueled motorcycle,” Annual Conference of Science and Technology XII, HCMUT, October 26-28, 2011 Vu Thi Kim Chau, Tran Dang Long, Vo Tan Chau, Huynh Thanh Cong, 2011, “Preliminary study on the performance B2-09 characteristics of motorcycle engine fueled with biogas,” Annual Conference of Science and Technology XII, HCMUT, October 26-28, 2011 Phan The Anh, Nguyen Ngoc Dung, Tran Dang Long, Huynh Thanh Cong, “Investigation of optimizing the

intake system for biogas-fueled motorcycle engines using PC simulation”, Annual Conference of Science and Technology XII, HCMUT, October 26-28, 2011

Ho Thanh Tho, 2011, “Research of Designing and Manufacturing of Volumetric Flow Measurement Unit for Engine Control System”, Annual Conference of Science and Technology XII, HCMUT, October 26-28, 2011 N.T.Phong and N.T.Hung , 2011, “Study on Domestic Wastewater Treatment with Two-Step Feed Processes (A202)”, B2-10 International Engineering Symposium, Kumamoto , Japan, March 3-5, 2011 Le Hoang Nghiem, Vo Le Phu, Le Thuc Lam, “Using water pinch analysis for water minimization at An Binh Paper Mill in Binh Duong province”, The International Forum on Green Technology and Management 2011, Da Nang City, Vietnam, 28 – 29 July, 2011 Le Hoang Nghiem, Vo Le Phu, Le Thuc Lam, “Water saving and Cleaner production – Case study on An Binh and Phat Dat B2-11 paper mills in Binh Duong Province”, The Annual Conference of Science and Technology XII, HCMUT, HCMC, Vietnam, October 2011 Le Hoang Nghiem, Vo Le Phu, Le Thuc Lam, “Waste and Wastewater minimization study of paper mills in Binh Duong Province, Vietnam”, The 6th SEATUC international symposium, Bangkok, Thailand, March 6-8, 2012

Phan The Nhat, Nguyen Phuoc Dan, Dang Viet Hung, Daisuke Hira and Kenji Furukawa, 2011, “Study on application of anammox process using polyester non-woven carrier reactor (PNBCR) for latex processing wastewater treatment”, First International Anammox Symposium - IANAS2011, Kumamoto city, Japan, May 19-20, 2011 Quyen, V.T.K., Thanh, B.X., Dan, N.P., 2011, “Removal of non-biodegradable organic matters from membrane bioreactor permeate by oxidation processes”, International Conference on 4th International Conference on Challenges in Environmental Science & Engineering (CESE 2011), ISBN: 978-0-646-56425-8, Tainan, Taiwan, September 25-30, 2011 B2-12 Hien, N.T.M., Tin, N.T., Thanh, B.X., Dan, N.P., 2011, “Fouling Mitigation in Membrane Bioreactor Treating Dyeing and Textile Wastewater”, International Conference on 4th International Conference on Challenges in Environmental Science & Engineering (CESE 2011), ISBN: 978-0-646-56425-8, Tainan, Taiwan, September 25-30, 2011 Thanh, B.X., Binh, N.T., Dan, N.P., 2011, “Performance of Membrane Bioreactor Coupling With Ozonation at Different Recirculation Rate For Dyeing And Textile Wastewater Treatment”, Minamata International Symposium On Environment And Energy Technology 2011 (MISSION 2011), P.86- 89, Kumamoto city and Manamata city, Japan, December 6 – 8, 2011

Batch 3 Model Labs

Tran Nguyen Hoang Hung, Nguyen Ngoc Du, 2012, “Remedial Structures to Stabilize Long Xuyen Riverbank to Prevent Sliding in An Giang province, Vietnam”, The 8th Asia Pacific Structural Engineering and Construction Conference B3-01 (APSEC) and The 1stInternational Conference on Civil Engineering Research (ICCER) – APSEC-ICCER 2012, Surabaya, Indonesia, 2-4 October, 2012 B3-02 Not available Mai Thanh Phong, Tran Duy Hai, Phan Dinh Tuan, 2012, “Effects of Fluxing Agents on Filter Aids Prepared from Lam B3-03 Dong Diatomite”, Proceedings of The 19th Regional Symposium on Chemical Engineering, Bali, Indonesia, 7-8 November, 2012 Do Minh Hien, Huynh T. Truc Hang, Huynh T. Viet, Phan N. Hoa, Nguyen T. Thu Ha, Nguyen T. Hang, Shindo Jo and B3-04 Nguyen Hoang Dzung, 2012, “Use of koji in production of fish sauce from the waste of fishery processing plant”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 B3-05 Not available Huynh Quyen, Phan Dinh Tuan, Thieu Quang Quoc Viet, 2012, “Research on distillation technology to extract essential B3-06 oil from Melaleuca Alterfornia (TTO)”, International Conference on Chemical, Biological and Environmental Engineering 2012 (ICBEE 2012), Phuket, Thailand, September 1-2, 2012 Chau Ngoc Do Quyen, Nguyen Quang Duy, Phan Dinh Tuan, Mitsuru Sasaki, Motonobu Goto and Le Thi Kim Phung, 2012, “Broken and intact cell model coupled with experimental design to simulate supercritical fluid extraction of B3-07 10-DAB III from Taxus Wallichiana Zucc”, The 2nd International Engineering Symposium (IES2012), Kumamoto city, Japan, March 4-7, 2012 An Ngoc Thien Nguyen, Tran Khanh Dang, Nam Thoai, Ngoc Hieu Duong, 2012, “Preserving privacy in data streams B3-08 query processing synopses”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 Luu Dinh Hiep, 2011, “Mô hình cơ sở dữ liệu mờ trong Hệ thống thông tin địa lý (GIS)”, Hội thảo Ứng dụng GIS Toàn quốc 2011, Danang city, Vietnam, December 17-18, 2011 B3-09 Ho Thanh Truc, Le Van Trung, 2011, “Mô hình ứng dụng GIS trong quản lý đất đai tỉnh Tiền Giang”, Hội thảo Ứng dụng GIS Toàn quốc 2011, Danang city, Vietnam, December 17-18, 2011 Phan Thi Anh Thu, Le Van Trung, 2011, “Thu nhận ảnh bằng máy bay không người lái phục vụ công tác thành

lập bản đồ”, Hội thảo Ứng dụng GIS Toàn quốc 2011, Danang city, Vietnam, December 17-18, 2011 Le Van Trung, Vuong Quoc Viet, 2012, “Impacts of the land subsidence on sustainable urban development”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012 Thanh Tuan Nguyen, Khoi Tran Tien, Dan Nguyen Phuoc, 201, “Application of UMBR coupled with MBR for nitrogen

B3-10 removal of piggery wastewater”, Proceedings of International Conference on Life Science and Engineering (ICLSE2012), Hong Kong, 27-28 October, 2012 Nguyen Tan Phong, Le Thi Hong Tran, and Pham Le Hoang Duy, 2011, "Study on low cost decentralized domestic

th B3-11 wastewater treatment by a moving bed biofilm reactor for household and small community," the 4 IWA-ASPIRE Conference & Exhibition, Tokyo, Japan, October 2-6, 2011 Nguyen Ngoc Dung, Vo Le Hoai Phuong, Phan The Anh and Tran Dang Long, 2012, “A study of conversion diesel engine B3-12 to fully biogas engine with electronically controlled venturi-mixing system”, The 2nd International Engineering Symposium (IES 2012), Kumamoto city, Japan, March 4-7, 2012

List of Academic Papers Published in Domestic/International Journals under SUPREM-HCMUT (As of October 2012)

Batch 1 Model Labs

Dr. Tran Doan Son, 2009, “Application of copy milling method for preliminary separation of hard shell cashew B1-01 nut in processing cashew kernel for export”, Vietnamese Mechanic Journal B1-02 Not available B1-03 Not available Nguyen Quang Duy, 2010, “Supercritical fluid extraction of 10-deaacetylbaccatin III from 5 year old Taxus B1-04 Wallichiana Zucc cultivated in Dalat, Lam Dong”, Journal of Science and Technology

Nguyen Thanh Dat, Le Anh Tuan, Nguyen Minh Tam, Nguyen Ngoc Thang, 2011, “Study on the factors influencing B1-05 to bending strength of soil cement samples and correlation between unconfined compression strength and bending strength,” Vietnam Geotechnical Journal (Issue 4 - 2010)

Huynh Ky Phuong Ha, Tran Bao Phuc, Tran Ngoc Mai, 2010, “NGHIÊN CỨU HOẠT HÓA BÙN THẢI TỪ QUÁ TRÌNH B1-06 TUYỂN QUẶNG BAUXITE TẠI MỎ BAUXITE BẢO LỘC – LÂM ĐỒNG THÀNH CHẤT HẤP PHỤ ASEN,” Science and Technology Journal, Vietnam B1-07 Not available Duy Anh Nguyen, 2011, “Fuzzy Logic Controller to regulate the pH and EC for irrigation system in Greenhouse,” Special B1-08 issue of International Journal of Earth Sciences and Engineering ISSN 0974-5904 published by Cafet-Innova Technical Society, INDIA B1-09 Dang Bui Khue, Le Van Viet Man, 2010, “Pectolytic treatment of non-sonicated or sonicated Barbados cherry

mash: alternative choice in juice processing,” International Food Research Journal in July 2010 Nguyen Ngoc Bao Tram, Vo Le Phu, 2009, “Better management practices for Tilapia Cage Farming in Tien Giang, B1-10 Vietnam,” Aquaculture Asia, Volume XVI, page 16, No.3, July - September 2011 Huynh Thanh Cong, Pham Xuan Mai, Tran Minh Tien, 2010, “A study on the characteristics of biogas-fueled engine,” B1-11 Transaction of the Korean Hydrogen and New Energy Society B1-12 Not available

Batch 2 Model Labs

B2-01 Not available

Le Xuan Viet and Tran Nguyen Hoang Hung (2011), "Sliding of highway embankments along riverbanks on the highway No. 91 in Binh My, An Giang", Journal of Transport and Communications, Vol. 6, pp. 17-20. (in Vietnamese)

B2-02 Le Xuan Viet and Tran Nguyen Hoang Hung (2011b), "Remedial solutions for the failure at the highway No. 91 in Binh My, An Giang", Journal of Transport and Communications, Vol. 7. (in Vietnamese) Le Xuan Viet and Tran Nguyen Hoang Hung, 2011, “Sliding of highway embankments along riverbanks on soft ground in Nhon Hoi, An Giang”, Journal of Construction Technology, August 2011, p.68 B2-04 Not available B2-05 Not available Le Thi Thu Huong, Nguyen Ngoc Truong, Nguyen Hoang Dzung, Phan Dinh Tuan, 2010, “Treatment of Tra Fish B2-06 (Pangasius Hypophthamus) Skin for Collagen Extraction,” Journal of Science and Technology, Vol 48, 6A, (2010): 319-328

Tran Doan Minh Dang, Mai Thanh Phong, 2011, “Characterization and Pretreatment of Lam Dong Diatomite for filter aids preparation”, Journal of Science and Technology Development, Vietnam, Vol 14, No.K3-2011 B2-07 Tran Doan Minh Dang, Mai Thanh Phong, 2011, “Preparation of Filter Aids Based on Lam Dong Diatomite”, Journal of Science and Technology, Vietnam, Vol 50, No.1, 2012, p.63-71 Nguyen Thi Thuy Trang, Le Van Viet Man, 2011, “Effects of ultrasound on cellulolytic activity of cellulose complex”, Journal of enzyme and microbial technology B2-08 Vuong, T.M.T., Nguyen, T.X.L., Le, V.V.M., 2011, “Application of hemicellulase preparation to acerola (Malpighia emarginata DC) mash treatment in juice processing”, Journal of Science and Technology, Vol. 49(5A), pp. 283-289

Hong Van Le, Le Van Viet Man, 2012, “Comparison of enzyme-assisted and ultrasound-assisted extraction of vitamin C and phenolic compounds from acerola (Malpighia emarginata DC.) fruit”, International Journal of Food Science and Technology 2012, 47, 1206–1214

Dang, B. K., Huynh, T. V. and Le, V. V. M, 2012, “Simultaneous treatment of acerola mash by ultrasound and pectinase preparation in acerola juice processing: optimization of the pectinase concentration and pectolytic time by response surface methodology”, International Food Research Journal 19(2): 509-513 (2012) Dang, B. K. and *Le, V. V. M., 2012, “Pectolytic treatment of non-sonicated or sonicated barbados cherry mash: alternative choice in juice processing”, International Food Research Journal 19(3): 805-812 (2012)

Nguyen Thi Xuan Lan, Vuong Thi My Thanh and Le Van Viet Man, “Application of ultrasound and hemicellulase preparation to acelora juice processing”, International Journal of Biological Sciences and Engineering, India, June 2012, Volume 03, No.02, P.85-90

Huynh Thanh Cong, Chiem Tran Lam, Vu Thi Kim Chau, 2012, “An Investigation of Performance Characteristics of a B2-09 Biogas-fueled Motorcycle Engine”, Trans. of the Korean Hydrogen and New Energy Society (2012. 8), Vol. 23, No. 4.

N.T.Phong and N.T.Hung , 2011, “Study on Domestic Wastewater Treatment with Two-Step Feed Processes (A202)”, B2-10 International Journal of Earth Sciences and Engineering (IJEE), India, 27 April 2011, pp.230-236 B2-11 Not available The Nhat Phan, Phuoc Dan Nguyen, Xuan Thanh Bui, Daisuke Hira, Kenji Furukawa, “Study on the Application of B2-12 Anammox Process Using Polyester Non-woven Biomass Carrier Reactor (PNBCR) for Latex Processing Wastewater Treatment”, Journal of Water and Environment Technology, Japan, Vol.10, No.2, 2012, P.217-227

Batch 3 Model Labs

B3-01 Not available B3-02 Not available B3-03 Not available B3-04 Not available B3-05 Not available B3-06 Not available B3-07 Not available B3-08 Not available B3-09 Not available B3-10 Not available

Vu Dinh Khang and Nguyen Tan Phong, “Research on Wastewater Treatment by Expanded Granular Sludge Bed (EGSB) Reactor Using Polyvinyl Alcohol (PVA) Carrier”, International Journal of Biological Sciences and Engineering, India, B3-11 June 2012, ISSN 0976-1519, Volume 03, No.02. p.p.66-70

Nguyen Tan Phong and Dao Khanh Chau, “Efficiency Treatment of Two-Stage Vertical Constructed Wetland System Planted with Phragmites australis (Cav.) and Vetiveria zizanioides (L.) for Domestic Wastewater Treatment”,

International Journal of Biological Sciences and Engineering, India, June 2012, ISSN 0976-1519, Volume 03, No.02, p.p.71-75

Nguyen Ngoc Dung, Vo Le Hoai Phuong, Phan The Anh, Truong Hoai Linh and Tran Dang Long, “A Study of Conversion Diesel Engine to Fully Biogas Engine with Electronically Controlled”, International Journal of Earth Sciences and Engineering, India, October 2012, ISSN 0974-5904 B3-12 Nguyen Ngoc Dung, Vo Le Hoai Phuong, Phan The Anh, Truong Hoai Linh and Tran Dang Long, “Study of Gaseous Fuelled Motorcycle with Electronically Controlled Gas Injection System”, International Journal of Earth Sciences and Engineering, India, October 2012, ISSN 0974-5904

Appendix 18

Patent Strategy of HCMUT

Let’s Research with the Patent Strategy What’s the keyword of your research concern? Research plan Leader-Members Time schedule Assignment Create your PATENT Map Project Management Search patents related to the Monitoring keyword(s) of your research at US Patent and Trademark Office http://www.uspto.gov/ European Patent Office http://www.epo.org/ Research

Draft your PATENT Doc

1.Name of the invention Research Based Education 2.Name of the inventor(s) (RBE) 3.Claims 4.Field of Invention Find international conferences 5.Prior arts 6.Problems of the prior arts Prepare the academic paper 7.Measures to solve the problem 8.The best example and drawings 9.The effect of this invention

Outcomes of Research

Patent Application in Vietnam You can sell the (R&D Department of HCMUT) priority date to 1. Priority date (date of application in Vietnam) overseas companies 2. After 18 months, patent doc is disclosed to the within 12 months public (you may charge for your technique, but users may not pay) 3. Within 42 months of the application, you can Presentation of the paper request the examination 4. Your patent will be registered (or rejected)

Cùng nghiên cứu với chiến lược Patent

Từ khóa của đề tài bạn Kế hoạch nghiên cứu quan tâm nghiên cứu là gì? Trưởng nhóm-Thành viên Tiến trình Phân công Thiết lập sơ đồ PATENT Quản lý dự án Tìm kiếm các patent liên quan Giám sát đến từ khóa trong nghiên cứu của bạn tại: US Patent and Trademark Office http://www.uspto.gov/ European Patent Office http://www.epo.org/ Nghiên cứu

Dự thảo tài liệu PATENT

1.Tên sáng chế Nghiên cứu đào tạo (RBE) 2.Tên (các) nhà sáng chế 3.Các yêu cầu Tìm kiếm các hội thảo ĩ 4.L nh vực sáng chế quốc tế 5.Các đề tài ưu tiên 6.Các vấn đề của các đề tài ưu tiên Chuẩn bị các tham luận 7.Các giải pháp cho vấn đề 8.Mô hình và các bản thiết kế tốt nhất 9.Hiệu quả của sáng chế

Các kết quả nghiên cứu

Đăng ký Patent tại Việt Nam Bạn có thể (P. KHCN & DA của HCMUT) chuyển nhượng 1. Ngày nộp đầu tiên (ngày nộp đơn tại Việt ngày nộp đầu Nam) tiên cho các công 2. Sau 18 tháng, tài liệu patent được công bố (Bạn ty nước ngoài có thể tính phí sử dụng công nghệ nhưng người trong vòng 12 sử dụng có thể không thanh toán) tháng 3. Trong vòng 42 tháng kể từ khi nộp đơn, bạn có Trình bày tham luận thể yêu cầu xem xét, kiểm tra. 4. Patent sẽ được đăng ký (hoặc bị từ chối)

Appendix 19

Manual for Patent Mapping

IV. Bảo hộ quyền sở hữu trí tuệ ngay bây giờ!

Sau khi lập lộ trình đăng ký patent, chúng ta hiện đã tìm thấy các đề tài chưa được nghiên cứu thuộc lĩnh vực của mình! Tiếp đó, Lộ trình Đăng ký Patent Chuẩn bị “Hồ sơ đăng ký Patent” và nhanh chóng nộp cho Phòng KHCN và Quản lý dự án trước khi Trước khi Bắt đầu Tiến hành Nghiên cứu tiến hành viết báo cáo! SUPREM-HCMUT * Phòng KHCN và Quản lý dự án sẽ chuẩn bị các tài liệu sau dựa trên “Hồ sơ đăng ký Dự án Hợp tác Kỹ thuật về Nâng cao Năng lực của Patent” (XEM PHỤ LỤC). Trường ĐHBK – ĐHQG TP.HCM * Phí nộp đơn sẽ do ĐHBK-ĐHQG TP. HCM thanh toán. nhằm Đẩy mạnh Liên kết Đại học – Cộng đồng (Giai đoạn 2)

I. Lộ trình đăng ký patent là gì?

Lộ trình đăng ký patent là biểu thị trực quan của hệ thống thông tin được lựa chọn từ nguồn dữ liệu khổng lồ của các patent đã được đăng ký trước đó.

Lộ trình này được lập ra với mục đích phân tích và đánh giá công nghệ cụ thể mà chúng ta đang quan tâm. Lộ trình đăng ký patent cho phép chúng ta nhận ra các đối thủ cạnh tranh, đối tác tiềm năng, các sáng kiến và môi trường công nghệ mới trong lĩnh vực chúng ta nghiên cứu.

Lộ trình đăng ký patent được tiến hành trước khi đưa ra các quyết định liệu có nên tiến hành nghiên cứu về một công nghệ cụ thể nào đó.

Có nhiều cách thức để lạp ra lộ trình này ; tuy nhiên, điều quan trọng là lộ trình đăng ký patent giúp chúng ta tìm ra tình hình cụ thể của patent liên quan đến các công nghệ mà chúng ta quan tâm. * Phòng KHCN và Quản lý dự án sẽ thu thập toàn bộ chữ ký. Quy trình nộp đơn đăng ký patent như sau (NB: Văn phòng = Phòng KHCN và Quản lý dự án): II. Lý do các nhà nghiên cứu nên lập ra lộ trình đăng ký patent trước khi tiến hành nghiên cứu?

Thực hiện nghiên cứu là sự đầu tư lớn cả về con người lẫn kinh phí. Sẽ ra sao nếu chúng ta tiêu tốn thời gian và kinh phí để phát triển công nghệ mà sau đó phát hiện ra rằng đã có người ** Hồ sơ đăng ký sẽ được VPĐD Cục Sở hữu trí tuệ tại TP. HCM chuyển ra Hà Nội. Phòng KHCN và hoàn tất nghiên cứu về công nghệ này trước đây? Quản lý dự án sẽ hỗ trợ liên lạc với tác giả sau khi nhận được công văn phản hồi yêu cầu sửa đổi Chúng ta cần tìm ra khoảng trống trong lộ trình đăng ký patent để không trùng hợp với các từ Cục. patent khác nên nghiên cứu phải tạo ra sự khác biệt.

1 Tùy thuộc vào mục đích sẽ có 2 loại lộ trình đăng ký patent, loại (A) dành cho việc phân tích số liệu của các patent đã đăng ký, và loại (B) dành cho việc phân tích nội dung của công nghệ hiện đang được patent bảo hộ. III. Cách thức lập lộ trình đăng ký patent?

1. Truy cập trang chủ của Cơ quan Đăng ký Bản quyền Sáng chế và Nhãn hiệu Thương mại Hoa Kỳ (US PTO): http://patft.uspto.gov/ và làm theo hướng dẫn sau: a) Vào mục “Tìm kiếm nhanh.”

Tìm kiếm nhanh b) Tìm kiếm.

Nhập từ khóa của sáng chế

Trước tiên, chọn “Abstract”

c) Đã tìm được thông tin về đối thủ cạnh tranh!

PAT.NO Danh mục 1. ****** …………………………………………………………………………………. ………. . 2. ****** ………………………………………………………………………………… ………. . 3. ****** ………………………………………………………………………………… ………. .

Kích tại đây, và xem liệu công nghệ này có giống với chúng ta không d) Lặp lại tìm kiếm.

p.2 2. Điền vào form “My Patent Map”. My Patent Map

Research ID: B2 -__ Research Topic: ______

August , 2010 Key Words of the research (1) (2) …. Liệt kê danh sách các đối thủ và mô tả Results of patent search in the US Patent and Trademark Office (USPTO) các kết quả kiểm tra xem liệu bạn nên related field (USA) http://patft.uspto.gov/ Issued patents (quick saearch) which are close to my research tiến hành nghiên cứu hay không.

P otential research topics/fields (Form có sẵn tại trang chủ của dự án: Results of patent search in the European Patent Office (EPO) http://www.jica.hcmut.edu.vn/suprem/welcome.php) related field (EU) http://www.epo.org/ Issued patents (quick saearch) which are close to my research

P otential research topics/fields

Candidate technologies on which patents can be applied for through the joint research

Bạn có thể kiểm tra các đối thủ bằng cách truy cập trang chủ của Phòng Đăng ký Sáng chế Châu Âu: http://worldwide.espacenet.com/quickSearch?locale=en_EP 3. Cố gắng hiển thị hóa các kết quả Hỗ trợ đánh giá giá trị của công nghệ mà bạn dự định nghiên cứu thông qua mô hình hiển thị hóa (ví dụ như lập bảng biểu, sơ đồ và đồ thị). (Mẫu hiển thị hóa) y g

o T l

o This information should be

n S h c R clearly visualized and the e t

y Q findings should be included m

f P

o in 5) and 6) of IV

s O d

r (see next page). o N w y

e M k

e L h t

e K r a

h J s

t I a h t

H s Comparison of your technology e i G g o l F with your competitor’s o n

h E technology. c e t

D e.g. Technology A is very close; ' s r C → o however, this invention is about t

ti B → e ….which is different from my p A → m o

C KW 1 KW 2 KW 3 KW 4 KW 5 Key words of my technology p.3 IV. Bảo hộ quyền sở hữu trí tuệ ngay bây giờ!

Sau khi lập lộ trình đăng ký patent, chúng ta hiện đã tìm thấy các đề tài chưa được nghiên cứu thuộc lĩnh vực của mình! Tiếp đó,

Chuẩn bị “Hồ sơ đăng ký Patent” và nhanh chóng nộp cho Phòng KHCN và Quản lý dự án trước khi tiến hành viết báo cáo!

* Phòng KHCN và Quản lý dự án sẽ chuẩn bị các tài liệu sau dựa trên “Hồ sơ đăng ký Patent” (XEM PHỤ LỤC). * Phí nộp đơn sẽ do ĐHBK-ĐHQG TP. HCM thanh toán.

Tên tài liệu Số bản cần chuẩn bị Lưu ý 1 bộ gốc + 3 bản sao Kèm chữ ký của BGH Đơn đăng ký (1 cho Phòng ĐK Patent tại TP. ĐHBK-ĐHQG TP. HCM* HCM, 1 cho ĐHBK, 1 cho tác giả) Bản mô tả sáng chế 1 bộ gốc + 3 bản sao Yêu cầu bảo hộ 1 bộ gốc Bao gồm 4 loại thông tin trong “Hồ Bản tóm tắt sáng chế 1 bộ gốc + 3 bản sao sơ đăng ký patent”. Hình minh họa 1 bộ gốc + 3 bản sao Xem PHỤ LỤC.

Chứng cứ về lần nộp đơn đầu Trong trường hợp quyền ưu tiên/tham dự hội nghị/hội thảo 1 bản sao tiên được yêu cầu trong quá khoa học trình nộp đơn đăng ký

Giấy/Thư ủy quyền Kèm chữ ký của các tác giả và BGH ĐHBK-ĐHQG TP. HCM*

Biên bản thỏa thuận Số lượng tác giả (bao gồm cả Kèm chữ ký của các tác giả và (tỉ lệ sở hữu) ĐHBK-ĐHQG TP.HCM) BGH ĐHBK-ĐHQG TP. HCM*

* Phòng KHCN và Quản lý dự án sẽ thu thập toàn bộ chữ ký. Quy trình nộp đơn đăng ký patent như sau (NB: Văn phòng = Phòng KHCN và Quản lý dự án):

Nộp Văn phòng kiểm tra Văn phòng cố vấn BGH Văn phòng nộp hồ sơ “Hồ sơ đăng ký patent” “Hồ sơ đăng ký patent” đăng ký tại TP. HCM** đến Văn phòng ĐHBK-ĐHQG TP. HCM

2 tuần 2 tuần ** Hồ sơ đăng ký sẽ được VPĐD Cục Sở hữu trí tuệ tại TP. HCM chuyển ra Hà Nội. Phòng KHCN và Quản lý dự án sẽ hỗ trợ liên lạc với tác giả sau khi nhận được công văn phản hồi yêu cầu sửa đổi từ Cục.

Liên hệ: TS. Nguyễn Tường Long (Phó Trưởng phòng KHCN và Quản lý Dự án, ĐHBK, ĐHQG TP. HCM), E-mail: [email protected]

p.4 Version: August 2011

Appendix 20

List of Provincial Partners Participating in JR Activities at HCMUT

List of Research Activities Conducted by Local Partners (As of October 2012)

Batch 2 Model Labs

Partner Total ID Organization Name of Participant Activity Period No. of Province Days

28 Nov. 2010 – 4 Dec. 2010 (7) B2-01 Lam Dong Lam Dong DOST Mr. Nguyen Van Thap 19 Dec. 2010 – 25 Dec. 2010 (7) 27 16 Jan. 2011 – 28 Jan. 2011 (13) Construction Consulting & 23 Sep. 2010 – 26 Sep. 2010 (4) B2-02 An Giang Mr. Tran Dinh Quy 8 Quality Control Center 14 Oct. 2010 – 17 Oct. 2010 (4)

Da Lat Center of Research, Ms. Nguyen Thi Ngoc B2-04 Lam Dong Planting and Processing 13 Dec. 2010 – 28 Jan. 2011 (33) 33 Tuyet Medicinal Herb

B2-05 Tien Giang Tien Giang DOST Mr. Le Minh Dung 19 Sep. 2010 - 29 Oct. 2010 (41) 41

21 Sep. 2010 - 29 Sep. 2010 (9) 9 Oct. 2010 – 20 Oct. 2010 (9) B2-06 An Giang An Giang University Mr. Nguyen Duy Tan 40 13 Dec. 2010 - 30 Dec. 2010 (18) 10 Jan. 2011 - 14 Jan. 2011 (4)

B2-07 Lam Dong Yet to conduct joint research with local partner

4 Oct. 2010 – 7 Oct. 2010 (4) Bio-Technology Center, Mr. Vo Trung Hieu 10 Oct. 2010 – 30 Oct. 2010 (21) B2-08 Tien Giang 51 Tien Giang DOST Mr. Nguyen Phuoc Ai 28 Nov. 2010 – 18 Dec. 2010 (21) 16 Jan. 2011 – 21 Jan. 2011 (6) 13 Sep. 2010 - 18 Sep. 2010 (6) 23 Sep. 2010 (1) 27 Sep. 2010 – 30 Sep. 2010 (4) Mr. Tran Van Hong B2-09 Binh Duong Binh Duong DOST 1, 4, 8, 11, 15, 18, 22, 24 Oct. 2010 (8) 36 Mr. Nguyen Minh Huy 1, 5, 19 Nov. 2010 (3) 15 Feb. 2011 – 16 Feb. 2011 (2) 19 Feb. 2011 – 4 Mar. 2011 (12)

20 Dec. 2010 – 30 Dec. 2010 (11) Ms. Le Thi Thu Nga 20 10 Jan. 2011 – 18 Jan. 2011 (9) B2-10 Dong Nai Dong Nai DOST 10 Jan. 2011 – 12 Jan. 2011 (3) Mr. Doan Hung Minh 14 Jan. 2011 – 15 Jan. 2011 (2) 7 17 Jan. 2011 – 18 Jan. 2011 (2)

27 Sep. 2010 – 29 Sep. 2010 (3) 21 Oct. 2010 (1) Ms. Nguyen Thi Tuyet 5, 9,12 Nov. 2010 (3) B2-11 Binh Duong Binh Duong DONRE 13 Trinh 16 Nov. 2010 – 19 Nov. 2010 (4) 30 Nov. 2010 (1) 24 Dec. 2010 (1)

6, 12, 14, 21 Oct. 2010 (4) B2-12 Binh Duong Binh Duong DOST Mr. Nguyen Ngoc Thao 5 2 Nov. 2010 (1) Batch 3 Model Labs

Total Partner ID Organization Name of Participant Activity Period No. of Province Days

Mr. Tran Dinh Quy 21 Aug. 2011 – 24 Aug. 2011 (4) Construction Consulting & B3-01 An Giang 8 Quality Control Center Mr. Nguyen Thuan Phong 21 Aug. 2011 – 24 Aug. 2011 (4)

Ms. Nguyen Thi Ngoc Lan 21 Aug. 2011 – 26 Aug. 2011 (6) An Giang DARD – AG Quality Test Center of Food & Fishery Ms. Tran Thi Le Trieu 21 Aug. 2011 – 26 Aug. 2011 (6)

B3-02 An Giang Mr. Nguyen Duy Tan 22 Nov. 2011 – 26 Nov. 2011 (5) 29 An Giang University Mr. Nguyen Ngoc Anh 28 Nov. 2011 – 09 Dec. 2011 (12)

Thuan An Production & Service Co., Ltd (Tafishco) Mr. Ho Thanh Phuong 21 Aug. 2011 – 26 Aug. 2011 (6) – Private sector

Lam Dong DOST – Applied B3-03 Lam Dong Ms. Tran Thi Ngoc Mai 12 Jul. 2012 – 26 Jul. 2012 (15) 15 Science Center

27 Nov. 2011 – 30 Nov. 2011 (4) B3-04 An Giang An Giang University Mr. Nguyen Duy Tan 13 Dec. 2011 – 23 Dec. 2011 (11) 31 23 Feb. 2012 – 29 Feb. 2012 (7) Mr. Nguyen Ngoc Anh 21 Feb. 2012 – 29 Feb. 2012 (9)

Lam Dong DOST – Applied B3-05 Lam Dong Ms. Tran Thi Ngoc Mai 18 Jun. 2012 – 02 Jul. 2012 (15) 15 Science Center

18 Dec. 2011 – 23 Dec. 2011 (6) 25 Dec. 2011 – 30 Dec. 2011 (6) B3-06 Tien Giang Tien Giang DOST Mr. Le Minh Dung 23 03 Jan. 2012 – 07 Jan. 2012 (5) 08 Jan. 2012 – 13 Jan. 2012 (6)

19 Sep. 2011 – 23 Sep. 2011 (5) 26 Sep. 2011 – 30 Sep. 2011 (5) Da Lat Center of Research, 03 Oct. 2011 – 07 Oct. 2011 (5) Planting Ms. Nguyen Thi Ngoc B3-07 Lam Dong 10 Oct. 2011 (1) 26 and Processing Tuyet 17 Oct. 2011 (1) Medicinal Herb 24 Oct. 2011 – 27 Oct. 2011 (4) 31 Oct. 2011 – 04 Nov. 2011 (5)

Mr. Huynh Tan Phap 25 Nov. 2011 (1)

Mr. Nguyen Ngoc Son 25 Nov. 2011 (1) B3-08 Dong Nai Public Thong Nhat Hospital 4 Mr. Pham Song Thanh Tai 25 Nov. 2011 (1) Ms. Vu Thi Hin 13 Jul. 2012 (1) 21 May 2012 – 25 May 2012 (5) Mr. Le Minh Hoang 11 Jul. 2012 – 13 Jul. 2012 (3) Tien Giang DONRE – 17 Jul. 2012 (1) B3-09 Tien Giang 18 Informatics Center 21 May 2012 – 25 May 2012 (5) Mr. Nguyen Truong An 11 Jul. 2012 – 13 Jul. 2012 (3) 17 Jul. 2012 (1) 25 Jun. 2012 – 26 Jun. 2012 (2) B3-10 Binh Duong Thu Dau Mot University Mr. Le Viet Thang 26 Jul. 2012 (1) 24 28 Aug. 2012 – 29 Aug. 2012 (2) 11,13,16,19,20,23,25,27 Jul. 2012 (8) Mr. Ho Dac Duy 3,6,7,14,15,16,17,20,21,28,29 Aug. 2012 (11)

20 Dec. 2011 - 30 Dec. 2011 (11) Ms. Le Thi Thu Nga 04 Jan. 2011 - 12 Jan. 2012 (9) B3-11 Dong Nai Dong Nai DOST 30 Mr. Dinh Duy Khanh 04 Jan. 2011 - 13 Jan. 2012 (10)

07 Nov. 2011 - 11 Nov. 2011 (5) 14 Nov. 2011 - 18 Nov. 2011 (5) Binh Duong DOST – B3-12 Binh Duong Mr. Phan Thanh Dung 21 Nov. 2011 - 25 Nov. 2011 (5) 25 Applied Science Center 28 Nov. 2011 - 02 Dec. 2011 (5) 05 Dec. 2011 - 09 Dec. 2011 (5)

Appendix 21

Summary of Project Achievements based on PDM

Narrative Summary Verifiable Indicators Output and Achievement (Overall Goal) HCMUT becomes the core a) At least one of the local member a) Through the participation of researchers from partner university to promote local institutions of each province in the provinces in joint research activities at HCMUT, technology development in the southern part southern part of Vietnam and transfer from the hub university to local communities has of Vietnam HCMUT has certain roles to become possible. There have been some cases in which promote local development. partner provinces try to actively utilize the outcomes b) University-community linkage achieved through such activities. (See Table 1) activities are carries out in a wider b) 12 university-community linkage activities (or joint scale in terms of the number of research activities) were carried out during the first batch university-community linkages and 11 in the second batch of the Project. Currently, 12 (more than five (5)) and/or the activities are being implemented under the third batch. number of cooperating local c) In addition to the activities mentioned above, the research provinces/communities in the outcomes from the first, second and third batches of the Project southern part of Vietnam. have been shared at seminars organized in partner provinces. c) Local related people recognize that Members of local government offices, universities and enterprises HCMUT and related local member participated in these seminars where they became awareness on institutions promote local the contributions made by HCMUT. (See Table 2) development in the southern part of Vietnam.

(Project Purpose) Education and R&D capacity of a) Requests from local provinces in a) Needs and follow-up surveys were conducted during the HCMUT for promotion of the southern region to solve their first, second and third year of the Project. university-community linkage is technical problems are annually b) Based on the surveys above, 12 model laboratories for the strengthened. collected. first, 11 for the second and 12 for the third batch were b) At least 5 topics related to the above selected. Each model laboratory carried out joint research requests every year are selected in on a specific topic together with a partner province. HCMUT and concerned local c) According to interviews with relevant HCMUT offices, member institutions for promotion of 30% of all the research activities at the university have been local development. conducted under SUPREM with the aim of contributing to c) More than 30% of R&D activities local community development. Considering some of the carried out by researchers from non-SUPREM researches (the remaining 70%) also aim to HCMUT and related local member contribute to community development, it can be said that institutions have relation to local more than 30% of the R&D activities carried out at development activities. HCMUT are community development-related. d) Number of patents applied increases. d) Before SUPREM, there was no patent application directly e) Number of R&D related filed by HCMUT. Through the Project, however, a total of papers/reports published in nine (9) patent applications were submitted by HCMUT international/local journals increases. based on the first and second batch research outcomes. Including the ones which are planned to be filed in the future, there are seven (7) based on the first, four (4) on the second and six (6) on the third batch research outcomes. There are, however, some model laboratories that chose publication of their research results in conferences and journals over patent application from the viewpoint of promoting RBE. (See Table 3) e) 37 and 31 research papers were presented at international/domestic conferences and published in international academic journals by the first and second batch model laboratories accordingly. 32 papers are to be presented by the third batch model laboratories. (See Table 3) (Output) 1. Mater course program of a) Introduction plan and guideline for a) In June 2009, the “Implementation Plan for Introducing model faculties in HCMUT is research-based education is Research Based Education (RBE) to the Master’s Programs transformed from authorized by HCMUT executives under SUPREM-HCMUT” was drafted and approved by classroom-learning based to and introduced in the whole HCMUT (taken charge by the Postgraduate Study Office). research based education. university. At the selection of model laboratories, not only the b) Awareness-raising seminar is held candidates’ proposed research topics, but motivation as well (Activities) once a year. as preparations to introducing RBE were taken into 1.1. HCMUT prepares overall c) The action plan is prepared after consideration. implementation plan suitable for awareness-raising seminar. b) RBE Seminars were organized three (3) times in fiscal Master course program by d) At least two (2) graduate students are transforming classroom-learning 2009, twice (2) in fiscal 2010, twice (2) in fiscal 2011 and based education to research based involved in the research activities of once (1) in fiscal 2012. In addition, the Postgraduate Study one. each model laboratory. Office organizes a briefing session on RBE to prospective 1.2. HCMUT holds awareness-raising e) At least two (2) seminars for sharing postgraduate students every year. seminar of research-based education experiences among laboratories in c) In September 2009, the RBE Introduction Action Plan for for the model faculties. model faculties are conducted. 1.3. HCMUT appoints model the first batch model laboratories was created. The action laboratories* from the model plans of the second batch model laboratories were included faculties. in the RBE Pre-Guidelines, and the experiences and future 1.4. HCMUT coordinates model plans of the first, second and third batch model laboratories laboratories to prepare each action plan. were included in the 2011 RBE Guidelines. 1.5. Each model laboratory implements d) During the first batch of the Project, a total of 29 mater’s each action plan. students participated in RBE through joint research 1.6. Model laboratories hold weekly activities. 20 master’s students participated in the second, seminar among research members. and 33 in the third batch. (It is a requirement for each model 1.7. Model faculties develop guidelines to introduce research-based laboratory to include mater’s students at the time of education. applying for SUPREM’s research funds.) 1.8. Model faculties organize workshops e) Experiences of conducting join research activities were to share experiences among shared and discussed at seminars organized during each laboratories within the faculties. batch.

2. R&D capacity for a) R&D related needs survey for a) Needs surveys were conducted in October 2009, March university-community linkage university-community linkage is 2011 and March 2012 by the External Relations Office and is strengthened in HCMUT. conducted every year. the R&D and Project Management Office. The findings b) An annual R&D activity reports were summarized in reports. (Activities) related to the above needs survey b) Researchers from target provinces work together with 2.1. Model laboratories invite staff from each of the R&D groups in model laboratories as team members. The model lab leaders members relating research and development activities (hereinafter model faculties is prepared. are required to submit three (3) Activity Reports during and referred to as “the R&D”) from c) At least one (1) R&D paper/report one (1) Join Research Report at the end of the local institutions for research work. from each R&D group in model implementation period. In these reports, the model 2.2. Graduate students in model faculties is presented at laboratories report their activities in regards to laboratories are involved in the international/local level conference R&D activities. strengthening university-community linkage. (See Table 3) 2.3. Model laboratories formulate the or journal every year. c) 37 and 31 research papers were presented at international/ R&D groups. d) At least one (1) patent is applied for domestic conferences and published in international 2.4. The R&D groups support to survey registration by model faculties by the academic journals by the first and second batch model needs in the southern part of end of the project period. laboratories accordingly. It has been informed that 32 Vietnam with the support from staff of the local institutions. papers are to be presented/published by the third batch 2.5. The R&D groups implement the model laboratories. (See Table 3, 4 and 5) R&D activities for practical use. d) A total of nine (9) patent applications were submitted by 2.6. The R&D groups hold regular HCMUT based on the first and second batch research meeting. outcomes. Including the ones planned to be submitted, there 2.7. Each of the R&D groups submits papers to journals or are a total of 17 patent applications under SUPREM. (See international/local conferences. Table 3.6） 2.8. The leaders of the R&D groups submit the R&D six-month activity reports. 2.9. Some of the R&D groups apply for patents with support of R&D and Project Management Office. 2.10. The R&D groups disseminate the outputs to local community.

3. HCMUT has hub roles to a) At least two (2) staff from the local a) 20 and 31 researchers from partner provinces participated promote academic cooperation member institutions become in the project’s joint research activities during the first and for university-community members of joint R&D activities second batch accordingly. An additional 23 researchers are linkage among higher every year. currently participating in the third batch. (See Table 3) education institutions and b) Five (5) R&D results from HCMUT b) Four seminars (October 12-13, 2009, August 25, 2010, research institutions in the and the local member institutions are January 7, 2011 and January 9, 2012) were organized southern part of Vietnam presented at conference organized by inviting representatives from the five partner provinces. (hereinafter referred to as “the HCMUT every year. Outcomes and progresses made by the model laboratories local member institutions”). c) At least one (1) conference about of all batches were shared at these seminars, which led to R&D related to local development is active discussions among the participants. (See Table 2) (Activities) held at HCMUT or one of the local 3.1. Staff from the local member c) In addition to the four (4) seminars in b) above, eight (8) institutions are involved in joint member institutions every year. seminars were organized in partner provinces by relevant R&D activities for local d) At least one (1) staff exchange model laboratories. Members of local government offices, development conducted by program between HCMUT and the universities and enterprises were invited. (See Table 2) HCMUT. local member institutions for short d) During the second batch, 13 researchers from partner 3.2. HCMUT initiates inter-university term is organized every year. committee to organize conference provinces visited HCMUT and conducted joint research at HCMUT or one of the local activities with their model lab members. 15 researchers plan member institutions annually. to participate during the third batch. (See Table 1) 3.3. HCMUT dispatches staff to other local member institutions through

staff exchange program/the R&D activities. 3.4. HCMUT builds consensus clearly among people concerned on the intellectual property rights by the R&D activities before starting the activities.

4. Activities by HCMUT to a) Guideline and manuals for a) Currently, there is a University-Community Linkage Guidelines promote local development in university-community linkage is published during the first phase of the Project. Additionally, the the southern part of Vietnam updated when necessary. Joint Research Guidelines which is updated annually under are well recognized. b) Database and website of related SUPREM covers university-community linkage and relevant R&D resources are constructed. activities. Also, a Community-Industry-University Linkage 4.1. HCMUT shares guidelines for the c) At least five (5) companies and Guidelines is planned to be published before the end of the university-community linkage with government agencies participate in Project. other local member institutions, local governments and university-community linkage b) The Project website maintained under SUPREM as well as mail communities. activities. magazines create opportunities for people in partner provinces to 4.2. HCMUT updates the guidelines receive updated information on HCMUT researchers, ongoing when necessary. research activities, planned seminars, etc. 4.3. HCMUT shares the information on staff members, the R&D topics, c) As explained in 3. c), eight (8) seminars were organized in published papers for promotion of partner provinces and a number of meetings have been held university-community linkage. between HCMUT researchers and provincial members. Also, 4.4. HCMUT holds workshops for many researchers from partner provinces have participated in promotion of university-community joint research activities at HCMUT, which has enabled the linkage. research outcomes and newly acquired technologies to be

transferred to local communities. (See Table 1.2) d) During the first batch, members of six (6) private enterprises, 12 government offices and two (2) universities participated in university-community linkage activities. Similarly, during the second batch, members of two (2) private enterprise, 26 government offices and two (2) universities, and as for the third batch, those of five (5) private enterprises, 15 government offices and three (3) universities participate in activities to strengthen university-community linkage. (See Table 3)