1. Author: PhD. Candidate Do Vu Phuong Anh

2. Gender: Female

3. Date of birth: 14 Oct, 1980

4. Place of birth: Hanoi

5. Decision of PhD entrance admission: No.2439/QD-DHKT dated 25 Oct, 2012

6. Changes during study process: Adjusting thesis topic under Decision No. 972/QD-DHKT dated 18 Apr, 2014

7. Thesis topic: Study on the application of competency framework in evaluating middle managers in Vietnamese private enterprises

8. Major: Business Administration

9. Code: 62 34 05 01

10. Supervisors: Prof. Dr. Phung Xuan Nha, Assoc. Prof. Dr. Le Quan

11. Summary of new research results:

Theoretical contributions:

First, the thesis systematically summarizes the theoretical knowledge and develops it more closely to the definitions and roles of managers and middle managers (MMs) in the enterprises. The study acts as an important base for the author to present research results on middle managers (MMs) in Vietnamese private enterprises (VPEs).

Second, the thesis scientifically reviews and further develops the theories on evaluating competency of MMs in the enterprises, beside the performance evaluating system that is broadly applied in Vietnamese enterprises in general, and Vietnamese private enterprises in particular.

Third, the thesis summarizes analytically the theoretical knowledge and approaches closely to the definition of competence and competency framework (CF) of managers amongst enterprises. The research also finds that the same job title can be applied the same CF even in different fields or sectors.

Practical contributions:

First, the thesis makes broad assessment of some characteristics of MMs in VPEs, including development history, roles and functions of MMs in the organizations; levels and typical titles of MMs in the enterprises.

Second, the thesis thoroughly evaluates the current situation of MMs competency evaluation in VPEs including objectives and usages of evaluation results, evaluation standards, evaluation methods and tools, participants of the evaluation, evaluation periods and factors influencing the evaluation results.

Third, by using scientific research methodology, the thesis builds the CFs for MMs in VPEs, including competency groups, name and definition of each competency, and description of the behaviours on different competency levels as well as standard competency levels. The CF is set up from the step of introducing extension approaches (including concepts, basis of approach, extension structures and management competence portfolio in Vietnamese enterprises with 53 competencies). Next, the thesis builds a CF of MMs consisting of 3 competency groups and 21 competencies in VPEs. Each competence includes name, definition, and behavioral expression describing the competency levels. Based on the study results, the author also comes up with a standard level of each competence for mid-level managers in private enterprises to fulfill their roles, functions and tasks.

Fourth, after completing the competency framework, the thesis demonstrates the applicability of CF in assessment of the mid-level managers’ competence in the VPEs, by pilot test in MMs’ competence at some enterprises. Leaders and experts in the enterprises have officially confirmed the adequacy and suitability of the competence demonstration of mid-level managers in comparison with the results of the CF based assessment. Thus, the study on application of CF to mid-level personnel competence assessment has initially introduced a suitable and feasible tool and some criteria for assessment. During the process of research conduct and results analysis, the thesis also identifies some successes and difficulties in the process of applying the CF to evaluate the competence of current mid-level managers.

Fifth, the thesis presents a number of solutions and recommendations for the whole enterprise in general and middle level personnel in particular, as well as training centers and social functional units in order of CF application in MMs assessment in VPEs. The dissertation concentrates on two groups of solutions: the main one focuses on improving the CF application whereas improving the MMs’ competence is the central of the open one. In some cases in which these solutions are considered and implemented at different levels, in accordance with the characteristics, conditions and development orientations of each enterprise, the researcher believes that CF will become an essential and useful method of MMs competence evaluation, and thus contributing to the improvement of personnel competence and effective implementation of human resource policies.

12. Practical applicability (if available):

The study results on CF and CF application in the MMs assessment will be a useful tool for private sector enterprises in human resource management generally and mid-level personnel management particularly. CF can be used to evaluate MMs and to provide an effective method and tool of competence evaluation which contributes to improve the personnel assessing system in terms of both competence and performance assessment. Next, CF-based assessment results will be employed in different activities including training, improvement, arrangement, compensation, etc. contributing to the upgrading of personnel competence as well as mid-level manager’s competence.

13. Further study suggestions:

- The information provided by the thesis paves the way for future research on private sector enterprises; on the characteristics of middle-level personnel; on CF to the MMs in VPEs in specific fields and industries as well as job titles; on personnel competence assessment in general and MMs competence assessment in particular, along with the key performance index (KPI) assessment applied mainly in VPEs; on current competence review of middle managers in VPEs.

- Future studies are believed to significantly contribute towards the diversity of the human resource management and business administration knowledge, as well as the development of VPEs and middle-level managers in the Vietnam private business sector.

14. Published research works related to the thesis topic:

1. Do Vu Phuong Anh (2012), “Awareness and developing direction of key personnel management in Non-State Owned Enterprises in Vietna”, Yearbook of the Vietnam Human Resources’ Day 2012 - Theme: Leadership Quality of Vietnamese Enterprises, ISBN 978-604-80-0096-7, pp. 59-63.

Second edition: Do Vu Phuong Anh (2013), “Awareness and developing direction of key personnel management in Non-State Owned Enterprises in Vietnam”, Yearbook of the Vietnam Human Resources’ Day 2013 - Theme: Human resource management for sustainable development of Vietnamese Enterprises, ISBN 978-604-934-507-4, pp. 60-64.

2. Do Vu Phuong Anh (2013), “Staff competence evaluation - The view from inside”, Yearbook of the Vietnam Human Resources’ Day 2013 - Theme: Human resource management for sustainable development of Vietnamese Enterprises, ISBN 978-604-934-507-4, pp.237-240.

3. Do Vu Phuong Anh (2014), “Application of CF in evaluating managers in TPBank”, Economic and Forecast Review, ISN 0866.7120, Special edition, Dec2014, pp.60-62 (co-authors)

4. Do Vu Phuong Anh (2015), “Onsite research on the influence of middle managers’ motivation and involvement on the application of competency frameworks in human resource management in Vietnamese non-state enterprises”, Journal of Science and Technology, ISSN 1859-3585, No. 30, October 2015, pp. 79-85.

5. Do Vu Phuong Anh (2016), “Development of Leadership CF for Board of Management Members in Private Enterprises Using a Delphi Method”, Science Journal of Vietnam National University - Management and policies research, ISSN 0866-8612, Edition No.32, số 1, 2016, pp.79-94 (English version) (Co-author).

6. Do Vu Phuong Anh (2016), “Evaluation of human resource management and self-governance capability of mid-level leader in Vietnamese private enterprises”, Journal of Science and Commerce, ISSN 1859-3666, 89 + 90, January. 2/2016, pp. 98-106.

7. Do Vu Phuong Anh (2016), “ Enhancing the competence of middle manager solutions in Vietnamese non-state enterprises”, Yearbook of the Vietnam Human Resources’ Day 2016 - Theme: Human resource management in period of start-up, ISBN 978-604-62-6897-0, pp.78-82.