Académique Documents
Professionnel Documents
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Phm Quang Tr *
Nghin cu tng quan l mt phn cng vic quan trng, c bn m bt k mt nh nghin
cu no cng cn phi nm vng v vn dng trong khi tin hnh nghin cu ca mnh. Hiu
r v bn cht nghin cu tng quan, yu cu ca nghin cu tng quan, phng php v
cng c h tr thc hin nghin cu tng quan v cc quy nh hng dn hin hnh l nhim
v ca mt nh nghin cu chuyn nghip, v ngc li nhng yu t ny h tr tch cc cho
hot ng ca nh nghin cu .
1. Nghin cu tng quan l g ?
Nghin cu tng quan, hay Tng quan ti liu, Lc kho ti liu ... c bin dch t
thut ng ting anh literature review1, l mt phn quan trng c bn hng u ca mt
nghin cu (trong mi lnh vc khoa hc, nht l lnh vc khoa hc x hi). Thc hin
Literature review l mt phn cng vic quan trng, c bn m bt k mt nh nghin cu
(khoa hc x hi) no cng cn phi nm vng v vn dng trong khi tin hnh nghin cu
ca mnh.
V c bn c th hiu nghin cu tng quan ca mt ch nghin cu l qu trnh
tm kim, phn tch thng tin (thng tin, s liu, khi nim, hc thuyt, l thuyt, kt qu,
kt lun) c thc hin c lin quan n ch nghin cu nhm a ra ci nhn
tng qut c cc nghin cu i trc cp, v hn ht l bit c xut pht
im ca nhim v nghin cu s tin hnh.
Nghin cu tng quan lun lun gn lin vi mt ch nghin cu c th v khng th
tch ri ch nghin cu. Vic gn lin ny th hin l gc ch tm hiu nhng vn v
nghin cu c lin quan m khng chch sang cc ch khc. Trong qu trnh tng quan
ti liu, khng nht thit phi cp ti tt c cc thng tin, ti liu v nghin cu c lin
quan, song phi cp c cc nghin cu quan trng v cp nht cc thng tin quan
trng mi theo xu hng pht trin.
t ra gi thuyt l khi cc ngnh/lnh vc khoa hc c mt mc pht trin nht nh,
c ngha l cc ch nghin cu c khai ph v tm hiu mt mc nht nh th
khi d nh t chc mt nghin cu mi, cn phi thc hin nghin cu tng quan nh
v c nghin cu mi ny trong tin trnh pht trin. Vi iu kin nh vy, mt nghin
cu tng quan c coi l k, hay su, hay s si, hay nng s phn ln ph thuc
vo kh nng thc hin ca nh nghin cu, hn l ph thuc vo ch nghin cu. Tm li,
cht lng ca nghin cu tng quan s ph thuc vo hai yu t chnh: mc pht trin
ca ngnh khoa hc m ch nghin cu thuc v, v (2) trnh v kh nng thc hin
* Ban Thng tin v o to sau i hc, Vin Chin lc v Chnh sch KH&CN B KH&CN, 38 Ng
Quyn, H Ni, Tel. 043.8.266.560
1
C rt nhiu hc gi v t chc ni v vn ny, xem thm danh sch ti liu tham kho cui bi.
ca nh nghin cu khi tin hnh thc hin ch nghin cu , m trong bi cnh ca lnh
vc khoa hc x hi ngy nay, yu t 2 dng nh c trng s cao hn nhiu yu t 1.
Trong gii nghin cu ngy nay, khng phn bit lnh vc/ngnh, nghin cu tng quan
tr thnh mt yu cu nh l mt k nng c bn i vi nh nghin cu. t c k
nng ny phi thng qua qu trnh hc tp (th ng c ngi khc dy cho bit), t hc
hi (ch ng tm hiu v ch ng nm vng k nng) v thc ch ng ca nh nghin
cu. So snh lnh vc khoa hc x hi vi cc lnh vc khc, ranh gii gia mt nghin cu
mi (d nh s tin hnh) v cc nghin cu c c lin quan ( c thc hin) dng nh
d b xa nha bi chnh nh nghin cu hn. Nh vy, mt phn tch thuc v nghin
cu tng quan d c nhn ra v th hin chnh xc th rt cn thc ch ng v nghim
tc trong thc hin ca nh nghin cu.
2. Thc hin nghin cu tng quan
2.1. R sot - thng k - xem xt, v phn tch ngn gn tho lun ngn gn (mt chui
cc hot ng) v cc ti liu, cng trnh, tng c cng b, c lin quan n ch
nghin cu2. y l yu cu c bn nht i vi hot ng tng quan, bao gm 2 phm tr
c bn: thng k v phn tch cc ti liu thng k c. Theo quan st ca ti, rt nhiu nh
nghin cu Vit Nam giai on bt u bc vo nghin cu thng mc phi li c bn
ny, l ch thc hin v th nht, c ngha l ch thng k mt s ti liu lin quan ti ch
nghin cu ca mnh, m thng qun i v th hai, l phn tch v tho lun cc ti liu
m mnh thng k.
Nh nghin cu tin hnh Nghin cu tng quan nhm lm r (xc nh) v tr, vai tr ca
nghin cu ca h trong bi cnh nhng tri thc no c lin quan c tm ra, thc hin
n u v nh th no, t bao gi... tp trung nhm ti 3 mc tiu:
(1) Xc nh cc khong trng trong cc tri thc hin ti;
(2) Lm r nghin cu ny tp trung vo vn g; v
(3) L lun v s cn thit ca vic thc hin nghin cu ny.
Ni mt cch c th, thng tin cn tm kim trong qu trnh lm tng quan l s liu, khi
nim, hc thuyt, l thuyt, kt qu, kt lun... m cc nghin cu trc a ra, v phn
tch ngn gn tho lun ngn gn cc thng tin ny (thc hin n u, nh th no v t
bao gi, gii quyt c yu cu khoa hc g), nhm p ng c 3 mc tiu nh va cp
on trc.
C th ha cc yu cu m nghin cu tng quan cn t c, Hong H (2011), Phm L
2
Hong H (TS.), Phng php vit tng quan ti liu v tm kim ti liu tham kho, Trng i hc Y dc
Thi Nguyn, 2011; Ti liu hc tp i hc RMIT; Write a Literature Review, Santa Cruz, University of
California (http://guides.library.ucsc.edu/write-a-literature-review); Massey University, NewZealand
(http://owll.massey.ac.nz/assignment-types/literature-review-structure.php)
xut
nghin
cu
Thu thp
d liu
Vit bo
co
R sot chnh sa
bo co trc khi
ng gi
Tm hiu, m x ch
Gii hn li vn
nghin cu
Pht trin c s l lun
Phn loi v sp xp cc
nghin cu
Phn nh l lun qua
phn tch s liu
Xem xt cp nht cc
vn trong nghin cu
Kim tra ln cui
Hnh 4. Cc mc th hin hm lng ca Nghin cu tng quan trong cc hot ng
ca chu trnh nghin cu
Ngun: Su tm.
Ch thch: mc m - nht ca mu sc th hin hm lng cao thp tng ng
ca nghin cu tng quan trong cc hot ng ca chu trnh nghin cu.
2.3. Cc bc tin hnh nghin cu tng quan c bn
Sau y l gii thiu v cc hot ng trong khi thc hin nghin cu tng quan. d hiu
v d hnh dung, ta tm coi y l cc hot ng n l v tuyn tnh c th t to thnh mt
vng t chc hon chnh. Trn thc t, vic thc hin nghin cu tng quan gm nhiu vng
nh th ny v cc vng chng ln ln nhau. Nu thc hin tt v qun l tt cc vng t
chc, khi vic thc hin nghin cu tng quan s tr thnh k nng ca nh nghin cu.
V y khng phi l mt iu kh khn i vi nh nghin cu.
Bc 1. Thu thp ti liu lin quan
- Xem xt v phn tch ch nghin cu mt cch s b, hnh dung v ni dung nghin cu,
cu hi nghin cu t xc nh ch v t kha (keywords) ca cc ti liu cn tm
kim.
Vic tm kim da trn t kha s cho ta tip cn ti cc ti liu c lin quan. Ngun thng tin
tm kim c th rt a dng: t th vin, internet, c s d liu online nh CSDL chuyn
ngnh, Sciendirects, Proquest, Springer Links, Emerald, ...
- Xem xt danh mc ti liu tham kho ca cc ti liu thu thp c.
Vic xem xt danh mc ti liu tham kho ca cc ti liu thu thp c s cho php nh
nghin cu bit c cc nghin cu khc c lin quan, ng thi gip nh gi s b v cht
lng ca ti liu ny, t c cc quyt nh nh gi ban u. T danh mc ti liu tham
5
Tham kho Nguyn Minh Tun, 2013 K nng c ti liu khoa hc hiu qu. <URL:
http://tuanhsl.blogspot.com/2013/08/ki-nang-oc-tai-lieu-khoa-hoc-hieu-qua.html>.
tm c th tm c ti liu .
* Sp xp ti liu tham kho ting Vit ring, ting nc ngoi ring; khi ting Vit sp
xp trc. Nu ti liu ca tc gi ngi nc ngoi c chuyn ng sang ting Vit
th sp vo khi ti liu ting Vit. Tc gi l ngi Vit nhng ti liu bng ting nc
ngoi th lit k ti liu trong khi ting nc ngoi.
* Mi ti liu tham kho v cc chi tit lin quan c trnh by trong mt cm t, dn
dng n (dn dng 1). Gia hai ti liu cch nhau mt dng trng. Tn tc gi theo sau s
th t nhng dng di s tht vo mt TAB (1,27 cm). Ghi tt c tc gi ca ti liu trch
dn, dng lin t v ni gia tc gi cui cng vi tc gi p cht.
* S th t c ghi lin tc gia cc ti liu ting Vit v ting nc ngoi.
* Tc gi ngi Vit v ti liu ting Vit: ghi y H, H m v Tn, v th t theo
Tn. Ti liu ting nc ngoi ghi y H (khng c du phy theo sau), tip theo ghi
ch vit tt ca h m (c du chm) v tn (du chm v du phy lin sau ). Ti liu
ting nc ngoi c chuyn ng sang ting Vit th a vo khi ting Vit, th t tc
gi theo H ca tc gi nc ngoi. Ngc li, tc gi ngi Vit m ti liu vit bng
ting nc ngoi th th t ca tc gi chnh l H, v ghi tc gi y nh cch vit ca tc
gi.
Sau y l cch trnh by ti liu tham kho
1. Bi bo ng trn tp ch khoa hc (ghi y tn tc gi, nm xut bn, tn bi bo,
tn tp ch, Volume, S Tp ch, v s trang c bi bo).
V d:
Matthews R.B., and Hunt L.A., 1994. A model describing the growth of cassava, (Manihot
esculenta L. Crantz). Field Crops Research 36 (4): 69-84.
Tn tp ch (in nghing) Volume (S tp ch):Trang c tham kho
El-Hassanin A.S., Labib T.M., and Gaber I.E., 1993. Effect of vegetation Cover and slop
on runoff and soil losses from the watershed of Burundi. Agriculture, Ecosystems and
Environment 43: 301-308.
2. Sch (phi ghi r tn tc gi, ngi bin tp (nuc), thi im xut bn, ta sch y
(k c ta con, nu c), volume (nu c), ln ti bn (nu c), nh xut bn v ni xut bn
(thnh ph, quc gia) v s trang tham kho hoc s trang ca cun sch nu tham kho
ton b), tn sch c in nghing.
V d:
Falconer D.S., 1989. Introduction to quantitative genetics. 3rd edition, Longman Scientific
& Technical, New York , USA, 437 pages.
10
Mai nh Yn, V Trung Trng, Bi Lai v Trn Mai Thim, 1979. Ng loi hc. Nh
xut bn i hc v Trung hc Chuyn nghip, H ni, 300 trang.
3. Mt chng trong mt quyn sch (ghi r tn (cc) tc gi ca chng , tn chng
c tham kho, tn sch (in nghing), tn tc gi ca quyn sch y, nh xut bn v ni
xut bn, s trang c tham kho).
V d:
Hemsworth P.H., 1990. Mating management. In Pig Production in Australia (Eds. J.A.A.
Gardner, A.C. Dunkin and L.C. Lloyd). Butterworth, London, England, pp. 245-257.
4. Tp san Bo co Hi ngh Khoa hc (ghi r tc gi v tn bi bo co, tn tc gi hiu
nh, ta (in nghing), ngy v a im hi ngh, tn nh xut bn).
V d:
Svnchez M.D., 1998. Feed, animal waste and nutrient balances. In Proceedings of the
Regional Workshop on Area-Wide Integration of Crop-Livestock Activities, Bangkok,
Thailand, 18-20 June 1998. (Eds. Y.W. Ho & Y.K. Chan). FAO/RAP, Thailand, pp. 47-53.
5. Lun vn tt nghip, Lun vn Thc s, Ph Tin s, Tin s
V d:
Adhiri P.H., 1990. Physio-morphological responses of upland rice to shade. MSc. thesis,
University of the Philippines Los Banos, Philippines.
Trn Huyn Cng, 1994. Mt s c im sinh hc ca c lc bng (Channa micropeltes).
Lun vn tt nghip K s Thy sn, i hc Nng Lm, TP. H Ch Minh, Vit Nam.
6. Sch dch
V d:
Molxki N.T., 1979. Ho sinh tht gia sc (ng c Dng dch). Nh xut bn Khoa hc
K thut, H ni, Vit nam, 247 trang.
7. Tc gi l cc Hip hi hoc T chc
V d:
American Society of Agronomy, 1988. Publications handbook and style manual. American
Society of Agronomy, Madison, WI., 500pages.
8. Ti liu tham kho t h thng internet (ghi r tn tc gi, ta , c quan (nu c),
thng, nm, ni tip cn v ng dn khi truy xut)
V d:
11
Anklesaria F., McCahill M., Linder P., Johnson D., Torrey D., and Alberti B., The
Internet Gopher Protocol (a distributed document search and retrieval protocol), RFC
1436, University of Minnesota, March 1993. <URL:ftp:/ ds.internic. net/ rfc/
rfc1436.txt;type=a>
Berners-Lee T., Hypertext Transfer Protocol (HTTP), CERN, November 1993.
<URL:ftp:/info.cern.ch/pub/www/doc/http-spec.txt.Z>
Ngun: Su tm.
Hnh 5. Quy trnh trch dn ti liu trong qu trnh thc hin nghin cu tng quan.
Ngun: Tn N Phng Mai v Hong Th Trung Thu, 2013. K nng trch dn ti liu,
Phng Dch v Thng tin - Trung tm Hc liu - i hc Hu, 3/2013. <URL:http://www.lrchueuni.edu.vn/is/Ky%20nang%20trich%20dan2.ppt>
Quy nh v hng dn k thut trch dn ca cc trng i hc/T chc gio dc v o to
Vit Nam ch yu tun theo quy nh v hng dn ca B Gio dc v i hc.
Bn cnh , cn c mt s kiu trch dn quc t thng dng khc nh Harvard, APA, MLA
(Modern Language Association of America) <http://www.mla.org/style>, Chicago Manual of
Style < http://www.chicagomanualofstyle.org/home.html>, trong APA do Hip hi Tm l
Hoa k (American Psychological Asociation) bin son. APA c s dng ph bin i vi
cc ngnh tm l hc, x hi hc, kinh t, thng mi, cng tc x hi, ti phm hc v iu
dng.
Kiu trch dn theo APA (tng hp t Tn N Phng Mai v Hong Th Trung Thu,
12
2013)
1. i vi trch nguyn vn: Thng tin trch dn (h ca tc gi, nm xut bn v s
trang/ v tr chnh xc trong vn bn gc) c t trong ngoc n
V d: Nguyn Vn A cho rng kinh t (Nguyn, 2001, tr. 22)
2. i vi din gii: S dng h ca tc gi v nm xut bn.
Lu : Ch cung cp nm xut bn khi trch dn ln u tin trong on vn bn
V d: Kessler (2003) nhn thy rng nhng thng tn vnh vin... Kessler cng pht hin
thy...
3. i vi ti liu c vit bi hai tc gi
* Dng t v trong nu t trch dn trong cu
V d: Khi Glick v Metah (1991) bo co kt qu nghin cu...
* Dng du & nu t trch dn trong du ngoc n
V d: ...tng t (Grimm & Tolman) a ra cc s liu...
4. i vi trng hp khng c tc gi c th: thng s dng nhan ti liu v nm
xut bn
V d: ...i vi sn xut (Kinh t hc, 2007)
5. i vi tng tng hp t nhiu tc gi: tt c cc thng tin trch dn c t trong
cng mt du ngoc n v sp xp theo th t xut hin trong danh mc ti liu trch dn.
V d: Qua nhiu nghin cu (Canin, 1989; Duniere, 1987; Perman & Chu,1991)
6. i vi ti liu da trn mt ngun khc: B sung thm thng tin trch dn ti liu
gc
V d: Nghin cu ca Seidenberg v McClelland (c trch dn bi Coltheart, Curtis,
Atkins & Haller, 1993) cho rng...
Ch s dng mt kiu trch dn duy nht v thng nht cho ton b bi vit/ cng trnh
nghin cu (ty theo yu cu ca t chc ch tr nghin cu). Mc ch ca vic ny
nhm tng thch v ng b gia cc vn bn vi nhau. Thng thng, trc khi vit
bo co, nh nghin cu phi tm hiu yu cu ca t chc ch tr v quy nh v
hng dn trch dn ti liu m bo yu cu khoa hc v qun l.
13
Trong vn bn c trch dn no th trong danh mc ti liu tham kho phi c thng tin
v ti liu tng ng. y l li rt c bn ca nh nghin cu Vit Nam. C rt nhiu
trch dn trong vn bn, nhng khi tm li thng tin v ti liu trch dn trong ti liu
tham kho th li khng c. V vy, trong cc vn bn in t, trch dn ti vn bn
phi kt ni (link) trc tip ti vn bn trong danh mc ti liu tham kho.
Bng 1. So snh gia kiu trch dn v cch lp danh mc ti liu tham kho, quy nh bi B
Gio dc v o to v APA
B Gio dc v o to
APA
i hc Hu (10/12/2010), Ph Th tng
Nguyn Thin Nhn kho st m hnh i
hc hai cp ti i hc Hu, truy cp t
http://hueuni.edu.vn/hueuni/news_detail.php?
NewsID=2611&PHPSESSID=082d1bb9d9e6
1b07ac2cc7e02b9bfa3b
* Sp xp theo th t nh sau:
Ngun: Tng hp t Tn N Phng Mai v Hong Th Trung Thu, 2013. K nng trch dn
14
Trong phn vit, Nguyn Minh Tun (2013) c cp Phng php ny c tc gi ngi M Francis
Pleasant Robinson nu ra trong cun sch hc tp hiu qu (Effective Study) nm 1946 v n nay tr thnh
phng php rn luyn k nng rt ni ting trn th gii
15
cc thng tin v xy dng mt ci nhn tng quan, trc din nht v nghin cu tng quan,
cc phng php tin hnh v cng c h tr. Hy vng s l mt ti liu tham kho tt gip
ch cho hot ng nghin cu ca bn c.
Ti liu tham kho:
Ti liu ting Vit
Hong H, 2011. Phng php vit tng quan ti liu v tm kim ti liu tham kho, Trng
i hc Y dc Thi Nguyn, 2011.
Nguyn Minh Tun, 22/08/2013. K nng c ti liu hiu qu,
<URL: http://tuanhsl.blogspot.com/2013/08/ki-nang-oc-tai-lieu-khoa-hoc-hieu-qua.html>.
Phm L Thng, 2014. Tng quan ti liu nghin cu. i hc Cn Th, 2014
Tn N Phng Mai v Hong Th Trung Thu, 2013. K nng trch dn ti liu, Phng Dch
v Thng tin - Trung tm Hc liu - i hc Hu, 3/2013. <URL:http://www.lrchueuni.edu.vn/is/Ky%20nang%20trich%20dan2.ppt>.
Ti liu ting Anh
Santa Cruz, University of California. Write a Literature Review, i hc RMIT - Ti liu hc
tp <URL: http://guides.library.ucsc.edu/write-a-literature-review>.
Massey University, <http://owll.massey.ac.nz/assignment-types/literature-reviewstructure.php>, NewZealand
17