Circular 12/2014/TT-BKHCN on management of science and technology tasks under the Protocol issued by the Minister of Science and Technology

CIRCULAR

REGULATIONS ON THE MANAGEMENT OF SCIENCE AND TECHNOLOGY TASKS IN CONFORMITY WITH THE PROTOCOL

Pursuant to the Government’s Decree No.20/2013/NĐ-CP dated February 26, 2013 on defining the function, task, power and organizational structure of the Ministry of Science and Technology;

Pursuant to the Government’s Decree No.08/2014/NĐ-CP dated January 27, 2014 on providing instructions on the implementation of a number of articles of the Law on Science and Technology;

At the request of the Director of Department of International Cooperation and the Director of Department of Legal Affairs;

The Minister of Science and Technology hereby provides for the Protocol-based management of science and technology tasks.

Chapter I

GENERAL PROVISIONS

Article 1. Governing scope

This Circular regulates the order and process of proposing, defining, selecting, implementing, examining and evaluating the acceptance testing of the result of science and technology tasks in conformity with the Protocol.  

Article 2. Applicable entities

This Circular is applied to science and technology organizations, individuals involved in science and technology activities, regulatory agencies and other relevant entities.

Article 3. Interpretation of terms

In this Circular, terms shall be construed as follows:

1. Science and technology tasks in conformity with the Protocol means the tasks prescribed in Clause 11 Article 3 of the Government’s Decree No.08/2014/NĐ-CP dated January 27, 2014 providing instructions on the implementation of a number of articles of the Law on science and technology (hereinafter referred to as Protocol-based task).

2. Protocol is composed of:

a) Written agreements of the leadership of the Communist Party and Government with foreign partners on science and technology-related issues;

b) Minutes of conferences of Committee and Subcommittee on the cooperation in science and technology activities with bilateral and multilateral partners in which the Ministry of Science and Technology is authorized by the Government to act as a representative; bilateral and multilateral agreements on the cooperation in science and technology, signed by the Minister of Science and Technology or the authorized entity of the Ministry of Science and Technology with foreign funding partners in accordance with legal regulations. 

3. Foreign partners are composed of:

a) Funding partner: Any organization or individual gives financial assistance to work with Vietnam’s science and technology organizations to fulfill the Protocol-based tasks;

b) Executing partner: Any organization or individual enters into the cooperation with Vietnam’s science and technology organizations to fulfill the Protocol-based tasks.

4. Management unit of Protocol-based tasks means the entity that is directly assigned by the Minister of Science and Technology to manage Protocol-based tasks.

Article 4. Requirements for Protocol-based tasks

Protocol-based tasks must satisfy criteria for national-level science and technology tasks as prescribed in Clause 1 Article 25 of the Government's Decree No.08/2014/NĐ-CP dated January 27, 2014 on providing instructions on the implementation of a number of articles of the Law on science and technology; ensure the cooperation with foreign partners in sharing resources to fulfill Protocol-based tasks as well as satisfy one of the following requirements:

1. Deal with urgent issues about science and technology in Vietnam in a cost-efficient manner, research facilities and training for science and technology personnel to keep up with the advanced standards in the region and around the globe.

2. Search for and look forward to manipulating or achieve new and advanced technological breakthroughs which play a crucial role in creating new products and manufacturing industries.

3. Enhance competence and efficiency in the scientific and technological management.

4. Assist partners who have established special and long-term partnerships with us. 

Chapter II

PROPOSING, DEFINING, SELECTING AND APPROVING PROTOCOL-BASED TASKS

Article 5. Formulating the proposal for placing the order of Protocol-based tasks

1. Bases for the formulation of the proposal for placing the order of Protocol-based tasks:

a) Requests made by the Leadership of the Communist Party and Government;

b) Developmental strategy and planning for specific sectors, industries and localities;

c) National scientific and technological strategy, orientation, objective and task in 5 or 10 years;

d) Announcement of the Ministry of Science and Technology about orientation and cooperative preferences that have been agreed by foreign partners;

dd) A proposal for Protocol-based tasks made by agencies, organizations and individuals.

2. Ministries, ministerial-level agencies, Governmental agencies, People’s Committees of centrally-affiliated cities and provinces and centrally-governed bodies (hereinafter collectively referred to as Ministry, agency and local authority) shall collect and classify proposals of Protocol-based tasks made by agencies, organizations and individuals as well as propose at their discretion scientific issues that need to be dealt with through Protocol-based tasks; send a list of proposals for placing orders to the Ministry of Science and Technology.

3. Proposal for placing the order of Protocol-based tasks must include:

a) Official dispatch serving as the proposal for placing the order of Protocol-based tasks made by Ministry, agency and local authority;

b) A demonstration of the Outline of Protocol-based tasks according to the Form 1 as prescribed in the Annex issued together with this Circular (original).

Article 6. Defining Protocol-based tasks

1. With reference to proposals for placing the order made by Ministry, agency and local authority, the Ministry of Science and Technology shall collect and classify these proposals for placing the order of Protocol-based tasks, depending on specific scientific and technological sectors.

2. The Minister of Science and Technology must decide on the establishment of the Advisory Council on defining Protocol-based tasks (hereinafter referred to as Task Definition Council) according to specific discipline of science and technology which conforms to the sector mentioned in the proposal for placing the order. Task Definition Council can offer advice for one or some of proposals for placing the order in the same scientific and technological sector or discipline.

The Ministry of Science and Technology must designate an administrative clerk, who works as the official of the Ministry of Science and Technology, in order to prepare meeting materials and hold the conference sessions for the Council. The administrative clerk is not a member of the Task Definition Council.

3. Personnel structure of Task Definition Council:

a) The personnel structure of Task Definition Council must be subject to regulations specified in Clause 1 and Clause 2 Article 16 of the Circular No.07/2014/TT-BKHCN dated May 26, 2014 of the Minister of Science and Technology on regulating the order and process of defining national-level science and technology tasks funded by the State budget (hereinafter referred to as Circular No.07/2014/TT-BKHCN);

b) In certain special cases, due to complicated nature or particular requirement of the proposal for placing the order, the Minister of Science and Technology can decide on the number of members and personnel structure of the Council which is different to regulations specified in Point a of this Clause;

c) Any individual, who applies for the leader of the task or the key member in charge of the Protocol-based tasks or is working for the agency that intends to lead the Protocol-based tasks, is not allowed to be a member of Task Definition Council if there is no other decision made by the Minister of Science and Technology.

4. Working paper of Task Definition Council must include:

a) Search result of information about relevant science and technology tasks from the national database of science and technology.

b) List of the proposals for placing the order made by Ministry, agency and local authority as well as any annex (if any);

c) Copies of the proposal for placing the order as prescribed in Clause 3 Article 5 of this Circular and other relevant documents;

d) Evaluation statement on defining Protocol-based tasks according to the Form 2.1 as stipulated in the Annex of this Circular.

5. Working method, order and process of Task Definition Council must comply with the regulations specified in Article 17, 18 of the Circular No.07/2014/TT-BKHCN.

Vote Counting Board must collect and classify the evaluation result of members of Task Definition Council according to the Form 2.2 as prescribed in the Annex of this Circular and publicly announce the result of vote counting in the meeting of Task Definition Council.

Task Definition Council must approve the meeting minutes according to the Form 2.3 as stipulated in the Annex of this Circular, and consistently consent to the List of the proposals for placing the order of Protocol-based tasks.

Article 7. Approving Protocol-based tasks through the order placement

1. Within a period of 07 working days from the date on which the working result of the Council is obtained, the Head of Protocol-based Task Management Unit must review the work order and process of Task Definition Council as well as consider advisory opinions from Task Definition Council about Protocol-based tasks which are requested in the order placement specified in the regulations stated in Article 4 of this Circular.  

When necessary, the Ministry of Science and Technology can confer with local or foreign independent advisers or establish another Council to redefine Protocol-based tasks. Holding the consultation with independent advisers must adhere to the regulations specified in Article 16, 17 and 18 of the Circular No.10/2014/TT-BKHCN dated May 30, 2014 of the Minister of Science and Technology on regulating the selection and direct assignment of organization and individual to fulfill national-level science and technology tasks funded by the State budget (hereinafter referred to as Circular No.10/2014/TT-BKHCN).

2. On the basis of the review result and advisory opinions as prescribed in Clause 1 of this Article, the Head of Protocol-based Task Management Unit must submit ordered Protocol-based tasks to the Minister of Science and Technology for the approval. Within a period of 15 working days from the date of approving the list of ordered Protocol-based tasks, the Ministry of Science and Technology must send a written notification of the result of Protocol-based task definition to Ministry, agency and local authority.

Article 8. Selecting science and technology organization to fulfill Protocol-based tasks

1. Within a period of 15 working days from the approval date, the Ministry of Science and Technology must publicize the list of ordered Protocol-based tasks on the electronic information portal of the Ministry of Science and Technology.  In order to apply for the selection of Protocol-based task fulfillment, science and technology organizations must form a partnership with foreign partners, enter into the cooperation in demonstrating Protocol-based tasks and send these applications to the Ministry of Science and Technology by the regulated deadline.

2. Selection rules and satisfactory requirements to be qualified for the selection of Protocol-based task performance must abide by the regulations specified in Point a, b, c and dd Clause 1, Clause 2, of Article 3, Article 4 in the Circular No.10/2014/TT-BKHCN. 

3. Application documents for the selection of Protocol-based task performance

a) Application documents for the selection must include:

- A demonstration of Protocol-based tasks according to the Form 3 regulated in the Annex issued together with this Circular;

- A duplicate Certificate of Registration of Science and Technology Activities, held by the applicant;

- A written commitment of the applicant (organization or individual) for becoming the leader of the task in which the competence and suitability for the Protocol-based task fulfillment must be clarified according to the Form 4.1 specified in the Annex issued together with this Circular;

- A summary of activities regarding science and technology, international cooperation of the applicant according to the Form 4.2 regulated in the Annex issued together with this Circular;

- A scientific profile of individual applying for the leader’s position and those applying for main in-charge persons to fulfill Protocol-based tasks according to the Form 4.3 as prescribed in the Annex issued together with this Circular;

- A summary of foreign partners and their science and technology activities; their cooperation with Vietnam in the field of science and technology; scientific profile of foreign experts involved in the Protocol-based task fulfillment;

- A duplicate of agreement between organization applying for the leader’s position and foreign partners about the main contents; a proposed implementation plan; rules of sharing the result of researches on Protocol-based tasks and required resources used for the task performance.  

- The evaluation result of annual performance of the applicant.

b) Application documents for the selection are composed of one (01) original set of documents (with stamp and handwritten signature) typewritten and printed on A4-sized sheet, formatted in Vietnamese font, Unicode script in conformity with the national TCVN 6909:2001 standard, font size 14 and one (01) soft copy of these documents written on an optical disc (in unencrypted PDF format), all of which are packed in a sealed envelope and clearly write the following information outside of the envelope:

- Name of Protocol-based task;

- Name and contact address of the organization applying for the leader’s position in the task performance and foreign partner;

- Full name of the individual applying for the leader’s position in Protocol-based task performance;

- List of main members applying for getting involved in the Protocol-based task performance (full name, birth year and workplace);

- List of documents enclosed in the application documents.

4. Opening, examining and certifying the validation of applications for the selection of Protocol-based tasks performance must adhere to regulations specified in Clause 1 Article 7 of the Circular No.10/2014/TT-BKHCN.  Valid applications qualified to be considered and evaluated must strictly follow the Form and satisfy requirements regulated in Clause 2 and 3 of this Article. 

The result of opening applications must be documented into a record according to the Form 4.4 as prescribed in the Annex issued together with this Circular.

5. The Minister of Science and Technology shall establish the Advisory Council of selection for the Protocol-based task performance (hereinafter referred to as Selection Council). One Selection Council can hold a consultation with one or several Protocol-based task(s) in case there are a lot of tasks that need to be performed in the same sector.

6. Working documents of the Selection Council:

a) The search result of information regarding the leader and task of science and technology which is obtained from the national database of science and technology;

b) List of Protocol-based tasks according to the approved order placement.

c) A copy of application documents for the selection;

d) Evaluation statement on the selection of Protocol-based tasks according to the Form 4.5 given in the Annex issued together with this Circular.

7. Personnel structure, working rules, responsibilities and processes of the Selection Council must comply with regulations specified in Clause 1, 2, 3 and 4 of Article 8 and Article 10 and Clause 1, 2, 3 and 4 of Article 11 in the Circular No.10/2014/TT-BKHCN.

8. Working contents of the Selection Council

a) Score each application based on the evaluation statement by filling in the Form 4.5. The evaluation statement must strictly adhere to regulations.  The Council shall give a maximum score of 100 points according to the evaluation criteria and scoring scale as follows:

- Scientific value (maximum score – 40 points);

- Value of international cooperation (maximum score = 30 points);

- Value of the result, feasibility and applicability (maximum score = 30 points).

b) The Council must elect members of the Vote Counting Board, including 03 persons coming from the membership of the Council and they shall be assigned to work as one head of the Board and 02 members.  Vote Counting Board must provide the result of evaluation statements from the Council members according to the Form 4.6 regulated in the Annex issued together with this Circular and rank evaluated applications based on total average score in a descending order as well as the following requirements:

- Satisfactory applications must achieve average score of all criteria at the minimum ratio of 70/100 points; in addition, there is none of criteria scored zero (0) point by one third of the Council’s present members; value of international cooperation must gain at least 20/30 points; scientific value must get at least 30/40 points;

- If evaluated applications receive equal average scores, the application of which value of international cooperation is granted the highest score shall be given precedence in the rating.  If evaluated applications gain equal average and international cooperation value scores, the application that receives higher score from the Council’s President (or the Council’s Vice President if the Council’s President is absent) shall be given precedence in the rating.

c) The Council must approve the meeting minutes according to the Form 4.7 regulated in the Annex issued together with this Circular and request science and technology organization that has won the selection to fulfill Protocol-based tasks. The Council also requests any amendment and modification to the Demonstration of Protocol-based tasks; main scientific and technological products to satisfy economic-technical criteria; foreign partners; budget and method of block-grant expenditure (until the end product is achieved or each portion of the task is completely performed) for the Protocol-based task fulfillment;

d) Head of Protocol-based Task Management Unit must review the working order and process of the Council, consider all of advisory opinions from the Council about Protocol-based tasks. 

The Ministry of Science and Technology can confer with local or foreign independent advisers or establish another Selection Council at their discretion.

Holding a consultation with independent advisers must abide by regulations specified in Article 16, 17 and 18 of the Circular No.10/2014/TT-BKHCN.

dd) On the basis of the conclusions made by the Selection Council, review results and requests of the Protocol-based Task Management Unit or opinions from independent advisers, the Minister of Science and Technology must send a notification of Protocol-based tasks that require the selection, organization selected as the leader or the head of task performance and foreign partners to the selected organization within a maximum period of 07 working days from the closing date of the Council’s meeting session.      

Article 9. Negotiating and entering into the cooperative agreement with foreign partners for the Protocol-based task fulfillment

Based on the notification mentioned in Clause dd Article 8 of this Circular, the Ministry of Science and Technology must cooperate with Ministry, agency, local authority, the selected organization as the leader and head of the Protocol-based task fulfillment to proceed to negotiate with foreign partners, search for financial resources and enter into the Protocol.

Within a period of 15 working days from the signing date, the Ministry of Science and Technology must notify other applicants of the selection result.  

Article 10. Budget appraisal

1. Within a period of 15 working days from the receipt of the notification sent by the Ministry of Science and Technology, the contracting organization selected as the leader or head of Protocol-based tasks is responsible to correct and complete the documentation based on the conclusion of Selection Council, set up the plan for implementing contents agreed with foreign partners in the cooperative agreement and send it to the Ministry of Science and Technology to serve the purpose of budget appraisal. 

The Ministry of Science and Technology only appraises budget for Protocol-based tasks financed by foreign partners at the minimum rate of 40% compared with total budget allocated for the fulfillment of the contractual tasks, except for any long-term or special partners. Within a period of 15 working days from the receipt of the final documentation, the Ministry of Science and Technology must send the notification of refusal of the budget appraisal for the organizations applying for Protocol-based task performance who do not gain the financial contribution of foreign partners at the minimum rate of 40% compared with total budget for the task performance.    

2. Appraisal documentation of budget for the Protocol-based task performance (hereinafter referred to as Appraisal Documentation) must include:

a) List of Protocol-based tasks and organization selected as the head or leader of Protocol-based task performance;

b) Meeting minutes of the Selection Council;

c) A copy of Protocol entered into by parties (attached a Vietnamese version);

d) A demonstration of Protocol-based tasks that has been completely corrected; written explanation (the selected organization as the leader and head of the task) for the acceptance of contributed opinions from the Selection Council, certified by the person presiding over the Selection Council's meeting session;

dd) Application documents for the selection, prepared by the organization selected as the head of Protocol-based task performance;

e) At least 03 reports on raw materials, machinery and devices that are taken into account for the formulation of budget estimate for the Protocol-based task performance. These quotations must remain valid for at least 30 days from the moment of submitting the Appraisal Documentation.

3. The Minister of Science and Technology must decide on the establishment of the Appraisal Team to serve the purpose of Protocol-based task performance (hereinafter referred to as Appraisal Team) must comprise 03 members, including:

a) Head of the Appraisal Team coming from the leadership of Protocol-based Task Management Unit;

b) Vice Head of the Appraisal Team, known as the representative of the budget management unit of the Ministry of Science and Technology.

c) 01 member, known as the President or Vice President or expert examiner of the Selection Council of Protocol-based tasks.

4. The Appraisal Team shall be brought into operation when the number of members joining the Team is adequate. Working responsibility, process and content of the Appraisal Team must observe the regulations specified in Clause 2 Article 13, Clause 1, 2, 3, 4 and 5 Article 14 of the Circular No.10/2014/TT-BKHCN.

Members of the Appraisal Team must proceed to evaluate submitted documentations according to the Form 5 regulated in the Annex issued together with this Circular.

Administrative clerk must complete the record on appraising the Protocol-based tasks according to the Form 6 as prescribed in the Annex issued together with this Circular.

5. Within a period of 15 working days from the date of closing the meeting session held by the Appraisal Team, organizations selected as the head or leader of the task performance must be responsible to modify and amend the Demonstration of the Protocol-based tasks according to the appraisal record kept by the Appraisal Team and deliver the amended demonstration to the Ministry of Science and Technology. The Protocol-based Task Management Unit must collect and submit the decisions on approving Protocol-based tasks funded by the state budget for science and technology activities to the Minister of Science and Technology.

Chapter III

PROTOCOL-BASED TASK FULFILLMENT

Article 11. Contract for the fulfillment of Protocol-based tasks 

1. The Ministry of Science and Technology shall sign the contract for the fulfillment of approved Protocol-based tasks.

2. The contract form shall be made in compliance with the Circular No.05/2014/TT-BKHCN dated April 10, 2014 of the Minister of Science and Technology on issuing “The contract form for scientific research and technological development”.

Article 12. Examining the progress of Protocol-based tasks performance

1. From the date on which the fulfillment of Protocol-based tasks has started according to the signed contract or the sudden request of regulatory agencies, the selected organization to lead the task performance must send a periodical report every 06 months and the result of the task fulfillment to the Ministry of Science and Technology according to the Form 7 regulated in the Annex issued together with this Circular or compile the report on work contents as requested by the Ministry of Science and Technology. 

2. If the selected organization for the task performance fails to send more than 02 required reports on the performance progress, the allocation of budget for the task performance shall be discontinued and all violations shall be handled under legal regulations.

3. From the date on which the fulfillment of Protocol-based tasks has started according to the signed or sudden contract, the Ministry of Science and Technology shall examine and evaluate the task performance in terms of content, progress, budget use and partnership with foreign partners as well as other relevant issues during the fulfillment of Protocol-based tasks every 12 months when necessary.

The examination result shall be documented in the form of a record according to the Form 8 regulated in the Annex issued together with this Circular and stored into the dossier of Protocol-based tasks.

4. Based on the report on the examination result, the Minister of Science and Technology shall decide whether the budget shall be allocated for the next year’s task performance, consider any amendment, modification or suspension or termination of the Protocol-based task performance according to the regulations on the national-level science and technology tasks.

5. Contract adjustment:

a) The organization selected as the leader of the task performance is entitled to adjust the estimate of the allocated budget in proportion to total regulated expenditure.

b) The Minister of Science and Technology shall consider and decide on adjusting the selected organization, name, objective, product, completion date and total approved amount of financial support derived from the state budget, which is based on the written request sent by the selected organization for the Protocol-based task performance.

Adjustment to the completion date of the task performance shall be carried out less than 01 time in which total adjusted time for the task that is performed over the period of above 24 months shall not exceed 12 months or 06 months for the task that is performed over the period of below 24 months.

c) The Minister of Science and Technology shall authorize the Head of task management unit to consider and decide on any adjustment to the contractual contents on the basis of the request of the selected organization, except for the content prescribed in Point b of this Clause.

Chapter IV

ACCEPTANCE TESTING OF THE RESULT OF PROTOCOL-BASED TASK FULFILMENT

Article 13. Acceptance testing of the result of protocol-based task fulfillment

1. Processes, procedures, criteria, scoring scales of the acceptance testing of the result of the Protocol-based task fulfillment, organization structure of the advisory Council on acceptance testing of Protocol-based task (hereinafter referred to as Acceptance Testing Council) shall adhere to the Circular No.11/2014/TT-BKHCN dated May 30, 2014 of the Minister of Science and Technology on regulating the guidance on the evaluation and acceptance testing of the result of national-level science and technology task fulfillment funded by the State budget (hereinafter referred to as the Circular No.11/2014/TT-BKHCN).

2. Acceptance testing documentation must include:

In addition to the documents as regulated in Article 6 of the Circular No.11/2014/TT-BKHCN, the acceptance testing documentation must include the following additional documents:

a) Report of the organization in charge of the evaluation on the contents of cooperation with foreign partners to fulfill the Protocol-based tasks according to the Form 9 regulated in the Annex issued together with this Circular;

b) Report on comments and remarks of foreign partners about the cooperation outcomes and prospects.

3. All of documents and materials regarding the acceptance testing of the result of Protocol-based task fulfillment shall be classified, stored and submitted by the Ministry of Science and Technology and the selected organization in compliance with current regulations.

Article 14. Accounting for and completing the contract

The Ministry of Science and Technology in association with the selected organization shall agree to complete the contract as regulated in the Circular No.11/2014/TT-BKHCN after the following work contents have been completed:

1. Result of the acceptance testing has been produced by the acceptance testing council.

2. Confirmation of handing over the report on the research results to the National Agency for Science and Technology Information, the Ministry of Science and Technology or the Certificate of registration of the result of task performance.

3. Inspection and hand-over record of products generated from the fulfillment of Protocol-based tasks and assets procured by the budget allocated to fulfill the task according to current regulations.

Chapter V

IMPLEMENTATION PROVISIONS

Article 15. Effect

This Circular takes effect from August 01, 2014 and supersedes the Decision No.14/2005/QĐ-BKHCN dated September 08, 2005 of the Minister of Science and Technology on promulgating “Regulations on developing and managing the task of international cooperation in the field of science and technology in conformity with the Protocol”.

Article 16. Implementation

1. Heads of Ministerial units, agencies, relevant organizations and individuals shall take responsibility for the implementation of this Circular.

2. For the furtherance of implementation, if there is any difficulty that arises, organizations and individuals must send their opinions in writing to the Ministry of Science and Technology for possible consideration and adjustment.

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