Circular No. 02/2013/TT-BKHCN on the evaluation and acceptance of projects under the Program to Support the Application and Transfer of Scientific and Technological Advances Serving Rural and Mountainous Economic and Social Development for the 2011-2015 period.

CIRCULAR

Regulations on the evaluation and acceptance of projects under the Program to Support the Application and Transfer of Scientific and Technological Advances for Rural and Mountainous Areas Development during the 2011-2015 period Pursuant to Decision No. 1831/QĐ-TTg dated October 1, 2010 of the Prime Minister approving the Program to Support the Application and Transfer of Scientific and Technological Advances for Rural and Mountainous Areas Development during the 2011-2015 period; Pursuant to Circular No. 07/2011/TT-BKHCN dated June 27, 2011 of the Minister of Science and Technology guiding the management of the Program to Support the Application and Transfer of Scientific and Technological Advances for Rural and Mountainous Areas Development during the 2011-2015 period;

The Minister of Science and Technology hereby stipulates the evaluation and acceptance of projects under the Program to Support the Application and Transfer of Scientific and Technological Advances for Rural and Mountainous Areas Development during the 2011-2015 period as follows:

Article 1. This Circular stipulates the evaluation and acceptance of central-managed project groups and local authority-delegated project groups under the Program to Support the Application and Transfer of Scientific and Technological Advances for Rural and Mountainous Areas Development during the 2011-2015 period (hereinafter referred to as the Rural and Mountainous Areas Program).

Article 2. This Circular applies to organizations and individuals participating in implementing projects of the Rural and Mountainous Areas Program; other related organizations and individuals.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 2. Principles and procedures for evaluating and accepting projects

Clause 1. Principles for evaluating and accepting projects:

a) Transparency, fairness, objectivity, and scientific rigor;

b) Compliance with legal regulations.

Clause 2. Evaluation and acceptance of projects under the Rural and Mountainous Areas Program shall be carried out in the following sequence:

a) Step 1: Evaluating the implementation results of the project model, which involves reviewing and confirming the achievements against the content and criteria of the approved models in the project description; the organization, management, and implementation methods of the model; the use of budget support funds and mobilized matching funds for implementing the model; the economic, social, and environmental benefits of the model; the sustainability, development potential, and replicability of the implemented model at the deployment site.

The evaluation of the implementation results of the project model must be conducted for all projects under the Rural and Mountainous Areas Program.

b) Step 2: Evaluation and acceptance of the project, which involves reviewing and confirming the achievements against the content of the project implementation contract (including the project description and related legal documents as part of the contract) after the completion of the contract.

Clause 3. Evaluation and acceptance of projects managed by local authorities delegated authority shall be conducted through the Science and Technology Council established by the People's Committee of the province or centrally-administered city or authorized by the Department of Science and Technology to establish (hereinafter referred to as the Provincial Acceptance Council).

Clause 4. Evaluation and acceptance of projects managed by central authorities shall be conducted in two levels: provincial and national:

a) Provincial level: carried out in accordance with Clause 3 of this Article;

b) National level: evaluation and acceptance of national-level project implementation results shall be conducted through the Science and Technology Council established by the Minister of Science and Technology (hereinafter referred to as the National Acceptance Council).

Clause 5. Within seven days before conducting the evaluation and acceptance, the Department of Science and Technology where the project is implemented (for provincial-level acceptance) and the Office of the Rural and Mountainous Areas Program (for national-level acceptance) shall publish the following information on their electronic information websites:

a) General information about the project: lead agency, technology transfer agency, objectives, content, and products of the project;

b) Anticipated time and location for the acceptance.

a) General information about the project: the leading agency, the technology transfer agency, objectives, contents, and products of the project;

b) Expected time and location for acceptance.

Article 3. Evaluation Team for Assessing the Implementation Results of Models

1. The assessment of the implementation results of models shall be conducted through the Evaluation Team established by the project's leading agency.

2. The Evaluation Team consists of from five to seven members including representatives of the following units: the project's leading agency; the district or commune authority where the model is implemented; the Department of Science and Technology.

The Evaluation Team includes a team leader, deputy team leader, members, and one administrative secretary assisting in the work, who is an officer of the project's leading agency.

3. In case of necessity, the team leader of the Evaluation Team has the right to request the project's leading agency to invite representatives of technology transfer agencies, some relevant departments, and individuals with appropriate expertise to participate in the Evaluation Team's meeting sessions.

4. The Evaluation Team is responsible for assessing the model results according to Clause 3, Article 8 of this Circular.

Article 4. Provincial Evaluation Council for Project Acceptance

1. The provincial council consists of from seven to nine members, including representatives of the following units: the Department of Science and Technology; representatives of some relevant departments of the province or centrally governed city; some scientists with appropriate expertise related to the project content. The council has one or two administrative secretaries assisting in the work, who are officers of the Department of Science and Technology.

2. Representatives of the leading agency, representatives of the technology transfer agency, the project director, and individuals participating in the implementation and technology transfer shall not join the provincial council.

3. The provincial council is responsible for assessing and accepting projects according to Clause 3, Article 9 of this Circular.

4. A representative of the Office of the Mountainous Rural Program may be invited to attend the council's meeting session.

Article 5. National Evaluation Council for Project Acceptance

1. The national council consists of from nine to eleven members, including representatives of central and local state management agencies; some scientists with appropriate expertise related to the project content. The council has two administrative secretaries assisting in the work, who are officers of the Ministry of Science and Technology.

2. Representatives of the leading agency, representatives of the technology transfer agency, the project director, and individuals participating in the project implementation and technology transfer shall not join the national council.

3. The national council is responsible for assessing and accepting projects according to Clause 3, Article 10 of this Circular.

4. The Ministry of Science and Technology will only establish the national council for projects rated "pass" or higher by the provincial council. Projects rated "fail" by the provincial council will be organized for review and handling by the Ministry of Science and Technology according to current regulations on science and technology activities management and other relevant laws.

5. A representative of the Department of Science and Technology may be invited to attend the council's meeting session.

Article 6. Principles of Operation of the Project Acceptance Evaluation Council

1. The meeting session of the project acceptance evaluation council at all levels must have at least two-thirds of the members present, including the Chairman or Vice-Chairman and two opposing members. The Chairman of the council chairs the meeting; in the absence of the Chairman, the Vice-Chairman of the council chairs the council's meeting session.

2. The operation process of the council follows the provisions set out in Appendix 3 attached to this Circular.

Article 7. Time limit for project evaluation and acceptance

1. Not later than 15 days before the end date of the project implementation contract, the leading agency and project director must organize the assessment of the model's results. For seasonal models, the assessment of the model's results shall be conducted immediately after the end of the season or not later than 15 days after the end of the season.

2. Not later than 30 days from the end date of the contract, the leading agency and project director must complete the provincial acceptance dossier and submit it to the Department of Science and Technology. The provincial project acceptance evaluation must be completed within 30 days from the date of receipt of a valid acceptance evaluation dossier.

3. Not later than 45 days from the date of provincial acceptance, the leading agency and project director must complete the national acceptance dossier and submit it to the Office of the Mountainous Rural Program. The national project acceptance evaluation must be completed within 30 days from the date of receipt of a valid national acceptance evaluation dossier.

Chapter II
PROJECT EVALUATION AND ACCEPTANCE

Article 8. Assessment of Model Implementation Results

1. Documents for assessing the model implementation results include: report on the implementation results of the model; technical procedures applied in the project; relevant documents related to the implementation of the model.

2. The report on the implementation of the model must reflect the following contents: achievements compared with the content and scale of the approved models in the project description; methods of organization, management, and direction of the model implementation; financial situation regarding the use of budget support funds and mobilized counterpart funds for implementing the model; economic, social, and environmental benefits of the model; sustainability, development, and replication potential of the model, implemented at the location where the model was constructed.

3. Based on the report on the implementation results of the model, the Evaluation Team discusses, assesses, and confirms according to the following contents:

a) The extent of implementation of the model's content and scale compared to the contract and project description;

b) Methods of organization, management, and direction of the model implementation;

c) Financial situation regarding the use of budget support funds and mobilized counterpart funds for implementing the model;

d) Economic, social, and environmental benefits of the model;

đ) Sustainability, development, and replication potential of the model.

4. The work results of the Evaluation Team are recorded in a minutes document according to the template specified in Appendix 1 attached to this Circular.

Article 9. Provincial Project Acceptance Evaluation

1. The project director and the leading agency have the responsibility to submit one original set and one electronic copy of the dossier on a CD in PDF format to the Department of Science and Technology of the province or city.

2. The provincial acceptance evaluation dossier includes:

a) A letter requesting provincial acceptance evaluation from the leading agency;

b) A final report on project implementation according to the template specified in Appendix 2 attached to this Circular;

c) A summary report on project implementation results;

d) Technical procedures applied in the project;

đ) Description and project implementation contract;

e) Project documents and products according to the contract;

g) Periodic inspection reports and minutes;

h) Financial settlement minutes or confirmation minutes of the last year's fund usage situation from the Office of the Mountainous Rural Program if the last year has not yet reached the settlement deadline (for centrally managed projects); Financial settlement minutes or confirmation minutes of the last year's fund usage situation from the Department of Science and Technology if the last year has not yet reached the settlement deadline (for locally authorized managed projects); Report on mobilization and utilization of local government budget counterpart funds and other sources (if applicable);

i) Minutes of the Evaluation Team on model implementation results;

k) Other related documents.

3. Contents of provincial acceptance evaluation

a) Degree of implementation of content, scale, products, and technology transfer results compared to the contract: implementation of content and volume compared to the contract; assessment of technology transfer activities; degree of absorption and mastery of technology by individuals and units receiving technology;

b) Methods of organization, management, and direction of project implementation;

c) Capacity and effectiveness of using budget support funds and mobilized counterpart funds for project implementation;

d) Economic, social, and environmental benefits of the project;

đ) Sustainability, development, and replication potential of the project results.

4. The provincial council evaluates the project implementation results according to the criteria and scoring system specified in Appendix 4 attached to this Circular. The council conducts scoring and ranking of the project through secret ballot voting.

5. Dossiers submitted late between 60 to 90 days without approval from the Ministry of Science and Technology (for centrally managed projects) or the Department of Science and Technology (for locally authorized managed projects) will be deducted 10 points; if submitted late between 90 to 180 days, 15 points will be deducted; if submitted late between 180 to 360 days, 20 points will be deducted according to the scoring system specified in Appendix 4 attached to this Circular.

In case of submission more than 360 days late, the project will be evaluated as "unsatisfactory".

6. Handling of provincial evaluation results

a) For projects evaluated as "unsatisfactory", the provincial council is responsible for reviewing and determining the contents and tasks that have been carried out according to the contract as a basis for the Department of Science and Technology to submit to the People's Committee of the province or city directly under the Central Government and the Ministry of Science and Technology for consideration and handling;

b) For projects evaluated at the "satisfactory" level or higher, within 45 days from the date the provincial acceptance council completes the evaluation, the project director and the leading agency must cooperate with the technology transfer agency to supplement and perfect the dossier according to the council's opinions and submit one original set and one electronic copy of the dossier on a CD in PDF format to the Department of Science and Technology to organize contract termination for locally authorized managed projects and to the Office of the Mountainous Rural Program for centrally managed projects to organize national acceptance evaluation.

Article 10. State-level project acceptance evaluation

1. The project leader and the leading agency shall be responsible for submitting one original set of documents and one electronic copy of the documents on a CD in PDF format to the Office of the Mountainous Rural Program.

2. The set of documents for state-level acceptance evaluation includes:

a) Documents specified in Clause 2, Article 9 of this Circular;

b) A letter requesting state-level acceptance evaluation from the leading agency;

c) A report on the implementation results of the project supplemented and completed according to the opinions of the provincial council; a statement explaining and adopting the council's opinions;

d) The decision to establish the Council and the minutes of the provincial council meetings.

3. Content of state-level acceptance evaluation

Based on the state-level acceptance evaluation documents and the results of the provincial-level acceptance evaluation, the state-level council evaluates the project implementation results according to the following contents:

a) Evaluation of technology transfer activities;

b) Degree of implementation of content and scale compared to the contract;

c) Project organization, management, and implementation methods;

d) Project financial management;

đ) Contents prescribed in Point d, đ, Clause 3, Article 9 of this Circular.

4. The state-level council evaluates the project implementation results based on the criteria and scoring system stipulated in Appendix 5 attached to this Circular. The council conducts scoring and classifying the project through secret ballot.

5. For documents submitted late between 45 to 90 days from the date of provincial-level acceptance evaluation, 10 points will be deducted; if submitted late between 90 to 180 days, 15 points will be deducted; if submitted late between 180 to 360 days, 20 points will be deducted according to the scoring system stipulated in Appendix 5 attached to this Circular.

In case of submission more than 360 days late, the project will be evaluated as "unsatisfactory".

6. Handling of state-level acceptance evaluation results

a) For projects evaluated as "unsatisfactory", the state-level acceptance evaluation council is responsible for reviewing and determining the contents and tasks that have been implemented according to the contract as a basis for the Ministry of Science and Technology to consider and handle.

b) For projects evaluated at the level of "satisfactory" or higher, within thirty days from the date the state-level council concludes its meeting, the project leader and the leading agency shall cooperate with the technology transfer agency to supplement and complete the documents according to the council's opinions and submit one original set of documents and one electronic copy of the documents on a CD in PDF format to the Office of the Mountainous Rural Program to organize contract settlement.

c) For projects evaluated at the level of "excellent" will be considered for commendation and support for the wider application of the project results by the Ministry of Science and Technology.

Chapter III
RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS INVOLVED IN THE ACCEPTANCE EVALUATION PROCESS

Article 11. Responsibilities of the leading agency, project leader, and technology transfer agency of the project

1. Organizing the acceptance evaluation of the implementation results of the model and implementing the regulations during the organization of the acceptance evaluation in accordance with the provisions of this Circular.

2. The leading agency, project leader, and technology transfer agency of the project shall create favorable conditions, provide documents, and answer necessary issues related to the project results according to the requirements of the Evaluation Team and the Acceptance Evaluation Council, and bear responsibility for the authenticity of the provided documents and information.

3. During the process of project acceptance evaluation, if there are administrative violations in scientific and technological activities, they will be handled according to the laws on administrative penalties.

4. In case the leading agency, project leader, and technology transfer agency of the project violate any of the following points, the acceptance evaluation results and classification will be canceled and treated as "unsatisfactory":

a) Documents and materials contain false content, not truthful to a serious extent;

b) Serious violation of financial management principles for project funds (with a conclusion in writing by authorized inspection and audit teams);

c)擅自修改项目目标和内容。

5. The leading agency, project leader, and technology transfer agency of the project shall bear the costs incurred to complete the project result reports according to the requirements of the various levels of acceptance evaluation councils due to non-compliance with the content and requirements recorded in the contract.

Article 12. Responsibilities of the Evaluation Team, Council, and Individuals Participating in Project Completion Acceptance

Members of the Evaluation Team, the Project Completion Acceptance Council, and individuals participating in project completion acceptance shall be responsible for adhering to evaluation principles and shall bear responsibility for their advisory opinions and actions during the evaluation process.

Article 13. Responsibilities of the Department of Science and Technology

1. Organize provincial-level project completion acceptance for projects under the Mountainous Rural Area Program implemented within their jurisdiction in accordance with regulations.

2. Monitor and supervise compliance with regulations during the organization of project completion acceptance.

3. Organize contract termination for projects managed by local authorities under delegated management.

Article 14. Responsibilities of the Office of the Mountainous Rural Area Program

The Office of the Mountainous Rural Area Program assists the Steering Committee of the Program and the Minister of Science and Technology in performing the following tasks:

1. Organize national-level project completion acceptance for centrally-managed projects in accordance with regulations.

2. Monitor and supervise compliance with regulations during the organization of project completion acceptance.

3. Guide organizations, individuals, and localities in implementing project completion acceptance.

Article 15. Effective Date

1. This Circular takes effect from April 4, 2013. For projects with contract completion deadlines prior to the effective date of this Circular, they shall be evaluated and accepted according to the regulations in force at that time.

2. During implementation, if there are difficulties or obstacles, units and localities are requested to report to the Ministry of Science and Technology for appropriate amendments.