Circular No. 03/2011/TT-BKHCN guiding the selection and management of projects under the Intellectual Property Development Support Program for the period 2011-2015

CIRCULAR

Guidelines for selecting and managing projects under the Intellectual Property Development Support Program for the period 2011-2015

development of intellectual property for the period 2011-2015

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Pursuant to Decree No. 28/2008/NĐ-CP dated March 14, 2008, promulgated by the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Pursuant to Decision No. 2204/QĐ-TTg dated December 6, 2010 of the Prime Minister approving the Intellectual Property Development Support Program for the period 2011-2015;

The Minister of Science and Technology issues guidelines for selecting and managing projects under the Intellectual Property Development Support Program for the period 2011-2015 as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 1. This Circular guides the selection and management of projects under the Intellectual Property Development Support Program for the period 2011-2015 approved by Decision No. 2204/QĐ-TTg dated December 6, 2010 of the Prime Minister (hereinafter referred to as "the Program").

Article 2. This Circular applies to units and individuals participating in the Program.

Article 2. Rights to Register as the Principal Organizer and Collaborator of Projects

Clause 1. Each unit may simultaneously register to be the principal organizer of a maximum of three projects under the Program, of which no more than two can be of the same type.

Clause 2. Each individual may not simultaneously register to be the project leader of more than one project under the Program.

Clause 3. Each unit and individual may simultaneously register to collaborate on a maximum of three projects under the Program, of which no more than two can be of the same type.

Clause 4. Units shall not register to be the principal organizer of a project if they have not completed the settlement of accounts for research topics and projects funded by the state that were assigned by the Ministry of Science and Technology within the stipulated time frame.

Clause 5. The number of projects subject to the registration rights of principal organizers and collaborators as specified in Clauses 1, 2, and 3 of this Article includes projects currently being organized and collaborated on.

Article 3. Criteria for Selecting Projects

Projects under the Program must meet the following criteria:

Point 1. Consistency: the content and objectives of the project must align with those of the Program;

Point 2. Comprehensiveness and Typicality: the issue or task addressed by the project must be common or a general need of many businesses, a locality, or a region;

3. Feasibility:

a) Reasonable basis for developing the project;

b) The content of the project must be suitable to the capacity of the unit registering to be the principal organizer;

c) The budget for implementing the project must be appropriate to the Program's financial resources and the ability of the principal organizing unit to mobilize funds;

d) The implementation period of the project ranges from one to five years and must conclude no later than 2015, except in special cases decided by competent authorities.

Point 4. Effectiveness:

a) The results or products of the project can be shared and serve the interests of multiple businesses or localities;

b) The project addresses a specific issue or task, meeting one or several practical needs of businesses, localities, or communities.

Article 4. Conditions for Principal Organizers and Project Leaders

Clause 1. Conditions for Principal Organizers:

a) Register to be the principal organizer according to regulations;

b) Have legal entity status and functions compatible with the field of the project;

c) Possess adequate capacity (material facilities, finance, human resources), capability to coordinate and link with other organizations and individuals to successfully implement the project;

d) Possess the ability to mobilize financial resources for the project;

đ) Have a project leader who meets the conditions stipulated in Clause 2 of this Article.

Clause 2. Conditions for Project Leaders:

a) Have full civil capacity and expertise relevant to the field of the project;

b) Have experience and organizational and managerial capabilities for project implementation;

c) Have sufficient time to fulfill the duties of a project leader.

Chapter II

SELECTION OF PRINCIPAL ORGANIZERS FOR PROJECTS

Article 5. Proposing project proposals

1. Based on the objectives, general content, and implementation plan of the Program, the Ministry of Science and Technology shall notify relevant agencies to organize the implementation of the Program (as stipulated in point b, Clause 3, Article 2 of Decision No. 2204/QĐ-TTg dated December 6, 2010) and widely announce on mass media so that related agencies can be aware, collect support needs from enterprises and localities under their management, and thereby propose projects within the scope of the Program.

2. Agencies responsible for organizing the implementation of the Program and other organizations with the need to propose projects shall submit their proposals within two months from the date of the announcement by the Ministry of Science and Technology as specified in Clause 1 of this Article.

Article 6. Establishing and approving the list of projects

1. Based on received proposals and self-proposals, the Intellectual Property Office shall establish a list of projects according to Model B1 attached hereto and submit it to the Steering Committee for consideration.

2. The Steering Committee shall be responsible for reviewing, evaluating, and submitting the list of annual projects under the Program to the Minister of Science and Technology for approval.

3. The main contents of the list of projects include: name and code of each project; type of project (centrally managed or centrally delegated to localities for management); summary of the project's objectives, requirements, and content; expected products (results) of the project and the duration of the project.

Article 7. Announcing the list of projects

After being approved, the list of projects will be widely announced on the newspapers Enterprise Forum, Science and Development, and the websites of the Ministry of Science and Technology (www.most.gov.vn), Intellectual Property Department (www.noip.gov.vn) and the Program (www.hotrotuvan.com.vn).

Article 8. Supplementing the list of projects

Localities, agencies responsible for organizing the implementation of the Program, or units and individuals with the need may propose to supplement the list of projects. The supplementation of the list of projects must be proposed in writing and reviewed by the Intellectual Property Office, then submitted to competent authorities for approval according to the procedures stipulated in Article 6 of this Circular.

Article 9. Announcement of selection of leading units to implement projects

1. The Intellectual Property Office shall be responsible for posting announcements to select leading units to implement centrally-managed projects.

2. Provincial Departments of Science and Technology shall be responsible for posting announcements to select leading units to implement projects centrally-delegated to localities for management within their jurisdiction.

3. Announcements to select leading units to implement projects shall be widely posted on the websites of the Ministry of Science and Technology (www.most.gov.vn), Intellectual Property Department (www.noip.gov.vn), the Program (www.hotrotuvan.com.vn), Enterprise Forum, Science and Development newspapers, and local radio and television stations (for projects centrally-delegated to localities for management).

Article 10. Application dossier for leading the implementation of projects

1. The application dossier for leading the implementation of projects (hereinafter referred to as "Dossier") includes the following documents:

a) Project leadership registration form according to Model B2 attached hereto;

b) Project description according to Model B3 attached hereto;

c) Scientific curriculum vitae of the project leader;

d) Description of the capability of the registering unit to lead the implementation of the project;

đ) Confirmation of cooperation in implementing the project;

e) Documents proving timely completion of settlement of state budget-funded topics and projects assigned by the Ministry of Science and Technology; (if applicable);

g) Documents proving the ability to mobilize funds from other sources (in cases where the project implementation funding needs to be raised from sources other than the Program's funding).

2. The dossier consists of one original copy and twelve copies.

3. The dossier must be sealed and clearly marked with relevant information about the registering unit and the project on the outside.

4. Before the deadline for submission of the Dossier, the registering unit has the right to withdraw, replace, supplement, or amend the submitted Dossier. Any amendments or supplements to the Dossier must be submitted within the time limit and become part of the Dossier.

Article 11. Place for Submitting Documents

1. For projects managed by the Central Government, the documents shall be submitted to:

THE INTELLECTUAL PROPERTY AGENCY

(Office of the Intellectual Property Development Support Program)

386 Nguyen Trai Street, Thanh Xuan District, Hanoi City.

2. For projects delegated by the Central Government to local authorities for management, the documents shall be submitted to the local Science and Technology Department.

3. The documents must be submitted within the deadline stipulated by the Ministry of Science and Technology or the local Science and Technology Department. The date of receipt of the documents is considered the postmark date of the postal service (in case of submission via postal service) or the "received" stamp of the receiving agency's office (in case of direct submission)..

Article 12. Receiving Documents

The Office of the Intellectual Property Development Support Program (hereinafter referred to as "the Program Office") and the local Science and Technology Department shall receive the documents and issue a receipt number according to the project code and the order of receipt of the documents in accordance with Model B4 attached to this Circular and send it to the submitting entity.

Article 13. Opening Documents

1. The Intellectual Property Agency and the local Science and Technology Department shall organize the public opening of the documents. Representatives of entities that have registered to implement the project and other relevant entities and individuals shall be invited to attend.

The results of the document opening shall be recorded in a protocol in accordance with Model B5 attached to this Circular.

Documents contained in the file shall be stamped with confirmation from the Intellectual Property Agency or the local Science and Technology Department.

2. The documents shall be deemed valid if:

a) The entity registering to implement the project and the project leader meet the requirements stipulated in Article 2 of this Circular;

b) The project described in the documents is a project included in the approved and published list of projects under Articles 6 and 7 of this Circular;

c) It meets all the requirements for the documents as stipulated in Article 10 and is submitted in accordance with Article 11 of this Circular.

Article 14. Expert Council

1. The evaluation of the documents to select the leading entity to implement the project shall be conducted by the Expert Council:

a) For centrally-managed projects: The Expert Council shall be established by the Minister of Science and Technology, consisting of 9 to 11 members, including 2 opposing members, with the following structure:

- At most 1/3 representatives of the Ministry of Science and Technology;

- At least 2/3 representatives of units under various ministries and agencies organizing the implementation of the Program related to the fields of the project; scientists and experts in the field of the project and representatives of units and individuals who may benefit from the project.

b) For projects delegated by the Central Government to local authorities for management: The Expert Council shall be established by the Chairman of the Provincial People's Committee or authorized to the Director of the local Science and Technology Department, consisting of 7 to 9 members, including 2 opposing members, with a maximum of 1/3 representatives of the Science and Technology Department and at least 2/3 representatives of relevant units and experts.

2. Representatives of entities registering to lead the project and individuals registering to lead the project; entities and individuals registering to cooperate in implementing the project shall not participate in the Expert Council to review and evaluate their own submitted documents.

Article 15. Evaluation of Documents

1. The evaluation of the documents shall be conducted by scoring according to each criterion specified in Articles 3 and 4 of this Circular. The maximum score for one set of documents is 100 points, distributed as follows:

a) Criterion on the comprehensiveness, generality, and typicality of the project: up to 15 points;

b) Criterion on the feasibility of the project: up to 50 points;

c) Criterion on the effectiveness of the project: up to 35 points.

2. The content of the criteria and corresponding scoring levels are specified in Model B6 attached to this Circular.

Article 16. Meeting of the Expert Council

1. The Expert Council shall convene when at least two-thirds of its members are present, including the Chairperson or Vice-Chairperson and at least one opposing member. In cases where the remaining opposing member is absent, their opposing opinion must be submitted in writing to the Council.

2. The Council listens to the opinions, evaluations of the opposing member, suggestions from other members, and proposes necessary amendments and supplements regarding the contents or points that need attention for completion, and proceeds to score each Application File according to the criteria and forms prescribed in Article 15 of this Circular.

3. Members of the Council are responsible for studying, analyzing, commenting, evaluating each Application File, and scoring them according to the criteria and forms stipulated in Article 15 of this Circular.

4. The Secretary of the Council is responsible for counting votes and preparing minutes of the vote according to Model B7 attached to this Circular for each Application File, and preparing and submitting a report on the evaluation results of the Application Files to the National Office of Intellectual Property or the local Science and Technology Department.

Article 17. Completing Registration Files

The National Office of Intellectual Property or the local Science and Technology Department requests the main registration units to implement projects to amend, supplement, and complete the Registration Files to meet the conditions specified in Points a, b, and c of Clause 1, Article 18 of this Circular based on the recommendations of the Expert Council.

Article 18. Conditions for Selecting Main Implementation Units

1. A unit will be selected as the main implementation unit if it meets the following conditions:

a) The file must have an average total score of at least 70 points, with an average score on feasibility of at least 40 points and an average score on effectiveness of at least 25 points.

b) The file must have the highest average total score among the files applying to be the main implementation unit for the project.

c) In cases where multiple files have the same average total score for a project, the file will be chosen in priority order based on the average score on feasibility and (thereafter) then on the average score on effectiveness of the project.

d) The file must be amended, supplemented, and completed according to the requirements of the National Office of Intellectual Property or the local Science and Technology Department as stipulated in Article 17 of this Circular.

2. If only one application file for the main implementation unit is submitted for a project, the evaluation and selection of the main implementation unit will still be conducted according to the criteria and procedures prescribed in Articles 15 and 16 of this Circular.

Article 19. Supplementary Selection and Examination of Main Implementation Units

1. The National Office of Intellectual Property and the local Science and Technology Departments are responsible for continuing to organize supplementary selections for projects that have not been able to select a main implementation unit initially. The supplementary selection procedures are organized according to the provisions on selection in this Circular.

2. For certain centrally-managed key projects, projects implementing urgent tasks under programs or projects requiring specialized expertise in intellectual property or other specialized fields that cannot be selected through the method prescribed in Article 16 and Clause 1 of this Article, the National Office of Intellectual Property may consider and submit to the Minister of Science and Technology for examination units with specialized expertise meeting the conditions for being the main implementation unit as stipulated in Clause 1 of Article 4 of this Circular to directly assign as the main implementation unit.

Article 20. Examination of Project Budgets

1. The examination of project budgets shall be conducted by the Budget Examination Council.

a) For centrally managed projects and budget estimates for central support from the state budget for projects delegated to local management, the Budget Examination Council shall be established by the Minister of Science and Technology, consisting of seven to nine members including representatives from the Ministry of Finance, the Ministry of Science and Technology (Planning and Finance Department, Intellectual Property Agency), and/or other financial experts. arts (Department of Planning-Finance, Intellectual Property Office) and/or other financial experts.

b) For projects delegated to local management where there is no central state budget support, the Budget Examination Council shall be established by the Chairman of the Provincial People's Committee or delegated to the Director of the Provincial Department of Science and Technology to establish.

2. The Budget Examination Council shall convene a meeting when at least two-thirds of its members are present, including the Chair or Vice-Chair of the Council.

Article 21. Coordination in Examining Project Budgets for Projects Delegated to Local Management

The Councils specified in Clause 1 of Article 20 shall coordinate in examining project budgets to ensure the ratio of support from the central and local state budgets as stipulated in the Circular jointly guiding financial management for the Program issued by the Ministry of Finance and the Ministry of Science and Technology.

Article 22. Approval of Selection and Review Results

1. The Intellectual Property Agency shall prepare a report on the results of selecting and reviewing the leading unit to implement centrally managed projects and report the results of examining the budget estimate for support from the central science and technology budget for projects delegated to local management to the Minister of Science and Technology for approval.

2. The local Department of Science and Technology shall prepare a report on the results of selecting and reviewing the leading unit to implement projects delegated to local management and submit it to the Chairman of the Provincial People's Committee or the Municipal People's Committee directly under the Central Government for approval.

Article 23. Announcement of Selection and Review Results

1. After being approved by the Minister of Science and Technology or the Chairman of the Provincial People's Committee or the Municipal People's Committee directly under the Central Government, the results of selecting and reviewing the leading unit to implement the project shall be notified to relevant units and individuals and published in the Science and Development Newspaper, the Business Forum Newspaper, the websites of the Ministry of Science and Technology, the Intellectual Property Agency, and the Program (for centrally managed projects), and local radio stations and newspapers (for projects delegated to local management). (for central-managed projects), and local radio and television stations (for projects delegated to local management by the central authority).

2. The content of the announcement includes: Project name; summary of objectives; expected products (results) of the project; information about the leading implementing unit and the project leader; project funding and implementation period.

Chapter III

PROJECT MANAGEMENT

Article 24. Delegation Contract for Project Management

1. Based on the Decision of the Minister of Science and Technology approving the budget support from the central science and technology budget for projects delegated to local management, the Intellectual Property Agency shall enter into a Delegation Contract for Project Management with the local Department of Science and Technology.

2. The Delegation Contract for Project Management serves as a legal basis to bind the rights and obligations between the Intellectual Property Agency and the local Department of Science and Technology regarding the management of projects delegated to local management.

Article 25. Contract for Assigning Project Leadership

1. Based on the results of selection and examination, the Intellectual Property Agency or the provincial Department of Science and Technology shall enter into a contract assigning project leadership with the selected entity to lead the implementation of the project, which has been approved by the Minister of Science and Technology and the People's Committee of the province or city, wherein the Intellectual Property Agency or the provincial Department of Science and Technology is the Assignor, and the selected entity to lead the implementation of the project is the Assignee.

2. The contract assigning project leadership serves as a legal basis for binding the rights and obligations between the Intellectual Property Agency or the provincial Department of Science and Technology and the entity leading the implementation of the project.

Article 26. Responsibilities for Implementing the Project

1. The entity assigned to lead the implementation of the project shall be responsible for organizing the implementation of the project and using the allocated funds effectively according to the contract assigning project leadership that has been signed.

2. The entity assigned to lead the implementation of the project has the right to sign contracts for assignment of work or subcontract with other entities or individuals to implement tasks within the scope of the project it leads, in accordance with the approved project.

Article 27. Inspection and Supervision of Project Implementation

1. The Intellectual Property Agency and the provincial Department of Science and Technology shall be responsible for organizing regular or spot inspections and evaluations of the implementation status and fund usage of projects under their management authority.

2. The entity leading the implementation of the project shall be responsible for preparing and providing all relevant information related to the ongoing project according to Models B8 and B9 attached to this Circular and facilitating inspection and evaluation activities.

Article 28. Supplementing and Adjusting the Project

During the implementation of the project, the entity leading the project may propose to supplement or adjust the project budget, content, implementation location, or change the project leader to enhance the effectiveness of the project implementation.

1. Adjustment of Project Budget

a) In cases where adjusting the project budget increases the State budget support for the project implementation, the Intellectual Property Agency or the provincial Department of Science and Technology shall coordinate with the Planning and Finance Department or the provincial Finance Department to examine and submit to the Minister of Science and Technology or the Chairman of the Provincial People's Committee for approval.

b) In cases where adjusting the project budget does not increase the State budget support for the project implementation:

- The Intellectual Property Agency shall be responsible for compiling and proposing the Planning and Finance Department to examine and approve the adjustment of the project budget for centrally managed projects;

- The provincial Department of Science and Technology shall be responsible for examining and approving the adjustment of the project budget for projects managed by the locality upon delegation from the central level.

2. Other Adjustments and Supplements

a) In cases where supplementing or adjusting the project changes the project outcomes or products, the Intellectual Property Agency or the provincial Department of Science and Technology shall examine and submit to the Minister of Science and Technology or the Chairman of the Provincial People's Committee for approval.

b) In cases where supplementing or adjusting the project does not change the project outcomes or products, the Intellectual Property Agency or the provincial Department of Science and Technology shall independently examine and approve.

3. Proposals for supplementing or adjusting the project as stipulated in Clauses 1 and 2 of this Article must be in writing and reviewed by the competent authority in accordance with the procedures for selecting and examining the application for project leadership registration.

Article 29. Extension of Projects

1. The leading unit implementing the project may request the Minister of Science and Technology or the Chairman of the People's Committee of the province/city under the Central Government to consider and extend the implementation time of the project. The Intellectual Property Department or the Science and Technology Department at the local level shall be responsible for examining and appraising the reasons for requesting an extension and submitting them to the Minister of Science and Technology or the Chairman of the People's Committee of the province/city under the Central Government for consideration and approval.

2. The project can only be considered for an extension of implementation time not more than twice, and each extension period shall not exceed six months.

Article 30. Reporting System on Project Implementation

1. The unit entrusted with the leading implementation of the project shall be responsible for reporting periodically (every six months and annually) or exceptionally (upon request of the Intellectual Property Department, the local Science and Technology Department) the progress of project implementation according to Models B8 and B9 attached to this Circular.

2. The Science and Technology Department shall be responsible for reporting periodically (every six months and annually) the progress of implementing projects under its authorized management to the Ministry of Science and Technology and the Chairman of the People's Committee of the province/city under the Central Government.

3. The Intellectual Property Department shall be responsible for compiling and reporting the progress of implementing projects periodically (every six months and annually) to the Steering Board and the Minister of Science and Technology.

Article 31. Final Acceptance of Projects

1. Preliminary Acceptance

The leading unit implementing the project shall be responsible for organizing preliminary acceptance of the project results and reporting the acceptance results to the Intellectual Property Department or the local Science and Technology Department.

2. Official Acceptance

The Intellectual Property Department or the local Science and Technology Department shall be responsible for organizing official acceptance of the project results within their jurisdictional management and reporting the acceptance results to the Minister of Science and Technology or the Chairman of the People's Committee of the province/city under the Central Government.

3. Procedures and formalities for organizing final acceptance of project results shall be carried out in accordance with current regulations on evaluating final acceptance of scientific and technological topics and projects issued by the Ministry of Science and Technology.

Article 32. Exploitation of Project Results

The Intellectual Property Department and the local Science and Technology Department shall be responsible for developing and submitting to the Minister of Science and Technology or the Chairman of the People's Committees of the provinces/cities under the Central Government for approval plans for exploiting and using project results within their jurisdiction based on self-proposed plans or plans submitted by the leading units implementing the projects.

Chapter IV

VIOLATIONS AND COMPLAINTS, REPORTS

Article 33. Handling Violations

1. State officials violating regulations on project selection and management shall be handled in accordance with the provisions of the Civil Servants Law, the Public Servants Law, and other current laws.

2. Members of the specialized council and the budget estimation review council stipulated in this Circular who engage in unfair, biased, dishonest evaluations, or violate confidentiality principles shall not be allowed to continue participating in such councils and shall be handled according to current laws.

3. Units or individuals registering to lead or cooperate in implementing projects who provide false information in the application form, causing distorted evaluation results, shall have their selection results revoked and shall be handled according to current laws.

4. Leading units implementing projects that violate the contract for leading project implementation shall be subject to the following forms of handling depending on the severity:

a) Reprimand;

b) Warning;

c) Suspension of project implementation;

d) Prohibition from registering to lead project implementation under the Program;

đ) Recovery of allocated funds.

Article 34. Complaints and Reports

1. Organizations and individuals have the right to file complaints and initiate lawsuits against administrative decisions and actions of competent authorities related to the selection and evaluation of the leading unit to implement the project.

2. Citizens have the right to report acts of violation of laws on the selection and evaluation of the leading unit to implement the project.

3. The filing of complaints and reports and the resolution of complaints and reports shall be carried out in accordance with the current provisions of the law.

Chapter V

IMPLEMENTING PROVISIONS

Article 35. This Circular shall take effect 45 days from the date of issuance.

Article 36. During the implementation process, if any issues arise or difficulties and obstacles occur, it is requested that agencies, organizations, and enterprises promptly reflect these matters in writing to the Ministry of Science and Technology for consideration and decision./.