Circular No. 04/2015/TT-BKHCN provides for the inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by state budget.

CIRCULAR

Regulations on inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by state budget

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On the basis of Law on Science and Technology dated June 18, 2013;

Decree No. resolution of the Director of the Department of Science and Technology Development

Decree No. Decree No. 08/2014/NĐ-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology;

Decree No. Decree No. 95/2014/NĐ-CP dated October 17, 2014 of the Government stipulating investment and financial mechanisms for scientific and technological activities;

The managing unit of tasks under the Program

The Minister of Science and Technology issues this Circular to regulate the inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by state budget.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular regulates the inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by state budget that are carried out through scientific research and technological development contracts (hereinafter referred to as tasks).

2. The inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by state budget that are financed by funds in the field of science and technology do not fall within the scope of regulation of this Circular.

This Circular applies to agencies managing science and technology tasks, organizations for science and technology, and other organizations and individuals related to such tasks.

Article 2. Interpretation of Terms

In this Circular, the following terms shall be understood as follows:

1. The leading agency for the task is the Ministry of Science and Technology or a ministry, ministerial-level agency, or government agency assigned to lead the organization and implementation of tasks.

2. The task management unit is the main unit entrusted by the Minister of the leading agency to perform state management functions for the task, assisting the leading agency in organizing the implementation of the task in accordance with its objectives, contents, and products.

3. The financial management unit for the task (hereinafter referred to as the financial management unit) is a level III budget unit assisting the leading agency in managing the use of state budget funds and performing activities serving state management to achieve the objectives, contents, and products of the task.

4. Tasks under the High-Tech Development Program include: is the state management unit entrusted by the Minister of the leading agency to manage the relevant specialized field in accordance with the scientific content of the task.

Chapter II
PROCEDURE FOR INSPECTION AND EVALUATION DURING THE IMPLEMENTATION OF TASKS

Article 3. Content of Inspection and Evaluation

1. Scientific content

a) Completed content;

b) Content currently being implemented;

c) Products applied in practice.

2. Implementation Schedule

3. Financial situation

a) Financial situation from the state budget;

b) Financial situation from non-state budget sources.

4. Other contents (if any).

Article 4. Principles of Inspection and Evaluation

1. Inspection and evaluation are based on signed scientific research and technological development contracts; ensuring democracy, objectivity, fairness, honesty, and accuracy.

2. Respecting and minimizing impact on the normal operations of the inspected organization.

3. Conducting inspections only when there is a plan or request from competent authorities as prescribed by law.

4. Inspections must be conducted according to the specified content, authority, and procedure.

5. Ensuring close coordination among agencies and units involved in inspection work to avoid duplication and overlap.

Article 5. Participants in inspection and evaluation

1. One representative from a leader and one specialist from the unit managing the task.

2. One representative from a leader and one specialist from the unit managing the budget.

3. Representative from the specialized management unit (in cases where the task management unit is not simultaneously the specialized management unit).

4. Representative from the agency proposing the order.

5. Representative from the Southern Office of the Ministry of Science and Technology for tasks led and implemented in southern provinces by the Ministry of Science and Technology according to the regulations of the Minister of Science and Technology.

6. Other participants as required by the Minister leading the task.

Article 6. Time for Inspection and Evaluation

1. Annually once since the date the contract becomes effective.

2. At any time at the request of the Minister leading the task.

Article 7. Budget for Organizing Inspection and Evaluation

The budget for organizing inspection and evaluation during the implementation of the task shall be taken from the annual state budget for science and technology assigned to the leading ministry.

Article 8. Preparation of Content for Inspection and Evaluation

1. The leading organization prepares reports and related documents for inspection and evaluation:

a) Progress report on the implementation of the task according to Model A-2-BCTD, A-4-BCSPHT, and A-5-BCSPUD in the Appendix issued together with this Circular;

b) Report on the use of funds for the task according to Model A-3-BCSDKP in the Appendix issued together with this Circular;

c) Other related documents.

2. The budget management unit:

a) Receives the reports and documents from the leading organization;

b) Arranges the time and place for inspection and evaluation and informs the leading organization, members of the inspection team five working days in advance.

Article 9. Conditions for Inspection and Evaluation

The inspection and evaluation team can be organized when the following conditions are met:

1. Receiving all reports as stipulated in Clause 1, Article 8 of this Circular.

2. Having at least three out of four members specified in Clause 1 and 2, Article 5 of this Circular; the representative of the specialized management unit as stipulated in Clause 3, Article 5 of this Circular, and the representative of the leading organization's leadership.

Article 10. Procedure for Inspection and Evaluation

1. The representative of the inspection and evaluation team states the reasons and introduces the members of the inspection and evaluation team.

2. The representative of the leading organization introduces the members participating in the inspection from the unit.

3. The head of the inspection and evaluation team chairs the meeting.

4. The representative of the leading organization's leadership reports on the progress of implementing the task.

5. The task leader and individuals involved in the task provide additional comments.

6. Members of the inspection team discuss and exchange opinions with the leading organization, task leader, and individuals involved in the task regarding the inspection and evaluation contents.

7. The leading organization, task leader explain and accept the opinions of the inspection and evaluation team.

8. The head of the inspection and evaluation team concludes on the scientific content, progress, financial situation, and recommendations for the leading organization and records the proposals of the leading organization (if any).

9. The minutes of the inspection and evaluation must be signed and confirmed by the members of the inspection team and the leading organization's leadership.

10. The inspection of documents and reports may be conducted at the leading organization or at the leading ministry.

11. On-site inspection and evaluation: For scientific and technological tasks with intermediate products or specific models, equipment, measurable products, the inspection and evaluation team is responsible for inspecting and evaluating the quantity of products of the task on-site. If necessary, the inspection team may request quality inspection of the product at a competent authority.

Article 11. Handling after inspection and evaluation have concluded

1. The confirmation of the workload of the task must be completed within 10 working days after the conclusion of the inspection.

2. The confirmation of the budget for implementing the task must be completed within 20 working days after the conclusion of the inspection.

3. Any adjustment or termination of the contract (if applicable) shall be carried out in accordance with the provisions of Chapters III and IV of this Circular.

Chapter III
ADJUSTMENTS DURING THE IMPLEMENTATION OF TASKS

Article 12. Adjustment of the time for implementing the task

1. Extension of the time for implementing the task may only be granted once per task. The extension period shall not exceed 12 months for tasks with implementation periods exceeding 24 months, and not more than six months for tasks with implementation periods not exceeding 24 months. In cases not covered by the above regulations, the decision shall be made by the Minister of the leading ministry responsible for the task.

2. Requests for extension of the time for implementing the task shall only be considered at least one month before the contract ends.

3. Shortening the time for implementation shall only be considered when at least two-thirds of the content of the task has been completed.

Article 13. Adjustment of the name, objectives, and products of the task

1. For tasks implemented on a product-delivery basis: Adjustments are not permitted.

2. For tasks implemented on a partial-delivery basis: Adjustments shall be considered after obtaining the advisory opinion of the advisory board according to Model C-1-BBHDTV attached to this Circular, established by the Minister of the leading ministry responsible for the task, and the written agreement of the agency proposing the task.

Article 14. Adjustment of the content of the task

1. For tasks implemented on a product-delivery basis: The head of the leading organization of the task may independently adjust the content of the task and bear responsibility for such decisions.

2. For tasks implemented on a partial-delivery basis: The leading organization of the task must submit a written report to the leading ministry. The Minister of the leading ministry shall consider and decide on the adjustment of the content of the task for each specific case. If necessary, the Minister of the leading ministry may seek the advice of experts.

Article 15. Adjustment of the budget for implementing the task

1. The leading organization of the task has the right to request an adjustment of the budget for implementing the task.

2. The adjustment of the budget for implementing the task shall be carried out in accordance with current regulations.

Article 16. Change of Task Leader

1. The change of the Task Leader may only be implemented in the following cases:

a) The Task Leader goes abroad for study or work for more than six consecutive months;

b) The Task Leader falls ill or suffers from a disease that prevents them from managing the research activities of the task (with a written request from the Task Leader or confirmation from a health authority);

c) The Task Leader dies or is missing for more than six months;

d) The Task Leader submits a written request to change the Task Leader due to personal reasons preventing them from continuing the assigned work;

e) The Task Leader fails to complete the progress and content of the task as required without a valid reason, violates financial management principles as concluded by the inspection or audit team, or must be suspended from duty.

2. The new Task Leader must meet the requirements stipulated in the Circular on the selection and direct assignment of organizations and individuals to implement national science and technology tasks funded by the state budget.

Article 17. Changing the Leading Organization for the Task

1. The Leading Organization for the Task may only be changed in cases where there is a decision by the competent authority regarding the merger, division, or dissolution of the Leading Organization for the Task.

2. The new Leading Organization for the Task must meet the requirements stipulated in the Circular on the selection and direct assignment of organizations and individuals to carry out national science and technology tasks funded by the state budget.

Article 18. Other Adjustments to Tasks

1. Adjustment of procurement of raw materials and supplies: The Leading Organization for the Task may independently decide to adjust the procurement plan and budget for the quantity, volume, and type of raw materials and supplies purchased with state funds without increasing the total expenditure for raw materials already approved. After adjustment, the procurement of raw materials shall be carried out in accordance with current regulations.

2. Adjustment and supplementation of research participants: The Leading Organization for the Task may independently change research participants to ensure the effective implementation of the goals and products of the task that have been approved. Any changes to research participants must have the agreement of both the person being added and the person being replaced.

3. Adjustment of outbound delegations:

a) The Leading Organization for the Task may independently adjust the content, timing, and duration of outbound delegations to suit actual circumstances and ensure the effective achievement of the task's goals and products;

b) In cases where the destination country or the number of delegation members is adjusted, the opinion of the Ministry responsible for the task must be obtained in writing;

c) All adjustments to outbound delegations must not increase the total expenditure for delegations already approved.

4. Adjustment of procurement of equipment and machinery: The Leading Organization for the Task must submit a report in writing to the Ministry responsible for the task. The Minister of the Ministry responsible for the task will review and decide on the adjustment for each specific case.

5. Adjustment of the budget outside the state budget: The Leading Organization is permitted to independently adjust the contents and plans of spending but must not reduce the total budget outside the state budget that has been approved.

6. Other adjustments to contents not specified in Clauses 1, 2, 3, 4, and 5 of this Article shall be decided by the Minister of the Ministry responsible for the task.

Article 19. Authority to Adjust During the Implementation of National Tasks

1. The Leading Organization for the Task may independently decide on adjustments to the contents stipulated in Clause 1 of Article 14; Article 16; Clauses 1, 2, and Point a of Clause 3; and Clause 5 of Article 18 of this Circular.

2. The Minister of the Ministry responsible for the task will review and decide on adjustments to contents not covered by Clause 1 of this Article.

Article 20. Procedures and Formalities for Adjustments

1. For contents within the authority to adjust of the Ministry responsible for the task:

a) The adjustment request dossier includes: A letter requesting adjustment from the Leading Organization for the Task; periodic or ad hoc inspection records (if applicable); expert opinions, minutes of advisory board meetings (if applicable); a written agreement to adjust from the agency proposing the task in cases of changing the name, objectives, or products of the task; other related documents;

b) The Minister of the Ministry responsible for the task decides on the adjustment plan for each specific case;

c) Within thirty days from the date of receiving a valid dossier, the Ministry responsible for the task must issue an adjustment document. If adjustment is not agreed upon, the Ministry responsible for the task must send a reply letter to the Leading Organization for the Task stating the reasons for not adjusting;

d) The adjustment document shall be issued according to Model D1-QDDC or Models D2-1-CV-DVCD, D2-2-CV-ĐVKD attached to this Circular. The adjustment document is part of the signed Contract.

2. For contents that the Leading Organization for the Task is permitted to independently adjust:

a) The dossier and procedures for adjustment shall be carried out in accordance with internal regulations of the Leading Organization for the Task;

b) In cases of disagreement with the change of the Head of the Task, within five working days from the receipt of the adjustment document, the Ministry responsible for the task must provide written comments to the Leading Organization for the Task, specifying the reasons for non-agreement.

Chapter IV
TERMINATION OF CONTRACT DURING THE IMPLEMENTATION OF TASKS

Article 21. Cases for terminating contracts during the implementation of tasks

Contracts shall be terminated during the implementation of tasks in cases prescribed in Clauses 2, 3, 4, and 5 of Article 5 of the Model Contract issued together with Circular No. 05/2014/TT-BKHCN dated April 10, 2014, by the Minister of Science and Technology.

Article 22. Procedures, formalities, and authority for terminating contracts

1. Preparing the dossier to propose termination of the contract:

a) The leading organization of the task prepares the dossier to propose termination of the contract in cases where it proactively proposes termination of the contract;

b) The unit managing the budget prepares the dossier to propose termination of the contract when there are sufficient grounds as stipulated in Article 21 of this Circular.

2. The dossier to propose termination of the contract includes:

a) A letter explaining and proposing termination of the contract from the leading organization in cases specified in Point a Clause 1 of this Article;

b) Proposals from the unit managing the budget in cases specified in Point b Clause 1 of this Article;

c) The signed contract and detailed explanation between the leading organization and the leading ministry of the task;

d) Reports on the content and products of science and technology that have been completed, are being implemented, and have not yet been implemented according to Models A-2-BCTĐ, A-4-BCSPHT, and A-5-BCSPUD attached as Appendices to this Circular;

e) Reports on the use and settlement of the budget according to Model A-3-BCSDKP attached as Appendices to this Circular;

g) Other documents (if any).

3. Procedures and authority for implementing the termination of the contract

a) Within seven working days from the date of receipt of a valid dossier to propose termination of the contract, the Minister of the leading ministry of the task examines and issues a notice to temporarily suspend the implementation of the task;

b) The leading organization must cease all related activities from the day of receiving the notice to temporarily suspend the implementation of the task, and simultaneously report in writing to the leading ministry of the task the details of the work already carried out, the situation of budget usage, raw materials, and purchased equipment;

c) The leading ministry organizes inspections and evaluations of the dossier and the site before making a decision to terminate the contract. If necessary, the leading ministry of the task organizes consultations with scientists and management experts. In the decision to terminate the contract, it is necessary to clearly determine the amount of budget to be refunded to the state treasury, and the plan for handling products and assets formed or purchased;

d) The unit managing the budget implements the liquidation of the contract with the leading organization of the task according to current regulations.

Chapter V
RESPONSIBILITIES AND LIMITATIONS OF ORGANIZATIONS AND INDIVIDUALS

Article 23. Responsibilities and authorities of units under the Ministry of Science and Technology

1. Responsibilities of the unit managing the budget:

a) Appoint a representative leader as Head of the team and take charge of organizing inspections and evaluations;

b) Receive periodic reports and other documents;

c) Proactively develop plans and proposals for cooperation with relevant functional units during the inspection and evaluation process;

d) Record and compile opinions of members of the inspection and evaluation team, explanations, and recommendations of the leading organization, task leaders, and research participants;

e) Complete the inspection and evaluation record according to Model C-2-BBKTĐG attached as Appendices to this Circular. Send copies of the record to the leading organization, task leaders, and cooperating inspection and evaluation units;

g) Check the vouchers for requesting settlement and confirmation of budget usage for task implementation according to Model B-2-XNSDKP attached as Appendices to this Circular within twenty days after the end of the inspection and evaluation session; bear responsibility for issues related to the budget;

h) Take the lead and coordinate with relevant units to handle issues related to budget adjustment, contract termination, and adjustments to contents not covered by Point c Clause 2 of this Article (if applicable);

i) Report the situation of inspections and evaluations of tasks under its management to the Minister of the leading ministry of the task every six months;

k) Invite representatives of the agency proposing the order to participate in the inspection and evaluation team if necessary.

2. Task management unit

a) Appoint a representative leader as Deputy Head of the inspection and evaluation team;

b) Inspect and evaluate the implementation of scientific and technological content according to the approved detailed explanation and complete the confirmation of workload according to Model B-1-XNKLCV attached as Appendices to this Circular within ten working days after the end of the inspection and evaluation session;

c) Take the lead and coordinate with relevant units to handle issues related to adjusting scientific and technological content, objectives, and products of the task (if applicable);

d) Appoint representatives to participate in the inspection and evaluation team for tasks led by other ministries and sectors when requested.

3. Professional management unit

a) Participate in the inspection and evaluation team;

b) Implement the contents stipulated in Points b, c, and d, Clause 2 of this Article when the task management unit is not concurrently the professional management unit;

c) Coordinate with relevant units to handle issues related to adjustment and termination of the contract (if applicable).

4. Southern Affairs Department

Appoint representatives to participate in the inspection and evaluation team; promptly report and propose opinions on the implementation of the conclusions of the inspection and evaluation team for tasks managed by the Ministry of Science and Technology deployed in southern provinces as specified by the Minister of Science and Technology.

Article 24. Responsibilities and authorities of the leading ministry for the task

1. Assign units responsible for managing funds, managing tasks, and managing expertise to implement the contents stipulated in Clauses 1, 2, and 3 of Article 23 of this Circular. The division of responsibilities between the task management unit and the fund management unit in conducting inspections, evaluations, adjustments, and termination of contracts during the implementation of national science and technology tasks shall be decided by the Minister in charge of the leading ministry for the task.

2. Invite representatives from the Ministry of Science and Technology to participate in inspection and evaluation teams within their scope of management when necessary.

Article 25. Responsibilities and authorities of the agency proposing the task

1. Appoint representatives to participate and fulfill the responsibilities of members of inspection teams when requested.

2. Provide written comments on cases where it is necessary to change the name, objectives, or products of the task when necessary.

Article 26. Responsibilities and authorities of the leading organization and the task leader

1. Prepare periodic reports according to Model A-1-BCDK, A-4-BCSPHT, A-5-BCSPUD attached to this Circular and submit them to the leading ministry for the task every six months starting from the effective date of the contract.

2. Appoint representatives to attend inspections and evaluations including the following components: representatives of the leadership of the leading organization, the task leader, the research and development team implementing the task, and related functional units. Invite representatives of collaborating groups or organizations (if any).

3. Report fully and truthfully on the implementation situation, difficulties, obstacles, and proposed solutions for the task. Explain the requirements of the inspection and evaluation team.

4. Be responsible for the quality of the task's products.

5. Send adjustment documents to the leading ministry for the task regarding the contents permitted to adjust as stipulated in Clause 1 of Article 19 of this Circular within five working days after receiving the adjustment decision.

6. Fully comply with the requirements concluded by the inspection team. In case of disagreement, report to the competent authority above for resolution in accordance with regulations.

7. Adhere to the decision of the leading ministry for the task in cases of contract adjustment or termination.

Article 27. Responsibilities and authorities of the inspection and evaluation team

1. The team leader is responsible for chairing the inspection, evaluation, and providing conclusions.

2. The deputy team leader shall act on behalf of the team leader to chair the inspection, evaluation, and provide conclusions in the absence of the team leader.

3. Members are responsible for inspecting, evaluating, and providing opinions on the inspected content.

4. Timely report and propose handling measures to the Minister in charge of the leading ministry for the task in cases exceeding authority.

5. Transfer files to the competent authority if the task shows signs of violating laws after completing the inspection and evaluation.

6. Be accountable to the leadership of the leading ministry for the task and before the law for the process of inspection, evaluation, and inspection and evaluation conclusions.

7. Provide information in cases of contract adjustment or termination (if deemed necessary).

Chapter VI
IMPLEMENTING PROVISIONS

Article 28. Application of the Circular

Ministries, ministerial-level agencies, government agencies, provincial people's committees, and centrally governed city people's committees may apply the provisions of this Circular or issue separate documents suitable to the conditions and characteristics of their ministries, sectors, or localities to carry out inspections and evaluations during the implementation of science and technology tasks at the ministry level and provincial level using state budget funds under their management.

Article 29. Effectiveness and Responsibility for Implementation

1. This Circular takes effect from May 1, 2015. The provisions on leading inspections at Point d Clause 1 and coordinating inspections at Point d Clause 2 of Article 13 of Circular No. 09/2014/TT-BKHCN dated May 27, 2014, issued by the Minister of Science and Technology on managing national science and technology tasks shall cease to be effective from the date this Circular takes effect.

2. If any issues arise during implementation, agencies, organizations, and individuals are advised to reflect them to the Ministry of Science and Technology for study, supplementation, and amendment to ensure compliance./.