Circular No. 06/2014/TT-BKHCN stipulates the principles and criteria for selecting science and technology tasks funded by the National Research and Development Fund.

CIRCULAR

Article stipulates principles and criteria for selecting scientific and technological tasks under the National Science and Technology Innovation Fund.

Article specifies principles and criteria for selecting scientific and technological tasks under the National Science and Technology Innovation Fund.

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Based on the Law on Technology Transfer dated November 29, 2006;

Pursuant to the Law on Science and Technology dated June 18, 2013;

Based on Decree No. 133/2008/NĐ-CP dated December 31, 2008 of the Government detailing and guiding certain provisions of the Law on Technology Transfer and Decree No. 103/2011/NĐ-CP dated November 15, 2011 of the Government amending and supplementing certain provisions of Decree No. 133/2008/NĐ-CP dated December 31, 2008;

Pursuant to Decree No. 20/2013/NĐ-CP dated February 26, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Decision No. 157/QĐ-TTg dated February 1, 2021 of the Prime Minister promulgating the National Product Development Program until 2030;

Based on Decision No. 1342/QĐ-TTg dated August 5, 2011 of the Prime Minister establishing the National Science and Technology Innovation Fund and Decision No. 1051/QĐ-TTg dated July 3, 2013 of the Prime Minister promulgating the Charter on the organization and operation of the National Science and Technology Innovation Fund;

Considering the proposal of the Director of the Management Board of the National Science and Technology Innovation Fund;

The Minister of Science and Technology stipulates the principles and criteria for selecting scientific and technological tasks under the National Science and Technology Innovation Fund.

Article 1. Scope and objects regulated

1. This Circular stipulates the principles and criteria for selecting research topics, projects, and activities (hereinafter referred to as tasks) funded, lent, or guaranteed by the National Science and Technology Innovation Fund (hereinafter referred to as the Fund) as prescribed in Decision No. 1051/QĐ-TTg dated July 3, 2013 of the Prime Minister.

2. This Circular applies to organizations, individuals, enterprises participating in implementing tasks in Vietnam and managing the Fund.

Article 2. Interpretation of Terms

1. Main activities of technology innovation include innovative activities aimed at innovating products, technological processes, production organization, services, business, marketing to create new or improve the functionality, quality, added value, competitiveness of products, and meet social requirements.

2. Technology innovation project includes main activities of technology innovation implemented in the form of scientific and technological research topics, experimental production projects, scientific and technological investment projects, scientific and technological projects, and other supporting activities to ensure that the innovated product captures domestic and foreign markets or creates new markets.

3. High-tech technologies and products are prioritized for development refer to technologies and products listed in the Priority High-Tech Technologies Development Catalogue and the Encouraged High-Tech Products Development Catalogue approved by the Prime Minister for each period.

4. National product refers to products listed in the National Product Catalogue approved by the Prime Minister for each period.

5. Key products, priority products is an important core product determined by the Prime Minister, Ministries, sectors, People's Committees of provinces and centrally-run cities in national strategies, plans, and sectoral and local plans.

6. Principal of the task is an organization, enterprise, or individual receiving funding, preferential loans, interest rate support, or guarantees from the Fund to implement the task.

7. Task Leader is the individual directly named to carry out the task receiving funding, preferential loans, interest rate support, or guarantees from the Fund.

Article 3. Tasks funded, preferentially lent, interest rate supported, or guaranteed by the Fund

1. Projects funded by the Fund:

a) Research and development of new, advanced, and high-tech technologies by enterprises to create new products and services;

b) Incubation of technology; experimental production of new products;

c) Training of science and technology personnel to serve technology transfer and application;

d) Transfer, improvement, and innovation of technology to produce key products, focal point products, and national products. refund 2. Projects preferentially lent, interest rate supported, or guaranteed by the Fund:

a) Technology transfer encouraged for transfer (including both within Vietnam and from abroad to Vietnam) as stipulated in Article 9 of the Law on Technology Transfer;

b) Incubation of science and technology enterprises;

c) Expansion of production and business activities of science and technology enterprises;

d) Technology transfer to serve agricultural and rural development.

3. Topics funded by the Fund:

a) Study and prepare pre-feasibility and feasibility studies for organizations, enterprises, and individuals to develop new and advanced technologies;

b) Search, decode technology, exploit patents, and technical improvements for the development of new and advanced technologies.

4. Activities funded by the Fund:

a) Widespread dissemination, introduction, and transfer of technology to serve economic and social development in rural and mountainous areas;

b) Training, upgrading knowledge, hiring domestic and foreign consultants for the development of new and advanced technologies and enterprise technology innovation.

b) Training, enhancing knowledge, hiring domestic and foreign consulting experts for the development of new technologies, advanced technologies, and technological innovation of enterprises.

Article 4. Principles for selecting tasks

1. The results of the task must bring about significant effects and impacts on technological innovation of organizations, enterprises, and individuals; have a ripple effect on other organizations, enterprises, and individuals.

2. The task leader must have an investment policy decision to implement the task.

3. The Fund will support part of the overall main activities of technological innovation. The task leader must ensure sufficient capital to carry out all main activities of technological innovation, matching funds to implement the tasks according to the schedule to achieve the set goals of technological innovation.

4. The content of the task must not overlap with other tasks implemented using the Fund's capital or other state capital.

5. Priority shall be given to tasks serving projects, programs, plans proposed by the Ministry of Science and Technology, ministries, sectors, localities; having a significant impact, promoting national economic and social development, industry, field, locality; transferring advanced technology, high technology; tasks under the National Technological Innovation Program until 2020; scientific and technological tasks in collaboration; tasks in areas with difficult socio-economic conditions, extremely difficult conditions; small and medium-sized enterprises; creating products based on open technology, open-source software; utilizing products based on open technology, open-source software.

6. The task must be fully implemented in accordance with the general principles stipulated in this Article and specific criteria for each type of task prescribed in this Circular.

Article 5. General Criteria for Projects Creating New Products and Services

Projects creating new products and services must meet the following requirements:

1. There must be a feasibility study report, clear production and business plan, particularly ensuring that the product has a certain market share domestically, internationally, or creates a new market.

2. There must be a marketing strategy and capability; project management capability, financial management capability; investment plan to enhance scientific and technological capacity, joint venture and cooperation capabilities with partners in training, research, and technology development.

3. The implementation of the project must contribute to increasing the added value of the product by at least 10%.

4. The added value of the product must be higher than the added value according to statistics from the General Statistics Office for similar products or groups of products (if applicable).

In special cases, due to the requirements of projects related to epidemics, natural disasters, social welfare, projects in rural and mountainous areas with extremely difficult conditions, the Management Board of the Fund shall submit to the Minister of Science and Technology for a decision on the minimum level of added value and additional increase in added value for each product or service of the project.

5. The quality management system of the project must meet national standards and international standards according to each specialty.

6. Financial management, mobilization, and utilization of capital must be transparent and reasonable.

Article 6. Criteria for Research and Development Projects of New Technologies, Advanced Technologies, High Technologies

1. Meet the criteria specified in Article 5 of this Circular.

2. Have a team and facilities to serve research and development of technology.

3. For high-tech research and development projects led by enterprises, the enterprise must commit to investing an average of 1% of its own capital annually over three consecutive years for research and development activities in Vietnam, and from the fourth year onwards, it must reach more than 1% of the annual revenue of the project.

Article 7. Criteria for technology incubation projects

1. Meeting the criteria specified in Clauses 3, 4, 5, and 6 of Article 5 of this Circular.

2. The project leader has a technological idea, a business idea for the technological concept, or a document permitting commercialization of scientific and technological research results.

3. The project leader has a team of technology experts, collaboration capabilities, and can mobilize a team of management experts, technology consultants, intellectual property experts, legal experts, financial experts, management and business administration experts, and marketing experts.

Article 8. Criteria for new product trial production projects

1. Meet the criteria specified in Article 5 of this Circular.

2. Must have research results conducted by the project leader and accepted, or a commitment document to cooperate in using research results from other organizations or enterprises for trial production.

3. The trial production plan must be synchronized with other activities of the technological innovation project.

Article 9. Criteria for projects training science and technology staff for technology transfer and application

1. Organizations and enterprises leading short-term training courses must ensure the following conditions:

a) Having a professional organizational structure and course management system; a teaching staff with qualifications and experience in training and knowledge enhancement in their field; ensuring a professional structure and level according to training requirements; technical staff and personnel with specialized skills, updated with new knowledge;

b) Having technical infrastructure that meets training requirements for books, textbooks, reference materials, electronic information, and electronic devices for searching and referencing;

c) Having cooperative relationships with domestic and foreign institutions serving training and knowledge enhancement needs;

d) Training and knowledge enhancement programs must have clear and specific goals, a reasonable structure, systematically designed to meet requirements based on surveys of technological innovation needs from enterprises; regularly supplemented, adjusted, and updated based on advanced programs from foreign training organizations, feedback from sending organizations and enterprises requiring training and knowledge enhancement;

e) Having feasibility studies and approved activity plans for each course.

2. Organizations and enterprises sending trainees for training or individuals participating in training must:

a) Contribute part of the training costs;

b) Have a document approving the investment policy for technology transfer and application projects;

c) Utilize trained staff to implement technology transfer and new technology application tasks according to the plan.

Article 10. Criteria for technology transfer, improvement, and innovation projects to produce key products, important products, and national products refund improving and creating technology to produce key products, focal products, national products.

1. Meet the criteria specified in Article 5 of this Circular.

2. The technology must be high-tech, new, and advanced compared to the ASEAN region.

3. The project must be a driving force for industry and sector development, maximizing the country's resource advantages.

4. The project's products must dominate the domestic market and export markets.

Article 11. Criteria for encouraged technology transfer projects

1. Meet the criteria specified in Article 5 of this Circular.

2. Meeting one of the requirements to create highly competitive new products; establish new industries or services; save energy and raw materials; utilize new and renewable energy sources; protect human health; prevent natural disasters and diseases; produce cleanly and environmentally friendly; develop traditional trades and industries.

Article 12. Criteria for business incubation projects in science and technology

1. Meet the criteria specified in Article 5 of this Circular.

2. The project leader must be an organization or enterprise that has created new technology or has committed to using new technology for the project and meets the following criteria:

a) Possessing a team of technology experts, collaboration capabilities, and the ability to mobilize a team of management experts, technology consultants, intellectual property experts, legal experts, financial experts, business management and governance experts, and marketing experts;

b) Having the capability to raise initial capital for technology incubation;

c) Forming and registering a business as a science and technology enterprise in accordance with current regulations;

d) Having a clear plan for continuing activities related to technological innovation and business development.

Article 13. Criteria for projects developing and expanding production and business operations of science and technology enterprises

1. Meet the criteria specified in Article 5 of this Circular.

2. Products from the project based on research results, new technology transfer, advanced technology, high-tech; having significant impact on national economic and social development programs, plans, projects, and regional initiatives.

Article 14. Criteria for technology transfer projects serving agricultural and rural development

1. Meet the criteria specified in Article 5 of this Circular.

2. Transferred technology must have been evaluated and approved to be suitable for each ecological region. The product and service lifecycle must ensure sustainable development.

3. Prioritize projects with ripple effects and activities supporting the expansion of project outcomes.

4. Prioritize technologies that create new varieties with superior yield, quality, and resistance; crossbreeding, improving, and enhancing the economic value of crop and livestock breeds; modernizing advanced agricultural and livestock farming processes, forest management, aquaculture, and fishery exploitation; automatic or semi-automatic control technology in crop and livestock farming; safe crop production; intensive crop and aquaculture cultivation; agricultural, forestry, and aquatic product preservation and processing; plant and animal disease prevention, community health protection; biological pest control and environmental treatment products; renewable energy utilization; energy and raw material conservation; clean water supply, environmental protection; improving traditional craft village product productivity, quality, and efficiency; producing growth regulators, biological products for crops, livestock feed; various kits, vaccines, additives for agricultural production; manufacturing new agricultural, forestry, irrigation, and aquaculture materials and equipment; rational and optimal land and water resource use in production; cost-saving measures; effective climate change response; optimal design and construction of irrigation works.

Article 15. Criteria for research topics to develop pre-feasibility and feasibility study projects for organizations, enterprises, and individuals to develop new and advanced technology

1. Belonging to one of the following tasks:

a) Technology transfer and commercialization of new and advanced research results to small and medium-sized enterprises;

b) Application of scientific and technological progress to serve agricultural, forestry, and fisheries development in rural and mountainous areas for receiving organizations and individuals;

c) Incubating technology and science and technology enterprises for potential researchers in universities, colleges, research institutes, and enterprises;

2. Leading the task to approve pre-feasibility and feasibility study reports; approving investment policies for projects and raising funds to implement projects.

Article 16. Criteria for research topics on technology search, decoding, exploitation of inventions, and technical improvements for the development of new and advanced technologies.

1. Technology search, decoding, and exploitation of inventions for advanced and new technologies.

2. Priority support shall be given to science and technology enterprises, enterprises with links and cooperation with universities, research institutes, foreign enterprises, and enterprises with facilities for research to carry out tasks.

3. Technical improvements must have replicability potential, have been tested, and preliminarily evaluated for the effectiveness of the technical improvement.

Article 17. Criteria for tasks on the dissemination, popularization, introduction, and transfer of technology to serve development in rural and mountainous areas.

1. The technology selected for transfer must be new, advanced, and high-tech.

2. The technology in the project must belong to the fields of genetic resource protection and development; breeding, improvement, and enhancement of economic value of crop and livestock breeds; cultivation, preservation, processing of agricultural, forestry, and aquatic products; disaster prevention, disease control, community health protection; disease control for crop and livestock breeds; renewable energy utilization; clean water supply, environmental protection; productivity, quality, and efficiency improvement of traditional village craft products.

3. The technology must have been assessed and appraised, possess practicality, and be suitable for each ecological region. Priority shall be given to technology that has been awarded prizes and has a broad impact.

Article 18. Criteria for tasks on training, knowledge enhancement, hiring domestic and foreign consultants for the development of new and advanced technologies, and technological innovation of enterprises.

1. The content of consulting, training, and knowledge enhancement includes:

a) Assessment of enterprise technological capability, technological level, and technological innovation requirements;

b) Evaluation, valuation, appraisal, inspection, technology transfer, application, and exploitation of inventions;

c) Technology search, decoding, and commercialization of research results;

d) Incubation of technology and incubation of science and technology enterprises;

đ) Development and management of projects for the advancement of new and advanced technologies, technological innovation;

e) Technology management, technological governance; innovation of technological processes, product innovation, organizational production, business, and service innovation; marketing innovation.

2. Organizations, enterprises, and individuals using consultants, sending trainees for training and enhancement must:

a) Contribute part of the cost for hiring domestic and foreign consultants;

b) Have approval documents for investment programs, plans, proposals, projects, and activities related to technological innovation consulting and training of personnel;

c) For organizations and individuals who have approved programs, plans, proposals, and projects for the development of new and advanced technologies, technological innovation, or certain technological innovation activities, domestic and foreign consultants and trainees must participate in implementing activities within the approved programs, plans, proposals, and projects for the development of new and advanced technologies, technological innovation, or certain technological innovation activities according to the requirements.

3. Organizations and enterprises primarily organizing short-term training courses must ensure the conditions stipulated in Clause 1 of Article 9 of this Circular.

4. Domestic and foreign consultants must meet the training and enhancement requirements for professional qualifications and expertise, having at least three years of teaching experience or work experience in relevant training and enhancement fields.

Article 19. Responsibilities of the Fund Management Board, the Fund Operating Agency, and the Fund Supervisory Board

1. The Fund Management Board shall be responsible for:

a) Establishing procedures and processes for organizing the selection, management of tasks funded, granted preferential loans, interest rate support, and loan guarantees by the Fund;

b) Establishing scientific and technological councils, advisory boards, and hiring independent consultants to select tasks;

c) Deciding on the funding and lending methods for each component of the task.

2. The Fund Operating Agency shall be responsible for:

a) Organizing the implementation of the Fund Management Board's decisions regarding the organization of the selection and management of tasks as stipulated in this Circular;

b) Submitting to the Minister of Science and Technology for consideration and decision on projects and project quotas for preferential loans, interest rate support, and loan guarantees.

3. The Fund Supervisory Board shall be responsible for:

a) Inspecting and reporting to the Fund Management Board on the implementation of its decisions concerning the organization of the selection and management of tasks;

b) Reviewing and submitting to competent authorities for resolution complaints and reports from organizations and individuals regarding the selection and management of tasks according to the Fund Management Board's decisions.

Article 20. Responsibilities of Organizations, Enterprises, and Individuals Proposing and Implementing Tasks Funded, Preferentially Lending, Interest Rate Support, and Loan Guarantees

Shall be legally responsible for financial obligations towards the Fund according to the contract. Implement regulations on procedures and processes for the selection and management of tasks funded, preferentially lent, interest rate supported, and loan guaranteed by the Fund Management Board.

Article 21. Implementation clause

1. This Circular takes effect 45 days from the date of issuance.

2. In case of difficulties during implementation, agencies, organizations, and individuals are advised to report to the Ministry of Science and Technology for research, consideration, and appropriate amendments and supplements./.