Circular No. 07/2009/TT-BKHCN guiding the evaluation and acceptance of national social science research projects

CIRCULAR

Guidelines for evaluating and accepting state-level social science research projects

________________________________

Pursuant to the Law on Science and Technology issued on June 22, 2000;

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 Decree No. 201/2004/NĐ-CP dated December 10, 2004 of the Government on promulgating the Regulations on Management of Social Sciences and Humanities Activities;

The Ministry of Science and Technology provides guidelines for evaluating and accepting state-level social science research projects funded by the state budget as follows:

Chapter 1.

GENERAL PROVISIONS

Article 1. Scope of application

1. This Circular stipulates the evaluation, acceptance, recognition of results, contract settlement, and handling of violations concerning state-level social science research projects under the national science and technology program (hereinafter referred to as "Science and Technology") and independent state-level social science research projects funded by the state budget (hereinafter collectively referred to as "projects").

2. Projects related to national secrets, special aspects of security and defense, and certain urgent special tasks with complex and sensitive contents shall be evaluated and accepted according to the decision of the Minister of Science and Technology for each specific case.

Article 2. Applicability

1. Organizations and individuals involved in the evaluation and acceptance of projects as specified in Clause 1 of Article 1 of this Circular.

2. Functional units under the Ministry of Science and Technology.

Article 3. Principles for evaluating and accepting projects

The evaluation and acceptance of projects must comply with the following principles:

1. Based on the scientific research and technological development contract (hereinafter referred to as "contract") that has been signed and the evaluation contents prescribed in this Circular.

2. Ensuring democracy, objectivity, honesty, and accuracy.

3. Conducting in accordance with the procedures and formalities stipulated in this Circular.

Article 4. Methods for evaluating and accepting projects

1. Evaluation and acceptance of projects are conducted in two levels:

a) Evaluation and acceptance of projects at the basic level (hereinafter referred to as "basic level evaluation");

b) Evaluation and acceptance of projects at the state level (hereinafter referred to as "state level evaluation").

2. Basic level evaluation is the assessment of project outcomes carried out through the basic level evaluation scientific council (hereinafter referred to as "basic level evaluation council") organized by the project's leading agency.

3. State level evaluation includes assessing project outcomes and assessing the implementing organization.

a) Assessment of project outcomes is carried out through the state level evaluation scientific council (hereinafter referred to as "state level evaluation council") established by the Minister of Science and Technology;

b) Assessment of the implementing organization:

- The program steering committee coordinates with the Office of National Key Programs to implement for projects under national key Science and Technology programs (hereinafter referred to as "program");

- Functional departments under the Ministry of Science and Technology coordinate with the Office of National Key Programs to implement for projects under programs led by program steering committee members;

- Functional departments under the Ministry of Science and Technology coordinate with functional units of the managing agency to implement for independent national-level projects.

Article 5. Budget for evaluating projects

1. The budget for basic level evaluation is taken from the project implementation budget.

2. The budget for state level evaluation is taken from the annual state budget for scientific affairs of the Ministry of Science and Technology.

3. Additional costs to complete project products and documents according to the requirements of the evaluation councils at all levels are covered by the project leader and the project's leading agency.

Chapter 2.

BASE LEVEL EVALUATION

Article 6. Documents and deadlines for submitting basic level evaluation documents

1. Basic level evaluation documents include main products and administrative documents related to the project.

2. Main products of the project include:

a) Scientific reports of the project, including: comprehensive report on project results; comprehensive report on project results; proposal report of the project;

b) Publications and publications produced during the project implementation period.

3. Administrative documents of the project include:

a) Scientific contracts signed between the parties;

b) Request for basic level evaluation (according to the model provided in Appendix No. 01 attached to this Circular);

c) Implementation report of the project (according to the model provided in Appendix No. 02 attached to this Circular);

d) Minutes of periodic inspections of project implementation progress;

đ) Documents related to project implementation organization (if any);

e) Certifications and documents related to the publication, reception, and utilization of research results.

4. The number of basic level evaluation documents consists of ten sets of documents as stipulated in Clauses 2 and 3 of this Article, including one original set and nine copies of the original set.

5. Deadline for submitting basic level evaluation documents

a) The project leader is responsible for submitting basic level evaluation documents to the project's leading agency before the end of the contract or the extended implementation period (if applicable);

b) In exceptional cases where the project cannot be completed within the scheduled timeframe according to the contract, sixty days before the end of the contract, the project leader and the project's leading agency must submit a request for extension (according to the model provided in Appendix No. 03 attached to this Circular) to the Ministry of Science and Technology through the program steering committee and the Office of National Key Programs (for projects under the program) or functional departments under the Ministry of Science and Technology (for independent projects and projects led by program steering committee members).

The process of considering project extensions is carried out according to Point b Clause 5 Article 14 of this Circular.

Article 7. Basic Level Evaluation Council

1. The basic level evaluation council is established by the head of the project's leading agency, tasked with advising the head of the project's leading agency in evaluating the project's implementation results according to the signed contract.

2. The basic level evaluation council consists of seven to nine members, including the chairman, vice-chairman, two opposing members, one secretary member, and other members. The chairman, vice-chairman, and two opposing members are not from the project's leading agency.

3. Members of the basic level evaluation council must meet the following conditions:

a) Having expertise relevant to the research field of the project;

b) Having scientific reputation and being willing to participate in the evaluation council with high responsibility, honesty, and objectivity;

The Chairperson, reviewer members, and other members, in addition to meeting the above conditions, must be experts with deep expertise in their field, holding a doctoral degree or a scientific title of associate professor or higher, having published works in the last five years, or having experience working in fields related to the research content of the project.

In special cases, this shall be decided by the head of the agency leading the project.

4. The project leader and main participants implementing the project shall not be members of the evaluation council at the basic level.

Article 8. Responsibilities and authorities of the members of the evaluation council at the basic level

1. Members of the evaluation council at the basic level have responsibilities and authorities as follows:

a) Study and review the basic-level evaluation dossier according to the contents stipulated in Article 11 of this Circular, specifically as follows:

- Reviewers provide comments on the project results (according to the guidance form attached as Appendix No. 04 to this Circular);

- Council members provide comments on the project results (according to the guidance form attached as Appendix No. 05 to this Circular);

b) Send written comments to the leading agency of the project no later than two days before the session of the basic-level evaluation council;

c) When necessary, request the project leader and the leading agency of the project to provide intermediate products of the project for evaluation purposes;

d) Bear individual responsibility for comments and voting during the council's session and bear collective responsibility for the council's final conclusion;

đ) Shall not disclose information about the evaluation results before their official announcement; shall not misuse the results of the project contrary to the provisions of the law on intellectual property rights;

2. The Chairperson, Vice-Chairperson, reviewers, and scientific secretary members, in addition to the responsibilities and authorities of the members of the basic-level evaluation council stipulated in Clause 1 of Article 8 of this Circular, also have the following responsibilities:

a) The Chairperson coordinates with the leading agency of the project to decide on organizing the council's session; chairs the council's sessions; confirms in writing the completion of the project leader's evaluation dossier according to the basic-level evaluation council's conclusion (according to the guidance form attached as Appendix No. 09 to this Circular);

b) The Vice-Chairperson chairs the session in the absence of the Chairperson;

c) Reviewers thoroughly and comprehensively examine and evaluate the research results of the project;

d) The scientific secretary assists the Chairperson in checking the necessary conditions for conducting the council's session, the validity and completeness of the dossier, and drafting and completing the minutes of the council's session.

Article 9. Basic-level Evaluation Organization

1. The organization of the basic-level evaluation session must be completed no later than the end date of the contract or the extended implementation period (if applicable).

2. The leading agency of the project has the responsibility to organize the basic-level evaluation as follows:

a) Check the validity of the dossier according to the provisions of Article 6 of this Circular;

b) Establish the basic-level evaluation council according to the provisions of Article 7 of this Circular; organize the council's session within thirty days from the date of receipt of the basic-level evaluation dossier;

c) Transfer the evaluation dossier specified in Clauses 2 and 3 of Article 6 of this Circular to the council members at least seven days before the council's session;

d) Handle the basic-level acceptance evaluation results according to the provisions of Article 13 of this Circular;

đ) Retain the original dossier of the project.

Article 10. Session of the Basic-Level Evaluation Council

1. The main participants in the council's session include scientific council members, the project leader, representatives of the implementing agency, representatives of the managing agency, representatives of relevant units under the Ministry of Science and Technology, and representatives of the program steering committee (for projects under programs).

2. The council's session shall be conducted when the following conditions are met:

a) The basic-level evaluation dossier is valid according to the provisions of Article 6 of this Circular;

b) Review sheets of present council members are available;

c) At least two-thirds of the council members are present at the session, including the Chairperson (or Vice-Chairperson in the absence of the Chairperson) and two reviewers;

d) The presence of the project leader to explain issues related to the project's research results.

In special cases, if the project leader cannot attend the council's session, they must authorize in writing one main participant in the project to fulfill the responsibilities of the project leader.

3. The council's working procedure includes:

a) The Chairperson (or Vice-Chairperson in the absence of the Chairperson) chairs the council's sessions;

b) The project leader directly reports on the scientific research results of the project (clarifying new research results, evaluating the scientific value, and practical significance of the project);

c) Reviewers present their comments and evaluations on the project results;

d) Council members raise questions on unclear issues and present their comments and evaluations on the project results;

đ) The scientific secretary reads out the review sheets of absent council members (if any) for the council's reference; attendees raise questions on the results and related issues of the project;

e) The project leader answers and clarifies issues related to the project according to the council's and attendees' requirements;

g) The council discusses confidentially and evaluates the project results according to the contents stipulated in Article 11 of this Circular; elects a ballot committee (consisting of three members, including one chair) and conducts voting (according to the guidance form attached as Appendix No. 06 to this Circular). The evaluation results and project classification are summarized in the Evaluation Result Summary Form (according to the guidance form attached as Appendix No. 07 to this Circular);

h) The council discusses and approves the minutes of the conclusions on the evaluation results and project classification, specifying the contents that need to be revised and supplemented for completion (according to the guidance form attached as Appendix No. 08 to this Circular).

h) The Council discusses and approves the minutes of the conclusions regarding the assessment and classification results of the project, specifying the contents that need to be revised and supplemented for improvement (in accordance with the model provided in Appendix No. 08 attached hereto).

4. The program for the council's evaluation meeting at the institutional level shall be carried out according to the model provided in Appendix 10 attached hereto.

Article 11. Contents of institutional-level evaluation on the results of the project

Institutional-level evaluation of the project results includes the following contents:

1. The quantity and volume of main products of the project compared with the requirements stipulated in the signed contract (project research result reports, scientific publications, training outcomes, and other products).

2. Approach to the research issue, research methods, and techniques used (specificity, clarity, appropriateness); representativeness, reliability, authenticity, and currency of data and materials.

3. Integrity of the research results (integrity of the dossier; documents; lawful use of related research results; no violation of relevant laws during the implementation of the project).

4. Scientific value of the project (discovery of new issues, creation of new valuable scientific and practical data systems; new contributions to the development of existing viewpoints and theories, etc.).

5. Practical significance of the project (contribution to the formulation, improvement of policies, strategies for economic and social development, ensuring national security and defense; supplementing new knowledge and ideas influencing societal perception).

Article 12. Classification of institutional-level evaluation of projects

The results of the institutional-level evaluation of the project are classified into two types: "Pass" and "Fail".

1. A project classified as "Pass" is a project that meets the provisions of Article 11 of this Circular and receives at least three-quarters of the votes from the members present at the meeting to classify it as "Pass".

A project classified as "Pass" will be subject to state-level evaluation.

2. A project classified as "Fail" is a project that does not meet the requirements stipulated in Clause 1 of this Article.

Article 13. Handling the results of institutional-level evaluation

1. For projects classified as "Pass", within sixty days from the date of the conclusion of the institutional-level evaluation council, the leading agency and the project leader must perform the following tasks:

a) The project leader supplements, revises, and completes the research results of the project according to the requirements of the institutional-level evaluation council; submits a report on the revision and completion of the research results of the project according to the conclusions of the institutional-level evaluation council meeting to the chairman of the council (through the council's scientific secretary) for confirmation;

b) The leading agency of the project, based on the chairman of the council's confirmation that the project leader has supplemented, revised, and completed the evaluation dossier according to the council's conclusions, sends a document to the program steering committee (for projects under the program) or the Ministry of Science and Technology (for independent projects and projects implemented by program steering committee members) requesting the project to be evaluated at the state level.

2. Projects classified as "Fail" due to non-compliance with the provisions of Clauses 1, 2, 4, and 5 of Article 11 of this Circular but recommended by the institutional-level evaluation council to continue revising and completing the project for re-evaluation at the institutional level. Within sixty days from the date of the council's conclusion, the project leader must complete the dossier according to the council's requirements.

Re-evaluation shall be conducted according to the content and procedures set forth in this Circular and shall not exceed one time for each project.

3. Projects classified as "Fail" and required to terminate the contract in the following cases:

a) Non-compliance with any of the contents stipulated in Clauses 1, 2, 4, and 5 of Article 11 of this Circular and not recommended by the council for further revision and completion;

b) Non-compliance with the provisions of Clause 4 of Article 11 of this Circular;

c) After being re-evaluated, still classified as "Fail".

Based on the council's conclusion, the leading agency of the project is responsible for sending a document requesting the Ministry of Science and Technology to issue a decision terminating the project implementation contract.

4. For suspended projects, based on the conclusion of the institutional-level evaluation council, the Ministry of Science and Technology will consider and handle according to the provisions of Article 11 of Chapter II of the Joint Circular No. 93/2006/TTLT-BTC-BKHCN dated October 4, 2006, of the Ministry of Finance and the Ministry of Science and Technology.

Chapter 3.

NATIONAL LEVEL EVALUATION

Article 14. Dossier and deadline for submission of national-level evaluation dossier

1. The national-level evaluation dossier of the project includes the main products of the project after being supplemented, revised, and completed by the project leader and the leading agency according to the conclusions of the institutional-level evaluation council and related administrative documents.

2. Main products of the project include:

a) Scientific reports of the project (comprehensive report on the project results; summary report on the project results; recommendation report of the project);

b) Publications and books published during the implementation of the project.

3. Administrative documents of the project include:

a) Scientific contracts signed between the parties;

b) Document requesting national-level evaluation of the project from the leading agency (according to the model provided in Appendix 11 attached hereto);

c) Original decision establishing the institutional-level evaluation council and original minutes of the institutional-level evaluation council meeting;

d) Administrative report on the organization and implementation of the project (according to the model provided in Appendix 2 attached hereto), supplemented and completed after the institutional-level evaluation;

đ) Minutes of periodic inspections of the project implementation progress;

e) Related organizational implementation documents (if any);

g) Confirmation documents and related training, publication, acceptance, and utilization of research results;

h) List of main participants in the project implementation (according to the model provided in Appendix 12 attached hereto).

4. The number of national-level evaluation dossiers consists of thirteen sets of dossiers as stipulated in Clause 1 of Article 14 of this Circular, including one original set and twelve copies of the original set.

Intermediate products are retained by the leading agency to be ready for provision upon request by council members and management authorities for inspection and evaluation.

5. Deadline for submission of national-level evaluation dossier

a) Within sixty days from the date of termination of the contract or the end of the contract extension period, the project leader and the leading agency shall be responsible for submitting the national evaluation dossier to the program steering committee (for projects under the program) or the Ministry of Science and Technology (for independent projects and projects carried out by members of the program steering committee).

In case of special reasons preventing the project from ensuring the submission deadline within the aforementioned sixty-day period, the project leader and the leading agency must send a letter requesting an extension of the national evaluation (following the model provided in Appendix No. 03 attached hereto) to the Ministry of Science and Technology through the program steering committee (for projects under the program) or relevant departments of the Ministry of Science and Technology (for independent national projects and projects carried out by members of the program steering committee) at the latest twenty days from the date of the conclusion of the basic-level evaluation council.

b) The Ministry of Science and Technology shall be responsible for considering the extension request of the project. Each project may only be extended once (either at the basic level or at the national level) and the extension period shall not exceed ninety days from the date of contract termination.

Article 15. National Evaluation Council

1. The National Evaluation Council shall be established by the Minister of Science and Technology based on the proposal of the program steering committee (for projects under the program) or relevant departments of the Ministry of Science and Technology (for independent national projects and projects carried out by members of the program steering committee), with the task of advising the Minister of Science and Technology to evaluate the research results of the project according to the signed contract and the implementation results of the project.

2. The National Evaluation Council shall consist of nine to eleven members, including the chairman, vice-chairman, two review members, and other members, specifically as follows:

a) Two-thirds of the council members shall be scientists;

b) One-third of the council members shall be representatives of state management agencies, policy planning agencies expected to benefit from and utilize the research results of the project.

3. Conditions for members of the National Evaluation Council:

a) Having scientific reputation and being willing to participate in the evaluation council with high responsibility, honesty, and objectivity;

b) Having expertise appropriate to the research field of the project;

The chairman, review members, and other members who are scientists, in addition to meeting the above conditions, must be experts with deep knowledge in their specialty, holding a doctoral degree or having a professorial title or higher, and having published scientific works in the last five years.

In exceptional cases, this shall be decided by the Minister of Science and Technology.

4. The project leader and key participants in implementing the project shall not be members of the National Evaluation Council.

5. Members participating in selection and examination councils for prioritized projects shall be invited to join the National Evaluation Council. However, the number of members from the basic-level evaluation council invited to join the National Evaluation Council shall not exceed one-third of the total number of council members.

6. The program steering committee may participate in the National Evaluation Council but shall not exceed one member and shall not serve as chairman, vice-chairman, or review member for projects under the Program.

7. The National Evaluation Council shall have two administrative secretaries who are specialized staff of relevant departments of the Ministry of Science and Technology (for independent national projects and projects carried out by members of the program steering committee) or secretaries of the program and employees of the Office of National Key Programs (for projects under the program).

Article 16. Responsibilities and powers of members of the National Evaluation Council

1. Members of the National Evaluation Council shall have the following responsibilities and powers:

a) Studying and reviewing the national evaluation dossier in accordance with the provisions of Article 11 of this Circular, specifically as follows:

- Review members shall comment on the evaluation of the project results (following the model provided in Appendix No. 13 attached hereto);

- Council members shall comment on the evaluation of the project results (following the model provided in Appendix No. 14 attached hereto).

b) Sending the review comments to the evaluation organizing body at least two days before the National Evaluation Council meeting;

c) If necessary, they may request the project leader and the leading agency to provide intermediate products of the project to facilitate the evaluation;

d) Being personally responsible for the comments and evaluation of the project results at the council meeting and collectively responsible for the final conclusion of the National Evaluation Council regarding the project;

đ) Shall not disclose information about the evaluation results before their official announcement; shall not misuse the results of the project contrary to the provisions of the law on intellectual property rights;

2. The chairman, vice-chairman, review members, and scientific secretary members, in addition to the responsibilities and powers of council members stipulated in Clause 1 of this Article, shall also have the following responsibilities:

a) The chairman shall coordinate with the leading agency to decide on the organization of the council meeting; confirm in writing that the project leader has completed the evaluation dossier according to the National Evaluation Council's conclusion (following the model provided in Appendix No. 20 attached hereto);

b) The Vice-Chairperson chairs the session in the absence of the Chairperson;

c) Review members shall thoroughly and comprehensively assess the research results of the project, advise on the evaluation and classification of the project;

d) Scientific secretaries shall assist the chairman in checking the necessary conditions for conducting the council meeting; verify the completeness and validity of the dossier; draft and finalize the minutes of the National Evaluation Council meeting.

Article 17. National Evaluation Organization

1. National evaluation shall only be conducted after the project has been classified as "Achieved" by the basic-level evaluation council and the project dossier meets all requirements set forth in Article 14 of this Circular.

2. National evaluation must be conducted at the latest forty-five days from the date of receipt of the national evaluation dossier.

3. The organization of national evaluation shall be divided as follows:

a) National key program projects shall be organized by the program steering committee in coordination with the Office of National Key Programs and relevant departments of the Ministry of Science and Technology.

b) The topic is implemented by the steering committee of the program in collaboration with the Office of National Key Programs under the Ministry of Science and Technology.

c) Independent national topics are implemented by functional departments of the Ministry of Science and Technology in collaboration with competent units of the managing ministry.

4. The steering committee of the program (for topics within the program) or functional departments of the Ministry of Science and Technology (for independent topics and topics where a member of the steering committee is the head) shall organize the national-level evaluation, including:

a) Checking and reviewing the national-level evaluation dossier as prescribed in Article 14 of this Circular (according to the guidance form at Appendix 15 attached to this Circular).

In case the evaluation dossier of the topic does not fully comply with the provisions of Article 14 of this Circular, the head of the topic and the agency responsible for implementing the topic are required to amend, supplement, and complete the dossier within a maximum period of 15 days from the date of the review record.

b) Submitting to the Ministry of Science and Technology for a decision to establish the national-level evaluation council;

c) Transferring the evaluation dossier of the topic to the members of the evaluation council at least 15 days before the council's meeting;

d) Keeping the original dossier of the topic, meeting the requirements for intermediate products for the chairman of the council, the reviewer, the scientific secretary, and the representative of the research management agency to examine the dossier of the topic;

đ) Organizing the national-level evaluation council meeting;

e) Proposing the Ministry of Science and Technology to invite experts with deep expertise in the relevant field of the topic to provide comments and evaluations on the results of the topic for the council to refer to when necessary.

5. Holding the meeting within a period not exceeding 30 days from the date of the decision to establish the council.

6. Handling the results of the national-level evaluation according to the provisions of Article 22 of this Circular.

Article 18. The meeting of the national-level evaluation council

1. The main participants in the meeting of the national-level evaluation council include: members of the evaluation council, the head of the topic, representatives of the agency responsible for implementing the topic, representatives of the managing ministry of the topic, representatives of the Ministry of Science and Technology, representatives of the steering committee of the program, and representatives of the Office of National Key Programs (for topics within the program).

2. The meeting of the national-level evaluation council shall be held when the following conditions are met:

a) The national-level evaluation dossier has been provided to the council members in advance as prescribed;

b) Written comments from the council members have been received.

c) At least two-thirds of the council members are present at the session, including the Chairperson (or Vice-Chairperson in the absence of the Chairperson) and two reviewers;

d) The presence of the project leader to explain issues related to the project's research results.

In special cases, if the head of the topic cannot attend the council meeting, they must authorize in writing one of the main participants in the topic to perform the responsibilities of the head of the topic.

3. The council's working procedure includes:

a) The chairman of the council (or vice-chairman in the absence of the chairman) shall preside over the meetings of the council;

b) The project leader directly reports on the scientific research results of the project (clarifying new research results, evaluating the scientific value, and practical significance of the project);

c) Reviewers present their comments and evaluations on the project results;

d) Council members may ask questions and present their comments and evaluations on the results of the topic;

đ) The scientific secretary reads out the review sheets of absent council members (if any) for the council's reference; attendees raise questions on the results and related issues of the project;

e) The project leader answers and clarifies issues related to the project according to the council's and attendees' requirements;

g) The council shall discuss in closed session and conduct an evaluation of the results of the topic according to the content prescribed in Article 19 of this Circular;

The council shall elect a counting board (consisting of three members, including one chairperson) and proceed with voting (according to the guidance form at Appendix 16 attached to this Circular). The evaluation results and classification of the topic shall be summarized in the Evaluation Result Summary Form (according to the guidance form at Appendix 17 attached to this Circular);

h) The council shall discuss and approve the minutes of the conclusion on the evaluation results and classification of the topic, specifying the contents that need to be amended and supplemented to improve (according to the guidance form at Appendix 18 attached to this Circular).

4. The agenda of the national-level evaluation council meeting shall be carried out according to the guidance at Appendix 20 attached to this Circular.

Article 19. Content of the national-level evaluation of the results of the topic

The evaluation of the results of the topic shall be conducted by the national-level evaluation council according to six criteria groups, scoring points according to each group with a maximum total score of 100, specifically as follows:

1. Evaluating the completeness of the quantity and volume of the main products of the topic compared to the requirements of the signed contract (maximum 25 points):

a) Comprehensive report on the research results of the topic, summary report on the research results of the topic, and recommendation report of the topic for the expected using agencies and organizations;

b) Scientific publications (monographs, scientific articles);

c) Training outcomes (Ph.D., Master's degrees);

d) Other products (if any).

2. Evaluating the appropriateness of the approach, research methods, and techniques used (maximum 10 points):

a) The level of detailed and clear description of the research methods and techniques used, scale, and process applied to achieve the research results;

b) The appropriateness of the approach, research methods, and techniques used during the implementation of the research content to achieve the objectives of the topic.

c) The representativeness, reliability, authenticity, and up-to-date nature of the data obtained through surveys and other sources used in the scientific reports of the topic.

3. Evaluating the scientific value of the topic (maximum 25 points):

a) The novelty and creativity of the research product:

- Discovering new issues, creating new valuable scientific and practical data systems;

- Improving existing research methods to solve the research problems of the topic;

- Contributing new insights to the development of existing theories.

b) The systematic, logical, comprehensive, argumentative, and clear analysis of the scientific reports.

4. Evaluating the practical significance of the topic (maximum 20 points):

a) The practical significance of the research results of the topic:

- Providing specific solutions and proposals as a scientific basis for developing economic and social plans, ensuring security and defense;

- Proposing specific recommendations directly serving as a scientific basis for formulating and improving policies, laws, and strategies for national economic and social development;

- Supplementing new knowledge and ideas influencing societal perceptions.

b) The research results of the topic have been transferred to the agencies and organizations for use during the implementation process (with accompanying confirmation documents).

5. Evaluation of published research results (maximum 10 points).

a) At least five high-quality scientific articles published in national specialized scientific journals (less than five articles will not be scored).

b) At least one monograph published by a reputable domestic publisher.

6. Evaluation of outstanding project outcomes (maximum 10 points):

a) At least one scientific article published in an internationally recognized specialized scientific journal or confirmation from the journal regarding the issue number and publication date.

b) Proposing new theories or research methods with scientific value.

c) Research results having significant practical importance, transferred and applied (confirmed by documentation).

Article 20. National-level evaluation content on the implementation of the project

The program directorate shall cooperate with the Office of National Key Programs (for projects under the program) or relevant departments under the Ministry of Science and Technology in cooperation with the managing agency (for independent national projects and those conducted by members of the program directorate) to conduct an evaluation and classification of the project's implementation (according to the model provided in Appendix 19 attached to this Circular) based on the following contents:

1. Project progress.

2. Use of project funding.

Article 21. Principles for scoring and classifying projects

1. Principles for scoring project outcomes

a) The scoring and evaluation of project outcomes shall be carried out according to the provisions set forth in Article 19 of this Circular.

b) The score of the project is the average of the total points recorded on valid evaluation forms.

c) A valid evaluation form is one where the points recorded for each evaluation item are lower than or equal to the maximum points specified for that item.

2. Classification of project outcomes

Based on the scoring results, the national evaluation council shall classify projects into two categories: "Pass" and "Fail".

a) Projects classified as "Pass" are those achieving an average score of 70 points or higher, including a fullness assessment of the main products of the project reaching 25 points, and the scientific value and practical significance of the project reaching 30 points or higher.

Projects classified as "Pass" are further divided into three levels:

- Projects classified as "Average" achieve an average score between 70 and less than 80 points.

- Projects classified as "Good" achieve an average score between 80 and less than 90 points.

- Projects classified as "Excellent" achieve an average score between 90 and 100 points.

b) Projects classified as "Fail" are those achieving an average score below 70 points.

3. Classification of project implementation evaluations

Based on the evaluation results stipulated in Article 20 of this Circular, the classification of project implementation is divided into two levels: "Pass" and "Fail":

a) Projects classified as "Pass" if they meet the following conditions:

- Submitting the evaluation dossier within the prescribed deadline.

- Using and completing financial settlement of the project funds in accordance with state regulations.

b) Projects classified as "Fail" if they violate any of the following:

- Submission of the evaluation dossier late compared to the deadline specified in the contract or extension period issued by the Ministry of Science and Technology.

- Serious violations of financial management principles for project funds (with conclusions from authorized inspection and audit agencies).

Article 22. Handling of national-level evaluation results

1. For projects evaluated and classified as "Pass" in terms of project outcomes, within thirty days from the date of the national evaluation council's evaluation and classification results, the project leader and the leading agency must, within thirty days from the date of the national evaluation council's evaluation and classification results, take responsibility for revising, supplementing, and perfecting the national-level evaluation dossier according to the council's requirements and submit it to the council chairman for confirmation of the revision, supplementation, and perfection of the project research results.

2. For projects classified as "Fail" that are considered for extension to revise and perfect if they meet the following conditions:

a) Recommended for re-acceptance by the national evaluation council.

b) Proposed for extension to revise and perfect by the program directorate (for projects under the program) or the managing agency (for independent national projects and those conducted by members of the program directorate).

The extension for revising and perfecting the project shall be completed within ninety days from the date of the national evaluation council's conclusion. After the extension period, the project must be re-evaluated and accepted according to the content and procedures of this Circular.

3. For projects classified as "Fail" and not recommended for re-evaluation by the national evaluation council, the Ministry of Science and Technology will handle them according to the provisions of Article 11, Chapter II of Joint Circular No. 93/2006/TTLT-BTC-BKHCN dated October 4, 2006, of the Ministry of Finance and the Ministry of Science and Technology on guidelines for the budget allocation system for science and technology projects funded by the state budget based on the national evaluation council's conclusions.

4. The Office of National Key Programs shall cooperate with the program directorate to compile the evaluation dossiers, documents, and materials for projects under the program; relevant departments under the Ministry of Science and Technology shall compile the evaluation dossiers, documents, and materials for independent national projects and those conducted by members of the program directorate to prepare the procedures for recognizing the project evaluation results.

5. The project leader and the leading agency are responsible for registering and preserving the project results according to Decree No. 159/2004/NĐ-CP dated August 31, 2004, of the Government on scientific and technological information activities and submitting a confirmation of registration and preservation of the project results to the Office of National Key Programs (for projects under the program) or to relevant departments under the Ministry of Science and Technology (for independent national projects and those conducted by members of the program directorate).

Chapter 4.

RECOGNITION OF PROJECT RESULTS, CONTRACT TERMINATION, AND VIOLATION HANDLING

Article 23. Recognition of project results

1. The Ministry of Science and Technology shall consider and recognize the project evaluation results in two aspects:

a) Evaluation of project outcomes.

b) Evaluation of project implementation.

2. The head of the project and the main organization implementing the project shall be responsible for submitting the following documents to the Ministry of Science and Technology for recognition of the project's results:

a) One (01) set of national-level evaluation files accompanied by a report on the completion of the national-level evaluation file, confirmed by the chairman of the council (in accordance with the model provided in Appendix 21 attached to this Circular), regarding the project's amendments, additions, and improvements to research results in accordance with the requirements of the national-level evaluation council;

b) A confirmation of the transfer of assets by the Project Steering Committee in coordination with the Office of National Key Programs (for projects under programs); relevant departments of the Ministry of Science and Technology in coordination with relevant units of the main implementing agency (for independent projects and projects where the program steering committee member is the head of the project) to conduct asset inventory and transfer according to current regulations;

c) A certificate of settlement of the project by the project head, issued by the Office of National Key Programs (for projects under programs and projects where the program steering committee member is the head of the project); relevant units of the managing agency (for independent projects);

d) A registration confirmation of research results of the project at the National Science and Technology Information Center and submission for storage in accordance with Decree No. 159/2004/NĐ-CP dated August 31, 2004 of the Government on information on science and technology activities;

3. Within thirty days from the date of receipt of the documents specified in Clause 2 of Article 2 of this Circular, the Ministry of Science and Technology shall examine and issue a decision recognizing the project implementation results (in accordance with the model provided in Appendix 22 attached to this Circular).

Article 24. Liquidation of Contract

1. Procedure for Contract Liquidation

a) Upon completion of the project, the project head and the main implementing agency must submit a final settlement report to the competent authority;

b) After receiving the decision recognizing the project evaluation results, the Ministry of Science and Technology and the management agency shall carry out the evaluation, inventory, and transfer of assets purchased with project funds;

c) The liquidation of the contract shall be carried out after the settlement and inventory of assets;

2. The liquidation of the contract shall be specifically regulated in a separate document issued by the Ministry of Science and Technology.

Article 25. Handling of violations

1. The project head shall not be eligible to serve as the head of a national-level project for the next three years following the year of national-level evaluation in the following cases:

a) The project is classified as "Not Achieved" and the national-level evaluation council does not recommend it for improvement and re-evaluation;

b) The project is classified as "Not Achieved" and, despite being recommended for improvement and re-evaluation by the national-level evaluation council, still fails to achieve the "Achieved" classification upon re-evaluation;

c) The project is suspended during implementation due to serious violations of any of the following conditions:

- Inaccurate records and documents;

- Copying others' research results;

- Violations of relevant laws during the project implementation.

2. The Ministry of Science and Technology shall examine and handle financial matters concerning projects classified as "Not Achieved" in accordance with Article 11 of Chapter II of Joint Circular No. 93/2006/TTLT-BTC-BKHCN dated October 4, 2006 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for budget allocation for scientific and technological projects funded by state budget.

3. If the project head fails to register and submit the project's results as stipulated in Clause 5 of Article 22 of this Circular, they will be subject to penalties in accordance with Decree No. 127/2004/NĐ-CP of the Government dated May 31, 2004 on administrative penalties in scientific and technological activities.

4. Members of the scientific council who violate provisions in Point d of Clause 1 of Article 8 and Point d of Clause 1 of Article 16 of this Circular shall not participate in evaluation councils at the basic level and national level for two years and will be subject to penalties in accordance with Decree No. 127/2004/NĐ-CP of the Government dated May 31, 2004 on administrative penalties in scientific and technological activities.

5. In case a member of the council is found to have violated provisions in Point d of Clause 1 of Article 8 and Point d of Clause 1 of Article 16 of this Circular before the council meeting, the Ministry of Science and Technology shall issue a decision to appoint another person to replace that member.

6. In case the national-level evaluation council is found to have violated the provisions of this document during the project evaluation process, depending on the severity of the violation, the Ministry of Science and Technology may require the council to re-examine and accept the project according to the regulations or form a new council to ensure the objectivity, accuracy, and compliance of the national-level evaluation.

Article 26. Complaints and Reports

1. Organizations and individuals implementing evaluated projects and other related organizations and individuals have the right to complain about decisions made by competent authorities in the evaluation and acceptance of projects; individuals have the right to report violations by agencies, organizations, and individuals in contravention of this Circular.

2. The handling of complaints and reports shall be carried out in accordance with the law on complaints and reports.

Chapter 5.

IMPLEMENTING PROVISIONS

Article 27. Guidelines for Implementation

1. The Ministry of Science and Technology shall organize guidance, supervision, and inspection of organizations and individuals participating in the implementation of national-level social science projects to implement this Circular.

2. State management agencies for science and technology of ministries, ministerial-level agencies, government agencies, provinces, and centrally-administered cities shall base this Circular to develop and submit to competent authorities for issuance regulations on evaluation and acceptance of provincial-level and ministry-level social science projects and organize guidance on implementation.

3. State management agencies for science and technology at all levels shall apply this Circular to organize the evaluation and acceptance of social science projects not using state budget funds according to the requirements of the implementing organizations and individuals. Evaluation and acceptance costs shall be borne by the implementing organizations and individuals.

Article 28. Effectiveness

This Circular shall take effect forty-five days from the date of issuance and replace the Regulation on Evaluation and Acceptance of National-Level Social Science and Humanities Projects issued together with Decision No. 01/2005/QĐ-BKHCN dated February 28, 2005.

During implementation, if any difficulties arise, agencies and organizations shall promptly report to the Ministry of Science and Technology for consideration and resolution./.