Circular No. 07/2011/TT-BKHCN guiding the management of the Program to support the application and transfer of scientific and technological progress serving economic and social development in rural and mountainous areas for the period 2011-2015.

CIRCULAR

Guidelines for managing the Program on Supporting the Application and Transfer of Scientific and Technological Advances to Serve Rural and Mountainous Economic and Social Development

during the period from 2011 to 2015

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

Pursuant to Decision No. 1831/QD-TTg dated October 1, 2010 of the Prime Minister approving the Program on Supporting the Application and Transfer of Scientific and Technological Advances to Serve Rural and Mountainous Economic and Social Development during the period from 2011 to 2015;

The Minister of Science and Technology guides the management of the Program on Supporting the Application and Transfer of Scientific and Technological Advances to Serve Rural and Mountainous Economic and Social Development during the period from 2011 to 2015 as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 1. These Circulars guide the management of the Program "Supporting the Application and Transfer of Scientific and Technological Advances to Serve Rural and Mountainous Economic and Social Development" during the period from 2011 to 2015 approved according to Decision No. 1831/QD-TTg dated October 1, 2010 of the Prime Minister (hereinafter referred to as the Program).

Article 2. The Program includes projects on applying and transferring science and technology, training, vocational instruction, and information dissemination activities aimed at promoting the application of scientific and technological advances to serve rural and mountainous economic and social development, which are compiled to achieve the objectives and contents of the Program.

Article 3. These Circulars apply to Vietnamese organizations, individual Vietnamese persons participating in the Program, and other relevant agencies and organizations.

Article 2. Classification and Hierarchical Management of Projects

Clause 1. Projects under the Program are divided into two groups: centrally managed projects and projects delegated to local management.

Point a) Centrally managed projects are those that focus on supporting regions in applying science and technology to address issues:

- Of significant importance to economic and social development, with large scale, regional impact, or affecting key economic zones;

- Involving new technologies compared to local conditions, advanced scientific and technological content suitable for the region, requiring collaboration among experts from various fields and organizations, especially necessitating mobilization of central scientific and technological forces to support local areas;

Centrally managed projects are directly directed by the Ministry of Science and Technology.

Point b) Delegated local management projects are those that support regions in addressing issues:

- Applying more advanced technologies than existing ones in the locality, appropriate to the organizational and leadership capabilities of the locality;

- Developing and applying technical improvements suitable to local conditions.

These projects are approved by the People's Committee of the province or centrally governed city (hereinafter referred to as the People's Committee of the province or city) and assigned to the Department of Science and Technology of the province or centrally governed city (hereinafter referred to as the Department of Science and Technology of the province or city) to assist the People's Committee of the province or city in directing their implementation.

Clause 2. The maximum duration for project implementation is 36 months. For projects involving long-term crop planting, forest planting, development of raw material areas combined with processing, and certain special cases, the duration may be extended up to 60 months, subject to the decision of the Minister of Science and Technology.

Clause 3. Projects are implemented through contracts:

Point a) For centrally managed projects: The Office of the Rural and Mountainous Program (hereinafter referred to as the Program Office) and the Department of Science and Technology of the province or city jointly act as Party A in signing a contract with the leading and principal entity of the project as Party B.

Point b) For locally managed projects: The Department of Science and Technology of the province or city acts as Party A in signing a contract with the leading and principal entity of the project as Party B.

Article 3. Managing agency, leading agency, technology transfer agency, and project leader

1. The managing agency for projects under central management is the Ministry of Science and Technology, while for projects under local authority delegation management it is the People's Committee of the province or city.

2. The leading agency of the project is a legal entity unit directly implementing the project, absorbing and benefiting from the results of the project.

3. The technology transfer agency is a legal entity organization with technology to be transferred and a scientific staff capable of mastering such technology, having experience in technology transfer.

4. The project leader is an employee of the leading agency who has appropriate expertise and holds at least a college degree.

Article 4. Conditions for selected technology

Technology selected for transfer to projects under the Program must meet the following conditions:

1. Domestic technology that has been evaluated and recognized as permissible for application and transfer, ensuring it is more advanced than existing local technology.

2. Imported technology must be proven adaptable and the technology transfer agency must demonstrate its capability to master the technology.

3. Technology aimed at solving significant issues related to local economic and social development and ensuring environmental protection requirements.

4. Technology must have a stable technical process suitable for the absorption capacity of organizations and people in the project area.

Article 5. Organization for identifying, selecting, and implementing projects

1. Annually, based on the progress of planning and budgeting, the Provincial Department of Science and Technology, city shall base on the objectives and content of the Program and local conditions to advise the People's Committee of the province or city on the objectives, content, scope, and scale of projects under the Program to be included in the annual science and technology plan of the province or city. After discussing the annual plan and budget with local departments and agencies, the project will be completed and supplemented to seek opinions from the provincial or municipal science and technology council.

2. Based on the advisory opinion of the provincial or municipal science and technology council, the People's Committee of the province or city will determine the list of projects under the Program to request the Ministry of Science and Technology to consider financial support.

3. Annually, based on the objectives and content of the Program and on the basis of the proposal of the People's Committee of the province or city:

a) The Ministry of Science and Technology will consider and select to determine the list of projects and approve the implementation funds for centrally managed projects based on the advisory opinion of the national-level science and technology council to arrange projects into the plan and assign tasks to the leading agencies and project leaders to organize implementation;

b) The Ministry of Science and Technology will consider and select to determine the list of projects, review the content, and approve funding support for locally managed delegated projects to notify the localities to implement.

4. The Program Office will jointly sign project implementation contracts with the leading agency and project leader for centrally managed projects with the Provincial Department of Science and Technology, city signing project implementation contracts with the leading agency and project leader for locally managed delegated projects.

5. Based on the project implementation contract, the leading agency and project leader will proceed to sign technology transfer contracts with organizations whose technology has been selected for transfer.

Article 6. Project Codes under the Program

The project codes under the Program shall be recorded as follows: NTMN.DA.TW(ĐP).XX-20YY, where:

1. NTMN: Is the general code for the Program to support the application and transfer of scientific and technological progress serving rural and mountainous economic and social development from 2011 to 2015;

2. DA: Is the code for projects under the Program;

3. TW: Is the code for projects managed by the Central Government;

4. ĐP: Is the code for projects delegated to local governments for management;

5. XX: Is the serial number of the project;

6. YY: Is the year the project begins implementation.

Example: NTMN.DA.TW.01-2011 or NTMN.DA.ĐP.01-2011.

Article 7. Organization and Personnel of the Program

Chapter II

MANAGEMENT OF THE PROGRAM

1. The Program has a Steering Committee established by the Minister of Science and Technology, who serves as Chair, with a Vice Minister of Science and Technology serving as Deputy Chair, and members of the Steering Committee include representatives from the Ministry of Agriculture and Rural Development, the Ministry of Finance, the National Ethnic Committee, and the Central Vietnam Farmers' Union. The Ministry of Science and Technology is the permanent body of the Program.

2. The Steering Committee has an Office to assist it. The Program's Office includes the Director, Deputy Directors, and some staff members. The Director is concurrently appointed, while Deputy Directors and staff members of the Program's Office are full-time specialists.

3. The Director and Deputy Directors of the Program's Office are appointed by the Minister of Science and Technology. Staff members in the Program's Office are recruited and contracted by the Director after consultation with the Department of Organization and Cadres and approval by the Leadership of the Ministry of Science and Technology.

4. The Program's Office is located at the Ministry of Science and Technology. The Program's Office has legal personality, its own seal, and separate accounts.

Article 8. Responsibilities and Authorities of the Ministry of Science and Technology

1. Direct and manage the organization and implementation of the Program according to the division of labor assigned by the Prime Minister in Decision No. 1831/QĐ-TTg dated October 1, 2010 on approving the Program to support the application and transfer of scientific and technological progress serving rural and mountainous economic and social development from 2011 to 2015.

2. Determine the list of projects and decide to approve the list, the leading agency, and the head of projects for those managed centrally as stipulated in Point a, Clause 3, Article 5 of this Circular.

3. Establish national science and technology councils to review and evaluate project proposal documents for centrally managed projects.

4. Review the content and budget estimates of the Program's tasks; approve the content, budget, leading agency, and technology transfer agency for centrally managed projects; and the content and budget for other activities of the Program.

5. Review the content and level of financial support from the central state budget for science and technology affairs for projects delegated to local management.

6. Compile the Program's budget estimate to balance within the annual total budget estimate for science and technology affairs; allocate the Program's common activity budget estimate and the budget estimate for implementing centrally managed projects to the Program's Office; coordinate with the Ministry of Finance to balance targeted financial support from the central state budget for science and technology affairs for projects delegated to local management and resolve issues related to the Program's finances.

7. Inspect and supervise the Program's operational situation; cooperate with provincial and municipal People's Committees in inspecting and supervising the implementation of projects under the Program.

8. Audit the final accounts of centrally managed projects under the Program and the Program's common activity budget.

9. Approve bidding plans for purchasing materials and equipment using funds from the central state budget for science and technology affairs for centrally managed projects in accordance with current regulations.

10. Adjust the objectives, content, budget items, and implementation schedules of centrally managed projects under the Program that have been approved, suspend and cancel contracts when necessary, and handle financial issues of suspended or canceled projects.

11. Establish evaluation boards to verify the results of centrally managed projects under the Program.

12. Organize mid-term reviews, evaluations of results, and summaries of the Program.

12. Organize interim reviews, assess results, and conduct a final summary of the Program.

Article 9. Tasks of the Steering Committee for the Program

1. Elaborate the objectives and contents of the Program as determined in Decision No. 1831/QĐ-TTg dated October 1, 2010 of the Prime Minister to serve as a basis for selecting and allocating projects under the Program for implementation in annual plans.

2. Develop the implementation plan for the Program, organize common activities of the Program.

3. Organize coordination and integration of scientific and technological activities within the scope of the Program with other related programs and projects.

4. Direct the main agency and the technology transfer agency of the project to implement the projects in accordance with the approved objectives, contents, schedules, and budgets.

5. Assist the Ministry of Science and Technology in urging, inspecting, evaluating, certifying, and summarizing the completion of projects. Propose measures to handle issues arising during the implementation of the Program.

6. Propose to the Ministry of Science and Technology to award commendations to organizations and individuals with outstanding achievements during the implementation of the project, and propose measures to handle cases of violation of regulations on organization and management of projects under the Program.

Article 10. Tasks of the Office of the Program

1. Draft the work program of the Steering Committee for the Program for approval by the Chairman of the Steering Committee for the Program, prepare the content and necessary conditions for meetings of the Steering Committee for the Program.

2. Organize State-level scientific and technological councils to evaluate project proposal documents, State-level scientific and technological councils to evaluate the completion results of projects under the Program managed centrally.

3. Maintain the Program's files and documents in accordance with current regulations.

4. Prepare the annual budget estimate for the Program's common activities; consolidate the Program's budget estimate; consolidate the Program's annual settlement report to submit to the Steering Committee, the Ministry of Science and Technology for consolidation and submission to the Ministry of Finance; propose and agree with relevant departments of the Ministry of Science and Technology on adjusting the contents and budgets of centrally-managed projects within the Program when necessary.

5. Prepare project implementation contracts and jointly sign project implementation contracts with provincial and municipal science and technology departments for centrally-managed projects upon authorization from the Minister of Science and Technology.

6. Disburse project implementation funds according to contracts for centrally-managed projects and other tasks under the Program.

7. Implement information dissemination, training, and instruction activities according to the approved content in Decision No. 1831/QĐ-TTg dated October 1, 2010.

8. Regularly build semi-annual and annual reports on the implementation status of the Program to submit to the Steering Committee for the Program and the Ministry of Science and Technology.

9. Organize inspections and participate in regular or spot inspections when necessary regarding the implementation of projects.

10. Build mid-term summary reports, final result evaluation reports, and effectiveness assessment reports on the implementation of the Program, organize mid-term and final summaries of Program activities.

11. Lead and coordinate with related units to assess residual asset values after project completion for submission to the Ministry of Science and Technology and the Ministry of Finance to decide on asset disposal plans for centrally-managed projects.

12. Lead and coordinate with provincial and municipal science and technology departments to process contract termination procedures for centrally-managed projects.

13. Propose to the Steering Committee for the Program to recommend the Ministry of Science and Technology to award commendations to organizations and individuals with outstanding achievements during the implementation of the project, and propose measures to handle cases of violation of regulations on organization and management of centrally-managed projects.

14. Statistically compile Program activity results, hand over Program project results and documents to the Ministry of Science and Technology and related localities.

15. Perform other tasks assigned by the Steering Committee and the Ministry of Science and Technology.

Article 11. Responsibilities and Authorities of the Provincial People's Committee.

1. Identify the list of projects managed by the Central Government within its jurisdiction and propose to the Ministry of Science and Technology for consideration and selection.

2. Identify projects and approve the list, the leading agency, and the project director for projects delegated to local management.

3. Approve the content, budget, and technology transfer agency for projects delegated to local management and propose to the Ministry of Science and Technology the level of financial support from the central government’s science and technology budget for such projects. It also assigns the provincial Department of Science and Technology to organize the implementation of these projects.

4. Approve procurement plans for materials and equipment funded by the state budget for projects under the Program delegated to local management according to current regulations.

5. Direct the provincial Department of Science and Technology and relevant departments to develop mechanisms to maintain, develop, and expand the results of projects into production.

6. Create favorable conditions for organizations and individuals to implement projects under the Program.

Article 12. Tasks of the Department of Science and Technology.

1. Assist the provincial/municipal People's Committee:

a) Organize the identification of the list of projects, leading agencies, project directors, and technology transfer agencies for projects delegated to local management.

b) Establish a provincial-level scientific and technological council to review and evaluate the project proposal documents for projects planned to be implemented locally under the Program.

c) Compile the list of projects managed by the Central Government; propose the level of financial support from the central government’s science and technology budget for projects delegated to local management to request the Ministry of Science and Technology to support their implementation.

2. Lead and coordinate with relevant departments to assess the counterpart funding for projects delegated to local management.

3. Together with the Program Office, sign contracts to implement projects with the leading agency and project director for projects managed by the Central Government.

4. Sign contracts to implement projects with the leading agency and project director for projects delegated to local management.

5. Regularly every six months or annually lead or coordinate with the Program Office and related units under the Ministry of Science and Technology to inspect and evaluate the implementation of projects under the Program; propose solutions to the Provincial People's Committee and the Ministry of Science and Technology for issues arising during the implementation of projects under the Program.

6. Annually based on the evaluation of project situations and outcomes by the leading agency, confirm the volume of work completed for projects delegated to local management; if requested by the Ministry of Science and Technology, confirm the volume of work completed for centrally-managed projects; compile and submit budget estimates and final accounts for projects delegated to local management for authorized bodies to review; propose adjustments to the objectives, content, and budget of projects delegated to local management when necessary to the Provincial People's Committee.

7. Urge and guide the preparation of annual reports and mid-term reports, final summary reports on the implementation of projects.

8. Establish a provincial-level scientific and technological council to evaluate and accept the outcomes of projects managed by the Central Government and projects delegated to local management.

9. Lead and coordinate with relevant departments to organize the assessment of remaining assets after the completion of projects, report to the Provincial People's Committee for decisions on asset disposal for projects delegated to local management.

10. Terminate contracts for projects delegated to local management and coordinate with the Program Office to handle contract termination procedures for centrally-managed projects.

11. Propose to the Provincial People's Committee to commend organizations and individuals with outstanding achievements in implementing projects and propose measures to deal with violations concerning project organization and management.

12. Retain project files and documents according to regulations.

13. Assist the Provincial People's Committee in preparing regular and special reports on project implementation situations within its jurisdiction as required and annual consolidated reports sent to the Ministry of Science and Technology.

14. Coordinate with relevant departments to develop mechanisms to support the maintenance, development, expansion, and implementation of project outcomes into production, and submit them to the Provincial People's Committee for issuance.

15. Organize interim and final evaluations of project activities under the Program implemented within the locality.

Article 13. Tasks of the Leading Agency

1. Direct and organize the full implementation of all commitments stipulated in the contract. Ensure conditions regarding infrastructure, human resources, and funding to support the project leader and technology transfer agency in implementing the project.

2. Guarantee project funding according to the approved justification and complete financial settlement in accordance with regulations; be responsible for managing and using project funds, materials, and assets as per the approved content and budget.

3. Support the project leader and technology transfer agency in implementing project contents and managing project funding in accordance with current regulations.

4. Based on the bidding plan for purchasing materials and equipment approved by competent authorities, organize the bidding process for purchasing materials and equipment in compliance with the Bidding Law and other current regulations.

5. Coordinate with local authorities to integrate project contents with national target program projects and other economic and social development programs implemented in the area, mobilize various sources of capital to ensure sufficient funding for project implementation alongside state budget support.

6. Evaluate the project's implementation status and annual workload.

7. Report to the Provincial Department of Science and Technology, People's Committee of the province or city any issues affecting project implementation and propose solutions for projects managed locally.

8. Report to the Provincial Department of Science and Technology, People's Committee of the province or city, Steering Board of the Program, and Ministry of Science and Technology any issues affecting project implementation and propose solutions for centrally-managed projects.

9. Coordinate with the Provincial Department of Science and Technology to organize acceptance of models and convene provincial-level science and technology councils to evaluate project acceptance under the Program.

10. Develop plans and organize the expansion of project results under the Program into production.

Article 14. Tasks of the Project Leader

1. Proactively implement project content and approved budget in accordance with regulations.

2. Fulfill contractual commitments, self-assess completed work volume, and be responsible for project progress, outcomes, and effective use of funds.

3. Regularly and promptly report on project implementation status and project fund usage to the Provincial Department of Science and Technology, Program Office, Program Steering Board, People's Committee of the province or city, and Ministry of Science and Technology, including:

a) Semi-annual reports on project implementation status.

b) Annual reports on completed work volume and annual financial settlement for project funding to serve as a basis for continued funding.

c) Prepare documentation for project completion evaluation in accordance with regulations.

d) Submit final financial settlement report for the project.

4. Transfer project results and products as prescribed.

5. Be subject to supervision and inspection of project implementation by the Ministry of Science and Technology, People's Committee of the province or city, Program Steering Board, leading agency, and other competent authorities.

Article 15. Handling emerging issues

1. During implementation, if any of the following situations are discovered, the Ministry of Science and Technology and the parties involved in the project implementation contract and the technology transfer contract may propose adjustments, suspension, or cancellation of the contract:

a) Due to external conditions such as natural disasters, fires, epidemics, etc., leading to the inability of the project leader, the main organizing agency, and the technology transferring agency to continue implementing the contract as agreed.

b) The project leader, the main organizing agency, and the technology transferring agency fail to ensure the material conditions, human resources, corresponding funding, and other conditions required for project implementation as committed in the contract.

c) The project leader, the main organizing agency, and the technology transferring agency lack the organizational management capacity and ability to implement the project contents as stipulated in the contract.

d) Misuse of project funds and failure to ensure effectiveness.

2. For centrally managed projects, the agency whose contract has been suspended or canceled must cease all project activities and report in writing to the provincial People's Committee on the work carried out, funds used, and equipment purchased. Based on the specific circumstances of each project, the provincial People's Committee will recommend the Ministry of Science and Technology to consider and resolve the matter.

3. For projects managed by local authorities, the unit whose contract has been suspended or canceled must cease all project activities and report in writing to the provincial Department of Science and Technology on the work carried out, funds used, and equipment purchased. Based on the specific circumstances of each project, the provincial Department of Science and Technology will recommend the provincial People's Committee to consider and resolve the matter and report in writing to the Ministry of Science and Technology.

Chapter III

MANAGEMENT OF FUNDS AND ASSETS

Article 16. Management of Program Funds

1. Program and project funds must be used for their intended purposes and ensure efficiency according to the approved budget and current financial management regulations.

2. Any adjustment to the original objectives, content, and budget of centrally managed projects that have been approved must be reviewed and approved by the Ministry of Science and Technology based on written recommendations from the provincial Department of Science and Technology and the Steering Committee of the Program.

3. Any adjustment to the original objectives, content, and budget of locally managed projects that have been approved must be reviewed and approved by the provincial People's Committee based on written recommendations from the provincial Department of Science and Technology and reported in writing to the Ministry of Science and Technology.

Article 17. Management of Program Assets

1. Assets invested with state budget funds for projects are state assets. The entity assigned by the state to purchase, manage, and use these assets is responsible for complying with current regulations on purchasing, managing, and using state assets.

2. Within sixty days from the date of formal evaluation and acceptance of the project results, the asset user must report to the competent state authority on the asset disposal plan.

3. Specific provisions on financial and asset management of the Program are detailed in the joint circular between the Ministry of Finance and the Ministry of Science and Technology.

Chapter IV

IMPLEMENTING PROVISIONS

Article 18. Implementation Organization

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

2. During implementation, if there are difficulties or obstacles, agencies, organizations, and individuals are advised to reflect these issues to the Ministry of Science and Technology for research and appropriate amendments and supplements.