Circular No. 07/2015/TT-BKHCN provides for the evaluation and acceptance of results from implementing projects funded by the state budget for science and technology activities under the National Product Development Program until 2020.

CIRCULAR

Regulations on the evaluation and acceptance of results from projects utilizing state budget funds for scientific and technological activities under the National Product Development Program until 2020

Implementing Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the National Product Development Program until 2020;

The Minister of Science and Technology issues this Circular regulating the evaluation and acceptance of results from tasks funded by state budget funds for scientific and technological activities under the National Product Investment Project within the National Product Development Program until 2020.

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

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

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;

Article 1. This Circular regulates the evaluation and acceptance of results from tasks funded by state budget funds for scientific and technological activities under the National Product Investment Project (hereinafter referred to as Tasks under the National Product Investment Project) within the National Product Development Program until 2020 (hereinafter referred to as the Program).

The managing unit of tasks under the Program

The evaluation and acceptance of results from research topics, experimental production projects, and scientific and technological projects of the Program shall be applied according to the provisions of Circular No. 11/2014/TT-BKHCN dated May 30, 2014 of the Minister of Science and Technology on the evaluation and acceptance of results from national-level scientific and technological tasks funded by state budget funds and based on the contracts signed for each task.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 2. Projects investing in enhancing scientific and technological capacity (hereinafter referred to as ST&T) to serve the development of national products, which are supported with funds from the state investment budget, are not within the scope of regulation of this Circular.

Article 3. This Circular applies to agencies, organizations, and individuals related to the management and implementation of ST&T projects and National Product Investment Projects under the Program.

2. Projects to enhance scientific and technological capacity (hereinafter referred to as science and technology or ST) serving the development of national products supported by state budget funds for investment and development are not within the scope of regulation of this Circular.

3. This Circular applies to agencies, organizations, and individuals related to the management and implementation of ST projects and national product investment projects under the Program.

Chapter II

PROCEDURE FOR EVALUATION AND ACCEPTANCE OF RESULTS FROM TASKS UNDER THE NATIONAL PRODUCT INVESTMENT PROJECT

TASKS BELONGING TO THE NATIONAL PRODUCT INVESTMENT PROJECT

Article 2. Documents for Evaluation and Acceptance of Results from Tasks under the National Product Investment Project

The documents for evaluation and acceptance of results from Tasks under the National Product Investment Project include:

1. A letter requesting the evaluation and acceptance of results from Tasks under the National Product Investment Project from the Leading Organization according to Model 1 attached to this Circular;

2. A final report on the process of implementing contents aimed at producing products as stipulated in the signed contract and a summary report on the implementation of Tasks under the National Product Investment Project;

3. A report on the products of Tasks under the National Product Investment Project;

4. A copy of the contract and explanation of Tasks under the National Product Investment Project and the explanation of the National Product Investment Project that has been approved;

5. A report on the use of funds for Tasks under the National Product Investment Project;

6. A report on the assessment of the results of Tasks under the National Product Investment Project from the Leading Organization of the National Product Investment Project according to Model 2 attached to this Circular;

7. Other documents (if any).

Article 3. Submission of Documents for Evaluation and Acceptance of Results from Tasks under the National Product Investment Project

1. Time limit for submission: The submission of documents must be completed within thirty (30) days from the date of completion of the contract or the extended contract period (if applicable).

2. The documents specified in Article 2 of this Circular must be packaged in a sealed envelope and submitted directly or sent via postal service to the National Product Management Unit, including: one original set (with stamps and original signatures) and one electronic version (in PDF format, without security settings, pages with stamps and signatures must be scanned from the original documents). Outside the envelope, the following information must be clearly marked:

a) Name of the National Product Investment Project;

b) Name, address of the Leading Organization of the National Product Investment Project and the name of the Project Director;

c) Name of the Task under the National Product Investment Project;

d) Name, address of the Leading Organization and Head of the Task under the National Product Investment Project (if applicable);

e) List of documents included in the file.

3. Within five (05) working days from the date of receipt of the documents, the National Product Management Unit must notify the Leading Organization of the Task under the National Product Investment Project about the validity of the documents. In case the documents are not valid according to the regulations, the Leading Organization must supplement them within fifteen (15) working days from the date of notification. Upon receiving complete valid documents, the National Product Management Unit will issue a confirmation letter to the Leading Organization according to Model 3 attached to this Circular.

Article 4. Information on the Results of Implementing Tasks under the SPQG Investment Project

1. The SPQG Management Unit shall post information related to the evaluation and acceptance of the results of implementing tasks under the SPQG investment project (excluding tasks related to national defense and security) on the electronic portal of the SPQG Managing Authority within thirty (30) days. The posted information includes:

a) General information about the task under the SPQG investment project: name, code number, budget, implementation period, leading organization, principal investigator, and key participants in the implementation of the task under the SPQG investment project;

b) A summary report on the results of implementing the task under the SPQG investment project;

c) The time and location planned for organizing the evaluation and acceptance.

2. The deadline for posting information: no later than five (05) working days after the SPQG Management Unit receives valid documentation.

Article 5. Evaluation and Acceptance Advisory Board and Expert Team for the Results of Implementing Tasks under the SPQG Investment Project

1. The Evaluation and Acceptance Advisory Board and Expert Team for the Results of Implementing Tasks under the SPQG Investment Project shall be established by the Head of the SPQG Managing Authority based on the proposal of the SPQG Management Unit within fifteen (15) working days from the date of receiving valid documentation.

2. The Evaluation and Acceptance Advisory Board for the Results of Implementing Tasks under the SPQG Investment Project (hereinafter referred to as the Board) consists of nine (09) members including the chairman, vice-chairman, two (02) opposing members, one (01) secretary member, and other members, among which:

a) Six (06) members are scientific and technological experts (selected from the expert database of the Ministry of Science and Technology) and economic experts; three (03) members are representatives of the SPQG Managing Authority, the SPQG Management Unit, and the Program Steering Committee;

b) Individuals currently employed at the leading organization of the task under the SPQG investment project, or those with interests related to the principal investigator or the leading organization of the task under the SPQG investment project, shall not participate in the Board.

3. The Evaluation and Acceptance Expert Team for the Results of Implementing Tasks under the SPQG Investment Project (hereinafter referred to as the Expert Team) consists of three (03) members of the Board appointed by the chairman or vice-chairman of the Board as team leader. The Expert Team is responsible for verifying the reliability and authenticity of the products of the task under the SPQG investment project.

4. In special cases due to the complexity or specific requirements of the task, the Head of the SPQG Managing Authority may decide on the number and composition of the board differently from the provisions of Clause 2 of this Article or select scientific and technological experts outside the expert database of the Ministry of Science and Technology.

Article 6. Participants in Evaluation and Acceptance Meetings for the Results of Implementing Tasks under the SPQG Investment Project

1. The official participants include the subjects specified in Article 5 of this Circular and two (02) administrative secretaries from the SPQG Management Unit and relevant functional units of the SPQG Managing Authority.

2. Invited delegates to the meetings of the Board include: representatives of the Program Steering Committee, representatives of the Department of Science and Technology of the Ministry of Science and Technology; representatives of the financial management unit of the SPQG, representatives of the science and technology management unit of the SPQG Managing Authority; representatives of the leading organization of the SPQG investment project and the leading organization of the task under the SPQG investment project; the director of the SPQG investment project; the principal investigator of the task under the SPQG investment project.

Article 7. Procedure and Content of the Council Meeting

1. The management unit of SPQG is responsible for organizing sessions of the Council. The first session shall not be later than thirty (30) working days from the date of signing the Decision to establish the Council.

2. Submitting evaluation and acceptance documentation results and preparatory work of Council members:

a) At least ten (10) working days before the first session of the Council, the management unit of SPQG is responsible for preparing materials to provide to Council members including one copy of the evaluation and acceptance documentation result of the Task under the SPQG Investment Project as stipulated in Article 4 of this Circular; the Decision to establish the Council; the Comment Sheet on the implementation result of the Task under the SPQG Investment Project according to Model 4 attached to this Circular;

b) Council members are responsible for carefully studying the registration review documentation and related materials; simultaneously recording comments on comment sheets prior to the Council meeting.

3. Procedure and content of the Council meeting:

a) The Council session must have at least two-thirds of the number of Council members present, including the Chairman or Vice-Chairman and the reviewing members;

b) The administrative secretary reads the decision to establish the Council, introduces the Council members and attending representatives; the representative of the SPQG Managing Authority makes a statement, presents requirements for the Council (if any), and invites the Chairman of the Council to chair the session. In case the Chairman is absent, the Vice-Chairman will manage the Council's activities;

c) The Chairman of the Council unifies and approves the work content of the Council in accordance with the provisions of this Circular and chairs the meeting; the Council votes to elect a ballot counting board consisting of three (3) Council members (including the Head and two (2) members) and the Council secretary; the Council secretary records the opinions of the members and the Minutes of the Council meeting according to Model 5 attached to this Circular;

d) The head of the Task under the SPQG Investment Project reports briefly on the implementation results; individuals implementing the Task answer questions from Council members and attending representatives (if any) and do not continue to attend the Council session;

đ) The head of the expert team reports on the assessment results for the Task under the SPQG Investment Project according to Model 6 attached to this Circular;

e) Council members present their comments and evaluations on the implementation results of the Task under the SPQG Investment Project; the Council secretary reads the opinions of absent members (if any) for the Council to refer to;

g) The Council discusses, analyzes, and evaluates the implementation results of the Task under the SPQG Investment Project based on the criteria recorded in the Implementation Result Evaluation Form for the Task under the SPQG Investment Project according to Model 7 attached to this Circular;

h) The Council refers to the opinions of attending representatives at the meeting and feedback on information published as stipulated in Article 6 of this Circular compiled by the SPQG Management Unit (if any);

i) Council members record and vote independently to evaluate the implementation results of the Task under the SPQG Investment Project through the Evaluation Form stamped by the SPQG Managing Authority;

k) The ballot counting board compiles and reports the voting result according to Model 8 attached to this Circular;

l) The Council announces the voting result of the evaluation. The implementation result of the Task under the SPQG Investment Project meets the requirements when at least three-quarters (3/4) of the total number of present Council members vote "Pass";

m) The Chairman of the Council announces the draft conclusion of the evaluation and acceptance of the implementation result of the Task under the SPQG Investment Project, and the Council discusses and approves the Minutes of the Council meeting;

n) Representatives of various agencies make statements (if any).

4. In cases where necessary, the SPQG Management Unit submits to the Head of the SPQG Managing Authority for consideration and decision on organizing independent consulting opinions to evaluate the acceptance of the implementation result of the Task under the SPQG Investment Project before recognizing the implementation result.

5. The Council's concluding opinion is sent by the SPQG Management Unit to the Host Organization within two (02) working days after the end of the session as a basis for supplementing and perfecting the documentation.

Article 8. Content of evaluation and requirements for each content

1. Regarding the final report

Evaluate the completeness, scientific nature, clarity, authenticity, and logical structure of the comprehensive report (overview, research methods, techniques used...) and necessary accompanying documents (design documents, technology documents, intermediate products, cited documents).

Rank "Excellent" when the final report is complete and does not require revision; rank "Satisfactory" when the comprehensive report can be completed after revisions and supplements based on the Council's comments; rank "Unsatisfactory" when it fails to meet the above two cases.

2. Regarding the products of the task

Each product of the task is evaluated according to criteria on quantity, volume, quality compared to the contract at three levels: "Excellent" when exceeding the level specified in the contract; "Satisfactory" when meeting the requirements specified in the contract; "Unsatisfactory" when failing to meet the requirements specified in the contract.

3. Regarding the applicability and development of the results of the Task during the production process of SPQG

This content is evaluated at three levels: "Excellent" when the results have been or have the potential to be applied immediately to production; "Satisfactory" when the results need further completion to be applied to production; "Unsatisfactory" when not belonging to the above two cases.

4. Regarding progress

It is evaluated depending on whether the acceptance evaluation submission file is submitted on time; delayed less than six months and delayed more than six months.

5. General evaluation

a) Each member of the Evaluation Council ranks the overall level of the Task according to the following three levels:

Excellent: When the contents stipulated in Clause 2 and Clause 3 of this Article reach the "Excellent" level, the content stipulated in Clause 1 of this Article is from the "Satisfactory" level upwards, and the submission file is timely;

Satisfactory: When the contents stipulated in Clause 1, Clause 2, and Clause 3 of this Article are from the "Satisfactory" level upwards, and the submission file is timely or delayed not more than six months;

Unsatisfactory: Not belonging to the above two cases.

b) The Evaluation Council ranks the Task according to the following three levels:

Excellent: If the task has at least 3/4 of the present members of the council agreeing to evaluate at the "Excellent" level and there is no member evaluating at the "Unsatisfactory" level;

Unsatisfactory: If the task has more than 1/3 of the present members of the council evaluating at the "Unsatisfactory" level;

Meets requirements: Not belonging to the above two cases.

Article 9. Handling the results of the acceptance evaluation of the implementation outcomes of Tasks under the SPQG Investment Project

1. Tasks under the SPQG Investment Project are settled and contracts terminated after the products of the Tasks under the SPQG Investment Project and assets purchased with state budget funds are inventoried according to current regulations.

2. For Tasks under the SPQG Investment Project with acceptance results at the "Unsatisfactory" level, the SPQG Management Agency shall take the lead and coordinate with the Ministry of Science and Technology to handle according to current regulations regarding the handling of scientific and technological tasks that fail to meet acceptance requirements.

3. Announcing, using the implementation outcomes of Tasks under the SPQG Investment Project and terminating contracts shall be carried out according to current regulations.

Article 10. Recognition of the implementation outcomes of Tasks under the SPQG Investment Project

1. The recognition file of the implementation outcomes of Tasks under the SPQG Investment Project includes:

a) Minutes of the Evaluation Council meeting;

b) Report on completing the acceptance evaluation file according to Model 9 attached to this Circular;

c) Opinions of experts or independent consulting organizations (if any).

2. Recognizing the implementation outcomes of the task.

Within fifteen working days from the date of receiving all documents stipulated in Clause 1 of this Article, the Head of the SPQG Management Agency shall be responsible for examining and issuing a decision recognizing the implementation outcomes of Tasks under the SPQG Investment Project according to Model 10 attached to this Circular. The decision recognizing the implementation outcomes of Tasks under the SPQG Investment Project is part of the monitoring and evaluation investment file of the SPQG Investment Project according to current regulations.

Chapter III
IMPLEMENTING PROVISIONS

Article 11. Responsibility for Implementation

1. Agencies, organizations, and individuals related to the management and implementation of the National Product Development Program until 2020 shall organize implementation based on the guidance of this Circular.

2. Offices of national science and technology programs and SPQG management units shall be responsible for managing all original files and main documents during the evaluation and acceptance of Tasks under the SPQG Investment Project for national products within their management authority according to current regulations and the division of labor by the SPQG Management Agency.

Article 12. Effective Date

1. This Circular takes effect from May 1, 2015.

2. In case the legal normative documents referred to in this Circular are amended, supplemented, or replaced by new legal normative documents, they shall be applied according to the new legal normative documents.

3. During the implementation of this Circular, if there are difficulties, please report to the Ministry of Science and Technology for consideration and resolution./.