Circular No. 07/2021/TT-BKHCN guiding the management of the National Science and Technology Innovation Fund activities

CIRCULAR

Guidelines for the Management of the National Science and Technology Innovation Fund's Activities

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

Pursuant to the Law on Technology Transfer dated June 19, 2017;

Pursuant to Decree No. 76/2018/NĐ-CP dated May 15, 2018 of the Government detailing and guiding the implementation of certain provisions of the Law on Technology Transfer;

Pursuant to Decree No. 95/2017/NĐ-CP dated August 16, 2017, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Pursuant to Decision No. 04/2021/QĐ-TTg dated January 29, 2021 of the Prime Minister promulgating the Charter on the Organization and Operation of the National Science and Technology Innovation Fund;

At the proposal of the Director of the National Innovation Fund and the Head of the Legal Department;

The Minister of Science and Technology issues this Circular guiding the management of the activities of the National Science and Technology Innovation Fund.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular guides the management of certain activities of the National Science and Technology Innovation Fund (hereinafter referred to as the Fund) as prescribed in the Charter on the organization and operation of the Fund issued together with Decision No. 04/2021/QĐ-TTg dated January 29, 2021 of the Prime Minister (hereinafter referred to as the Fund Charter), including: financial support activities of the Fund; management and implementation of science and technology programs and tasks using state budget; construction, signing, and management of implementation of the Fund’s cooperation programs, receiving capital from sponsorship, aid, and voluntary contributions.

Article 2. Applicability

This Circular applies to the Fund and enterprises, organizations, and individuals related to the activities of the Fund as prescribed in Article 1 of this Circular.

Chapter II

FINANCIAL SUPPORT ACTIVITIES OF THE FUND

Article 3. Financial support activities of the Fund

1. Financial support activities of the Fund include preferential loans, interest rate subsidies for loans, guarantees for borrowing, and capital support as stipulated in Chapter III of the Fund Charter and guidelines of the Management Council of the Fund.

2. Financial support activities of the Fund ensure transparency, economy, and effectiveness.

Article 4. Sources of funds for financial support activities of the Fund

1. Funds for implementing financial support activities for enterprises, organizations, and individuals as stipulated in Article 34 of the Fund Charter.

2. Annually, based on the implementation situation, results achieved against the targets and tasks of the current plan and the planned targets and tasks for the following year, the Director of the Fund prepares a plan for financial support activities and submits it to the Management Council of the Fund for decision.

Chapter III

MANAGEMENT AND IMPLEMENTATION OF SCIENCE AND TECHNOLOGY PROGRAMS AND TASKS USING STATE BUDGET

Article 5. General Principles

1. The Fund manages and implements science and technology programs and tasks that are

2. The Fund selects and manages tasks to ensure they do not overlap with those already implemented using state budget funds.

Article 6. Organization of Management and Implementation of Science and Technology Programs and Tasks

1. The Fund fulfills the responsibilities of a program management unit or a funding management unit for science and technology programs and tasks.

2. The Fund organizes the management and implementation of science and technology programs and tasks according to relevant regulations on management, organization of implementation, and financial management of science and technology programs and tasks, guidelines of the Ministry of Science and Technology, and related documents.

Article 7. Funding for Implementation of Science and Technology Programs and Tasks

1. Funding for the implementation of science and technology programs and tasks is secured from sources such as state budget funds; matching funds from enterprises, organizations, and individuals; and other lawful funding sources as prescribed by law.

2. Annually, the Ministry of Science and Technology considers and decides on the state budget allocation for the development of science and technology to implement science and technology programs and tasks as prescribed.

Chapter IV

CONSTRUCTION, SIGNING, AND MANAGEMENT OF IMPLEMENTATION OF THE FUND'S COOPERATION PROGRAMS

Article 8. Objectives and Principles of Cooperation

1. The Fund and domestic or foreign enterprises, organizations, or individuals (hereinafter referred to as partners of the Fund) shall develop cooperation programs in accordance with the functions and tasks of the Fund as prescribed by law. The objectives of the cooperation program include:

a) Supporting projects and tasks of enterprises and organizations that meet the conditions for receiving support as stipulated in the Charter of the Fund;

b) Enhancing the technological innovation capacity of enterprises, organizations, and individuals through attracting domestic and foreign resources (financial, technology, high-level technology human resources);

c) Promoting cooperation in supporting enterprises to decode, transfer, apply, and innovate technology between Vietnamese and international enterprises, organizations, and individuals; creating a cooperative environment to enhance national technological capabilities;

d) Strengthening connections and developing domestic and international cooperation networks; training scientific and technological human resources to serve the transfer, innovation, and improvement of technology;

đ) Enhancing the Fund's capacity in management governance, operational activities, and human resources; building databases on products, technology, enterprises, and experts to serve the Fund's activities; developing management tools to support the Fund;

2. Principles of Cooperation:

a) Determining cooperation programs must be consistent with the Fund's objectives, priority directions, plans, and operating budgets;

b) The Fund prioritizes selecting and cooperating with partners who have credibility, potential, and experience suitable for the Fund's functions and tasks, and commit to contributing financially to the cooperation program;

c) For cooperation programs involving foreign partners, it is necessary to ensure compliance with international treaties to which Vietnam is a member and related international agreements to which the Ministry of Science and Technology has participated in signing;

d) For cooperation programs involving contributions from non-governmental organizations operating in Vietnam, the Fund coordinates and seeks opinions from the Ministry of Foreign Affairs during the partner selection process;

Article 9. Selection of Partners, Approval, and Signing of Cooperation Documents

1. The Fund conducts searches, selects appropriate partners, negotiates to determine cooperation programs and contents, and drafts cooperation documents according to current regulations.

2. Signing cooperation documents:

a) Procedures for seeking approval and signing cooperation documents between the Fund and foreign partners are carried out in accordance with current relevant regulations. After obtaining approval from the leadership of the Ministry of Science and Technology, the Chairman of the Management Board signs cooperation documents with the Fund's foreign partners;

b) The Management Board decides to approve cooperation documents between the Fund and domestic partners. After the cooperation document is approved, the Director of the Fund signs the cooperation document with the Fund's domestic partners according to current regulations;

Article 10. Organization of Management and Implementation of Cooperation Programs

1. Within fifteen days from the date of signing the cooperation document, the Fund is responsible for publishing information about the cooperation program and related contents on the Fund's electronic portal.

2. The Director of the Fund and the assisting staff organize the implementation of the cooperation program according to the bilateral cooperation agreement signed.

3. Funding for implementing cooperation programs is guaranteed from sources including: state budget funds; funds from the Fund's operational results; funds formed from various forms of sponsorship, aid, and voluntary contributions from domestic and foreign enterprises, organizations, and individuals, and other lawful sources as prescribed by law.

Chapter V

ACCEPTING FUNDS FROM SPONSORSHIP, AID, AND VOLUNTARY CONTRIBUTIONS

Article 11. Principles for Accepting Sponsorship and Contributions

The Fund shall accept sponsorship, aid, and contributions (hereinafter referred to as sponsorship and contributions) according to the provisions of the law under the following principles:

1. The Fund may accept sponsorship and contributions from businesses, organizations, and individuals both domestically and internationally, in accordance with the provisions of this Circular and related regulations.

2. Sponsorship and contributions to the Fund must ensure voluntariness, transparency, and openness in compliance with current laws and the provisions of this Circular.

3. The Fund shall not accept sponsorship and contributions that harm national interests, security, defense, violate anti-corruption laws, money laundering activities, terrorist financing, and other illegal activities.

4. The Fund shall cooperate with Vietnamese representative offices abroad and relevant ministries and sectors in introducing, connecting, and supporting domestic agencies, units, and funds to collaborate with foreign businesses, organizations, individuals, and overseas Vietnamese in research, application, technology transfer, innovation, and improvement activities.

5. Adhere to the provisions of Vietnamese law, international treaties to which Vietnam is a member, and international agreements to which the Ministry of Science and Technology has participated; align with the management and utilization principles of the Fund's operational capital and current relevant regulations.

6. Domestic and foreign businesses, organizations, and individuals sponsoring and contributing to the Fund (hereinafter referred to as sponsors and contributors) must ensure and be responsible for the origin and legality of their sponsorship and contributions to the Fund.

Article 12. Review of Application Documents, Approval, and Signing of Sponsorship and Contributions

1. Preparation of sponsorship and contribution documents:

a) For sponsorship and contributions within the approval authority of the Minister of Science and Technology: The Fund shall lead and coordinate with its partners and sponsors to prepare sponsorship and contribution documents in accordance with Decree No. 80/2020/ND-CP dated July 8, 2020 of the Government on managing and using non-reimbursable aid not included in official development assistance provided by foreign agencies, organizations, and individuals to Vietnam, and current regulations (hereinafter referred to as Decree No. 80/2020/ND-CP).

b) For sponsorship and contributions within the approval authority of the Chairman of the Fund Management Council: The Fund shall prepare sponsorship and contribution documents in accordance with current regulations.

2. Review of sponsorship and contributions:

a) The Ministry of Science and Technology shall review foreign partner sponsorship and contributions in accordance with Decree No. 80/2020/ND-CP.

b) The Fund shall organize the review of domestic partner sponsorship and contributions.

The review content includes: The alignment of the sponsorship and contribution objectives with the Fund's development goals; the legal status of sponsors and contributors and the legality of related organizations, individuals, and businesses under Vietnamese law; the Fund's capacity to receive and implement the sponsorship and contributions; financial mechanisms for the sponsorship and contributions; commitments, preconditions, and other conditions of participating parties; economic and social effectiveness, impact on public security, and the ability to apply the results of the sponsorship and contributions to practice.

c) The leading unit organizing the review may invite specialized units, consulting organizations, and independent consultants to assist in reviewing sponsorship and contribution documents.

d) In cases where sponsorship and contributions do not meet the conditions for acceptance, the Fund shall notify the sponsors and contributors of the rejection.

3. Approval of sponsorship and contributions:

a) The Ministry of Science and Technology shall decide to approve foreign partner sponsorship and contributions in accordance with Decree No. 80/2020/ND-CP.

b) The Chairman of the Fund Management Council shall decide to approve domestic partner sponsorship and contributions.

4. The Chairman of the Fund Management Council shall execute signing of sponsorship and contribution documents and agreements with sponsors and contributors.

5. The Fund shall manage and utilize sponsorship and contributions according to the bilateral cooperation agreements signed.

Chapter VI

IMPLEMENTATION

Article 13. Implementation of Information Disclosure and Reporting on Activities

1. The Fund shall regularly disclose basic information about the Fund and any unusual information during its operations on the Fund's website in accordance with Article 41 of the Fund Charter.

2. The Fund shall report on the management and use of its capital sources every six months and annually. These reports of the Fund shall be prepared according to the model attached to this Circular, including:

a) Report on the management and use of the registered capital as set out in Appendix 1 attached to this Circular;

b) Report on the implementation of science and technology programs and tasks as set out in Appendix 2 attached to this Circular;

c) Report on the provision of financial support and interest rate subsidies as set out in Appendix 3 attached to this Circular;

d) Report on direct lending, indirect lending, and guarantees for borrowing as set out in Appendix 4 attached to this Circular;

e) Report on the implementation of cooperation programs, receiving sponsorships, and contributions as set out in Appendix 5 attached to this Circular.

3. The Fund shall have the responsibility to provide information and reports promptly upon request from competent authorities as stipulated by law.

4. The Chairman of the Management Board of the Fund and the Director of the Fund shall be responsible for the accuracy and honesty of the above reports.

Article 14. Responsibilities of the Ministry of Science and Technology

1. Implement state management tasks for the Fund and other duties and powers of the state owner representative towards the Fund as prescribed in this Circular and other relevant legal documents.

2. Assign units under the Ministry to fulfill responsibilities:

a) The Legal Affairs Department shall cooperate with the Fund to guide, perfect, amend, and supplement legal documents regarding the organization and operation of the Fund;

b) The Cadre and Civil Servant Organization Department and the Planning and Finance Department shall conduct inspections, supervision, and evaluations of the Fund's operational results based on their functions and tasks assigned by the Minister of Science and Technology as stipulated in this Circular and related documents;

c) The Planning and Finance Department shall allocate funds for the Fund based on the annual state budget balance to manage and implement science and technology programs and tasks using state budget funds.

Article 15. Responsibilities of the Fund

1. Organize and effectively implement financial support activities; science and technology programs and tasks assigned by the Prime Minister or the Minister of Science and Technology; cooperation programs; and other activities as prescribed in this Circular.

2. Receive, manage, and use efficiently and in compliance with the law all sources of operating capital as stipulated in Article 34 of the Fund Charter.

3. Issue documents within its authority to guide the implementation of the Fund Charter and this Circular.

Article 16. Responsibilities of Enterprises, Organizations, and Individuals Related to the Fund

1. The leading organizations and individual heads participating in science and technology programs and tasks shall be responsible for complying with guidelines on managing and organizing the implementation of these programs and tasks and related documents.

2. Enterprises, organizations, and individuals participating in activities as prescribed in this Circular shall be responsible for adhering to commitments made with the Fund, Vietnamese laws, and international treaties to which Vietnam is a party.

Article 17. Effective Date

1. This Circular takes effect from November 1, 2021.

2. During the implementation process, if the documents cited in this Circular are replaced, amended, or supplemented, they shall be applied according to the newly issued documents.

3. If there are difficulties during the implementation process, enterprises, organizations, and individuals are requested to reflect them to the Ministry of Science and Technology for research and appropriate amendments and supplements.