Circular No. 08/2012/TT-BKHCN on the selection and direct assignment of organizations and individuals to lead the implementation of state-funded scientific research and technological development projects and experimental production projects

CIRCULAR

Regarding the selection and direct assignment to organizations and individuals in charge of implementing scientific research topics and technological development projects, pilot production projects at the state level

Pilot production projects at the state level

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Pursuant to the Law on Science and Technology dated June 9, 2000;

Pursuant to Decree No. 81/2002/NĐ-CP dated October 17, 2002 of the Government detailing the implementation of certain provisions of the Law on Science and Technology;

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;

Considering the proposal of the Director of the Department of Planning and Finance;

The Minister of Science and Technology issues a Circular on the selection and direct assignment to organizations and individuals in charge of implementing scientific research topics and technological development projects, pilot production projects at the state level.

Article 1. Scope and objects regulated

1. This Circular guides the selection and direct assignment to organizations and individuals in charge of implementing scientific research topics and technological development projects (hereinafter referred to as "topics"), pilot production projects (hereinafter referred to as "projects") under national science and technology programs and independent national pilot production projects.

2. The selection and direct assignment to organizations and individuals in charge of implementing social sciences and humanities topics and projects are not within the scope of this Circular's regulation.

Article 2. Selection and Direct Assignment

1. Selection is the process of choosing organizations and individuals with the best capability and experience to implement topics and projects according to government orders through reviewing and evaluating application files for participation in the selection process as stipulated in this guiding Circular.

Selection is applied to topics and projects where multiple organizations and individuals have the ability to participate in order to achieve the highest efficiency.

2. Direct assignment is the designation of organizations and individuals who possess sufficient capability, integrity, conditions, and relevant expertise to undertake special topics and projects according to government orders.

Direct assignment is applied to:

a) Topics and projects involving state secrets and special aspects of national security and defense.

b) Urgent topics and projects serving economic and social development and ensuring social welfare.

c) Topics and projects whose content can only be carried out by one organization or individual possessing the necessary expertise and equipment.

Article 3. Principles of Selection and Direct Assignment

1. The selection process must be publicly announced through mass media: Programs VTV1 of Vietnam Television, Voice of Vietnam Radio, People's Newspaper, and Saigon-Gia Dinh Newspaper. Detailed information will be fully published in the Science and Development Newspaper, on the websites of the Ministry of Science and Technology http://www.most.gov.vn, http://www.vista.gov.vn, http://www.tchdkh.org.vn.

2. Direct assignment is implemented by sending documents to designated organizations and individuals to prepare application files and draft defense outlines before the science and technology council.

3. The Minister of Science and Technology establishes a science and technology council to advise on the selection process and review direct assignments for organizations and individuals in charge of implementing topics and projects.

4. The evaluation of application files for participation in the selection and direct assignment process is conducted by scoring based on specific criteria groups for topics and projects as stipulated in Article 10 of this Circular.

5. Each individual may only register as the head of one (01) topic or project. Collaboration among participating organizations and individuals in implementing topics and projects is encouraged to maximize resources and effectively carry out the topics and projects.

6. The results of the selection and direct assignment, after approval, are notified to successful organizations and individuals, their managing agencies, and published on the websites of the Ministry of Science and Technology http://www.most.gov.vn, http://www.vista.gov.vn, http://www.tchdkh.org.vn.

Article 4. Conditions for participation in selection and direct assignment

1. For organizations:

a) Organizations with legal personality, registered for scientific and technological activities, and having functions suitable to the field of expertise of the topics and projects have the right to participate in the registration for selection or be considered for direct assignment as the head of the topics and projects.

b) Organizations are not allowed to participate in the registration for selection or be considered for direct assignment as the head of topics and projects when submitting applications if they have not:

- Fully repaid recovered funds according to contracts for independent projects, projects under programs, technology import projects, and science and technology projects assigned;

- Completed the final acceptance inspection of state-level topics and projects later than twelve months from the contract completion date without the approval of the Ministry of Science and Technology.

2. For individuals:

a) The principal investigator of topics and projects must meet the following requirements simultaneously:

- Hold a bachelor's degree or higher, have relevant expertise, and have been actively working in the same field of science as the topics and projects in the five years prior to the submission deadline;

- Propose the plan and lead the preparation of the project description;

- Possess the ability to directly implement or organize implementation and ensure sufficient time to lead the research work of the topics and projects.

b) Individuals are not eligible to register for selection or direct assignment as the principal investigator of topics and projects if, at the application deadline, they are still the principal investigator of topics and projects under programs; independent topics and projects; international cooperation topics and projects in science and technology according to protocols; topics and projects under science and technology projects; topics and projects funded by the National Science and Technology Development Fund.

c) Individuals who are the principal investigators of state-level topics and projects evaluated as "unsatisfactory" without being granted an extension to complete the results or whose topics and projects were suspended due to violations will not be eligible to register for selection or direct assignment for two (02) years from the date of the conclusion of the state-level acceptance inspection council or the date of the decision by the competent authority to suspend the implementation of the topics and projects.

d) Individuals who are the principal investigators of state-level topics and projects submit the basic acceptance inspection application file late by six (06) months or more from the contract completion date without the approval of the Ministry of Science and Technology will not be eligible to register for selection or direct assignment for the corresponding period as follows:

- Twelve months, calculated from the actual submission date of the acceptance inspection application file if it is submitted late by six (06) months to less than twenty-four months;

- Twenty-four months, calculated from the actual submission date of the acceptance inspection application file if it is submitted late by twenty-four months or more.

The Ministry of Science and Technology shall organize the opening of files for inspection and confirmation of the conditions for participation in selection and direct assignment in accordance with the provisions of this Article.

Article 5. Application Documents for Participation in Selection and Direct Assignment

1. Application documents for selection and direct assignment include the following documents:

a) The main application form for implementing the research topic or project (Annex 1, Form B1-1);

b) Detailed description of the research topic (Annex 1, Form B1-2a), detailed description of the project (Annex 1, Form B1-2b);

c) Summary of scientific and technological activities of the organization applying to be the main implementer of the research topic or project (Annex 1, Form B1-3);

d) Scientific curriculum vitae of the individual applying to be the principal investigator and other individuals applying to be the main implementers of the research topic or project, confirmed by the managing authority (Annex 1, Form B1-4);

đ) Legal document confirming the agreement of organizations applying to cooperate in implementing the research topic or project - if applicable (Annex 1, Form B1-5);

e) Legal documents proving that the applicant does not fall under the cases specified in point b, Clause 1 and points b, c, d, Clause 2 of Article 4 of this Circular (if applicable).

g) Legal documents proving the capacity in terms of human resources, equipment, and ability to mobilize funds from other sources to implement the research topic or project (if there is a declaration of mobilizing funds from other sources). For projects, it is mandatory to have legal documents committing and explaining the ability to mobilize funds from sources outside the state budget for science and technology amounting to at least 70% of the total estimated necessary investment costs for implementation (financial reports of enterprises in the last 2-3 years; commitment to lend or guarantee loans from banks; legal commitments on contributions of participating organizations).

h) Legal document confirming the consent of relevant authorities regarding the application of research results of the research topic or project if the product meets scientific requirements and quality standards (if applicable).

2. The application documents for participation in selection and direct assignment include one (01) original set of documents (with stamps and signatures) presented and printed on A4 paper using Vietnamese font from the Unicode character set according to Vietnam Standard TCVN 6909:2001, font size 14, and one (01) electronic copy of the documents saved on a CD (in PDF format, without password protection) enclosed in a sealed envelope clearly marked as follows:

a) Name of the research topic or project applied for participation in selection and direct assignment (clearly stating: name of the research topic or project; name and code number of the program);

b) Name and address of the organization applying to be the main implementer and organizations participating in cooperation to implement the research topic or project (only list organizations that have confirmed their participation in cooperation);

c) Names of the individuals applying to be the principal investigators of the research topic or project and the list of key participants in implementing the research topic or project (only list individuals who have confirmed their participation in cooperation);

d) List of documents included in the registration package.

Article 6. Submission of Application Documents for Participation in Selection and Direct Assignment

1. Application documents for participation in selection and direct assignment shall be submitted directly or sent by post to the headquarters of the Ministry of Science and Technology at No. 113 Tran Duy Hung Street, Trung Hoa Ward, Cau Giay District, Hanoi City.

2. Deadline for submission of documents: As announced by the Ministry of Science and Technology.

3. The date of receipt of the documents is the date stamped by the Hanoi Post Office (in case of submission by post) or the date stamp of the Ministry of Science and Technology (in case of direct submission).

4. Within the prescribed deadline for submission of documents, organizations and individuals applying for participation in selection and direct assignment have the right to withdraw the submitted documents to replace them with new ones or supplement the submitted documents. Replacement of documents and supplementation must be completed before the deadline for submission of documents as prescribed; supplementary documents are part of the application package.

Article 7. Opening the file

1. The Ministry of Science and Technology shall organize the opening of the file, check, and confirm the validity of the file with the participation of representatives from relevant agencies (if necessary), representatives of organizations and individuals registering to participate in the selection and direct assignment.

2. A valid file is one that is prepared according to the prescribed forms and meets the requirements stipulated in Articles 4, 5, and 6 of this Circular.

3. The process and results of opening the file shall be recorded in a minutes document (Annex 2, Form B2-1).

4. The file shall be considered and evaluated when it meets the conditions specified in Clause 2 of this Article.

Article 8. Scientific and technological council

1. The Minister of Science and Technology shall establish a scientific and technological advisory council for selecting organizations and individuals to lead the implementation of research topics and projects and a scientific and technological review council for reviewing the research topic and project proposals for direct assignment (hereinafter referred to as the council). Each council may advise on one (01) or several topics and projects (in cases where the topics or projects are in the same field).

2. The council shall consist of nine to eleven members, including a chairman, vice-chairman, two (02) opposing members, and other members, of which:

a) Two-thirds (2/3) are reputable experts with a sense of responsibility, appropriate qualifications and expertise, deep knowledge in the assigned scientific and technological field, and at least five years of recent experience in the assigned field.

b) One-third (1/3) are representatives of state management agencies, policy planning agencies, ministries, sectors, state-owned corporations, economic groups, and units expected to benefit from the results of the research topics and projects.

For research topics and projects under national science and technology programs, there shall not be more than one (01) member from the program's steering committee, who shall not serve as chairman, vice-chairman, or opposing member.

3. Experts and opposing members who have participated in the advisory council for determining priority scientific and technological tasks shall be given priority to join the council for corresponding topics and projects.

Council members can be selected from the database of experts of the Ministry of Science and Technology.

4. In case of necessity, the Ministry of Science and Technology may invite external experts with deep understanding of the research field of the topic and project to review and evaluate the file.

5. Individuals in the following situations shall not be members of the council:

a) Individuals who have registered as the principal or participants in implementing the research topic and project.

b) Individuals belonging to organizations that have registered as the main organizer of the research topic or project.

6. The Ministry of Science and Technology shall take the lead in organizing council meetings and appoint administrative secretaries to assist the council.

Article 9. Principles of operation of the council

1. The administrative secretary of the council shall be responsible for preparing and sending the following documents to all council members and experts (if any) at least five days before the council meeting:

a) Decision on establishing the council and the attached list;

b) Extracts from the list of approved research topics and projects;

c) A copy of the original registration file or electronic version of the registration file for participation in selection or direct assignment;

d) Sample evaluation form for research topics (Annex 2, Form B2-2a), projects (Annex 2, Form B2-2b);

đ) Other related documents.

2. The council meeting must have at least two-thirds of the council members present, including the chairman or vice-chairman and two (02) opposing members.

3. The chairman of the council shall preside over council meetings. In the absence of the chairman, the vice-chairman of the council shall preside over the council meeting. The council shall elect a scientific secretary to record the professional opinions of the members and the conclusions of the council in the minutes and related documents of the council. Written opinions of absent members (if any) shall only have reference value.

4. Responsibilities of council members:

a) To evaluate in a truthful, objective, and fair manner; to be personally responsible for their evaluation results and collectively responsible for the council's final conclusion. Council members, experts (if any), and the administrative secretary of the council shall be responsible for keeping confidential information related to the evaluation and direct assignment processes.

b) To study and analyze each content and information declared in the file; to comment and evaluate strengths, weaknesses, and overall assessments of each file according to the prescribed requirements; to write comments - evaluations and explanations for the assessment; to score according to the criteria specified in the forms.

c) Council members shall independently score according to the evaluation criteria groups and the prescribed scoring scale. Before scoring, the council shall discuss to unify viewpoints and scoring methods for each criterion.

Article 10. Evaluation of Applications

Applications for selection and direct assignment shall be evaluated through scoring, with a maximum of 100 points based on the following criteria groups and scales:

1. For research topics:

a) General assessment (maximum score 8);

b) Content, research methods, and techniques used (maximum score 24);

c) Scientific and technological products (maximum score 16);

d) The ability to apply products and the impact of research results (maximum score 16);

đ) Feasibility of the organizational implementation plan (maximum score 16);

e) Capacity of the organization and participating individuals (maximum score 20).

2. For projects:

a) General evaluation (maximum score 8);

b) Objectives, content, and implementation plans (maximum score 24);

c) Value of technology (maximum score 16);

d) Project benefits (maximum score 16);

đ) Financial plan (maximum score 20);

e) Implementation capability (maximum score 16).

Article 11. Procedure and content of the council's work

1. The administrative secretary reads out the decision to establish the council, the minutes of opening the file, introduces the members of the council and the representatives present.

2. A representative from the Ministry of Science and Technology will present the requirements and main contents regarding the selection and direct assignment of research topics and projects under this Circular.

3. The Council exchanges and agrees on working principles and appoints one (01) member as the scientific secretary.

4. For directly assigned research topics and projects, organizations and individuals assigned prepare application files to present a summary before the Council about the research topic and project outline, answer questions from Council members (if any), and do not continue attending the Council session.

5. The Council proceeds to evaluate applications for selection and direct assignment.

a) Presenting critical opinions and expert opinions (if any) on the evaluation of applications for selection and direct assignment of research topics and projects;

- Reviewers and experts analyze each application and compare applications for the same (one) research topic or project according to the prescribed criteria.

- The Council may ask questions of reviewers and experts regarding each evaluation criterion related to each application.

- After answering the Council members' questions, non-member experts do not continue attending the Council session.

- The scientific secretary reads the written comments of absent members (if any) for the Council's consideration and reference.

b) The Council discusses and evaluates applications;

- The Council exchanges, discusses, and evaluates each application according to the prescribed criteria and compares applications for the same (one) research topic or project.

- After discussion, Council members independently score each application according to the prescribed criteria and scale for research topics (Annex 2, Table B2-3a) and projects (Annex 2, Table B2-3b).

6. The Council elects a ballot counting committee and votes.

a) The ballot counting committee consists of three Council members (including one chairperson). Administrative secretaries are responsible for assisting the committee in its work.

b) The council votes to evaluate and score each file according to the voting method. A valid evaluation form is one that is filled out according to the instructions on the form.

7. Summarize the evaluation results of the selection and direct assignment.

a) The ballot counting committee summarizes and reports the Council on the voting results (Annex 2, Table B2-4).

b) The Council ranks applications with average scores from highest to lowest (Annex 2, Table B2-5) according to the following conditions:

- Applications must have an average score of at least 70/100 across all criteria. None of the criteria can be rated zero points by one-third of the present Council members. The Council ranks applications with average scores from highest to lowest.

- In cases where applications have the same average score, the higher score given by the Council Chair (or Vice-Chair, if the Chair is absent) is prioritized for ranking.

- If the scores given by the Council Chair (or Vice-Chair, if the Chair is absent) for applications are the same, the Council ranks them equally and recommends selection options.

8. The Council approves the minutes of the Council's work results, recommending organizations and individuals selected or directly assigned to lead research topics and projects:

a) Organizations and individuals recommended by the Council as winners are those with the highest average score among ranked applications under Point b, Clause 7 of this Article.

b) The Council discusses to agree on recommendations for additional or revised descriptions in the research topic or project outlines, key scientific and technological products with corresponding economic-technical indicators to be achieved, and recommendations on funding for implementing the research topic or project; noting points to improve the application files of organizations and individuals recommended as winners or directly assigned.

c) The Council prepares the minutes of the meeting (Annex 2, Table B2-6) to send to the Ministry of Science and Technology.

Article 12. Approval of Results

1. Before approving organizations and individuals as winners or directly assigned to lead research topics and projects, the Ministry of Science and Technology reviews applications; if necessary, the Ministry may request the Council to review again or organize a new Council to advise on evaluating applications with unreasonable evaluation results; inspect the actual material and technical facilities, human resources, and financial capacity of organizations and individuals recommended to implement the research topics and projects.

2. Based on the Council's conclusions, review results, and recommendations from functional units under the Ministry of Science and Technology, the Minister of Science and Technology signs the decision to approve organizations and individuals leading the implementation of research topics and projects.

3. Organizations and individuals leading the implementation of research topics and projects are responsible for revising and perfecting their application files according to the Council's conclusions and submitting them to the Ministry of Science and Technology within fifteen days from receiving the notification of selection results or direct assignment for content and budget verification, serving as the basis for planning implementation.

Article 13. Retention of Original Files

Within one (01) year from the date on which the Minister of Science and Technology signs the decision approving the organization or individual responsible for implementing the project or topic, the administrative secretary of the councils shall be responsible for submitting the original file set (including non-selected files) to be stored at the Archive Room, Office of the Ministry of Science and Technology.

Article 14. Complaints and Prosecutions

1. Organizations and individuals have the right to lodge complaints and initiate lawsuits against administrative decisions and actions of competent authorities related to the selection and direct assignment of organizations and individuals responsible for projects and topics.

2. Citizens have the right to report violations of laws concerning the selection and direct assignment of organizations and individuals responsible for projects and topics.

3. Complaints and accusations and their resolution shall be carried out in accordance with the law.

Article 15. Application of the Circular

Ministries, ministerial-level agencies, agencies under the Government, People's Committees of provinces and centrally governed cities may apply the provisions of this Circular to organize the selection and direct implementation of scientific research and technological development topics and experimental production projects within their scope and management authority.

Article 16. Implementation Organization

1. This Circular takes effect 45 days from the date of issuance and replaces the Selection Regulation for Organizations and Individuals Responsible for Implementing State-Level Scientific and Technological Projects and Topics issued together with Decision No. 10/2007/QĐ-BKHCN dated May 11, 2007 of the Minister of Science and Technology and Circular No. 08/2011/TT-BKHCN dated June 30, 2011 of the Minister of Science and Technology (Amendments and Supplements to Certain Provisions of the Regulation Issued Pursuant to Decision No. 10/2007/QĐ-BKHCN).

1. This Circular takes effect from November 5, 2014.