Circular No. 09/2012/TT-BKHCN on the selection and direct assignment of organizations and individuals to undertake state-level social science and humanities research tasks

CIRCULAR

On the selection and direct assignment of organizations and individuals to implement state-level social science and humanities research tasks

scientific and social humanities research tasks 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. 201/2004/NĐ-CP dated December 10, 2004 of the Government promulgating the Regulation on Management of Social Science and Humanities Research Activities;

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 Social Sciences and Natural Sciences;

The Minister of Science and Technology issues this Circular on the selection and direct assignment of organizations and individuals to implement state-level social science and humanities research tasks.

Article 1. Scope and objects regulated

Article 1. This Circular guides the selection and direct assignment of organizations and individuals to implement state-level social science and humanities research tasks, including topics and projects under national social science programs; independent national topics and projects (hereinafter referred to collectively as topics).

Article 2. Selection and Direct Assignment

Clause 1. Selection is the process of choosing organizations and individuals with the best capability and experience to undertake topics according to state orders through the examination and evaluation of registration files submitted for selection in accordance with the criteria set forth in this guiding Circular.

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

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

Direct assignment is applied to:

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

b) Special urgent topics pursuant to the requirements of state leadership, with complex and sensitive content as stipulated in Clause 2, Article 9 of the Regulation on Management of Social Science and Humanities Research Activities issued together with Decree No. 201/2004/NĐ-CP dated December 10, 2004 of the Government.

Article 3. Principles of Selection and Direct Assignment

Clause 1. Selection shall be publicly announced through mass media: VTV1 Program 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, and on the websites of the Ministry of Science and Technology at http://www.most.gov.vn, http://www.vista.gov.vn, http://www.tchdkh.org.vn.

Clause 2. Direct assignment shall be carried out by sending documents to one or two designated organizations or individuals to prepare registration files and draft defense outlines before the scientific council.

Clause 3. The Minister of Science and Technology shall establish a scientific council to advise on selection and direct assignment of organizations and individuals to undertake topics.

Clause 4. The evaluation of registration files for selection and direct assignment shall be conducted by scoring according to specific criteria groups for topics as prescribed in Article 10 of this Circular.

Clause 5. Each individual may only register to lead one (01) topic. Collaboration among participating organizations and individuals in implementing topics is encouraged to maximize resource mobilization for effective topic execution.

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

a) Organizations with legal personality, registered for scientific and technological activities, and having functions compatible with the field of the topic may participate in registration for selection or be considered for direct assignment to lead the topic.

Article 4. Conditions for participation in selection and direct assignment

1. For organizations:

b) Organizations that have not completed the final acceptance of a national-level topic within 24 months from the submission date, which was delayed by more than 12 months compared to the research contract deadline without the approval of the Ministry of Science and Technology, shall not be eligible to participate in registration for selection or direct assignment to lead the topic.

a) The principal investigator of the topic must meet the following requirements simultaneously:

2. For individuals:

- Possess a bachelor's degree or higher, have relevant expertise, and have been actively working in the same field of science as the topic for five years prior to the submission date;

- Be the proposer of the plan and the leader in developing the topic description;

- Have the capacity to directly undertake or organize the undertaking and ensure sufficient time to lead the research work of the topic.

b) Individuals who are still leading a national-level topic, including topics under programs, independent topics, international cooperation tasks in science and technology according to protocols, and tasks funded by the National Science and Technology Development Fund, at the time of the submission deadline, shall not be eligible to participate in registration for selection or direct assignment to lead the topic.

c) An individual whose national-level topic has been evaluated as "unsatisfactory" and not granted an extension to complete the results or whose topic has been suspended due to violations will not be eligible to participate in registration for selection or direct assignment for two (02) years from the date of the conclusion of the national-level evaluation council or the date of the decision by the competent authority to suspend the topic.

d) An individual whose national-level topic has submitted the final acceptance file late by six (06) months or more compared to the research contract deadline without the approval of the Ministry of Science and Technology will not be eligible to participate in registration for selection or direct assignment for the corresponding period as follows:

- Twelve (12) months, calculated from the actual submission date of the final acceptance file if it is late by six (06) months to less than twelve (12) months;

- Twenty-four (24) months, calculated from the actual submission date of the final acceptance file if it is late by twelve (12) months or more.

Article 4. Confirmation of Eligibility for Selection and Direct Assignment

3. Confirm the conditions for participating in the selection process, direct assignment

The Ministry of Science and Technology, within its scope of management, shall confirm the conditions specified in Clause 1 and Clause 2 of this Article before opening the file.

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

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

a) Main Research Project Registration Form (Annex 1, Form B1-1).

b) Project Description (Annex 1, Form B1-2).

c) Summary of Activities of the Registering Organization (Annex 1, Form B1-3).

d) Scientific Curriculum Vitae of the Principal Investigator and other key participants in the project according to the list declared in Section 10 of the Project Description (Annex 1, Form B1-4).

đ) Confirmation Documents on the Agreement to Participate in the Project from Collaborating Organizations According to the List Declared in Section 9 of the Project Description (Annex 1, Form B1-5).

e) Documents Proving Non-Inclusion in 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 Ability to Mobilize Funds from Other Sources (in cases where organizations and individuals have declared mobilizing funds from other sources).

All documents must bear the stamp of the organization and the signature of the individual as prescribed on each form.

2. The application file for participation in selection and direct assignment consists of one (01) original file (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 file recorded on a CD (PDF format, without password protection) enclosed in a sealed envelope with the following information clearly marked on the outside:

a) Name of the Registered Research Project for Selection and Direct Assignment (specify: project name; program name and code number).

b) Name and address of the registering organization and collaborating organizations participating in the project (only list organizations that have confirmed their participation).

c) Full name of the registered principal investigator and list of key participants in the project (only list individuals who have confirmed their participation).

d) List of documents included in the registration package.

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

1. Place to Receive Application Files: Ministry of Science and Technology (113 Tran Duy Hung Street, Trung Hoa Ward, Cau Giay District, Hanoi City) or at the address announced by the Ministry of Science and Technology (in other cases).

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

3. The date of receipt of the application file is the date stamped by 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 stipulated deadline for submission, organizations and individuals applying for participation in selection and direct assignment may withdraw their submitted files to replace them with new ones or supplement the submitted files. Replacement and supplementation of the files must be completed before the stipulated submission deadline; supplementary documents are part of the application file.

Article 7. Opening of Application Files

1. The Ministry of Science and Technology shall organize the opening of application files, check, and confirm the validity of the files with the presence of representatives of relevant agencies (if necessary) and representatives of organizations and individuals applying for participation in selection and direct assignment.

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

3. The process and results of opening the application files shall be recorded in a protocol (Annex 2, Form B2-1).

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

Article 8. Scientific Council

1. The Minister of Science and Technology shall establish a scientific advisory council for selecting and directly assigning organizations or individuals to implement research projects (hereinafter referred to as the council). Each council may advise on one (01) or several projects (in cases where the projects belong to the same field).

2. The council shall consist of nine (09) to eleven (11) members, including a chairman, a vice-chairman, two (02) reviewing members, and other members, among which:

a) Two-thirds (2/3) are reputable experts with a sense of responsibility, appropriate qualifications and expertise, deep knowledge in the assigned scientific field, and at least five (05) years of recent experience in the assigned field.

b) One-third (1/3) of the council members are representatives from state management agencies, policy-making agencies, or ordering organizations (beneficiaries of the research project results).

For projects under national science programs, there shall be no more than one (01) member from the program's steering committee, who cannot serve as chairman, vice-chairman, or reviewing member.

3. Experts and reviewing members who have participated in the council advising on prioritized scientific tasks shall be invited to join the council for corresponding projects.

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

4. In necessary cases (when the number of applications exceeds the council's capacity or due to the special nature of the project content), the chairman and vice-chairman of the council shall recommend the Ministry of Science and Technology to invite external experts to serve as reviewing members.

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

a) Individuals who have registered as principal investigators or participants in the project;

b) Individuals belonging to organizations that have registered as principal organizers of the project.

6. The Ministry of Science and Technology shall organize 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 is responsible for preparing and sending the following documents to all council members and experts (if any) at least five (05) days before the council meeting:

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

b) Extracts from the list of approved projects;

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

d) A review form for each project (Annex 2, Form B2-2);

đ) Other related documents.

2. At least two-thirds (2/3) of the council members must attend the council meeting, including the chairman or vice-chairman and two (02) reviewing members.

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

4. Responsibilities of council members:

a) To evaluate honestly, objectively, and fairly; to be personally responsible for their evaluation results and collectively responsible for the council's final conclusion. Council members, experts (if any), and the council's administrative secretary shall keep confidential information related to the selection and direct assignment process.

b) To study and analyze each content and information declared in the application; to comment on strengths and weaknesses and provide overall evaluations of each application according to specified requirements; to write comments, evaluations, and explanations for the assessment; to score according to criteria set out in prescribed forms.

c) Council members shall independently score according to 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

1. Principles for Evaluation

 Applications for selection and direct assignment shall be evaluated by the Scientific Council using a scoring method (with a total score of 100 points) based on criteria in two parts: Part I Content Description of the Topic (total score of 80 points) and Part II Capacity and Experience of the Organization or Individual Implementing the Topic (total score of 20 points).

2. Group Criteria and Evaluation Criteria for Part I Content Description of the Topic (as per Appendix 1, Table B1-2) include:

a) Group criteria regarding the research objectives of the topic, with a maximum of 5 points, including one criterion:

- Specific elaboration of the orientation of the topic's objectives, from 1 to 5 points.

b) Group criteria concerning the rationality of the overview of the research situation within the field of the topic, with a maximum of 15 points, including two criteria:

- Completeness and clarity in describing, analyzing, and evaluating the success and limitations of relevant domestic and international research works, from 1 to 7 points;

- Explanation of the necessity, urgency, theoretical and practical significance of the new topic, from 1 to 8 points.

c) Group criteria for determining the content and organizational implementation plan of the topic, with a maximum of 30 points, including four criteria:

- Systematic, logical, completeness, and clarity of the research contents to achieve the set objectives, from 1 to 15 points;

- Rationality and feasibility of the plan for organizing activities serving the research content and schedule of the topic, from 1 to 5 points;

- Rationality, feasibility, and clarity of the plan for coordinating organizations and individuals both domestically and internationally (if applicable) participating in implementing the topic, from 1 to 5 points;

- Explanation of the reasonable distribution and use of the proposed budget for the topic's activities and products, from 1 to 5 points.

d) Group criteria for the approach to the topic and research methods, with a maximum of 10 points, including two criteria:

- Clarity and appropriateness in approaching the topic with the research subject, from 1 to 5 points;

- Specific, clear, and appropriate research methods corresponding to the research subject and content of the topic, from 1 to 5 points.

đ) Group criteria for the products, benefits of the topic, and the transfer plan for research results, with a maximum of 20 points, including three criteria:

- Clear, complete, and appropriate products and scientific requirements for each product in line with the topic's objectives and research content, from 1 to 5 points.

- Benefits of the topic, with a maximum of 10 points, specifically:

+ Social impact (contributing to policy formulation, improving policies, building laws, or influencing societal perceptions) and impact on the industry or field of science (new contributions, opening up new research directions) from 1 to 7 points;

+ Enhancing the research capacity of organizations and individuals through participation in the topic (having published works domestically and internationally and contributing to postgraduate training) from 1 to 3 points.

- Specificity and feasibility of the method for transferring research results of the topic, from 1 to 5 points.

3. Group criteria for Part II Capacity and Experience of the Organization or Individual Implementing the Topic (as per Appendix 1, Tables B1-3, B1-4, B1-5), with a maximum of 20 points, including four criteria:

- Competence and reputation in professional expertise and organizational management experience of the topic leader (Appendix 1, Table B1-4), with a maximum of 9 points, specifically:

+ Having published research works domestically and internationally (monographs, articles in specialized scientific journals), from 1 to 5 points;

+ Research outcomes applied in policy formulation, lawmaking, teaching, or influencing societal perceptions, from 1 to 4 points.

- Competence of the main participants in the topic (Appendix 1, Table B1-4), from 1 to 6 points;

- Competence of the leading organization (Appendix 1, Table B1-3), from 1 to 3 points;

- Competence of the main collaborating organizations (Appendix 1, Table B1-5), from 1 to 2 points.

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

The Council conducts its work in two stages

1. Preparation for the formal meeting: Functional units of the Ministry of Science and Technology exchange with the Chairman and Vice-Chairman of the Council to unify the working method:

- Announce the Minutes of Opening the Applications (Appendix 2, Table B2-1), announce the number and list of applications meeting the conditions to be reviewed by the Council according to Article 7 of this Circular;

- Unify the invitation of additional experts (if necessary);

- Unify the time and location of the formal meeting;

Members of the Council are responsible for preparing written comments and evaluations (Appendix 2, Table B2-2) and sending them to the administrative secretary before the formal meeting of the Council.

2. Formal Meeting: The Council proceeds to evaluate the applications for selection and direct assignment.

a) Administrative Activities:

- The administrative secretary reads the decision to establish the council, the minutes of opening the applications, introduces the members of the council and the attendees.

- A representative of the Ministry of Science and Technology states the requirements and main content regarding the selection and direct assignment of topics in this Circular.

- The Council exchanges and unifies the working principles and appoints one (01) member as the scientific secretary.

b) For topics assigned directly to prepare applications, the organizations or individuals assigned to prepare the application present a summary of the topic description to the council, answer questions from council members (if any), and do not continue attending the council meeting.

c) The Council evaluates the applications participating in the selection and direct assignment:

- Present critical opinions and expert opinions (if any) on the evaluation of the applications for selection and direct assignment of topics;

- Reviewers and evaluators analyze each application and compare applications for the same topic according to the specified criteria.

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

- After answering questions from council members, non-council experts do not continue attending the council meeting.

- The scientific secretary reads the written comments of absent members (if any) for the council to consider and refer to.

d) The Council discusses and evaluates the applications.

- The Council exchanges, discusses, evaluates each file according to the criteria specified and compares among the selected applications, directly assigning them to the same (01) research topic.

- After exchanging opinions, each member of the Council independently scores each file according to the criteria and grading scale prescribed for the research topic (Annex 2, Table B2).

6. The Council elects a counting board and votes.

a) The counting board consists of three members of the Council (including the election of a chairperson). Administrative secretaries are responsible for assisting the counting board in their 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 results of the selection evaluation and direct assignment.

a) The counting board compiles and reports to the Council the results of the vote tally (Annex 2, Table B2-4).

b) The Council ranks the files evaluated with total scores from highest to lowest (Annex 2, Table B2-5) based on the following conditions:

- The file must have an average score of at least 70/100 across all criteria. The Council ranks the files with total scores from highest to lowest.

- For files with equal average total scores, the higher score given by the Council Chair (or Vice-Chair, in the absence of the Chair) takes precedence in ranking.

- In cases where files have equal average total scores and the scores given by the Council Chair (or Vice-Chair, in the absence of the Chair) are also equal, the highest score in the criterion for organizational and individual capacity and experience is chosen. If these scores are also equal, the Council recommends the final selection option.

8. The Council approves the minutes of the Council's work results, recommending the organizations and individuals who are successful candidates or directly assigned to lead the research topic:

a) Organizations and individuals recommended by the Council as successful candidates are those whose files rank highest with the highest average total score under Point b, Clause 7 of this Article.

b) The Council discusses to reach a consensus on recommendations for additional or revised details in the research topic description, main scientific products with corresponding targets to be achieved, and funding recommendations for implementing the research topic; highlighting points to note for completing the files of organizations and individuals recommended as successful candidates 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 the organizations and individuals as successful candidates or directly assigned to lead the research topic, the Ministry of Science and Technology reviews the files; if necessary, the Ministry of Science and Technology may request the Council to review again or organize a new Council to advise on evaluating the files with unreasonable evaluation results; inspecting the actual material and technical facilities, human resources, and financial capacity of the organizations and individuals recommended to lead the implementation of the research topic.

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

3. Organizations and individuals leading the implementation of the research topic are responsible for revising and perfecting their files according to the Council's conclusions and submitting them to the Ministry of Science and Technology within 15 days from the date of receiving the notification of the selection results or direct assignment to proceed with content and funding verification, serving as the basis for arranging the implementation plan.

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, the administrative secretary of the councils shall submit 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 appeal and litigate against administrative decisions and actions of competent authorities related to the selection and direct assignment of organizations and individuals responsible for projects.

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

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

Article 15. Application of Circular

Ministries, ministerial-level agencies, government-affiliated agencies, People's Committees of provinces and centrally governed cities may apply the provisions of this Circular to organize the selection and direct implementation of social science and humanities research 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 Direct Assignment of Organizations and Individuals Responsible for Implementing National-Level Social Science and Humanities Research Projects issued together with Decision No. 11/2007/QĐ-BKHCN dated June 4, 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, which amends and supplements certain articles of the Regulation issued pursuant to Decision No. 11/2007/QĐ-BKHCN dated June 4, 2007.

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