Circular No. 09/2013/TT-BKHCN guiding the management of the National Technology Innovation Program until 2020

CIRCULAR

Guidelines for Managing the National Technology Innovation Program until 2020

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Cbased on the Law on Technology Transfer dated November 29, 2006;

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

pursuant to Decision No. 677/QĐ-TTg dated May 10, 2011 of the Prime Minister approving the National Technology Innovation Program until 2020,

BThe Minister of Science and Technology issues guidelines for managing the National Technology Innovation Program until 2020.

Ch1. Conditions, premium rates; minimum amount of insurance.

GENERAL PROVISIONS

3. Amend Clause 3 Article 2 as follows:Article 1. Scope of Regulation and Applicability

Clause 1. This Circular guides the management of the National Technology Innovation Program until 2020 approved by Decision No. 677/QĐ-TTg dated May 10, 2011 of the Prime Minister (hereinafter referred to as the Program).

Clause 2. This Circular applies to organizations, individuals, agencies, and enterprises participating in implementing the Program.

3. Amend Clause 3 Article 2 as follows:Article 2. Explanation of Terms

In this Circular, the following terms are understood as follows:

Clause 1. Technology innovation is the replacement of part or all of the existing technology with more advanced and efficient technology.

2. The main activities of technology innovation include researching the identification, evaluation, and pricing of technology and replacing existing technology with advanced technology; improving and perfecting technology or researching to master and create new technology; applying new production methods and advanced management methods in enterprises; developing product features, enhancing product quality, increasing added value, and competitiveness.

Clause 3. A technology map is a set of documents describing and analyzing the current status and potential use of technology at a specific time; the correlation between types of technology and requirements for suitable technological development; identifying trends in technological development, prioritized technologies, and forecasting technology needs.

Clause 4. A technology roadmap is the process of developing a specific technology from low to high levels, from simple to complex.

A technology innovation roadmap is the process of determining goals and contents of technology innovation; the sequence and plans for using resources to implement technology innovation activities within a specified period. The technology innovation roadmap is described in a set of documents serving as the basis for implementing the activities under this roadmap.

Clause 5. National products are products listed in the National Product Catalogue approved by the Prime Minister according to Decision No. 2441/QĐ-TTg dated December 31, 2010.

Clause 6. Key products and priority products are products identified by the Prime Minister, Ministries, sectors, People's Committees of provinces and centrally-run cities in national strategies, planning, and plans of the State, Ministries, sectors, and localities.

Clause 7. A sustainable agricultural production model applying advanced technology is a production model that creates agricultural products with increased value, high competitiveness, suitable for each ecological region; contributing to economic and social development and environmental protection.

Clause 8. The Office for Coordinating National Science and Technology Programs is the permanent agency assisting the Steering Committee of the National Technology Innovation Program until 2020, established and regulated by the Minister of Science and Technology.

Clause 9. The Steering Board of the National Technology Innovation Program (hereinafter referred to as the Steering Board) assists the Minister of Science and Technology in organizing and managing the Program, established and regulated by the Minister of Science and Technology.

Clause 10. The leading organization of the Program's topic or project (hereinafter referred to as the leading organization) is the organization, agency, or enterprise responsible for building and implementing the Program's topic or project.

Clause 11. The leader of the Program's topic or project (hereinafter referred to as the leader) is the individual directly named to carry out the Program's topic or project within the organization, agency, or enterprise.

Clause 12. The supervising agency of the topic or project is understood as follows:

a) Ministries, ministerial-level agencies, government agencies, and People's Committees of provinces and centrally-run cities are the supervising agencies of topics or projects carried out by state-owned enterprises under their management.

b) The Ministry of Science and Technology is the supervising agency of topics or projects carried out by institutes, universities, and non-state organizations and enterprises.

3. Amend Clause 3 Article 2 as follows:Article 3. Tasks of the Program

The tasks of the Program include topics, projects, and other activities under the Program:

Clause 1. Technology innovation projects aimed at achieving the goal of raising technological level and capacity at the national, provincial, and municipal levels; industry, sector, or economic group, holding company levels.

Technology innovation projects include: projects to build a national technology map; projects to search for, discover, and master (including both ownership and usage rights) and apply source technology and core technology; technology innovation projects for industries, sectors, provinces, municipalities, economic groups, and holding companies; projects to build technology roadmaps and technology innovation roadmaps for industries and sectors; projects to train technology management, technology governance, and update new technology.

Clause 2. Research, mastering, and application of advanced technology in producing national products, key products, and priority products. Projects to build a comprehensive laboratory system including technology analysis; technology integration, replication, simulation, and creation; technology testing, evaluation, and improvement; standard testing and calibration of technology.

Clause 3. Support projects for technology innovation include: projects to establish technology incubation bases and science and technology enterprise incubators; technology incubation and science and technology enterprise incubation projects; projects to identify, discover, and support potential individuals, organizations, or research groups with outstanding research results at universities, colleges, and research institutes; projects to support the establishment and implementation of technology roadmaps and technology innovation roadmaps.

4. Technology support project for businesses to innovate: projects applying information technology, building enterprise resource management information systems and product advertising; projects establishing databases on new technologies, advanced technologies, and technology experts; research, trial production, and application of advanced technologies, production of new products, and changes in technological processes.

5. Projects to enhance resources for technological innovation in rural, mountainous areas, and regions with difficult socio-economic conditions, including extremely difficult socio-economic conditions: projects to strengthen potential and improve the capacity for the dissemination and transfer of technology through the network of Science and Technology Application Centers at local levels; projects applying advanced technology in agriculture; projects to innovate traditional crafts and industries.

6. Other activities under the Program include topics and projects aimed at implementing the objectives, contents, and solutions set forth in Decision No. 677/QĐ-TTg dated May 10, 2011 of the Prime Minister that have not been covered by the above topics and projects. The Ministry of Science and Technology shall take the lead and coordinate with relevant ministries and sectors to determine and organize the implementation of these activities.

3. Amend Clause 3 Article 2 as follows:Article 4. General Principles for Selecting Topics and Projects

1. Topics and projects must fall within the tasks of the Program as stipulated in Article 3 of this Circular.

2. The objectives of topics and projects must be clear and quantifiable, and must have a positive impact on promoting national, regional, sectoral, and field economic and social development.

3. Priority shall be given to topics and projects of domestic enterprises and scientific and technological organizations; topics and projects in regions with difficult socio-economic conditions, including extremely difficult socio-economic conditions; topics and projects transferring, applying, and mastering technologies listed in the Encouraged Technology Transfer Catalogue (Annexed to Decree No. 133/2008/NĐ-CP dated December 31, 2008 of the Government); topics and projects supported financially and committed to specific applications by ministries, sectors, and localities.

4. Topics and projects must be feasible, wherein the leading organization of the topic or project must possess the capability or mobilize external resources to ensure financial, management, technological, intellectual property, legal, and other critical factors necessary for the successful implementation of the topic or project.

3. Amend Clause 3 Article 2 as follows:Article 5. Program Code and Task Codes

- Program Code: DM;

- Code for Technological Innovation Projects: DM.XX.DA/YY;

- Code for Research, Mastery, and Application of Advanced Technologies in National Product Manufacturing, Key Products, and Focus Products: DM.XX.NC/YY;

- Code for Comprehensive Laboratory Infrastructure Construction Projects: DM.XX.TN/YY;

- Code for Technological Innovation Support Projects: DM.XX.HT/YY;

- Code for Business Technological Innovation Support Projects: DM.XX.DN/YY;

- Code for Resource Enhancement Projects for Technological Innovation in Rural, Mountainous Areas, and Regions with Difficult Socio-Economic Conditions, Including Extremely Difficult Socio-Economic Conditions: DM.XX.NT/YY;

- Code for Other Program Activities: DM.XX.HDK/YY. In which:

- XX is the serial number of the Program's task;

- DA is the code for Technological Innovation Projects;

- NC is the code for Research, Mastery, and Application of Advanced Technologies in National Product Manufacturing, Key Products, and Focus Products;

- TN is the code for Comprehensive Laboratory Infrastructure Construction Projects;

- HT is the code for Technological Innovation Support Projects;

- DN is the code for Business Technological Innovation Support Projects;

- NT is the code for Resource Enhancement Projects for Technological Innovation in Rural, Mountainous Areas, and Regions with Difficult Socio-Economic Conditions, Including Extremely Difficult Socio-Economic Conditions;

- HDK is the code for Other Program Activities;

- YY is the year the Program's task begins.

Chapter II

CRITERIA FOR TOPICS AND PROJECTS UNDER THE PROGRAM

Article 6. Criteria for technology innovation projects

1. National technology map construction projects must meet the following conditions:

a) Identifying key technologies, core technologies, and supporting technologies according to foundational technologies, source technologies, product lines, and major product families, and comparing the current technological status with global technological levels;

b) Serving management tasks, strategic planning for technology development by the Government, Ministries, sectors, and fields, and for medium-term and long-term phases.

2. Projects seeking, identifying, mastering, and applying source technologies and core technologies must meet the following conditions:

a) Determining the necessity, urgency, role, and long-term impact of the required technology;

b) Identifying the holders of the technology and the conditions for transferring the technology;

c) Proposing methods for seeking and identifying technologies according to requirements;

d) Demonstrating the ability to apply, master, transfer, and effectively exploit the sought-after technology.

3. Technology innovation projects for industries, fields; provinces and centrally governed cities; economic groups, state-owned corporations must meet the following conditions:

a) Identifying main product lines according to the development strategy of the industry, field, province, or centrally governed city;

b) Identifying key technologies, supporting technologies, and the sequence for developing key and supporting technologies for producing product lines;

c) Proposing conditions and requirements for technology innovation;

d) Proposing solutions for technology innovation, including resource allocation solutions for technology innovation.

4. Projects building technology roadmaps and focused technology innovation roadmaps for the following industries and fields:

a) Priority industries, leading industries;

b) High-value-added service industries (finance-banking, postal-telecommunications and information technology, aviation...), construction and development of transportation infrastructure;

c) Supporting the development of key economic regions; state-owned economic groups and corporations.

5. Training projects on technology management, technology governance, and updating new technologies must meet the following conditions:

a) Developing training materials and curricula suitable for the practical needs of the trainees, confirmed by the Ministry of Science and Technology;

b) Developing a team of training experts to ensure effective organization of training courses on technology management and governance for engineers, technicians, and enterprise managers;

c) Encouraging training projects serving other projects under the Program.

Article 7. Criteria for research, mastery, and application of advanced technology in national product production, key products, and priority products

1. The produced product must have features, quality, and competitive pricing compared to similar domestically produced or imported products.

2. Research, mastery, and application of advanced technology in production must increase the added value of the product by at least 5%.

3. The project leader must have at least three years of experience in the relevant field.

4. Organizations and enterprises producing national products, key products, and priority products must commit to applying the researched and mastered technology in at least the first two years following the completion of the project.

Article 8. Criteria for projects to build a comprehensive laboratory infrastructure system

1. The laboratory infrastructure system must be built comprehensively, ensuring effective implementation of technology analysis activities; integration, replication, simulation, and innovation of technology; inspection, evaluation, and improvement of technology; standard testing and technology calibration.

2. Technologies used in the laboratory system must belong to the List of Encouraged Technology Transfer Technologies (Annexed to Decree No. 133/2008/NĐ-CP dated December 31, 2008 of the Government).

3. Priority shall be given to projects building open laboratory systems for organizations and enterprises to jointly exploit and utilize, located in high-tech zones, concentrated industrial areas, research and development zones that have been approved by competent authorities.

4. Leaders of the laboratory system must be reputable scientists in relevant fields, with at least five years of research and work experience at modern research and development institutions and production facilities reaching international standards, having research works published in reputable scientific journals worldwide or applied in practical production and generating significant economic value.

Article 9. Criteria for projects supporting technological innovation

1. Projects constructing technology incubation bases and science and technology enterprise incubation bases must meet the following conditions:

a) Must have feasibility studies, clear operational plans, clear maintenance and development schedules; comply with national environmental standards in the project's field of operation;

b) Activities of technology incubation bases and science and technology enterprise incubation bases must ensure the creation of technologies and the formation of high-level science and technology enterprises to produce science and technology products;

c) Technology incubation bases and science and technology enterprise incubation bases must be conveniently located near universities and research institutes; maintain good cooperation networks with domestic and foreign technology incubation bases and science and technology enterprise incubation bases; possess the ability to connect with production, research, and training facilities to serve technology incubation and science and technology enterprise incubation activities;

d) Technical infrastructure and management teams must meet the requirements for technology incubation and science and technology enterprise incubation;

đ) Must have professional management teams trained and further educated at reputable training institutions; have teams of technology experts, intellectual property consultants, legal advisors, financial experts, management and business administration consultants, and marketing experts;

2. Technology incubation and science and technology enterprise incubation projects must meet the following conditions:

a) Project leaders must have technological ideas, business ideas, and scientific and technological research results with commercialization potential;

b) Must have a team of technology experts with the capacity to collaborate and mobilize management and consulting experts on technology, intellectual property, law, finance, management, and business administration, and marketing;

c) Must have the capacity to mobilize at least 40% of initial capital for technology incubation and science and technology enterprise incubation;

d) Ensure that at least 50% of human resources participating in research, application, and production have university or postgraduate degrees;

3. Projects seeking out and identifying individuals, organizations, or research groups with potential or outstanding research results at universities, colleges, and research institutes must meet the following conditions:

a) Must have a team of experts capable of organizing searches, discoveries, and advising individuals, organizations, and research groups;

b) Must have the ability to identify at least 100 individuals, organizations, or research groups, of which at least 40% have the potential to form technology, and 50% have the potential to continue developing technology;

4. Projects supporting individuals, organizations, or research groups with potential or outstanding research results at universities, colleges, research institutes, or enterprises must meet at least two of the following conditions:

a) Must have their own technological ideas or business ideas based on existing technology;

b) Must have research results certified by competent authorities;

c) Must demonstrate the inheritance of research achievements from previous projects; priority shall be given to projects creating new technology or results with commercialization potential;

d) Must have commitments of support from universities, colleges, research institutes, or enterprises for the implementation of the project;

đ) Priority shall be given to project leaders who are young researchers or lecturers under 35 years old;

5. Projects supporting the construction and implementation of technology roadmaps and technological innovation roadmaps must meet the following conditions:

a) Technological innovation goals must align with corporate development plans and industry and sector development strategies;

b) Implementation of technology roadmaps and technological innovation roadmaps must contribute to increasing product added value by at least 5%;

c) Must mobilize sufficient resources to implement technology roadmaps and technological innovation roadmaps; priority shall be given to matching funds from corporate science and technology development funds;

d) Must forecast the scale of application and market for products resulting from the implementation of technology roadmaps.

Article 10. Criteria for projects supporting enterprises to innovate technology

1. Projects applying information technology, building enterprise resource management systems, and promoting products must meet the following conditions:

a) Having clear business plans and ensuring resources for project implementation and maintenance;

b) Identifying specific needs and economic-technical efficiency of applying a management information system for business resources and promoting products;

c) The organizing entity must commit to raising sufficient counterpart funds and utilizing the project's results; priority should be given to using funds from the enterprise's science and technology development fund.

2. Projects establishing databases on new technologies, advanced technologies, and technology experts must meet the following conditions:

a) Having plans and methods for surveying and collecting technological data and expertise levels in various industries and fields; having strategies to exploit information and technological databases from foreign countries;

b) Ensuring the capacity to regularly conduct statistics on enterprise technology innovation activities;

c) Prioritizing projects that comprehensively establish technological and expert databases for specific industries and fields.

3. Research, trial production, application of advanced technologies, and production of new products or changes in technological processes must meet the following conditions:

a) Possessing the capability to implement all project contents. For research and trial production projects, the organizing entity must ensure at least 30% of participating personnel have university-level qualifications;

b) Justifying additional financial sources beyond the program budget to execute the project;

c) Demonstrate the effectiveness of the project:

- For research and trial production projects, expected results and products must have application or transfer addresses;

- Advanced technology application projects must produce products or services deployed at a minimum provincial or centrally-administered city scale;

- New product manufacturing projects must produce products with competitive features, quality, and prices compared to domestically produced or imported products;

- Changes in technological processes must contribute to increasing the added value of products by at least 5%.

Article 11. Criteria for projects enhancing resources for technological innovation in rural, mountainous areas, and regions with difficult socio-economic conditions

1. Projects strengthening the potential and improving the capacity of networks of Science and Technology Application Centers in localities to disseminate and transfer technology must meet the following conditions:

a) Clearly defining the objectives, contents, and solutions of the project;

b) Accurately identifying the needs and partners for technology transfer;

c) Mobilizing resources for technology transfer and technical support for enterprises and farmers;

d) Having operational plans and receiving local commitments to support development.

2. Projects applying advanced technologies in agriculture must meet the following conditions:

a) Identifying markets, competitiveness, and economic-technical indicators of products;

b) Possessing the ability to mobilize resources and committing to expanding the application of technology;

c) Prioritizing projects supporting the application of advanced technologies in post-harvest and agricultural product processing; crop and livestock breeding improvement; large-scale cultivation, farming techniques, and disease control.

3. Projects innovating technology for traditional trades and craft villages must meet the following conditions:

a) Support targets and contents for technological innovation align with local economic development planning;

b) Identifying the potential and strengths of products in regions and traditional craft villages;

c) Possessing the capability to coordinate with industrial promotion, agricultural extension, and fisheries extension programs to build research and application projects based on regional strengths and characteristics;

d) Prioritizing projects contributing to forming sustainable agricultural production models applying advanced technologies in each ecological region.

Chapter III

MANAGEMENT OF THE PROGRAM

Article 12. Organization of the Program Management Machinery

1. The implementation of the Program shall be carried out in accordance with Clause IV, Article 1 of Decision No. 677/QĐ-TTg dated May 10, 2011 of the Prime Minister on approving the National Technology Innovation Program until 2020.

2. The Steering Board of the Program operates according to regulations issued by the Minister of Science and Technology. The support staff of the Steering Board of the Program shall be established as prescribed by the Minister of Science and Technology.

The Steering Board of the Program and its support staff shall be guaranteed conditions regarding funding, working equipment, and other benefits as stipulated by current regulations.

Article 13. Responsibilities and Authorities of the Ministry of Science and Technology

1. Guide the identification, selection, evaluation, and direct assignment of research topics and projects under the Program; approve the list of research topics and projects under the Program; organize evaluations and approvals of the contents and budgets of research topics and projects under the Program.

2. Aggregate and settle annual budgets of research topics and projects under the Program and submit them to the Ministry of Finance.

3. Approve the contents and budgets for the common activities of the Program; aggregate and balance the total budget estimates for implementing the Program to allocate into the annual science and technology budget plan; approve procurement plans for materials and equipment of research topics and projects managed by the Ministry of Science and Technology; coordinate with the Ministry of Finance and the Ministry of Planning and Investment in ensuring financial resources for the Program's activities.

4. Supervise, inspect, and audit the activities of research topics and projects, including scientific and technological research topics and projects within investment projects during implementation and after acceptance.

5. Evaluate results and summarize the activities of the Program.

6. Report to the Steering Committee and the Prime Minister on the situation and results of implementing the Program.

7. Perform other tasks delegated by the Chairperson of the Steering Committee.

8. The Steering Board shall perform the following tasks:

a) Receive and consolidate the list of proposed research topics and projects under the Program from ministries, ministerial-level agencies, government agencies, provincial people's committees, and centrally-administered city people's committees; align these with the objectives and budget sources for implementing the Program at each stage to build the list of research topics and projects under the Program, submit it to the Minister of Science and Technology for approval; develop annual implementation plans based on the list of research topics and projects under the Program approved by the Minister of Science and Technology; aggregate the annual plans and budget estimates of the Program, propose adjustments and supplements for the Ministry of Science and Technology to allocate into the overall annual budget estimate for science and technology;

b) Organize evaluations of the contents and budgets for implementing research topics and projects under the Program and submit them to the Minister of Science and Technology for approval;

c) Jointly with the managing agency of the research topic or project, review and approve the descriptions of research topics and projects under the Program;

d) Sign contracts with the leading organizations and managers; monitor, urge, and inspect the implementation process; amend, terminate contracts; organize acceptance and settlement of contracts, recognize the results of implementing research topics and projects managed by the Ministry of Science and Technology;

đ) Regularly (every six months, annually, or unexpectedly if necessary), lead and coordinate with relevant units to inspect and evaluate the implementation of research topics and projects under the Program; identify and resolve difficulties and obstacles within their authority or propose solutions to competent authorities for cases exceeding their assigned functions and powers; confirm the volume and results of implementing research topics and projects under the Program as the basis for settlement and payment of funds;

e) Lead the monitoring, inspection, and supervision of the use of state budget funds for implementing research topics and projects under the Program; track and aggregate the mobilization and use of non-state budget funds for research topics and projects under the Program;

g) Organize the provision and payment of funds to the leading organizations of research topics and projects according to the contract schedule; aggregate procurement plans for materials and equipment of research topics and projects managed by the Ministry of Science and Technology and submit them to the Minister of Science and Technology for approval;

h) Report regularly (every six months, annually) on the results of implementing the Program; report on the settlement of annual budgets for implementing the Program and submit them to the Ministry of Science and Technology. Organize interim summaries and final summaries of the results of implementing the Program;

i) Coordinate with relevant units to guide the leading organizations on procedures to benefit from mechanisms, policies, incentives, and preferential measures for technological innovation issued by competent state authorities;

k) Hire domestic and foreign experts and consulting organizations to assist the Steering Board in conducting some specialized studies related to managing and implementing the Program; organize work teams to conduct surveys and study foreign experiences when necessary;

l) Assist the Minister of Science and Technology in preparing and managing files and documents to report or submit to the Prime Minister for decisions on issues related to organizing and managing the Program;

m) Propose rewards for organizations and individuals with outstanding achievements, and recommend handling violations by the leading and managing organizations during the implementation of research topics and projects under the Program;

n) Perform other tasks assigned by the Minister of Science and Technology.

Article 14. Responsibilities and authorities of Ministries, agencies at the level of ministries, government agencies, People's Committees of provinces and centrally governed cities

1. The focal point for receiving proposals, compiling and developing into a List of proposals for topics and projects under the Program according to relevant management fields; creating favorable conditions for organizations in charge and principal organizers to effectively implement assigned topic and project contents.

2. Organizing the selection process, directly assigning organizations and individuals in charge to implement topics and projects under the Program based on the approved List of topics and projects under the Program by the Ministry of Science and Technology. Deciding on the approval of the List of selected organizations and individuals.

3. Jointly with the Program Steering Committee approving the Detailed Description of topics and projects; deciding on the assignment of selected organizations and individuals to be in charge of implementing topics and projects.

4. Signing contracts with organizations in charge and principal organizers of topics and projects; organizing evaluations, acceptance, recognition of results of topic and project implementation; organizing acceptance, settlement of contracts, suspension and cancellation of contracts.

In necessary cases, coordinating with the Ministry of Science and Technology to adjust objectives, contents, budget items, and implementation schedules of topics and projects under the Program that have been approved.

5. Approving plans and results of bidding for procurement of machinery and equipment for topics and projects within the scope of management.

6. Supervising, inspecting, and auditing activities of topics and projects, including science and technology topics and projects within investment projects during implementation and after acceptance evaluation.

Jointly with the Program Steering Committee confirming the volume and results of topic and project implementation as the basis for settlement and payment of subsequent funds.

7. Regularly sending reports every six months and annually on the situation, progress, and results of topics and projects under the Program to the Ministry of Science and Technology for compilation and reporting to the Steering Committee and the Prime Minister.

8. Approving annual financial settlements of topics and projects within the scope of management to the Ministry of Finance.

9. Proactively mobilizing and using state budget from different sources within the scope of management authority to ensure the synchronous and effective implementation of topics and projects.

Article 15. Responsibilities and authorities of principal organizers and organizations in charge of topics and projects

1. The principal organizer has responsibilities and authorities as follows:

a) Signing Contracts with the managing agency of topics and projects; organizing the implementation of topics and projects; being responsible for the results and effectiveness of topics and projects. For topics and projects managed by the Ministry of Science and Technology, the organization in charge and principal organizer signs Contracts with the Program Steering Committee and National Programs Office on science and technology;

b) Using funds for their intended purposes, in accordance with regulations, efficiently according to the Contract content; performing financial settlement according to current regulations;

c) Ensuring conditions for implementing topics and projects as agreed in the Contract and proposing necessary adjustments;

d) Inspecting and urging organizations and individuals participating in cooperation in the implementation of topics and projects according to the Contract. Implementing regular (six-monthly, annually) and ad hoc reports on the progress of topic and project implementation;

đ) Implementing the publication, submission, and transfer of results and products of topics and projects according to current regulations.

2. Organizations in charge have responsibilities and authorities as follows:

a) Jointly signing Contracts with the managing agency of topics and projects with the principal organizer; being responsible for managing and organizing the implementation of topics and projects and fully and strictly fulfilling all commitments in the Contract. For topics and projects managed by the Ministry of Science and Technology, the organization in charge and principal organizer sign Contracts with the Program Steering Committee and National Programs Office on science and technology;

b) Being responsible for the content and results of approved topics and projects; ensuring that the results and products of topics and projects are applied and implemented according to commitments;

c) Managing allocated funds, raising and disbursing funds from committed sources in the Contract according to schedule; organizing bidding, procurement, and management of machinery and equipment of topics and projects according to current regulations;

d) Cooperating with the managing agency of topics and projects to monitor, urge, inspect, and supervise the implementation of topics and projects and resolve arising issues within authority; monitoring and summarizing the mobilization and use of non-state budget funds of topics and projects; regularly every six months and annually cooperating with functional units of the managing agency of topics and projects to inspect the implementation of topics and projects;

đ) Implementing reporting requirements to the managing agency of topics and projects according to regulations. Creating favorable conditions and providing full information for supervisory, inspection, and audit agencies regarding topics and projects during implementation and after acceptance evaluation;

e) Organizing management, exploitation, and transfer of results of topics and projects according to legal provisions.

Chapter IV

IMPLEMENTATION OF THE PROGRAM

Article 16. Construction of the List of Research Topics and Projects under the Program

1. Ministries, ministerial-level agencies, government-affiliated agencies, provincial People's Committees, municipal People's Committees directly under the central government, the Program Steering Board, organizations, and individuals have the responsibility to propose research topics and projects and to propose orders for research topics and projects to be implemented within the Program, and submit them to the Ministry of Science and Technology.

The Program Steering Board organizes research, discovery, and search for research topics and projects with high feasibility to propose such topics and projects and to propose the Ministry of Science and Technology to order research topics and projects.

2. In cases where organizations or enterprises propose a group of research topics and projects as part of an investment project, the proposals must clearly define the tasks and results to be achieved by each individual research topic and project and the overall result of the investment project. At the same time, there must be a commitment document to mobilize sufficient funding sources (outside of state budget funding) to ensure the implementation of the investment project.

3. The Program Steering Board takes the lead and coordinates with relevant functional units under the Ministry of Science and Technology to establish a Scientific and Technological Council or invite experts to advise on the construction of the list of proposed research topics and projects.

Based on the advisory results of the Scientific and Technological Council, the Program Steering Board compiles the List of research topics and projects under the Program, and submits it to the Minister of Science and Technology for consideration and approval.

Article 17. Selection and Direct Assignment of Organizations and Individuals to Implement Research Topics and Projects

Based on the Decision approving the List of research topics and projects under the Program issued by the Minister of Science and Technology, the managing agency takes the lead and coordinates with relevant functional agencies to organize the selection and direct assignment of organizations and individuals to implement research topics and projects.

The selection and direct assignment of organizations and individuals to implement research topics and projects shall be carried out in accordance with Circular No. 03/2013/TT-BKHCN dated January 30, 2013, of the Ministry of Science and Technology guiding the determination, selection, review, and direct assignment to implement scientific and technological tasks under the National Technology Innovation Program until 2020.

The results of the selection and direct assignment by ministries, sectors, and localities shall be sent to the Ministry of Science and Technology for review.

Article 18. Organization of Review of Research Topics and Projects

1. The Program Steering Board takes the lead and coordinates with relevant agencies and organizations of the Ministry of Science and Technology and related ministries, sectors, and localities to review the content and funding of proposed research topics and projects to implement the Program's content.

The review of research topics and projects shall be conducted in accordance with Circular No. 03/2013/TT-BKHCN dated January 30, 2013, of the Ministry of Science and Technology guiding the determination, selection, review, and direct assignment to implement scientific and technological tasks under the National Technology Innovation Program until 2020.

2. If necessary, the Program Steering Board may seek advice from domestic and foreign experts on the review results before submitting them to the Minister of Science and Technology for decision.

3. For groups of proposed research topics and projects belonging to an investment project:

The review shall be conducted in accordance with current regulations of the Ministry of Science and Technology.

Article 19. Approval of organizations and individuals responsible for implementation

The managing authority shall approve organizations and individuals responsible for implementing projects and topics based on the assessment results of the Ministry of Science and Technology.

The approval decision of the managing authority for projects and topics serves as a legal basis for signing scientific and technological contracts to implement such projects and topics.

Article 20. Signing Contracts

1. The managing authority of the project or topic signs a contract with the organization or individual responsible for implementing the project or topic. For projects and topics managed by the Ministry of Science and Technology, the Program Management Board will sign a contract with the organization or individual responsible for implementing the project or topic together with the Office of National Programs on Science and Technology. The contract model is issued by the Ministry of Science and Technology.

2. For investment projects, the managing authority of the project or topic signs a contract with the organization responsible for implementing the project or topic.

At the same time, the managing authority of the project or topic and the organization with the investment project sign a contract with the organization responsible and in charge. The contract model is issued by the Ministry of Science and Technology.

Article 21. Inspection and Evaluation of Project Implementation

1. The managing authority of the project or topic conducts inspections and evaluations every six months, in collaboration with relevant agencies, regarding the progress, scientific content, and products of the projects and topics according to the signed contract.

2. In necessary cases, the Ministry of Science and Technology, through the Program Management Board, inspects and evaluates the situation and results of the implementation of projects and topics under the Program.

Article 22. Adjustment of Content, Budget, and Implementation Schedule

Organizations responsible and in charge may proactively adjust the budget between assigned expenditure items within the total allocated budget of the project or topic based on work requirements.

2. Based on written requests from individuals or organizations implementing the project or topic, the managing authority of the project or topic considers and decides to adjust the following items up to two times:

a) Objectives, products, and implementation schedule of the project or topic;

b) Approved budget for non-assigned expenditure items of the project or topic.

3. For investment projects, based on written proposals from organizations with investment projects, the competent authority considers and decides to adjust the objectives, products, and implementation schedule of the investment project.

Adjustments to the content and funding of investment projects related to support funds from the Program must have the written agreement of the managing authority of the project or topic before making adjustments. Adjustments to the content and funding from the Program can be made up to two times.

Article 23. Termination of Contracts

1. The managing authority of the project or topic decides to terminate the contract based on the proposal of the responsible organization and the opinion of the Program Management Board in the following cases:

a) The project or topic encounters force majeure situations that prevent the completion of approved content and objectives;

b) The responsible organization and its leader lack the capacity to manage and implement the project or topic; the implementation approach is blocked or there is no longer a need to implement; conditions stipulated in the contract are not met, leading to the inability to complete the project or topic; the project or topic does not comply with the research content agreed upon in the contract; funds are misused;

c) Breach of contract.

2. Based on the decision to terminate the contract, the parties carry out the procedures to terminate the contract according to the terms of the contract signed between the parties and in accordance with the law.

Article 24. Evaluation of Research Topics, Projects, and Programs

1. Basic-level evaluation for research topics and projects:

a) The leading organization shall organize the basic-level evaluation for research topics and projects and complete the evaluation result file to be sent to the managing agency of the research topic or project for organizing the formal acceptance evaluation;

b) The managing agency of the research topic or project shall cooperate with the Program Steering Committee to inspect and supervise the process of organizing the basic-level evaluation.

2. Formal evaluation and acceptance of research topics and projects:

a) The managing agency of the research topic or project shall cooperate with the Program Steering Committee to organize the formal evaluation and acceptance of research topics and projects within their management scope;

b) The Ministry of Science and Technology shall inspect and supervise the process of organizing the formal evaluation and acceptance.

3. Evaluation and acceptance of research topics and projects using science and technology business funds in investment projects:

Based on the results of the formal evaluation and acceptance conducted according to the procedures stipulated in Clause 1 and 2 of this Article for direct projects, organizations implementing investment construction projects shall report the consolidated results to the managing agency of the research topic or project for evaluating and summarizing the implementation results of research topics and projects using science and technology business funds in investment projects.

4. Evaluation of the Program is carried out through three stages: mid-term evaluation, final evaluation, and post-final evaluation of the Program.

a) The Program Steering Committee shall lead the mid-term evaluation of the Program's activities during the five-year plan period and report the results to the Minister of Science and Technology.

b) The Ministry of Science and Technology shall lead the organization of the evaluation of the Program's activities at the end of the five-year plan period and after the Program has ended, and report to the Program Steering Committee.

5. The procedures and formalities for evaluating and accepting research topics, projects, and Programs shall be implemented in accordance with the regulations on evaluating and accepting national science and technology tasks.

Article 25. Recognition of Results of Research Topics and Projects

1. The managing agency of the research topic or project shall decide to recognize the results of the research topic or project within its management scope based on the conclusion of the Science and Technology Evaluation Council. The recognized results of the research topics and projects shall be reported to the Ministry of Science and Technology for consolidation and assessment of the Program's implementation.

2. Based on the recommendations of the Science and Technology Evaluation Council, the opinions of independent expert consultants (if necessary), and the opinions of specialized units determining the responsibilities of related parties, the managing agency of the research topic or project shall take appropriate measures in accordance with the regulations for research topics and projects that have been formally evaluated and accepted at the "unsatisfactory" level.

Article 26. Liquidation of Contracts and Management of Research Topic and Project Results

1. The managing agency of the research topic or project shall independently carry out the liquidation of contracts with organizations, individuals, and enterprises implementing the research topic or project in accordance with current regulations.

2. Organizations, individuals, and enterprises implementing research topics and projects shall be responsible for organizing the management, exploitation, and transfer of research topic and project results in accordance with the law.

3. The registration and retention of research topic and project results shall be carried out in accordance with the Regulation on Registration, Retention, and Utilization of the Results of Science and Technology Tasks issued together with Decision No. 03/2007/QD-BKHCN dated March 16, 2007 of the Minister of Science and Technology; Circular No. 04/2011/TT-BKHCN dated April 20, 2011 of the Minister of Science and Technology amending and supplementing certain provisions of the Regulation on Registration, Retention, and Utilization of the Results of Science and Technology Tasks issued together with Decision No. 03/2007/QD-BKHCN dated March 16, 2007; Circular No. 13/2012/TT-BKHCN dated June 26, 2012 of the Minister of Science and Technology amending and supplementing certain provisions of the Regulation on Registration, Retention, and Utilization of the Results of Science and Technology Tasks issued together with Decision No. 03/2007/QD-BKHCN dated March 16, 2007 of the Minister of Science and Technology, amended and supplemented by Circular No. 04/2011/TT-BKHCN dated April 20, 2011 of the Minister of Science and Technology, and other relevant documents.

Article 27. Disposal of Assets

The handling of assets after the completion of Program tasks shall be carried out in accordance with current regulations.

Article 28. Budget for Implementing the Program

The budget for implementing the Program includes the budget for implementing research topics and projects; the budget for organizing and managing common activities of the Program and other activities mentioned in Clause 6, Article 3 of this Circular.

The budget for implementing the Program is balanced within the annual state budget estimate for science and technology expenditures and is allocated to the management agencies of research topics and projects and the Ministry of Science and Technology within their respective jurisdictions to be disbursed under Contracts to the leading organizations responsible for implementing research topics and projects and for the common activities of the Program (including the operating budget of the Steering Committee, the Office for Coordinating National Science and Technology Programs, the Program Management Board, and the support staff of the Program Management Board).

Financial management for implementing the Program is specifically regulated in the Joint Circular between the Ministry of Finance and the Ministry of Science and Technology guiding financial management for the National Technology Innovation Program until 2020.

The Ministry of Science and Technology shall take the lead and coordinate with the Ministry of Planning and Investment and the Ministry of Finance to balance, allocate, and guide the use of state budget funds for implementing the Program approved by the competent authority.

Article 29. Information and Database of the Program

The Ministry of Science and Technology shall take the lead and coordinate with relevant ministries, sectors, provincial People's Committees, and centrally-administered city People's Committees to organize guidance on online registration of tasks and construction of electronic databases on research topics, projects, and tasks of the Program.

Chapter V

IMPLEMENTING PROVISIONS

Article 30. Effectiveness and Responsibility for Enforcement

1. This Circular takes effect 45 days from the date of signature and replaces Circular No. 03/2012/TT-BKHCN dated January 18, 2012, issued by the Minister of Science and Technology guiding management of the National Technology Innovation Program until 2020.

2. Ministries, sectors, provincial People's Committees, and centrally-administered city People's Committees shall base themselves on this Circular to guide agencies, organizations, and individuals participating in implementing the Program.

3. In the course of implementation, if there are difficulties, agencies, organizations, and individuals are requested to report to the Ministry of Science and Technology for study and consideration to amend and supplement accordingly./.