Circular No. 10/2010/TT-BKHCN guiding the assessment and acceptance of projects under the Program for Building Models of Application and Transfer of Science and Technology to Serve Economic and Social Development in Rural and Mountainous Areas for the period 2004-2010.

CIRCULAR

Guidelines for evaluating and accepting projects under the Program on Building Models for Application and Transfer of Science and Technology to Serve Rural and Mountainous Economic and Social Development from 2004 to 2010

Pursuant to Decision No. 122/2004/QĐ-TTg dated July 5, 2004 of the Prime Minister approving the Program "Building Models for Application and Transfer of Science and Technology to Serve Rural and Mountainous Economic and Social Development from now until 2010";

Pursuant to the Management Regulation of the Program "Building Models for Application and Transfer of Science and Technology to Serve Rural and Mountainous Economic and Social Development from now until 2010" issued together with Decision No. 09/2005/QĐ-BKHCN dated July 18, 2005 of the Minister of Science and Technology;

The Ministry of Science and Technology guides the evaluation and acceptance of projects under the Program on Building Models for Application and Transfer of Science and Technology to Serve Rural and Mountainous Economic and Social Development from 2004 to 2010 (hereinafter referred to as the Rural and Mountainous Program) as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular guides the evaluation and acceptance of projects managed centrally and projects delegated to local management under the Program on Building Models for Application and Transfer of Science and Technology to Serve Rural and Mountainous Economic and Social Development from 2004 to 2010.

Article 2. Interpretation of Terms

Article 1. Evaluation and acceptance of projects under the Rural and Mountainous Program from 2004 to 2010 include two steps:

- Step 1: Evaluate the results of implementing models of the project;

- Step 2: Evaluate and accept the project.

Article 2. Evaluating the results of implementing models involves assessing and recording achievements compared to the content and scale of the models approved in the project description; economic and social effectiveness; sustainability, development, and replication potential of the models.

Article 3. Evaluating and accepting centrally-managed projects includes three steps: evaluating and accepting the results of implementing models; evaluating and accepting the results of implementing projects at provincial level; and evaluating and accepting at national level.

Article 3. Principles for evaluating and accepting centrally-managed projects

1. The evaluation and acceptance of projects shall be conducted through three steps: evaluating and accepting the results of implementing models; evaluating and accepting the results of implementing projects at provincial level; and evaluating and accepting at national level.

2. Evaluating and accepting the results of implementing models

a) The evaluation of the results of implementing models shall be carried out through a Committee established by the entity responsible for implementing the project. The evaluation and acceptance Committee of the model implementation results consists of five to seven members, including representatives from local authorities (commune, district) in the area where the model is implemented; Department of Science and Technology and relevant departments of the province or city. The Committee has one administrative secretary assisting in the work, who is an employee of the entity responsible for implementing the project;

b) The meeting of the evaluation and acceptance Committee of the model implementation results shall be organized in the area where the model is being built, and the Committee is responsible for assessing and recording achievements regarding the content and scale of the models compared to the approved project description; economic and social effectiveness; sustainability, development, and replication potential of the models;

c) The evaluation and acceptance of the results of implementing models must be completed no later than thirty days from the date of completion of the Contract.

3. Evaluating and accepting the results of implementing projects at provincial level

a) The evaluation and acceptance of the results of implementing projects at provincial level shall be carried out through a Scientific and Technological Committee established by the People's Committee of the province or city or delegated to the Department of Science and Technology of the province or city to establish (hereinafter referred to as the Provincial Evaluation and Acceptance Committee). The Provincial Evaluation and Acceptance Committee consists of seven to nine members, including representatives from the Department of Science and Technology; representatives from some relevant departments of the province or city; some experts with appropriate expertise related to the content of the project. The Committee has one administrative secretary assisting in the work, who is an employee of the Department of Science and Technology.

b) Representatives of the main organizing body, representatives of the technology transfer agency, the project leader, and individuals involved in implementing and transferring technology shall not participate in the Provincial Evaluation and Acceptance Committee;

c) The Provincial Evaluation and Acceptance Committee is responsible for evaluating and accepting the project according to Clause 2, Article 7 of this Circular.

The Provincial Evaluation and Acceptance Committee evaluates the results of implementing the project at two levels: "pass" or "fail", and the evaluation and acceptance of the results of implementing the project at provincial level must be completed within thirty days from the date of receipt of the evaluation and acceptance dossier of the project at provincial level.

4. Evaluating and accepting projects at national level

a) The evaluation and acceptance of projects at national level shall be carried out through a Scientific and Technological Committee established by the Minister of Science and Technology (hereinafter referred to as the National Evaluation and Acceptance Committee). The National Evaluation and Acceptance Committee consists of nine to eleven members, including representatives from central and local state management agencies; some experts with appropriate expertise related to the content of the project. The Committee has two administrative secretaries assisting in the work, who are employees of the Ministry of Science and Technology.

b) Representatives of the main organizing body, representatives of the technology transfer agency, the project leader, and individuals involved in implementing and transferring technology shall not participate in the National Evaluation and Acceptance Committee;

c) The National Evaluation and Acceptance Committee is responsible for evaluating and accepting the project according to Clause 2, Article 8 of this Circular;

d) The Ministry of Science and Technology shall only establish a National Evaluation and Acceptance Board for projects that have been evaluated as "pass" or higher by the provincial evaluation and acceptance board. Projects evaluated as "fail" by the provincial evaluation and acceptance board will be reviewed and handled by the Ministry of Science and Technology according to current regulations on scientific and technological activity management and other relevant laws.

Article 4. Principles of Evaluation and Acceptance of Local Government Managed Projects

1. The evaluation and acceptance of projects shall be conducted in two steps: evaluating and accepting the results of model implementation; evaluating and accepting provincial-level projects.

2. The evaluation and acceptance of the results of model implementation shall be carried out in accordance with Clause 2, Article 3 of this Circular.

3. Evaluation and acceptance of provincial-level projects

a) The evaluation and acceptance of provincial-level projects shall be conducted through a science and technology council established by the Provincial People's Committee or delegated to the Provincial Department of Science and Technology to establish (hereinafter referred to as the provincial evaluation and acceptance council). The provincial evaluation and acceptance council shall consist of 7 to 9 members, including representatives from the Provincial Department of Science and Technology; the Provincial Finance Department; representatives from related departments of the province; and some experts with relevant expertise in the project content. The council shall have one administrative secretary who is an employee of the Provincial Department of Science and Technology.

b) Representatives of the main agency, representatives of the technology transfer agency, project supervisors, and individuals involved in implementing and transferring technology shall not participate in the provincial evaluation and acceptance council.

c) The provincial evaluation and acceptance council shall be responsible for evaluating and accepting projects in accordance with Clause 2, Article 10 of this Circular.

Article 5. Working Principles of Evaluation and Acceptance Councils

1. A meeting of the council must have at least 2/3 of its members present, including the presence of the Chairman or Vice-Chairman and two opposing members.

2. The Chairman of the council shall preside over meetings and direct council activities. In the absence of the Chairman, the Vice-Chairman shall assume the Chairman's responsibilities.

3. The working methods and procedures of the councils shall be implemented in accordance with the provisions set forth in Appendix III attached to this Circular.

Chapter II

EVALUATION AND ACCEPTANCE OF PROJECTS

Section 1

EVALUATION AND ACCEPTANCE OF PROJECTS UNDER CENTRAL MANAGEMENT

Article 6. Evaluation and Acceptance of Model Implementation Results

1. Documentation for Evaluating Model Implementation Results

Documentation for evaluating model implementation results includes: reports on the implementation results of models and other related documents for the implementation of models.

The report on the implementation of models must reflect: the implementation results regarding the content and scale of the models compared to the contract; the situation of using budget support funds and mobilizing corresponding funds to implement the models; the economic, social, and environmental effectiveness of the models; the sustainability and scalability potential of the models; plans for expanding the models.

2. Evaluation of Model Implementation Results

a) Based on the report on the implementation of models, the evaluation and acceptance council of model implementation results shall discuss, evaluate, and confirm the following contents:

- The degree of implementation of content and scale compared to the Contract;

- The organization, management, and direction methods for implementing the models;

- The situation of using budget support funds and mobilizing corresponding funds to implement the models;

- The economic, social, and environmental effectiveness of the models;

- The sustainability and scalability potential of the models.

b) The outcome of the council's work on evaluating and accepting models shall be reflected through a Record in the prescribed format in Appendix I attached to this Circular, and each model's evaluation and acceptance shall be recorded in a separate Record.

Article 7. Evaluation and acceptance of provincial and municipal project implementation results

1. Documents for evaluation and acceptance of provincial and municipal project implementation results

a) Not later than 35 days from the date of contract completion, the project leader and the main implementing agency shall submit 12 sets of provincial and municipal project implementation result documents (including at least one original set) to the Provincial Department of Science and Technology.

b) The provincial and municipal project implementation result document set includes the request letter for project implementation result evaluation from the main implementing agency and the following documents:

- Project implementation result report (final summary report) according to the model prescribed in Appendix II attached to this Circular.

- Summary report on project implementation results.

- Collection of related documents including:

+ Project description and contract (photocopy);

+ Project products and materials as required in the Contract;

+ Regular inspection reports and minutes;

+ Annual financial settlement minutes and confirmation statement on the final year's fund usage if the final year has not yet reached the settlement deadline.

+ Report on the implementation results of models;

+ Decision establishing the Evaluation and Acceptance Committee for models and minutes of the evaluation and acceptance of model implementation results;

+ Other relevant documents.

2. Evaluation and acceptance of provincial and municipal project implementation results

a) Based on the evaluation and acceptance documents for provincial and municipal project implementation results, the provincial and municipal Evaluation and Acceptance Committee evaluates the project implementation results according to the following contents:

- The degree of implementation of content and scale compared to the Contract;

- Project organization, management, and implementation methods;

- Financial support and matching funds usage situation;

- Economic, social, and environmental benefits of the project;

- Sustainability and scalability of the project results.

b) The provincial and municipal Evaluation and Acceptance Committee evaluates the project implementation results based on the criteria and scoring scale specified in Appendix IV attached to this Circular and classifies the projects as "satisfactory" or "unsatisfactory":

- A project is classified as "satisfactory" if the average total score given by the committee members present ranges from 60 to 100 points;

- A project is classified as "unsatisfactory" if the average total score given by the committee members present is below 60 points or falls under one of the following circumstances:

+ Provided documents, data, and figures are not truthful;

+ Serious violation of financial management principles for project funds (with a conclusion in writing by authorized inspection teams);

+ Unauthorized modification of objectives and content;

+ Submission of evaluation and acceptance documents late by 181 days or more compared to the schedule stipulated in Point a, Clause 1, Article 8 of this Circular without approval from the Ministry of Science and Technology.

c) Handling of evaluation results of provincial and municipal project implementation

- For projects evaluated as "unsatisfactory," the provincial and municipal Evaluation and Acceptance Committee is responsible for reviewing and determining the completed work and activities according to the Contract as a basis for the Provincial People's Committee and the Ministry of Science and Technology to consider and handle.

- For projects evaluated as "satisfactory," within 15 days from the date of the provincial and municipal Evaluation and Acceptance Committee meeting, the project leader and the main implementing agency shall cooperate with the technology transfer agency to supplement and complete the documents according to the committee's recommendations.

Article 8. Evaluation and acceptance of state-level projects

1. Documents for evaluation and acceptance of state-level projects

a) Not later than 75 days from the date of completion of the contract, the project leader and the main implementing agency shall be responsible for submitting 15 sets of completed and supplemented documents according to the recommendations of the provincial evaluation and acceptance board (including at least one original set) to the Office of the Mountainous Rural Program, Ministry of Science and Technology;

b) The documents for evaluation and acceptance of state-level projects include the request for acceptance submitted by the main implementing agency and the following documents:

- The project implementation report (final report) supplemented and completed according to the recommendations of the provincial evaluation and acceptance board;

- A summary report of the project's implementation results supplemented and completed according to the recommendations of the provincial evaluation and acceptance board;

- Collection of related documents including:

+ Project description and contract (photocopy);

+ Project products and materials as required in the Contract;

+ Regular inspection reports and minutes;

+ Annual financial settlement records and confirmation statements on the use of funds in the final year issued by the Office of the Mountainous Rural Program if the final year has not yet reached the settlement deadline;

+ Report on the implementation results of models;

+ Decision establishing the Evaluation and Acceptance Committee for models and minutes of the evaluation and acceptance of model implementation results;

+ Decision on the establishment of the provincial evaluation and acceptance board and the evaluation and acceptance records of the provincial project implementation results;

+ Other relevant documents.

2. Evaluation and acceptance of state-level projects

a) Based on the documents for evaluation and acceptance of state-level projects, the national evaluation and acceptance board evaluates the project implementation results according to the following contents:

- The results of technology transfer compared with the project objectives and contract contents;

- The degree of implementation of content and scale compared to the Contract;

- Project organization, management, and implementation methods;

- Financial support and matching funds usage situation;

- Economic, social, and environmental benefits of the project;

- Sustainability and scalability of the project results.

b) The project implementation results are evaluated by points according to the criteria and scale specified in Appendix V attached to this Circular, and the submission time of the documents to classify the project into "excellent", "good", "satisfactory" or "unsatisfactory" levels. Specifically as follows:

- A project is rated at the "excellent" level if the average total score of the members of the board present is from 90 to 100 points and the documents are submitted within the prescribed schedule under Point a, Clause 1, Article 8 of this Circular or not later than 15 days beyond the prescribed schedule;

- A project is rated at the "good" level if the average total score of the members of the board present is from 75 to less than 90 points and the documents are submitted not later than 15 days beyond the prescribed schedule under Point a, Clause 1, Article 8 of this Circular or over 90 points but the documents are submitted late by 16 to 30 days beyond the prescribed schedule;

- A project is rated at the "satisfactory" level if the average total score of the members of the board present is from 60 to less than 75 points and the documents are submitted not later than 30 days beyond the prescribed schedule under Point a, Clause 1, Article 8 of this Circular or over 75 points but the documents are submitted late by 31 to 180 days beyond the prescribed schedule;

- A project is rated at the "unsatisfactory" level if the average total score of the members of the board present is below 60 points and the documents are submitted not later than 180 days beyond the prescribed schedule under Point a, Clause 1, Article 8 of this Circular or falls into one of the following cases:

+ Provided documents, data, and figures are not truthful;

+ Serious violation of financial management principles for project funds (with a conclusion in writing by authorized inspection teams);

+ Unauthorized modification of objectives and content;

+ Submitting the evaluation and acceptance documents later than 180 days beyond the prescribed schedule under Point a, Clause 1, Article 8 of this Circular without approval from the Ministry of Science and Technology.

c) Handling the results of national evaluation and acceptance

- For projects rated "unsatisfactory", the national evaluation and acceptance board shall be responsible for reviewing and determining the contents and work that have been carried out in accordance with the contract as the basis for the Ministry of Science and Technology to consider and handle;

- For projects rated at the "satisfactory" level or higher, within 15 days from the date of the national evaluation and acceptance board meeting, the project leader and the main implementing agency shall be responsible for cooperating with the technology transfer agency to supplement and complete the documents according to the recommendations of the board and submit three original sets of documents to the Office of the Mountainous Rural Program, Ministry of Science and Technology to organize the contract termination process.

Section 2

EVALUATION AND ACCEPTANCE OF PROJECTS UNDER LOCAL AUTHORITY MANAGEMENT

Article 9. Evaluation and acceptance of model implementation results

The evaluation and acceptance of model implementation results shall be carried out in accordance with the provisions set forth in Article 6, Section 1 of this Circular.

Article 10. Evaluation and acceptance of provincial and municipal projects

1. Documents for evaluation and acceptance of provincial and municipal projects

a) Not later than 35 days from the date of completion of the Contract, the project leader and the main implementing agency shall submit 12 sets of evaluation and acceptance documents (including at least 1 original set) to the Department of Science and Technology.

b) The set of documents for evaluation and acceptance of provincial and municipal projects includes the letter requesting provincial and municipal acceptance from the main agency and the following documents:

- Project implementation result report (final summary report) according to the model prescribed in Appendix II attached to this Circular.

- Summary report on project implementation results.

- Collection of related documents including:

+ Project description and contract (photocopy);

+ Project materials and products as required in the contract;

+ Regular inspection reports and minutes;

+ Annual financial settlement records and confirmation of final year fund usage if the final year has not yet reached the settlement deadline.

+ Report on the implementation results of models;

+ Decision establishing the Evaluation and Acceptance Committee for models and minutes of the evaluation and acceptance of model implementation results;

+ Other relevant documents.

2. Evaluation and acceptance of provincial and municipal projects

a) Based on the documents for evaluation and acceptance of provincial and municipal projects, the provincial and municipal evaluation and acceptance board shall assess the project implementation results according to the following contents:

- Technological transfer outcomes compared to the project's objectives, contents, and contract;

- The degree of implementation of content and scale compared to the Contract;

- Project organization, management, and implementation methods;

- Financial support and matching funds usage situation;

- Economic, social, and environmental benefits of the project;

- Sustainability and scalability of the project results.

b) The project implementation results will be evaluated by points based on the criteria and scale specified in Appendix VI attached to this Circular, and the submission time of the documents to classify the project into "excellent", "good", "satisfactory", or "unsatisfactory" levels. Specifically:

- A project is rated at the "excellent" level if the average total score of the members of the evaluation and acceptance board present is from 90 to 100 points and the documents are submitted within the prescribed schedule under Point a, Clause 1, Article 10 of this Circular or no more than 15 days late.

- A project is rated at the "good" level if the average total score of the members of the evaluation and acceptance board present is from 75 to less than 90 points and the documents are submitted no more than 15 days late from the prescribed schedule under Point a, Clause 1, Article 10 of this Circular or over 90 points but the documents are submitted late from 16 to 30 days from the prescribed schedule.

- A project is rated at the "satisfactory" level if the average total score of the members of the evaluation and acceptance board present is from 60 to less than 75 points and the documents are submitted no later than 30 days from the prescribed schedule under Point a, Clause 1, Article 10 of this Circular or over 75 points but the documents are submitted late from 31 to 180 days from the prescribed schedule.

- A project is rated at the "unsatisfactory" level if the average total score of the members of the evaluation and acceptance board present is below 60 points and the documents are submitted no later than 180 days from the prescribed schedule under Point a, Clause 1, Article 10 of this Circular or falls into one of the following cases:

+ Provided documents, data, and figures are not truthful;

+ Serious violation of financial management principles for project funds (with a conclusion in writing by authorized inspection teams);

+ Unauthorized modification of objectives and content;

+ Submitting evaluation and acceptance documents later than the prescribed schedule under Point a, Clause 1, Article 10 of this Circular by 181 days or more without approval from the Provincial People's Committee or the Department of Science and Technology.

c) Handling the results of provincial and municipal evaluation and acceptance

- For projects rated "unsatisfactory", the provincial and municipal evaluation and acceptance board shall be responsible for reviewing and determining the contents and tasks completed in accordance with the contract as a basis for the Provincial People's Committee to consider and handle.

- For projects rated at the "satisfactory" level or higher, within 15 days from the date of the provincial and municipal evaluation and acceptance board meeting, the project leader and the main agency shall cooperate with the technology transfer agency to supplement and complete the documents according to the recommendations of the provincial and municipal evaluation and acceptance board and submit 3 original sets of documents to the Department of Science and Technology for contract liquidation, and 2 original sets of documents to the Office of the Mountainous Rural Program for consolidation.

Chapter III

RESPONSIBILITIES DURING THE EVALUATION AND ACCEPTANCE PROCESS

Article 11. Responsibilities of the leading agency, project leader, and technology transfer agency of the project

1. Organize the evaluation and acceptance of the results of implementing models and inspect compliance with regulations during the organization of evaluations in accordance with the provisions of this Circular.

2. The leading agency, project leader, and technology transfer agency of the project shall be responsible for creating favorable conditions, providing documents, and answering necessary questions related to the project results at the request of the Evaluation and Acceptance Council, and shall be accountable for the accuracy of the provided documents and information.

3. During the process of evaluating and accepting the project, if there are administrative violations in scientific and technological activities, they will be handled according to the administrative penalty regulations stipulated by law.

4. In cases where the leading agency, project leader, and technology transfer agency of the project violate the provisions set out in Point b, Clause 2, Article 7; Point b, Clause 2, Article 8 and Point b, Clause 2, Article 10 of this Circular, which are discovered after the completion of the evaluation and acceptance of the project results, then conclusions rated at levels from "satisfactory" upwards will be revoked and reclassified and handled at the level of "unsatisfactory".

5. The leading agency, project leader, and technology transfer agency of the project shall bear their own costs incurred to complete the project result report according to the requirements of the Evaluation and Acceptance Councils at various levels due to not complying with the content and requirements recorded in the Contract.

Article 12. Responsibilities of the Council and individuals participating in evaluation and acceptance

Members of the Council and individuals participating in the evaluation and acceptance of the project shall be responsible for conducting honest, objective, and accurate evaluations, ensuring democratic principles, and being accountable for advisory opinions and actions during the participation in the evaluation and acceptance process.

Article 13. Responsibilities of the Department of Science and Technology

The Department of Science and Technology shall be responsible for organizing the evaluation and acceptance of projects under local management and assessing the implementation results of centrally managed projects in accordance with the provisions of this Circular, and inspecting compliance with regulations during the organization of evaluation and acceptance.

Article 14. Implementation Organization

1. This Circular takes effect 45 days from the date of signature. For projects with contract completion deadlines before the effective date of this Circular, they will be evaluated and accepted according to the regulations in force at that time.

2. During implementation, if there are difficulties or obstacles, units and localities are requested to report to the Ministry of Science and Technology for appropriate amendments.