Circular No. 10/2013/TT-BKHCN guiding the management of the National Product Development Program until 2020

CIRCULAR

Guidelines for managing

National Program for national product programs until 2020

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

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

Pursuant to Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the Program for Developing National Products until 2020;

Considering the proposals of the Director of the Department of Science and Technology for Economic and Technical Industries, and the Director of the Legal Department;

The Minister of Science and Technology issues guidelines for managing the National Product Development Program until 2020.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 1. These Circulars guide the establishment, organization of implementation, and management of tasks under the National Product Development Program until 2020 (hereinafter referred to as the Program), which has been approved by Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister.

Article 2. These Circulars apply to agencies, organizations, and individuals participating in the implementation and management of the National Product Development Program until 2020.

Article 2. Interpretation of Terms

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

Point 1. A national product development scientific and technological project (hereinafter referred to as the Scientific and Technological Project) is a type of scientific and technological task including several research scientific and technological topics, experimental production projects (hereinafter referred to as Experimental Production Projects) that are organically connected and synchronized, carried out within a specific period of time, aimed at solving major scientific and technological issues, serving the production of national products or groups of national products listed in the national product catalog (hereinafter referred to as National Products).

Point 2. A national product production investment project (hereinafter referred to as the Investment Project) is an investment production task for national products based on applying the results of the Scientific and Technological Project or receiving new and advanced technology transfers from other sources.

Point 3. A framework plan for developing national products (hereinafter referred to as the Framework Plan) is a comprehensive description of the main tasks to implement the development of national products.

Point 4. The supervising agency for national products is a ministry or sector entrusted with the responsibility of managing and developing national products.

Point 5. The Steering Committee for the National Product Development Program (hereinafter referred to as the Steering Committee) is an assisting body established by the Minister of Science and Technology to organize, direct, and manage the activities of the Program.

Point 6. The managing unit for national products is the unit entrusted by the supervising agency for national products with the responsibility of managing national product development projects.

Point 7. The budget managing unit for national products is the third-level budget unit responsible for directly managing and using state budget estimates to develop national products.

Point 8. The leading organization of the national product development scientific and technological project (hereinafter referred to as the Leading Organization of the Scientific and Technological Project) is a business or scientific and technological organization entrusted with the responsibility of leading the implementation of the Scientific and Technological Project.

Point 9. The leading organization of the national product production investment project (hereinafter referred to as the Leading Organization of the Investment Project) is a business or scientific and technological organization entrusted with the responsibility of leading the implementation of the Investment Project.

Point 10. The head of the Scientific and Technological Project, the director of the Investment Project is the individual entrusted with the task of organizing and coordinating with other organizations, businesses, and individuals to implement the Scientific and Technological Project and the Investment Project (hereinafter collectively referred to as the Project).

Point 11. Pilot production phase zero is the activity of trial production on equipment systems and production technology chains to perfect and stabilize technology and products before mass production.

Article 3. Criteria for determining national products

National products must meet the general criteria set out in Point 2, Clause III, Article 1 of Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister, and ensure the following specific criteria:

1. Technology criteria

a) High technology, new technology, advanced compared to the ASEAN region and the world, originating from domestic scientific research and technological development results or transferred from abroad;

b) Technology, technological secrets, useful solutions, rights to plant and animal varieties must meet the conditions to be recognized and protected under intellectual property rights;

c) Create breakthroughs in research capacity in science and technology and drive the development of industries and sectors.

2. Scale and value criteria

a) Products have significant potential for consumption in both domestic and international markets, capable of replacing imported goods. The total revenue of the product or group of products within the national program after completing the implementation period of the framework project must reach at least 20,000 billion VND annually;

b) Ensure that the investment capital recovery period does not exceed five years;

c) Form production and business enterprises for national programs, create concentrated raw material areas, processing zones, and fully utilize the country's resource advantages (human resources, land, minerals, raw materials, genetic resources, natural conditions...).

Article 4. Criteria for determining the Leading Organization and Project Leader of Scientific and Technological Projects; Leading Organization and Investment Project Director

1. The Leading Organization implementing Scientific and Technological Projects and Investment Projects must be a business entity or a scientific and technological organization meeting the following conditions:

a) Having legal personality;

b) The field of operation has been registered with the competent state management agency in accordance with the content of scientific research and production of national programs;

c) Possess the potential and ability to mobilize resources in terms of infrastructure, finance, human resources, organizational capacity for research, application, and development of production of national programs.

2. The Project Leader of Scientific and Technological Projects and the Investment Project Director must be the leader of the Leading Organization of Scientific and Technological Projects and Investment Projects, having sufficient time and capability to organize and implement Scientific and Technological Projects and Investment Projects.

Article 5. Task Code under the National Program

The task code under the National Program is recorded as follows:

SPQG.XX.AA.ĐT (or DA or DD).BB/YY

In which: SPQC is the common symbol of the Program, the XX group consists of two digits recording the common order of SPQC listed in the Decision approving the List of SPQC by the Prime Minister, the AA group consists of two digits recording the common order of Scientific Research Projects and Investment Projects, ĐT is a research topic in scientific research, DA is a project for production and technology transfer, DD is an independent task or investment project, the BB group consists of two digits recording the order number of the research topic in scientific research, the project for production and technology transfer, or the task under the investment project according to the order in the group.

Chapter II

BUILDING TASKS UNDER THE PROGRAM

Article 6. Building the List of National Products

1. Scientific and technological organizations and businesses propose national products according to Model B1-PDX-SPQG stipulated in Appendix 1 of this Circular and send it to the Ministry of Science and Technology and relevant ministries, sectors, provincial People's Committees.

2. Ministries, sectors, provincial People's Committees review and consolidate proposals for national products from scientific and technological organizations and businesses according to Model B2-THDX-SPQG stipulated in Appendix 1 of this Circular and submit them to the Ministry of Science and Technology.

3. Based on the criteria specified in Article 3 of this Circular, the Ministry of Science and Technology processes, classifies, and establishes a preliminary list of national products according to Model B3-DMSB-SPQG stipulated in Appendix 1 of this Circular.

4. The preliminary list of national products is organized by the Ministry of Science and Technology to seek opinions from members of the Steering Committee and the Head of the Steering Committee of the program before considering for approval by the Prime Minister.

5. Based on the approved list of national products by the Prime Minister, the Ministry of Science and Technology reviews and decides on the Managing Agency for national products.

Article 7. Construction and examination of the Framework Project Proposal, Scientific and Technological Project (STP) Project, Investment Project, and tasks under the STP Project

1. Based on the Prime Minister's Decision approving the List of STPs, the Managing Agency of the STP shall take the lead and coordinate with the Ministry of Science and Technology and relevant ministries and sectors to develop the Framework Project Proposal according to Model B4-ĐAK-SPQC specified in Appendix 1 of this Circular.

a) The leading ministry or sector shall take the lead and coordinate with the Ministry of Science and Technology and other relevant ministries and sectors to organize the examination of the Framework Project Proposal for STPs under their management; and implement the approval of the Framework Project Proposal based on the written consensus of the Ministry of Science and Technology.

b) The Ministry of Science and Technology shall take the lead and coordinate with relevant ministries and sectors to organize the examination and approval of the Framework Project Proposal for STPs under its management.

2. Organizations, individuals, and enterprises meeting the criteria stipulated in Article 4 of this Circular shall register and develop the detailed description of the STP Project according to Model B5-DAKHCN-SPQG and the Investment Project according to Model B6-DAĐT-SPQG specified in Appendix 2 of this Circular, and submit them to the Program Management Board for STPs under the management of the Ministry of Science and Technology or the Managing Unit of the STP under the management of the relevant ministry or sector.

3. The Program Management Board or the Managing Unit of the STP under the relevant ministry or sector shall base on the proposals of organizations, individuals, and enterprises mentioned in Clause 2 of this Article and the approved tasks under the Framework Project Proposal to propose the list of STP Projects, Investment Projects, and the leading organizations and individuals of these projects for submission to the Managing Agency of the STP for consideration and approval in accordance with the provisions of Clauses 4 and 5 of this Article.

4. The Ministry of Science and Technology shall take the lead and coordinate with relevant ministries and sectors, provincial People's Committees, and municipal People's Committees directly under the central government to organize the examination of STP Projects, Investment Projects, and tasks under these projects for STPs under its management.

Relevant ministries and sectors shall take the lead and coordinate with the Ministry of Science and Technology, provincial People's Committees, and municipal People's Committees directly under the central government to organize the examination of STP Projects, Investment Projects, and tasks under these projects for STPs under their management.

5. The construction and examination of STP Projects, Investment Projects, and tasks under these projects shall be carried out in accordance with the guidelines of the Ministry of Science and Technology.

Article 8. Examination and Approval of STP Projects, Investment Projects, and Tasks Under These Projects

1. The Ministry of Science and Technology shall take the lead and coordinate with relevant ministries and sectors, provincial People's Committees, and municipal People's Committees directly under the central government to examine the budget for tasks of STP Projects and Investment Projects supported from the state budget for scientific and technological affairs based on the results of the Scientific and Technological Council and independent expert advice (if any).

2. The examination, verification, and approval of the budget support from the state budget for scientific and technological affairs shall be carried out in accordance with the guidelines of the Ministry of Science and Technology.

3. Based on the verification results, the Program Management Board shall take the lead and coordinate with functional units of the Ministry of Science and Technology to submit to the Minister of Science and Technology for approval of the budget support from the state budget for scientific and technological affairs based on the written consensus with the Managing Agency of the STP.

4. For budget support from other state budgets, the verification and approval of the content and budget shall be carried out in accordance with the provisions set forth in Article 9 of this Circular.

5. For STP Projects and Investment Projects in the defense and security fields listed in the state secrets directory, the examination, verification, and approval shall be carried out in accordance with confidentiality regulations.

6. For large and complex projects within the Prime Minister's approval authority, the verification and approval shall be carried out in accordance with current regulations.

Article 9. Implementation of preferential policies for the development of national products

1. Based on the Prime Minister's Decision approving the List of National Product Programs (SPQC), the organization in charge of the Science and Technology Project (KH&CN) and investment project shall propose needs for preferential measures related to credit, tax, land use, human resource training, information search activities, and other preferential measures serving the development of SPQC as stipulated in Clause V, Article 1 of Decision No. 2441/QD-TTg dated December 31, 2010 on the Program for Developing National Products until 2020, and submit them to relevant Ministries, sectors, Provincial People's Committees, and Municipal People's Committees under the Central Government for consideration and resolution.

2. Relevant Ministries, sectors, Provincial People's Committees, and Municipal People's Committees under the Central Government shall take the lead and coordinate with the Ministry of Science and Technology to consider and decide on forms of support applicable to National Product Programs (SPQG) and report to the Steering Committee for approval by the Prime Minister.

3. The procedures and processes for reviewing and approving support for SPQG shall be issued and detailed by relevant Ministries, sectors, Provincial People's Committees, and Municipal People's Committees under the Central Government.

Chapter III

MANAGEMENT OF THE PROGRAM

Article 10. Management Organization of the Program

1. The management organization of the Program shall be implemented according to Circular Joint Circular No. 2441/QD-TTg dated December 31, 2010 of the Prime Minister on Approving the Program for Developing National Products until 2020.

2. The Steering Committee shall operate according to Decision No. 97/QD-BCDSPQG dated November 4, 2011 of the Chairperson of the Steering Committee on the Charter of Organization and Operation of the Steering Committee.

3. The Head of the Program Management Board and its supporting staff (Office of National Programs on Science and Technology) shall be established and have their operational charter decided by the Minister of Science and Technology.

4. The main managing agency of SPQG shall decide on the organizational structure to manage the assigned SPQG.

Article 11. Responsibilities of the Program Management Board

1. Lead and coordinate with functional units under the Ministry of Science and Technology to implement the contents prescribed in Clause 1, 2, 3 of Article 7, Clause 1 of Article 8, from Clause 2 to Clause 13 of Article 12, and Clause 3 of Article 21 of this Circular.

2. Guide the completion of explanations and signing of contracts for implementation with the organization in charge of the Project and the Head of the Science and Technology Project, and the Director of the Investment Project according to Article 17 of this Circular for SPQG managed by the Ministry of Science and Technology.

3. Examine and decide on adjustments and termination of contracts according to Clause 2 of Article 19 and Article 20 of this Circular.

4. Coordinate with functional units under the Ministry of Science and Technology to implement the contents prescribed in Clause 2, 3, 4 of Article 6 of this Circular.

5. Summarize and report to the Ministry of Science and Technology on the situation and results of implementing SPQG of the Program.

6. Manage files and documents related to the organization and management of the Program according to current regulations.

Article 12. Responsibilities of the Ministry of Science and Technology

1. Implement the contents within the responsibility of the Ministry of Science and Technology as prescribed in Articles 6, 7, and 8 of this Circular.

2. Lead and coordinate with relevant Ministries and sectors as the main managing agencies of SPQG to supervise the use of science and technology research and development funds supporting scientific and technological projects and investment projects.

3. Lead and coordinate with the main managing agencies of SPQG to examine and decide on adjustments to the support funding from the science and technology research and development budget for scientific and technological projects and investment projects.

4. Approve or authorize the head of the organization in charge of the scientific and technological project or investment project to approve plans and tender results for purchasing equipment for scientific and technological projects and investment projects (for the portion funded from the science and technology research and development budget) according to the law for SPQG under their management responsibility.

5. Lead and coordinate with relevant Ministries and sectors, and Provincial People's Committees and Municipal People's Committees under the Central Government to conduct regular and spot inspections, confirm contents and funding; evaluate and accept the results of tasks within scientific and technological projects and scientific and technological tasks within investment projects for SPQG managed by the Ministry of Science and Technology.

Coordinate with the main managing agencies of SPQG to conduct regular and spot inspections; evaluate and accept the results of tasks within scientific and technological projects and scientific and technological tasks within investment projects for SPQG managed by Ministries and sectors.

6. Lead and coordinate with relevant Ministries and sectors, and Provincial People's Committees and Municipal People's Committees under the Central Government to develop and submit to the Prime Minister for consideration and decision on some special preferential mechanisms and policies for SPQG.

7. Coordinate with relevant Ministries and sectors, and Provincial People's Committees and Municipal People's Committees under the Central Government to guide organizations in charge of scientific and technological projects and investment projects on procedures to obtain support as stipulated in Points 2, 3, 4 of Clause V, Article 1 of Decision No. 2441/QD-TTg dated December 31, 2010.

8. Develop annual implementation plans based on the approved list of SPQG; compile the annual budget plan of the Program to allocate it into the overall budget plan for science and technology.

9. Lead and coordinate with relevant Ministries and sectors, and Provincial People's Committees and Municipal People's Committees under the Central Government to organize acceptance and settlement of contracts for projects according to Article 21 of this Circular for SPQG managed by the Ministry of Science and Technology.

Coordinate with the main managing agencies of SPQG to organize acceptance and settlement of contracts for projects according to Article 21 of this Circular for SPQG managed by Ministries and sectors.

10. Lead and coordinate with relevant Ministries and sectors, and Provincial People's Committees and Municipal People's Committees under the Central Government to inspect the implementation of projects according to Clause 1 of Article 18 of this Circular for SPQG managed by the Ministry of Science and Technology.

Coordinate with the main managing agencies of SPQG to inspect the implementation of projects according to Clause 1 of Article 18 of this Circular for SPQG managed by Ministries and sectors.

In necessary cases, the Ministry of Science and Technology shall lead the inspection of the implementation of scientific and technological projects and investment projects under SPQG managed by Ministries and sectors.

11. Summarize and report on the mobilization and use of funds from sources outside the science and technology research and development budget to implement projects; build periodic, spot, mid-term summary, and annual final reports on the results of implementation; organize mid-term summaries and final evaluations of the Program.

12. Report to the Prime Minister on the situation and results of implementing the Program; submit to the Prime Minister for consideration and decision on issues related to the organization and management of the Program.

Article 13. Responsibilities of Ministries and Sectoral Agencies

1. Implement tasks under the Program for Developing Scientific and Technological Products (SPQG) as stipulated in Point 2, Clause VII, Article 1 of Decision No. 2441/QD-TTg dated December 31, 2010 of the Prime Minister.

2. Organize the implementation of contents within the responsibilities prescribed in Clauses 1, 3, and 4 of Article 7, and Clauses 1, 3, and 5 of Article 8 of this Circular.

3. Coordinate with the Ministry of Science and Technology to appraise the budget for Science and Technology Projects (STP), Investment Projects, and tasks within STPs and Investment Projects; provide written comments on the content and budget support from the State Budget for Science and Technology for SPQGs under their management responsibility.

4. Guide the completion of project descriptions and signing of contracts for implementation with the Leading Organization and Project Leader of STPs, and Project Director of Investment Projects according to Article 17 of this Circular for SPQGs under their management responsibility.

5. Take the lead in conducting regular and spot inspections; evaluate and accept the results of STPs and Investment Projects; supervise and urge Leading Organizations, Project Leaders of STPs, and Project Directors of Investment Projects to implement in accordance with commitments in the contract.

6. Aggregate annual plans and budgets of SPQGs under their management responsibility and send them to the Ministry of Science and Technology for inclusion in the overall plan and budget for science and technology.

7. Guide Leading Organizations of STPs and Investment Projects on procedures to receive support as stipulated in Points 2, 3, and 4, Clause V, Article 1 of Decision No. 2441/QD-TTg dated December 31, 2010.

8. Approve or authorize the Head of the Leading Organization of STPs and Investment Projects to approve plans and tender results for purchasing machinery and equipment for STPs and Investment Projects (for the portion funded from the State Budget for Science and Technology) according to the provisions of the law for SPQGs under their management responsibility.

9. Lead and coordinate with the Ministry of Science and Technology to confirm financial status, issue and settle funds for Leading Organizations of STPs and Investment Projects according to the progress recorded in the contract.

10. Lead and coordinate with the Ministry of Science and Technology to review and decide on adjusting and terminating contracts according to Clause 2, Article 19 and Article 20 of this Circular.

11. Coordinate with the Ministry of Science and Technology in adjusting the content and budget support from the State Budget for Science and Technology for STPs and Investment Projects.

12. Develop periodic annual reports, special reports, mid-term summaries, and final conclusions on the results of managing SPQGs assigned, and send them to the Ministry of Science and Technology for consolidation and processing.

Article 14. Responsibilities of the People's Committee of provinces and centrally governed cities

1. Provincial People's Committees directly under the Central Government shall be responsible for implementing tasks under the Program for Developing SPQGs as stipulated in Point 2, Clause VII, Article 1 of Decision No. 2441/QD-TTg dated December 31, 2010 of the Prime Minister.

2. Organize the implementation of contents within the responsibilities prescribed in Clause 1, Article 6 of this Circular.

3. Coordinate with the Managing Authority of SPQGs in managing development tasks of SPQGs related to their responsibilities.

Article 15. Responsibilities and Authorities of the Leading Organization of Science and Technology Projects and Investment Projects

1. Leading Organization of Science and Technology Projects

a) Shall be responsible for the content and results of the Science and Technology Project and other contents assigned to lead and implement;

b) Together with the Head of the Science and Technology Project (Party B), sign the contract to implement the Science and Technology Project with the Management Unit of State Plan and the Management Unit of State Plan Budget; as Party A, sign contracts to implement research and technology transfer projects with the Leading Organization and the Heads of such projects;

c) Shall be responsible for managing and organizing the implementation of the Science and Technology Project according to the signed contract. Has the right to propose changes to the Leading Organization, Head, content, budget, and progress of research and technology transfer projects within the Science and Technology Project;

d) Manage the allocated budget, raise sufficient funds, and disburse the budget according to the schedule committed in the contract from various sources; organize bidding, procurement, and management of machinery and equipment of the Science and Technology Project in accordance with current regulations;

đ) Shall implement periodic reporting every six months, annually, or at any time (as required by the supervisory agency) on the implementation status to the Management Unit of State Plan, the Management Unit of State Plan Budget, and the Program Steering Committee. Create favorable conditions and provide full information to supervisory agencies for monitoring, inspection, and auditing of the Science and Technology Project;

e) Shall be responsible for evaluating and accepting the basic level of tasks within the Science and Technology Project;

g) Organize the management, exploitation, and transfer of results of the Science and Technology Project in accordance with the law;

2. Leading Organization of Investment Projects

a) Shall be responsible for the content and results of the Investment Project and other contents assigned to lead and implement;

b) Together with the Director of the Investment Project (Party B), sign the contract to implement the Investment Project with the Management Unit of State Plan and the Management Unit of State Plan Budget. As Party A, sign contracts to implement with the Leading Organization and the Heads of tasks within the Investment Project;

c) Shall be responsible for managing and organizing the implementation of the Investment Project according to the signed contract. Has the right to propose changes to the Leading Organization, Head, content, budget, and progress of tasks within the Investment Project;

d) Manage the allocated budget, raise sufficient funds, and disburse the budget according to the schedule committed in the contract from various sources; organize bidding, procurement, and management of machinery and equipment of the Investment Project in accordance with current regulations;

đ) Shall implement periodic reporting every six months, annually, or at any time (as required by the supervisory agency) on the implementation status to the Management Unit of State Plan, the Management Unit of State Plan Budget, and the Program Steering Committee. Create favorable conditions and provide full information to supervisory agencies for monitoring, inspection, and auditing of the Investment Project;

e) Shall implement basic-level evaluation of tasks within the Investment Project in accordance with the regulations;

g) Organize the management, exploitation, and transfer of results of the Investment Project in accordance with the law;

Article 16. Responsibilities and Authorities of the Head of the Science and Technology Project, Director of the Investment Project

1. The Head of the Science and Technology Project, Director of the Investment Project shall sign the contract to implement the Science and Technology Project and the Investment Project in accordance with Clause 1 of Article 17 of this Circular;

2. Implement the Science and Technology Project and the Investment Project; shall be responsible for the scientific value, technological level, and effectiveness of the Science and Technology Project and the Investment Project; have plans to apply results or commercialize products from the results of the Science and Technology Project;

3. Use the budget for its intended purpose effectively; manage the budget of the Science and Technology Project and the Investment Project in accordance with current regulations;

4. Be guaranteed the necessary conditions to implement the Science and Technology Project and the Investment Project as agreed in the contract; propose and make recommendations for adjustments when necessary;

5. Supervise and urge organizations and individuals participating in the implementation of the Science and Technology Project and the Investment Project according to the contract; report periodically every six months and annually, and report at any time about the progress of tasks and the use of the budget for the Science and Technology Project and the Investment Project;

The Head of the Science and Technology Project has the right to propose changes to the Leading Organization, Head, content, budget, and progress of research and technology transfer projects that have been approved;

The Director of the Investment Project has the right to propose changes to the Leading Organization, Head, content, budget, and progress of tasks that have been approved;

6. Implement the publication, submission, and transfer of results and products of the Science and Technology Project and the Investment Project in accordance with current regulations;

Chapter IV

IMPLEMENTATION OF SCIENCE AND TECHNOLOGY PROJECTS AND INVESTMENT PROJECTS

PRODUCTION UNDER THE PROGRAM

Article 17. Signing contracts for implementing Science and Technology Projects and Investment Projects

1. The Program Management Board together with the Office of National Programs on Science and Technology shall sign contracts to organize the implementation of Science and Technology Projects and Investment Projects (for contents and funds supported from the science and technology public service budget) with the Leading Organization, Project Leader of Science and Technology Projects, and Project Director of Investment Projects for products under the management of the Ministry of Science and Technology.

2. The Managing Unit of Public Service Products under the Ministry and Industry together with the Managing Unit of Public Service Product Funds shall sign contracts to organize the implementation of Science and Technology Projects and Investment Projects (for contents and funds supported from the science and technology public service budget) with the Leading Organization, Project Leader of Science and Technology Projects, and Project Director of Investment Projects for Public Service Products under their management responsibility.

3. The Leading Organization of Science and Technology Projects and Investment Projects shall sign contracts to implement research and development topics, projects, and tasks with the Leading Organization, Topic Leader, and Project Leader of Research and Development Projects and Tasks within the Investment Project.

4. Contracts for implementing Science and Technology Projects and Investment Projects and tasks within Science and Technology Projects and Investment Projects shall be carried out in accordance with the guidelines of the Ministry of Science and Technology.

Article 18. Monitoring and Evaluating the Implementation of Projects

1. Every six months, the Managing Authority of Public Service Products shall take the lead and coordinate with the Ministry of Science and Technology to organize monitoring and evaluation of progress, scientific content, and products of Science and Technology Projects and Investment Projects according to signed contracts.

2. The Ministry of Science and Technology shall periodically or unexpectedly inspect the situation and results of implementing Science and Technology Projects and Investment Projects of the Program.

Article 19. Adjusting the Leading Organization and Individuals, Contents, Budgets, and Progress of Implementing Science and Technology Projects and Investment Projects

1. The Leading Organization of the Project, Project Leader of Science and Technology Projects, and Project Director of Investment Projects may proactively adjust the budget between expenditure items within the total project budget allocated, based on work requirements.

2. The Leading Organization of the Project and Project Leader of Science and Technology Projects, Project Director of Investment Projects shall submit written proposals for adjusting the Leading Organization and Individuals, Contents, Budgets, and Progress of Implementing Science and Technology Projects and Investment Projects to the Managing Authority of Public Service Products.

3. For Public Service Products managed by the Ministry of Science and Technology, the Program Management Board shall take the lead and coordinate with relevant units of the Ministry of Science and Technology to report to the Minister of Science and Technology for consideration and decision on adjustments regarding the content, product, and progress of implementing Science and Technology Projects and Investment Projects; approved budget estimates for non-allocation expenditure items of Science and Technology Projects and Investment Projects; Leading Organizations and individual leaders of research and development topics, projects, and tasks within Investment Projects.

4. For Public Service Products managed by Ministries and Industries, the Managing Unit of Public Service Products shall take the lead and coordinate with related functional units to review and report to the Head of the Managing Authority of Public Service Products for decision on adjustments as specified in Clause 3 of this Article.

5. Documents related to the adjustment of the Leading Organization and Individuals, Contents, Budgets, and Progress of Implementing Science and Technology Projects and Investment Projects are part of the contract.

Article 20. Terminating Contracts

1. Decisions to terminate contracts shall be considered and implemented in the following cases:

a) Science and Technology Projects and Investment Projects are no longer suitable for the approved objectives or due to unforeseeable risks such as natural disasters, enemy attacks, epidemics;

b) The Leading Organization and Project Leader of Science and Technology Projects, Project Director of Investment Projects fail to ensure the necessary conditions such as physical facilities, human resources, corresponding funds, and other conditions as committed in the contract;

c) The Leading Organization and Project Leader of Science and Technology Projects, Project Director of Investment Projects lack the capacity to manage the organization's implementation of the content of Science and Technology Projects and Investment Projects as stipulated in the contract;

d) Funds of Science and Technology Projects and Investment Projects are misused.

2. For Public Service Products managed by the Ministry of Science and Technology, based on the cases specified in Clause 1 of this Article, the Program Management Board shall take the lead and coordinate with relevant units to report to the Minister of Science and Technology for consideration and decision to terminate the contract.

For Public Service Products managed by Ministries and Industries, based on the cases specified in Clause 1 of this Article, the Managing Unit of Public Service Products shall report to the Head of the Managing Authority of Public Service Products for consideration and decision to terminate the contract.

3. Based on the decision to terminate the contract, the Leading Organization of Science and Technology Projects and Investment Projects must cease all related activities and submit written reports on completed works; funds used; equipment purchased. On the basis of the Leading Organization’s proposal, the Program Management Board and the Managing Unit of Public Service Products will handle and report to the Managing Authority of Public Service Products for resolution.

4. Based on the results of implementing the contents specified in Clause 3 of this Article, the Leading Organization and Project Leader of Science and Technology Projects, Project Director of Investment Projects shall carry out procedures to liquidate the contract according to the terms of the signed contract between the parties and in accordance with the laws on contracts.

Article 21. Evaluation, acceptance, and recognition of results of Science and Technology Projects (STP), Investment Projects, and Programs

1. Basic-level evaluation and acceptance

The leading organization of the STP, investment project shall organize the evaluation and acceptance of the STP, investment project (for contents and funds supported from the state budget for science and technology affairs) and complete the documentation on the evaluation results to be submitted to: the Program Steering Committee, relevant units under the Ministry of Science and Technology for STPs managed by the Ministry of Science and Technology; the management unit of STPs under the respective ministry to organize formal evaluation and acceptance.

The Program Steering Committee and relevant units under the Ministry of Science and Technology shall cooperate to inspect and supervise the process of organizing evaluation and acceptance for STPs managed by the Ministry of Science and Technology.

Ministries shall inspect and supervise the process of organizing evaluation and acceptance for STPs under their management responsibility.

2. National-level evaluation and acceptance of STPs and investment projects:

a) For STPs managed by the Ministry of Science and Technology:

The Program Steering Committee shall lead and coordinate with relevant units under the Ministry of Science and Technology and related units to organize the evaluation and acceptance of tasks within the STP and investment project.

b) For STPs managed by ministries:

The management unit of STPs under the respective ministry shall lead and coordinate with relevant units under the Ministry of Science and Technology and related units to organize the evaluation and acceptance of tasks within the STP and investment project.

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

d) In necessary cases, the Ministry of Science and Technology and the principal authority may apply independent consulting methods.

3. The Ministry of Science and Technology shall lead and coordinate with ministries, provincial People's Committees under the central government to organize mid-term and final evaluations of the implementation of the Program.

In necessary cases, independent consulting may be referred to for mid-term and final evaluations of the implementation of the Program.

4. The procedures and processes for evaluating, accepting, and recognizing the results of STPs and investment projects, tasks within STPs and investment projects, and Programs shall be carried out according to the guidelines of the Ministry of Science and Technology.

Article 22. Contract termination

The Program Steering Committee shall lead and coordinate with relevant units under the Ministry of Science and Technology to terminate contracts with the leading organization of the Project and the Head of the STP, Director of the investment project according to current regulations for STPs managed by the Ministry of Science and Technology.

The management unit of STPs under the respective ministry, together with related units, shall terminate contracts with the leading organization and the Head of the STP, Director of the investment project according to current regulations for STPs under the management responsibility of the respective ministry.

Article 23. Management of Results of STPs and Investment Projects

1. The leading organization shall be responsible for managing, exploiting, and transferring the results of the STP and investment project in accordance with the provisions of the law. Ownership rights, copyright, and usage rights of the results of the STP and investment project shall be implemented in accordance with the laws on science and technology and intellectual property.

2. Registration for preservation of the results of the STP shall be carried out in accordance with Decree No. 159/2004/NĐ-CP dated August 31, 2004 of the Government on scientific and technological information activities.

Chapter V

FINANCIAL PROVISIONS OF THE PROGRAM

Article 24. Budget for Implementing the Program

1. The budget for implementing the Program includes the funds for carrying out the contents according to Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Government Prime Minister and the management expenses for the common activities of the Program.

2. The budget for implementing the Program shall be balanced within the annual state budget estimate for science and technology expenditures and allocated to the Managing Authority to disburse under contracts to the Leading Organizations and to cover the common activities of the Program including the operational costs of the Steering Committee, the Program Management Board, and the support staff of the Program Management Board.

Article 25. Use of Funds

The use of funds for the Program shall be carried out in accordance with the Circular jointly guiding financial management for implementing the Program on Strategic Products until 2020 issued by the Ministry of Finance and the Ministry of Science and Technology.

Article 26. Settlement of Accounts

1. The final account report must be completed before organizing the evaluation and acceptance. Approval of the settlement will only be conducted after the evaluation and acceptance results have been recognized by the Ministry of Science and Technology or the Managing Authority for Strategic Products.

2. For Investment Projects using state budget funds, the project sponsor shall prepare a financial final account report detailing each source of funds used. The final account report shall be submitted to the Financial Management Unit of Strategic Products and relevant agencies responsible for funding allocation and management.

3. In cases where necessary, the Ministry of Science and Technology shall take the lead and coordinate with other ministries and sectors to decide on auditing the financial operations of Science and Technology Projects, Investment Projects, and Programs.

Article 27. Disposal of Assets

The disposal of assets after the completion of Science and Technology Projects and Investment Projects shall be carried out in accordance with current regulations.

Chapter VI

IMPLEMENTING PROVISIONS

Article 28. Effective Date

This Circular takes effect 45 days from the date of issuance and replaces Circular No. 01/2012/TT-BKHCN dated January 18, 2012 of the Ministry of Science and Technology.

Article 29. Responsibility for Implementation

Ministries, sectors, People's Committees of provinces and centrally governed cities shall base this Circular to guide agencies, organizations, and individuals in implementing the Program.

During implementation, if there are difficulties, agencies, organizations, and individuals are requested to reflect them to the Ministry of Science and Technology for research and appropriate amendments and supplements./.