Circular No. 11/2014/TT-BKHCN on the evaluation and acceptance of results from implementing national science and technology tasks funded by the state budget

CIRCULAR

Regulations on the evaluation and acceptance of results from implementing

national science and technology tasks funded by state budget

Pursuant to the Law on Science and Technology dated June 18, 2013;

Pursuant to Decree No. 20/2013/NĐ-CP dated February 26, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Decision No. 157/QĐ-TTg dated February 1, 2021 of the Prime Minister promulgating the National Product Development Program until 2030;

The managing unit of tasks under the Program

The Minister of Science and Technology issues this Circular to regulate the evaluation and acceptance of results from implementing national science and technology tasks funded by state budget.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular regulates the evaluation and acceptance of results from implementing national science and technology tasks funded by state budget (hereinafter referred to as national-level tasks), including: National-level scientific and technological research topics; national-level pilot production projects; national-level scientific programs; national-level scientific and technological projects.

2. This Circular applies to organizations and individuals engaged in science and technology activities, state agencies, and other organizations and individuals related to such activities.

Article 2. Interpretation of Terms

1. The leading agency for the task is the Ministry of Science and Technology or a ministry, ministerial-level agency, or government agency entrusted by the Prime Minister to organize the implementation of national programs/projects on science and technology.

2. The managing unit for the task is the unit directly assigned by the head of the leading agency to manage the national-level task.

Article 3. Principles of Evaluation

1. Based on the order placed by the leading agency for the task, the research and development contract (hereinafter referred to as the contract) already signed, and the evaluation contents stipulated in this Circular.

2. Based on the evaluation and acceptance dossier.

3. Ensuring democracy, objectivity, fairness, honesty, and accuracy.

Article 4. Evaluation Funding

1. The funding for evaluating and accepting national-level tasks shall be sourced from the annual state budget for scientific and technological affairs allocated to the leading agency for the task.

2. Any additional costs incurred to complete products and materials of the national-level task according to the requirements of the advisory board for evaluation and acceptance of the results of the national-level task shall be borne by the organizing entity and the principal investigator of the task.

Chapter II
PROCEDURE FOR EVALUATION AND ACCEPTANCE OF RESULTS FROM IMPLEMENTING NATIONAL-LEVEL TASKS

RESULTS OF IMPLEMENTING NATIONAL TASKS

Article 5. Self-evaluation of Results from Implementing National-Level Tasks

1. The organization responsible for implementing the task (hereinafter referred to as the Organizing Entity) has the responsibility to self-evaluate the results of the task in accordance with Articles 12 and 13 of this Circular before submitting the evaluation and acceptance dossier to the managing unit for the task.

2. The results of the self-evaluation are compiled and reported according to Model 1 attached to this Circular.

Article 6. Dossier for Evaluation and Acceptance of National-Level Tasks

The dossier for evaluation and acceptance of national-level tasks includes:

1. A letter requesting evaluation and acceptance of the national-level task from the organizing entity according to Model 2 attached to this Circular.

2. Summary report and brief report on the results of implementing the task.

3. A report on the scientific and technological products of the task.

4. A copy of the contract and task description.

5. Confirmation documents and related materials concerning the publication, dissemination, training, reception, and utilization of research results (if applicable).

6. Data (surveys, analyses, etc.), task logs.

7. Documentation confirming the agreement of authors regarding the order of their names in the list of task authors.

8. Report on the use of funds for the task.

9. Self-evaluation report on the results of implementing the task.

10. Other relevant documents (if any).

Article 7. Submission of evaluation and acceptance dossier for national tasks

1. Deadline for submission: The submission of the dossier shall be made within thirty days from the date of completion of the contract or the date of extension of the contract (if applicable).

2. The dossier may be submitted directly or sent via postal service to the task management unit, including: one original set (with seals and direct signatures) and one electronic copy (in PDF format, without security settings).

3. Within three working days from the date of receipt of the dossier, the Task Management Unit must notify the leading organization about the validity of the dossier according to Model 3 attached to this Circular. In case the dossier does not meet the requirements, the leading organization must supplement it within five working days from the date of receiving the notification from the task management unit.

Article 8. Information on the results of implementing national tasks

1. The task management unit shall post information on the website of the leading ministry within sixty days. The posted information includes:

a) General information about the task: Name; code number; budget; implementation period; leading organization, head of the task, and main participants in the implementation of the task;

b) Expected time and location for evaluation and acceptance;

c) Content of the self-evaluation report on the results of implementing the task.

2. Deadline for posting information: Not later than five working days after the task management unit receives a valid dossier.

Article 9. Evaluation and acceptance advisory board and expert team for the results of implementing national tasks

1. The evaluation and acceptance advisory board and expert team for the results of implementing national tasks shall be established by the head of the leading ministry within fifteen working days from the date of receipt of a valid dossier.

2. An expert team shall be established in cases where the task has measurable products. The expert team is responsible for checking and verifying the reliability and authenticity of the task's products.

3. The advisory board for evaluating and accepting the results of implementing national tasks (hereinafter referred to as the Board) consists of nine members including the chairman, vice-chairman, two opposing members, scientific secretary member, and other members, among which:

a) Six members are science and technology experts taken from the database of experts of the Ministry of Science and Technology, three members are experts representing the leading ministry, organizations capable of applying research results, and the agency proposing the task, including at least one member who has participated in the advisory board determining the task or directly assigning the task;

b) Members who are science and technology experts as stipulated in Point a of this Clause working at the leading organization may participate in the board but cannot serve as chairman, vice-chairman, opposing member, or scientific secretary member.

4. The expert team consists of three members, all of whom are members of the board, with the chairman or vice-chairman serving as the team leader.

5. Cases where participation in the Board is not allowed:

a) Head of the task, individuals participating mainly, and those cooperating in the implementation of the task;

b) Persons currently being administratively punished for violations in scientific and technological activities or currently under criminal investigation or have been convicted but not yet had their criminal record expunged;

c) Spouse, father, mother, child, brother, sister, or half-sibling of the head of the task, main participants in the implementation of the task, or any person with related rights and interests;

d) Individuals with evidence of conflicting interests with the head of the task or the leading organization.

6. In special cases due to the complexity or specific requirements of the task, the head of the leading ministry may decide on the number and composition of the board differently from the provisions of Clause 3 of this Article or select science and technology experts outside the database of experts of the Ministry of Science and Technology.

Article 10. Meeting of the Evaluation and Acceptance Council

1. The evaluation and acceptance documents prescribed in Clauses 2, 3, 4, 5, and 9 of Article 6 of this Circular and the receipt of the file according to Model 3 attached to this Circular must be sent by the Task Management Unit to all members of the Council and the specialized team (if any) at least seven working days before the meeting.

2. The Council's meeting shall be organized within thirty days from the date of the decision establishing the Council, and the Council shall only convene when the following requirements are met:

a) The Task Management Unit has received in writing the comments of all Council members and the review opinions of the specialized team (if any) at least one working day before the Council meeting;

b) At least two-thirds of the Council members must attend the meeting, including the chairman or vice-chairman authorized in writing and two opposing members and a scientific secretary member.

3. Participants in the Council meetings:

a) Members of the Council, head of the task, representative of the main organizing organization, representative of the supervising agency, representative of related units under the main organizing ministry, and other members invited by the main organizing ministry if necessary;

b) The main organizing ministry assigns an administrative secretary to assist in preparing materials and organizing Council meetings.

4. Agenda of the Council meeting:

a) The administrative secretary announces the decision to establish the Council and introduces the participants;

b) A representative of the main organizing ministry outlines the main contents and requirements for evaluation and acceptance as stipulated in this Circular;

c) The Council chairman presides over the Council meetings. In case the Council chairman is absent, he authorizes the Vice-Chairman in writing to chair the meeting.

5. Procedure for the Council's work:

a) The Council chairman unifies and approves the agenda of the Council in accordance with the provisions of this Circular;

b) The Council elects or appoints one member as the scientific secretary to record discussions during the meetings, draft and finalize the evaluation and acceptance minutes based on the conclusions of the Council meeting;

c) The Council elects a ballot committee consisting of three members of the Council, including a head to compile the opinions of the Council members;

d) The head of the task presents a summary of the implementation process, reports on the scientific and technological products, and self-evaluates the results of the task;

đ) Council members ask questions to the head of the task regarding the results and issues related to the task. The head of the task and relevant individuals answer the questions of the Council (if any) and do not continue to participate in the Council meeting;

e) The head of the specialized team reports on the review results of the task (if any); opposing members read their comments on the task's implementation results; the scientific secretary reads the opinions of absent members (if any); Council members exchange views on the task results;

g) Council members evaluate the task classification according to Model 7 attached to this Circular; the Council conducts a vote to assess the task results; the ballot committee compiles and reports the voting results according to Model 8 attached to this Circular;

h) The Council chairman drafts the evaluation conclusion according to Model 9 attached to this Circular. If the Council classifies the task as "Not Achieved," it must clearly identify the contents implemented according to the contract for the main organizing ministry to handle according to current regulations. The Council discusses to unify each conclusion content and approve the minutes;

i) Representatives of agencies express their opinions (if any).

6. The Council's concluding opinion is sent by the Task Management Unit to the main organizing organization within two working days after the end of the meeting as a basis for supplementing and perfecting the file.

Article 11. Requirements for Evaluation by the Council

1. The evaluation of the results of the task through the assessment form with the signature of the leading ministry of the task.

2. Members of the Council evaluate independently without exchanging information on their assessment results.

3. A valid assessment form is an assessment form that complies with the regulations for each evaluation content.

4. An invalid assessment form is one left blank or not evaluated according to the regulations.

5. The overall classification result of the task is based on the assessment results of each expert as stipulated in Clause 2, Article 13 of this Circular.

Article 12. Content of Evaluation and Requirements for Products of National-Level Tasks

1. Content of Assessment

a) Evaluation of the comprehensive report: Evaluation of the completeness, clarity, authenticity, and logical structure of the comprehensive report (research methods, techniques used...) and necessary accompanying documents (design documents, technology documents, intermediate products, cited documents).

b) Evaluation of the task product against the order, including: Quantity and volume of products; quality of products; types of products; features and technical specifications of products.

2. Requirements for the comprehensive report:

a) Overview of existing research results related to the task.

b) Data and materials representative, reliable, authentic, and up-to-date.

c) The content of the report presents all research results of the task systematically and logically, with scientific arguments grounded in theoretical and practical specifics that address the research issues raised, truthfully reflecting the task's outcomes consistent with common practices in scientific research activities.

d) The content structure and scientific writing style are appropriate.

3. Requirements for products of national-level tasks.

In addition to the requirements stated in the contract and task description, the products of national-level tasks must meet the following requirements:

a) For products such as samples, materials, equipment, machinery, production lines, crop seeds, livestock breeds, and other measurable products, they must be tested/examined/inspected at relevant independent specialized agencies.

b) For products such as application principles, methods, standards, regulations, computer software, design drawings, technological processes, diagrams, maps, data, databases, analytical reports, forecasting documents (methods, processes, models...), plans, master plans, economic-technical justifications, feasibility studies, and similar products, they must be reviewed by a specialized scientific council or a group of experts established by the task's leading organization.

c) For products such as postgraduate training outcomes, useful solutions, inventions, publications, and similar products, they must have confirmation documents from relevant competent authorities.

Article 13. Methods of Evaluation and Classification for National-Level Tasks

1. Evaluation by Council Members

a) Each type of product of the task is evaluated based on criteria regarding quantity, volume, and quality of the product into three levels: "Excellent" when exceeding the order requirements; "Satisfactory" when meeting the order requirements fully; "Unsatisfactory" when failing to meet the order requirements fully.

b) The comprehensive report on the implementation results of the task is evaluated into three levels: "Excellent" when the comprehensive report is complete and meets the requirements specified in Clause 2, Article 12; "Satisfactory" when the comprehensive report needs revision and supplementation but can be completed; "Unsatisfactory" when it does not fall into the two cases above.

c) The overall task is evaluated into three levels: "Excellent" when all product criteria reach the "Excellent" level and the comprehensive report reaches the "Satisfactory" level or higher; "Satisfactory" when meeting the following requirements simultaneously: All product quality and type criteria at the "Satisfactory" level or higher; at least 3/4 of the product volume and quantity criteria at the "Satisfactory" level or higher (products not reaching the volume and quantity criteria still need to ensure at least 3/4 of the order requirements), and the comprehensive report reaches the "Satisfactory" level or higher; "Unsatisfactory" when it does not belong to the two cases above or the submission of the dossier is delayed by more than six months from the contract completion date or the extended date (if applicable).

2. Evaluation and Classification by the Council

a) "Excellent" level if at least 3/4 of the present council members unanimously rate the "Excellent" level and there is no member rating the "Unsatisfactory" level.

b) "Unsatisfactory" level if more than 1/3 of the present council members rate the "Unsatisfactory" level.

c) "Satisfactory" level if the task does not fall under points a and b of this clause.

3. For tasks rated "Satisfactory" or higher by the council, within thirty working days from the date of the evaluation results, the task leader is responsible for completing the dossier according to the council's conclusions.

The leading ministry of the task coordinates with the council chairman to monitor the completion of the evaluation dossier. The council chairman confirms the completion of the dossier by the task leader.

Article 14. Independent Consulting

1. The leading ministry shall be responsible for examining and deciding on organizing independent consulting opinions in the following cases:

a) The Council is not unanimous about the evaluation and acceptance results of the task;

b) The Council violates the evaluation and acceptance regulations stipulated in this Circular;

c) There are complaints or accusations related to the activities and conclusions of the Council before the decision to recognize the results.

2. The head of the leading ministry shall invite two (2) experts or one (1) independent consulting organization to evaluate the implementation results of the task. The opinions of the experts or independent consulting organizations are supplementary bases for the head of the leading ministry to make final conclusions before deciding on acceptance.

3. Requirements for independent consulting experts and procedures for obtaining expert opinions are stipulated in the Circular on selecting, directly assigning organizations and individuals to implement national science and technology tasks funded by state budget.

4. Requirements for independent consulting organizations: They must be organizations with the capacity and experience in evaluating task implementation results; have experience in managing scientific and technological activities or producing products equivalent to the products of the task; have a team of staff with high qualifications in the research field of the task.

Article 15. Handling the Results of Evaluation and Acceptance of National Tasks

1. The task will be settled and the contract liquidated after the products of the task and assets purchased with state budget funds are inventoried and handed over according to current regulations.

2. For tasks classified at the level of "Not Achieved", the task management unit is responsible for coordinating with relevant units to determine the amount of funds to be refunded to the state budget according to current regulations.

3. The publication and use of the results of implementing the task shall be carried out according to current regulations.

4. Organizations and task leaders whose task implementation results are evaluated at the level of "Not Achieved" or who fail to submit the application file for evaluation and acceptance of the task to the task management unit within the specified time limit will be restricted from registering for direct assignment or selection of national tasks according to the provisions of the Circular on selecting, directly assigning organizations and individuals to implement national science and technology tasks funded by state budget.

Chapter III
REGISTRATION, STORAGE AND RECOGNITION OF TASK IMPLEMENTATION RESULTS NATIONAL TASKS

Article 16. Registration and Storage of Task Implementation Results

The leading organization shall carry out registration and storage of task results in accordance with Decree No. 11/2014/ND-CP dated February 18, 2014 of the Government on scientific and technological information activities and submit a copy of the certificate of task implementation result registration to the leading ministry.

Article 17. Recognition of Task Implementation Results

1. The dossier for recognizing the results of the task includes:

a) Minutes of the evaluation and acceptance council meeting;

b) A copy of the registration certificate for the results of task implementation;

c) Report on completing the evaluation and acceptance dossier according to Model 10 attached to this Circular;

d) Opinions of experts or independent consulting organizations (if any).

2. Recognizing the implementation outcomes of the task.

Within ten working days from the date of receipt of all documents stipulated in Clause 1 of this Article, the head of the leading ministry shall be responsible for reviewing and issuing a decision to recognize the task implementation results according to Model 11 attached to this Circular.

Chapter IV
RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS

Article 18. Responsibilities of the Leading Ministry for National Task

1. Responsibilities of the management unit for the task

a) Guide the head of the task, the leading organization of the task, and members of the council to implement the evaluation and acceptance of the results of the task's implementation;

b) Provide information and documents on the evaluation and acceptance of the task to relevant parties upon request;

c) Lead and coordinate with relevant parties to transfer the research results of the task;

d) Retain the evaluation and acceptance files of the task in accordance with regulations;

đ) Report on the organization of the evaluation and acceptance of the results of the task's implementation and provide evaluation files upon request of the Head of the Leading Ministry for the task.

2. Responsibilities of the administrative secretary

a) Assist the council during the process of evaluating the results of the task's implementation, complete the meeting minutes and other administrative procedures as prescribed;

b) Prepare all necessary documents and conditions as prescribed to serve council meetings.

3. The Leading Ministry for the task must keep confidential information of experts and independent consulting organizations.

Article 19. Responsibilities of the agency proposing the national task

1. Coordinate with the Leading Ministry for the task during the process of evaluating and accepting the results of the task's implementation.

2. Receive, organize the application, allocate funds, and evaluate the effectiveness of applying the results of the task proposed by itself after evaluation and acceptance, and submit annual or ad hoc reports on the application results to the Ministry of Science and Technology.

Article 20. Responsibilities of the leading organization for the national task

1. Ensure necessary conditions for the task leader to complete the steps of evaluating and accepting the results of the task's implementation as stipulated in this Circular.

2. Submit the evaluation and acceptance files within the prescribed time limit.

3. Not to exchange with experts and independent consulting organizations about issues related to the results of the task's implementation.

4. Collaborate with the task leader and relevant parties to transfer the results of the task's implementation after the task has been evaluated and accepted according to current regulations.

5. Implement registration and retention of task results as stipulated in Article 16 of this Circular.

6. Report on the application of the results of the task's implementation when granted ownership or usage rights over scientific research and technological development results.

Article 21. Responsibilities of the task leader for the national task

1. Implement general regulations in scientific research and technology activities. Ensure the accuracy and reliability of information and data in scientific and technological products and evaluation and acceptance files.

2. Collaborate with the leading organization of the task and relevant parties to transfer the results of the task's implementation after evaluation and acceptance according to current regulations.

3. Not to exchange with experts and independent consulting organizations about issues related to the results of the task's implementation.

Article 22. Responsibilities of independent consulting organizations and experts

1. Study and evaluate the task files provided.

2. Provide opinions on evaluation contents, requirements for supplementation and improvement, and classify the task according to Model 4a or Model 4b attached to this Circular.

3. During the period of being invited for independent consultation, maintain confidentiality regarding the assigned task.

4. Not to exchange with the task leader, the leading organization of the task, and other organizations or individuals about issues related to the results of the task's implementation.

Article 23. Responsibilities of Council Members

1. Council members responsible for evaluation and acceptance shall:

a) Study the files and documents, comment on the results of the task implementation according to Model 4a or Model 4b attached as an appendix to this Circular and submit their comments to the task management unit at least one working day before the council meeting is organized;

b) Request organizations and individuals related to provide necessary documents for the evaluation and acceptance process;

c) Objectively and accurately evaluate and accept the results of the task implementation and bear responsibility for their evaluation opinions;

d) Not disclose information about the evaluation results before the decision recognizing the results is made; not retain, exploit, publish, or use the task implementation results contrary to the law or without the consent of the leading ministry of the task.

2. The Chairperson and Vice-Chairpersons of the council, in addition to the responsibilities of council members stipulated in Clause 1 of this Article, also have the following responsibilities:

a) Report and handle issues arising in relation to the council's evaluation results upon request of the head of the leading ministry of the task;

b) Confirm the completion of the evaluation file of the task leader based on the council's concluding opinion.

3. Council members elected as members of the ballot verification committee, in addition to the responsibilities of council members stipulated in Clause 1 of this Article, also have the responsibility to check the validity of the ballots, compile, and report the voting results of the council members.

Article 24. Responsibilities of Expert Group Members

1. Examine and appraise scientific and technological products (product samples, models, design drawings, test reports, applications, measurement and inspection documents, testing and evaluating the products of the task) according to Model 5 attached as an appendix to this Circular.

2. Conduct field surveys, request organizations to measure technical parameters of the product (if necessary).

3. Prepare an appraisal report on the product according to Model 6 attached as an appendix to this Circular and send it to the task management unit at least two working days before the council meeting.

Chapter V
IMPLEMENTATION

Article 25. Guidance on Implementation

1. The Ministry of Science and Technology shall organize guidance and supervision to inspect the implementation of this Circular by organizations and individuals participating in national-level tasks.

2. Ministries, ministerial-level agencies, government agencies, provincial people's committees, and centrally-administered city people's committees shall apply this Circular to study, build, and promulgate regulations on the evaluation and acceptance of the results of scientific and technological tasks at the ministry and provincial levels funded by the state budget within their respective jurisdictions.

3. For scientific and technological tasks that do not use the state budget but where organizations and individuals lack the ability to organize self-evaluation and acceptance, they have the right to request local state management agencies on science and technology to consider evaluation and acceptance. The evaluation and acceptance costs shall be borne by the organization or individual making the request.

Article 26. Effective date

1. This Circular takes effect from August 1, 2014, and replaces Circular No. 07/2009/TT-BKHCN dated April 3, 2009, issued by the Minister of Science and Technology guiding the evaluation and acceptance of national-level social science tasks, and Circular No. 12/2009/TT-BKHCN dated May 8, 2009, issued by the Minister of Science and Technology guiding the evaluation and acceptance of national-level scientific and technological projects and experimental production projects.

2. In the course of implementation, if any difficulties arise, please reflect them to the Ministry of Science and Technology for guidance on research and amendment supplementation./.