Circular No. 12/2012/TT-BKHCN on the organization and management of the National Key Social Science Program "Research on Political Theory Science for the Period 2011-2015", code number KX.04/11-15

CIRCULAR

Regarding the organization and management of the National Key Social Science Program "Research on Theoretical Political Science for the Period 2011-2015", code number KX.04/11-15 Pursuant to the Law on Science and Technology dated June 9, 2000, Pursuant to Decree No. 81/2002/NĐ-CP dated October 17, 2002 of the Government detailing certain provisions of the Law on Science and Technology;

Pursuant to Decree No. 201/2004/NĐ-CP dated December 10, 2004 of the Government promulgating the Regulation on Management of Social Science and Humanities Activities;

Pursuant to Decision No. 1244/QĐ-TTg dated July 25, 2011 of the Prime Minister approving the orientation, objectives, and main tasks of science and technology for the period 2011-2015,

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

The Minister of Science and Technology issues this Circular guiding the organization and management of the National Key Social Science Program "Research on Theoretical Political Science for the Period 2011-2015", code number KX.04/11-15.

Article 1. This Circular stipulates the organization and management of the National Key Social Science Program "Research on Theoretical Political Science for the Period 2011-2015", code number KX.04/11-15 (hereinafter referred to as the Program), including: establishing the objectives, contents, and expected products of the Program; identifying, selecting, reviewing, implementing, monitoring, evaluating, certifying, transferring, applying research results of projects under the Program, and summarizing the Program.

Article 2. This Circular applies to the Program Steering Committee, organizations and individuals primarily responsible for implementing projects under the Program, state agencies managing science and technology, and other relevant agencies and organizations.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 3. The management of the Program must ensure the following principles:

1. Implementation in accordance with the Law on Science and Technology and Decree No. 201/2004/NĐ-CP dated December 10, 2004 of the Government promulgating the Regulation on Management of Social Science and Humanities Activities; Decision No. 1244/QĐ-TTg dated July 25, 2011 of the Prime Minister approving the orientation, objectives, and main tasks of science and technology for the period 2011-2015; Decision No. 418/QĐ-TTg dated April 11, 2012 of the Prime Minister approving the Strategy for the Development of Science and Technology for the Period 2011-2020; and Conclusion No. 11-KL/TW dated October 19, 2011 of the Politburo of the Eleventh Party Congress on the orientation and tasks for the period 2011-2015 of the Central Theoretical Council.

Article 3. Principles for Managing the Program

2. Ensuring the unified role of the Ministry of Science and Technology in state management and the advisory role of the Central Theoretical Council on theoretical political issues; ensuring the responsibilities and authorities of the Program Steering Committee, the organizing and leading units of projects during the implementation of the Program, aiming to properly and qualitatively direct research on theoretical political issues according to the requirements of the Politburo.

3. The use of funds for the Program must be purposeful, effective, non-wasteful, and in accordance with current regulations.

Article 3. Code Numbers of the Program and Projects

1. The Program code is recorded as follows: KX.04/11-15.

2. The project codes under the Program are recorded as follows: KX.04.xx/11-15, where:

a) KX.04 is the symbol for the Program in the field of social sciences and humanities "Research on Theoretical Political Science for the Period 2011-2015" recorded in Decision No. 2850/QĐ-BKHCN dated September 15, 2011 of the Minister of Science and Technology;

b) Group xx is the two-digit group indicating the serial number of projects under the Program;

c) 11-15 is the common symbol for national key science and technology programs for the period 2011-2015;

d) A dot separates the two-letter field symbol from the program serial number group; a dot separates the program serial number group from the project serial number group; a slash separates the project serial number group from the period symbol group.

c) 11-15 denotes the national key science and technology programs for the period of 2011-2015;

d) A dot separates the two-letter field symbol group from the program sequence number group; a dot also separates the program sequence number group from the topic sequence number group; a forward slash separates the topic sequence number group from the period symbol number group.

Article 4. Information on the Program and Research Topics

1. Information on the Program and Research Topics shall be announced in the Central Theoretical Council Bulletin, on the websites of the Ministry of Science and Technology, and on the websites of the Office for National Key Programs (hereinafter referred to as the Program Office), and through other forms, except in special cases related to state secrets.

2. The Program Director Board, the Leading Organization, and the Research Topic Leader shall be responsible for disseminating the information stipulated in Clause 1 of this Article and promoting, publicizing, and transferring the results of scientific research and technological development of the Program and Research Topics.

Chapter II
MANAGEMENT OF THE PROGRAM

Article 5. Organizational Structure for Managing the Program

1. The Ministry of Science and Technology shall take the lead, together with the Program Director Board, the Leading Organization, and the Research Topic Leader within the Program, to manage and organize the implementation of the Program.

2. The functional departments of the Ministry of Science and Technology shall perform the State Management role of the Ministry of Science and Technology in managing the Program, assisting the Program Office in implementing the responsibilities and authorities of the Ministry of Science and Technology as prescribed in Article 13 of this Circular.

3. The Program Office is a public service unit under the Ministry of Science and Technology, assisting the Ministry of Science and Technology in performing management functions for Program activities.

4. The organizational structure of the Program includes: the Program Director Board and the Secretariat assisting the Program Director Board.

Article 6. Steering Committee of the Program

1. The Standing Committee of the Central Theoretical Council is the Program Director Board, consisting of: the Chairman of the Central Theoretical Council is the Program Director; one Deputy Director and five members, including one member of the Program Director Board who also serves as the Program's scientific secretary. The Minister of Science and Technology issues a decision recognizing the Program Director Board.

In case of changes or additions to members of the Program Director Board, the Standing Committee of the Central Theoretical Council will introduce replacement members, and the Minister of Science and Technology will issue a decision recognizing them.

The Program Director Board uses the seal of the Central Theoretical Council in documents containing content within the duties and powers of the Program Director Board.

2. The Program Director Board operates according to the principle of democratic centralism, being accountable to the Central Theoretical Council and the Minister of Science and Technology to meet the requirements and tasks of the Politburo and the Secretariat.

Article 7. Responsibilities and Authorities of the Program Director Board

1. Implementing the research contents of the Program to achieve the goals and products (program framework) approved by the Central Theoretical Council and ratified by the Ministry of Science and Technology;

2. Implementing tasks related to determining assignments, selecting, and evaluating candidates for leading organizations and individuals to undertake research topics; assessing and accepting the outcomes of research topics within the Program.

3. Leading and coordinating with the Program Office to guide organizations and individuals to complete the research topic descriptions after the Minister of Science and Technology approves the selected and evaluated leading organizations and individuals. Reviewing completed research topic descriptions according to guidelines, submitting them to the Minister of Science and Technology for consideration and decision.

4. Developing annual plans based on the goals, contents, and expected products of the Program approved by the Minister of Science and Technology; proposing annual adjustments and supplements; coordinating with the Program Office and relevant units under the Ministry of Science and Technology to implement after approval by the Minister of Science and Technology;

5. Preparing reports (quarterly, annually, mid-term reviews, final summaries) on the implementation results of the Program to report to the Central Theoretical Council and submit to the Program Office for consolidation and reporting to the Minister of Science and Technology;

6. Organizing information dissemination on the scientific activities of the Program; proposing recommendations and coordinating the transfer and application of research outcomes from research topics within the Program.

7. Confirming the content, workload, and implementation results of research topics annually as a basis for settlement and further funding allocation.

8. Proposing commendations for organizations and individuals with outstanding achievements in research; recommending actions against violations concerning the content of the Implementation Contract of the leading organization and the research topic leader during the implementation process.

Article 8. Responsibilities and Authorities of the Members of the Program Management Board

1. The Program Director is responsible to the Central Theoretical Council and the Minister of Science and Technology for the implementation of the program's goals and approved products, and organizes the execution of scientific tasks through the Office of Programs. The Program Director has the following responsibilities:

a) To establish leadership and management measures for the activities of the Program Management Board;

b) To establish working regulations for members of the Program Management Board; convening and chairing meetings of the Program Management Board;

c) To decide on issues related to the activities of the Program after discussions and consensus among members of the Program Management Board.

2. The Deputy Program Director fulfills assigned tasks according to the division of labor by the Program Director; is authorized by the Program Director to represent the leadership of the Program Management Board in the absence of the Program Director and is accountable to the Program Director, the Central Theoretical Council, and the Minister of Science and Technology for assigned tasks; is authorized by the Program Director and the Director of the Office of Programs to sign research contracts with organizations and project leaders within the Program.

3. Members of the Program Management Board have the responsibility to fulfill assigned tasks according to the division of labor by the Program Director when handling specialized work; are authorized to represent the Program Management Board in specific cases and are accountable to the Program Management Board, the Central Theoretical Council, and the Minister of Science and Technology for assigned tasks.

Article 9. Responsibilities and Authorities of the Secretariat Supporting the Program Management Board

The Secretariat supporting the Program Management Board consists of four people who assist in specialized and administrative matters, selected by the Program Management Board. Under the direction of the Program's Scientific Secretary兼任委员兼科学秘书的指导下，秘书处执行以下任务：

1. Regarding specialized tasks:

a) To compile the annual activity plan of the Program;

b) To develop the content of contracts for implementing projects;

c) To assist the Program Management Board in proposing lists of members of advisory councils to determine projects, select and review organizations and individuals leading the implementation, and evaluate and accept projects of the Program;

d) To prepare reports on the situation and results of the Program's activities (semi-annually, annually, mid-term reviews, and final summary reports of the Program);

đ) To draft documents within the authority of the Program Management Board;

e) To perform other tasks assigned by the Program Management Board.

2. Regarding administrative and other tasks:

a) To prepare materials and necessary conditions for meetings of the Program Management Board; record minutes of meetings of the Program Management Board; establish and store files and documents of the Program according to regulations;

b) To build databases of experts in the specialized field of the Program; databases on organizations, finance, and statistical activities of the Program;

c) To prepare the annual budget for the activities of the Program Management Board;

d) To implement advance payments and quarterly settlement of funds for common activities of the Program with the Office of Programs according to current regulations;

e) To perform other tasks assigned by the Program Management Board.

Article 10. Responsibilities and Authorities of the Office of Programs

The Office of Programs shall have the following responsibilities and authorities:

1. To develop annual plans and budgets for the Program and the Office of Programs to be consolidated and allocated into the overall science and technology plan and budget by the Ministry of Science and Technology;

2. To coordinate with the Program Steering Committee to review and approve project descriptions within the Program according to the content and funding approved by the Minister of Science and Technology; to jointly sign implementation contracts with the Program Steering Committee and organize the acceptance and settlement of contracts with the leading organizations and project leaders;

3. To take the lead and coordinate with relevant departments to organize the selection, examination, evaluation, signing of contracts, and organization of inspections, evaluations, and acceptance of projects led by members of the Program Steering Committee;

4. To implement and settle funds for the leading organizations of projects according to the progress recorded in the contracts;

5. To ensure conditions for the management and operation activities of the Program; to coordinate and support the Program Steering Committee in organizing scientific and technological advisory activities and other related management and operational activities of the Program;

6. To coordinate with the Program Steering Committee to inspect and supervise the implementation and use of budgets for projects within the Program;

7. To prepare final financial reports on the Program to be submitted to the Ministry of Science and Technology as prescribed; to compile and prepare periodic, extraordinary, mid-term summary, and final reports on the results of the Program based on reports from the Program Steering Committee;

8. To coordinate with relevant units under the Ministry of Science and Technology to organize guidance on financial-accounting operations, management for leading and project leader organizations within the Program;

9. To build databases on organizations, finances, activities, and outcomes of programs; to establish and operate electronic information websites for programs; to organize statistical work for programs;

10. To be responsible for receiving, compiling proposals and recommendations from the Program Steering Committee regarding issues related to the establishment and management of program activities to submit to or coordinate with relevant units under the Ministry to submit to the Minister of Science and Technology and to notify decisions of the Minister to the Program Steering Committee and related organizations and individuals;

Coordination with units under the Ministry of Science and Technology in handling issues related to the establishment and management of program activities shall be carried out in accordance with regulations on coordination among relevant functional units under the Ministry in managing programs issued by the Minister of Science and Technology;

Article 11. Responsibilities and Authorities of Leading Organizations Implementing Projects

1. To be responsible for the content and results of projects within the Program implemented by the leading organization;

2. To jointly sign implementation contracts with the Program Steering Committee and the Office of Programs;

3. To be responsible for managing and organizing the implementation of projects and to fulfill all commitments in the contract strictly, including:

a) Ensuring material and human resources for implementing the project;

b) Coordinating the plan and progress of the project implementation;

c) Other terms falling under the responsibility of the leading organization;

4. To manage expenses received, raise sufficient funds, and disburse funds according to the schedule agreed upon in the contract from committed sources of funding;

5. To comply with reporting requirements to the Ministry of Science and Technology (through the Office of Programs and the Program Steering Committee) as prescribed. To facilitate and provide full information to supervisory agencies for monitoring, inspection, and audit during the implementation and after the project has been accepted and evaluated;

6. To organize the management, exploitation, and transfer of project outcomes in accordance with the law.

Article 12. Responsibilities and Authorities of the Project Leader

1. Organize the implementation of the project; be responsible for the truthfulness, scientific value, research level, and research effectiveness of the project; have plans to apply results or commercialize products from the project's outcomes.

2. Use funds for the intended purpose, according to regulations, effectively as stipulated in the contract; carry out settlement and final accounting of the project's funds according to current regulations.

3. Ensure conditions for implementing the project as agreed upon in the contract and propose necessary adjustments.

4. Supervise and urge organizations and individuals participating in the project's implementation according to the contract. Submit periodic reports (every six months) and ad hoc reports on the progress and fund usage of the project.

5. Implement the publication, submission, and transfer of project outcomes and products according to current regulations.

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

1. Approve the objectives, contents, and expected products of the Program based on discussions and consensus with the Central Theoretical Council.

2. Approve the list of projects for organizing selection, examining organizations and individuals to lead the implementation; decide to recognize organizations and individuals selected to lead projects; approve the contents and budgets of projects under the Program; review and decide to adjust contents and budgets when necessary during the implementation of the Program.

3. Aggregate and balance the budget for implementing the Program to allocate into the annual science and technology budget plan. Coordinate with the Ministry of Finance to ensure financial support for Program activities. Approve and consolidate annual settlement reports of the Program to send to the Ministry of Finance.

4. Monitor, inspect, and audit the activities of the Program and projects during their implementation and even after they have been evaluated and accepted.

5. Decide to recognize the results of projects under the Program; grant rights to organizations and individuals leading projects under the Program.

6. Coordinate with the Central Theoretical Council to evaluate results and conclude Program activities.

7. Coordinate with the Central Theoretical Council to report to the Prime Minister on the situation and results of Program implementation.

Chapter III
IMPLEMENTATION OF THE PROGRAM

Article 14. Organization to Determine Scientific and Technological Tasks (Projects), Selection and Examination of Organizations and Individuals Leading Implementation of Projects, and Review of Projects Under the Program

1. Determination of Projects:

The Ministry of Science and Technology decides on the organization to determine projects under the Program.

The Program Steering Committee leads and coordinates with the Program Office and relevant units of the Ministry to organize the determination of projects.

The determination of projects is carried out according to the Regulations on Determining Scientific and Technological Tasks Under the National Key Science and Technology Program issued by the Ministry of Science and Technology.

2. Selection and Examination of Organizations and Individuals Leading Implementation of Projects:

The Program Steering Committee leads with the coordination of the Program Office and relevant units of the Ministry to organize the selection and examination of organizations and individuals leading the implementation of projects under the Program.

The selection and examination of organizations and individuals leading the implementation of projects are conducted according to the Regulations on Selection and Examination of Organizations and Individuals Leading the Implementation of Scientific and Technological Tasks Under the National Key Science and Technology Program issued by the Ministry of Science and Technology, taking into account the specific characteristics of the Program in forming the Selection and Examination Board, which may be organized by groups of projects if deemed necessary.

3. Review of Content and Budgets of Projects:

The Program Steering Committee leads and coordinates with the Program Office and relevant departments of the Ministry to review the content and budgets of projects.

The review of projects is carried out according to the Regulations on Reviewing Scientific and Technological Tasks issued by the Ministry of Science and Technology.

Article 15. Signing Contracts to Implement Research Topics

1. The Steering Committee of the Program and the Program Office shall sign contracts with the leading organizations and topic leaders to implement research topics. The contract model shall be prescribed by the Ministry of Science and Technology.

2. Annually, the Ministry of Science and Technology shall assign tasks and guide the content and plan of the Program to the Steering Committee of the Program and the Program Office, while simultaneously informing the managing agency (for tasks led by subordinate agencies) within the overall plan on science and technology.

Article 16. Monitoring and Evaluating the Implementation of Research Topics

1. Every six months, the topic leader together with the leading organization shall compile and report the results of scientific activities and the use of funds to the Steering Committee of the Program and the Ministry of Science and Technology as stipulated.

2. The Steering Committee of the Program shall take the lead and coordinate with the Program Office and relevant units of the Ministry of Science and Technology to periodically organize inspections once a year at appropriate times to check the progress, scientific content, fund usage, and products of the research topics according to signed contracts; in necessary cases, organize surprise inspections for some research topics under the Program.

3. The Ministry of Science and Technology shall periodically or unexpectedly inspect the situation and results of the Program.

Article 17. Adjusting Content, Budget, and Progress of Implementation

1. The leading organization and topic leader, based on work requirements, may adjust the budget between assigned expenditure items within the total allocated budget of the research topic.

2. The Ministry of Science and Technology, based on written proposals from the topic leader, leading organization, and the Steering Committee of the Program, shall consider and decide to adjust the following contents up to two times:

a) Objectives, products, and implementation progress of the research topic;

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

Documents related to adjustments are part of the contract to implement the research topic.

Article 18. Terminating Contracts

1. The Ministry of Science and Technology, based on proposals from the Program Office, the Steering Committee of the Program, and the leading organization, shall consider and decide to terminate the contract in the following cases:

a) The research topic encounters objective circumstances that prevent it from completing the approved content and objectives;

b) The topic leader and leading organization lack the capacity to manage and implement the research topic; the research direction is blocked or no longer requires further study;

c) Contract scope: the research topic cannot complete due to failure to meet contract conditions; the research topic does not comply with the research content agreed upon in the contract; funds are misused.

2. Based on the decision to terminate the contract, the Steering Committee of the Program, the Program Office, and the topic leader and leading organization shall carry out contract termination procedures according to the terms of the signed contract between the parties and in accordance with the law on contracts.

Article 19. Evaluation of Research Topics and Programs

1. Basic-level evaluation of research topics:

a) The leading organization of the research topic shall lead the basic-level evaluation of the research topic and complete the evaluation result file to submit to the Steering Committee of the Program and the Program Office for formal acceptance evaluation.

b) The Steering Committee of the Program shall lead and coordinate with the Program Office to monitor and supervise the process of organizing the basic-level evaluation.

2. National-level evaluation and acceptance of research topics:

a) The Steering Committee of the Program shall lead and coordinate with the Program Office and relevant units of the Ministry of Science and Technology to organize national-level evaluations and acceptances of research topics under the Program.

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

c) The Ministry of Science and Technology shall organize evaluations and acceptances of research topics led by members of the Steering Committee of the Program.

3. Program evaluation shall be conducted through mid-term and final evaluations.

a) The Steering Committee of the Program shall lead the evaluation of Program activity results in the middle of the five-year plan period and report the results to the Central Theoretical Council and the Minister of Science and Technology.

b) The Central Theoretical Council and the Ministry of Science and Technology shall lead the organization of Program activity evaluations at the end.

4. The evaluation and acceptance of research topics under the Program shall be carried out according to the regulations on evaluating and accepting state-level social science and humanities research topics issued by the Ministry of Science and Technology.

Article 20. Recognition of Research Project Results

1. The Minister of Science and Technology shall issue a decision to recognize the results of research projects based on the conclusions of the advisory board for evaluation and formal acceptance, and the proposal of the Program Steering Committee.

2. Based on the recommendation of the Program Steering Committee regarding the responsibilities of the relevant parties, the Ministry of Science and Technology shall handle cases appropriately according to regulations for research projects whose results have been formally evaluated and accepted at the level of "unsatisfactory".

Article 21. Termination of Contracts

The Program Steering Committee and the Program Office shall terminate contracts with the leading organizations and project leaders in accordance with current regulations. In cases where the Program Steering Committee's term has ended by the time conditions for termination are met, the Program Office shall terminate contracts with the leading organizations and project leaders. The contract termination form shall be issued by the Ministry of Science and Technology.

Article 22. Management of Research Project Results After Completion of the Program

1. The Central Theoretical Council, the Ministry of Science and Technology, and the leading organization shall be responsible for organizing management, exploitation, and transfer of research project results in accordance with the law.

Intellectual property rights and the right to use the results of the program’s research projects shall be implemented in accordance with the laws on science and technology and intellectual property.

2. Registration of storage of research project results shall be carried out in accordance with the Regulation on Registration, Storage, and Utilization of Results of Scientific and Technological Tasks issued together with Decision No. 03/2007/QD-BKHCN dated March 16, 2007 of the Minister of Science and Technology; Circular No. 04/2011/TT-BKHCN dated April 20, 2011 of the Minister of Science and Technology amending and supplementing certain provisions of the Regulation on Registration, Storage, and Utilization of Results of Scientific and Technological Tasks issued together with Decision No. 03/2007/QD-BKHCN, and other related documents.

If the above documents are amended, supplemented, or replaced, registration of research project results shall be carried out in accordance with the effective regulations at the time of registration.

Chapter IV
FINANCIAL PROVISIONS OF THE PROGRAM

Article 23. Budget for Implementing the Program

1. The budget for implementing the program includes the budget for implementing research projects under the program and the budget for organizing and managing the common activities of the program.

2. Sources of the budget for implementing research projects under the program include the state budget and other lawful sources.

3. The program budget shall be balanced into the annual state budget estimate for science and technology and allocated to the Program Office to fund research projects and the program's common organizational and management activities.

4. Assets of the program and research projects originating from state funds and assets created during the implementation of research projects shall be managed in accordance with current regulations.

Article 24. Settlement of Budget

1. The report proposing settlement of the budget for research projects must be completed before proceeding with national-level evaluation and acceptance.

The Ministry of Science and Technology shall review and approve the budget settlement of programs and research projects and consolidate them to send to the Ministry of Finance.

2. In necessary cases, the Ministry of Science and Technology may decide to audit the financial operations of the program and research projects as a basis for budget settlement.

Financial management of the program and research projects shall be carried out in accordance with the guidance documents on financial management of programs issued jointly by the Ministries of Finance and Science and Technology.

Chapter V
IMPLEMENTATION

Article 25. Handling Violations

1. Agencies, organizations, and individuals involved in organizing and implementing the program and research projects who violate the provisions of the Law on Science and Technology, this Circular, and other related regulations shall be subject to legal handling depending on the nature, extent, and consequences of the violation; they shall be required to compensate for the costs of implementing the research project; and they shall not be allowed to participate in scientific and technological activities organized by the Ministry of Science and Technology.

2. Agencies, organizations, and individuals responsible for state management of science and technology who fail to fully fulfill their assigned tasks, impose procedures outside of regulations, or cause harassment during the organization and management of the program shall be subject to legal handling depending on the nature and extent of the violation in accordance with the laws on anti-corruption, thrift, and waste prevention, and laws on civil servants and public officials.

Article 26. Implementation Provisions

1. This Circular takes effect from June 1, 2012.

2. During implementation, if there are any difficulties, agencies, organizations, and individuals are advised to report to the Ministry of Science and Technology for guidance on implementation./.