Circular No. 12/2013/TT-BKHCN guiding the examination, appraisal, and approval of scientific and technological projects for developing national products.

CIRCULAR

Guidelines for the examination, review, and approval of national product development technology projects

Scientific Project and national product development programs

 

Pursuant to Decree No. 81/2002/NĐ-CP dated October 17, 2002 of the Government detailing the implementation of certain provisions 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;

Pursuant to Circular No. 10/2013/TT-BKHCN dated March 29, 2013 of the Minister of Science and Technology guiding the management of the National Product Development Program until 2020;

Pursuant to Joint Circular No. 218/2012/TTLT-BTC-BKHCN dated December 20, 2012 of the Ministry of Finance and the Ministry of Science and Technology guiding financial management in implementing the National Product Development Program until 2020;

Considering the proposal of the Director of the Department of Science and Technology for Economic and Engineering Industries and the Director of the Legal Department;

The Minister of Science and Technology issues guidelines for the examination, review, and approval of science and technology projects for national product development.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular guides the examination, review, and approval of science and technology projects for national product development (hereinafter referred to as science and technology projects) under the National Product Development Program until 2020.

2. This Circular applies to agencies, organizations, and individuals related to the management and implementation of science and technology projects under the National Product Development Program (hereinafter referred to as the National Product Program) until 2020.

Article 2. General Principles

1. Coordination among relevant agencies, organizations, and individuals during the process of organizing the construction, examination, review, and approval of science and technology projects in accordance with Chapter III of Circular No. 10/2013/TT-BKHCN dated March 29, 2013 of the Minister of Science and Technology on guiding the management of the National Product Development Program until 2020 (hereinafter referred to as Circular No. 10/2013/TT-BKHCN).

2. The examination of science and technology projects and tasks within science and technology projects (hereinafter referred to as tasks) shall be conducted by the main managing agency of the National Product Program (Ministry, sector, People's Committees of provinces and centrally governed cities) through an Examination Board established by the head of the main managing agency of the National Product Program.

3. The review of science and technology projects and tasks within science and technology projects shall be conducted by the Ministry of Science and Technology through a Review Board established by the Minister of Science and Technology.

4. Principles of operation of the Examination Board and the Review Board:

a) The Board operates based on democratic principles, ensuring objectivity and collective responsibility for the Board's final conclusions.

b) Members of the Board are individually responsible for the objectivity and accuracy of their comments and evaluations; members and administrative secretaries of the Board, and attendees have the responsibility to keep confidential all information related to the examination and review process.

c) A formal session of the Examination Board must have at least two-thirds of its members present, including the Chairman or Vice-Chairman and critical members. A formal session of the Review Board must have at least two-thirds of its members present, including the Chairman and Vice-Chairman. Opinions from absent members are only for reference.

d) The Chairman conducts the sessions of the Board; in the absence of the Chairman, the Vice-Chairman is responsible for conducting the session of the Board.

5. In necessary cases, the head of the main managing agency of the National Product Program has the right to seek advisory opinions from independent experts or consulting organizations (hereinafter collectively referred to as independent expert consultants) before or after the meeting of the Board.

Chapter II

EXAMINATION OF SCIENCE AND TECHNOLOGY PROJECTS

Article 3. Project Files and Preliminary List of Science and Technology Projects

1. The registration and preparation of the Project Description for Science and Technology projects shall be carried out in accordance with the provisions of Clause 2, Article 7 of Circular No. 10/2013/TT-BKHCN.

2. The project file for Science and Technology projects includes one original set of documents and one PDF file containing the following documents:

a) One Application Form submitted by the main registering organization;

b) One original General Description of the Science and Technology Project according to Model B5-DAKHCN-SPQG stipulated in Appendix 2 of Circular No. 10/2013/TT-BKHCN;

c) One copy of the decision on establishment, registration of scientific and technological activities, and production and business operations (for enterprises) of the main registering organization;

d) One original summary of scientific and technological activities and production and business operations of the main registering organization;

đ) One original summary of the scientific curriculum vitae of the individual applying to be the principal investigator of the Science and Technology Project;

e) One copy of the financial report of the last three years of the main registering organization of the Science and Technology Project.

3. Preliminary list of Science and Technology projects:

a) For national products managed by ministries and sectors:

The managing unit of the national product, in coordination with relevant units of the main managing agency of the national product and the Ministry of Science and Technology, will review and select files that meet the requirements specified in Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the National Product Development Program until 2020 (abbreviated as Decision No. 2441/QĐ-TTg). Agree to submit the files meeting the conditions to related documents for registration of the Program (Form A1-DMSB-DAKHCN-SPQC) at Appendix 1, to be decided by the head of the main managing agency of the national product for submission to the Review Board.

b) For national products managed by the Ministry of Science and Technology:

The program management board, in coordination with relevant units of the Ministry of Science and Technology, will review and select files that meet the requirements specified in Decision No. 2441/QĐ-TTg, Circular No. 10/2013/TT-BKHCN, and other related documents to build a preliminary list of Science and Technology projects that meet the requirements according to the prescribed form (Form A1-DMSB-DAKHCN-SPQG at Appendix 1), to be decided by the Minister of Science and Technology for submission to the Review Board.

For files not meeting the prescribed requirements, the program management board or the national product managing unit shall notify the main registering organizations accordingly.

Article 4. Review of Science and Technology Projects

1. Organization of the Board:

a) The Review Board for Science and Technology projects shall be established by the head of the main managing agency of the national product based on the proposal of the national product managing unit. The Board is responsible for advising the head of the main managing agency of the national product on evaluating the project files.

b) The composition of the Board consists of 11 to 15 members including the Chairperson, Vice-Chairperson, and members who are scientific experts, administrative officials, economic experts, and enterprise representatives, among which administrative officials, economic experts, and enterprise representatives account for 40-50%. Individuals expected to be the principal investigators of Science and Technology projects or principal investigators of tasks within Science and Technology projects shall not be members of the Board.

c) The administrative secretary of the Board shall consist of 2 to 3 people from the national product managing unit and relevant units under the main managing agency of the national product.

d) The national product managing unit is responsible for organizing meetings of the Board.

2. Invited delegates to attend the Board meeting include representatives of the program management board; representatives of relevant units of the Ministry of Science and Technology and the Ministry of Finance; and representatives of relevant units under the main managing agency of the national product.

3. Documents provided to Board members include: one copy of the project file for Science and Technology projects as stipulated in Clause 2, Article 3; Preliminary List of Science and Technology projects (Form A1-DMSB-DAKHCN-SPQG at Appendix 1); one Decision on the establishment of the Board; one copy of related legal documents; Evaluation Forms for project files of Science and Technology projects, Evaluation Forms for tasks of Science and Technology projects according to prescribed forms (Form A2-PDG-TMDAKHCN-SPQG, Form A3-PDG-NVDAKHCN-SPQG at Appendix 1). Documents provided to attending delegates include: one copy of the project file for Science and Technology projects as stipulated in Clause 2, Article 3; Preliminary List of Science and Technology projects (Form A1-DMSB-DAKHCN-SPQG at Appendix 1).

4. In case of necessity, the national product managing unit may request the main managing agency of the national product to invite independent consultants to evaluate the project files before or after the Board meeting.

Article 5. Procedure and Content of the Council Meeting

1. Preliminary session:

a) Members of the Council and attending representatives receive the documents specified in Clause 3 of this Article;

b) The representative of the Management Unit for State Plan announces the reasons for the meeting, reads the decision to establish the Council, introduces the members of the Council and attending representatives; The representative of the Principal Managing Agency for State Plan expresses opinions, states requirements for the Council (if any);

c) The Chairman of the Council directs the meeting, the Council unanimously elects one member of the Council as the scientific secretary;

d) Individuals who have registered as principal heads or representatives of organizations that are the main sponsors present the General Description of the Scientific and Technological Project;

đ) The Council discusses preliminarily, raises questions to clarify additional information and contents of the General Description of the Scientific and Technological Project;

e) The Council elects two members to be experts for reviewing the project's application;

g) The Council unifies the schedule for the next session;

2. Session to determine the Scientific and Technological Project and the List of Tasks within the Scientific and Technological Project:

a) Reviewing experts and Council members present their comments and evaluations on the application, the General Description of the Scientific and Technological Project, and the list of tasks within the project; The Council Secretary reads the comments and evaluations of absent members (if any);

b) The Council discusses and analyzes the appropriateness of the name, objectives, main contents, expected products, feasibility, and effectiveness of the Scientific and Technological Project; gives opinions on the organizational capacity of the registered main sponsor and the individual registered as the principal head of the Scientific and Technological Project;

c) The Council reviews and analyzes the necessity and appropriateness of the name, objectives, main contents, and expected products of each task within the Scientific and Technological Project;

d) The Council seeks the opinions of attending representatives at the meeting;

đ) The Council votes to evaluate the application of the Scientific and Technological Project and the list of tasks within the project;

e) The Council appoints a Counting Committee consisting of three members including the Head and two members. The counting results are compiled according to the prescribed form (Form A4-BBKP-TMDAKHCN-SPQG, Form A5-BBKP-NVDAKHCN-SPQG in Appendix 1);

g) The Council announces the counting results of the evaluation. The Scientific and Technological Project must be approved by at least 2/3 of the total number of Council members present voting "Meets Requirements." Tasks within the Scientific and Technological Project proposed to be included in the List must be approved by at least 2/3 of the Council members present voting "Proposed for Implementation." Comments from absent members only serve as reference;

h) In case the Scientific and Technological Project is approved: The Council concludes the contents of the application and description that need to be revised and supplemented to complete; The Council assigns two members with deep expertise as reviewers for each task within the Scientific and Technological Project. If necessary, the Management Unit for State Plan may recommend the Principal Managing Agency for State Plan to invite independent reviewers before or after the Council meeting. Reviewers are responsible for developing the ordering content for each task according to the prescribed form (Form A6-PĐH-ĐT-SPQG, Form A7-PĐH-DASXTN-SPQG in Appendix 1) to be discussed in the next session. The ordering content for topics is to define the name, target orientation, expected product, and implementation time (start/end); for experimental production projects (SXTN), it is to define the name, target, main product, economic-technical indicators to be achieved, and implementation time (start/end);

i) In case the Scientific and Technological Project is not approved, the Council unanimously recommends one of three handling directions: assign the registered main sponsor to prepare the application again; assign another organization to prepare the application; propose not to implement. The Program Director or the Management Unit for State Plan is responsible for informing the registered main sponsor and individual in writing;

3. Session to develop ordering content for tasks within the Scientific and Technological Project:

a) Reviewers present draft ordering content for assigned tasks;

b) The Council discusses, provides suggestions, perfects the ordering content, and votes to approve each task according to the principle that at least half of the total number of Council members present vote to approve;

c) The scientific secretary prepares the Minutes of the Council's work according to the prescribed form (Form A8-BBHĐ-DAKHCN-SPQG in Appendix 1) along with the List of tasks of the Scientific and Technological Project approved by the Council according to the prescribed form (Form A9-DMNV-DAKHCN-SPQG in Appendix 1);

d) The Council unifies recommendations regarding the direct assignment or selection process for organizations or individuals to lead each task within the Scientific and Technological Project listed in point c) of this clause. If necessary, the Council recommends inviting international experts or overseas Vietnamese experts to participate in researching and solving tasks. For tasks where the Council cannot identify the intended directly assigned leader or considers multiple organizations capable of implementing them, it recommends applying a selection process.

Article 6. Approval of the List of Science and Technology Projects and Tasks within Science and Technology Projects

1. Based on the results of the Project Review Board's work for Science and Technology Projects and the independent consultant's research report (if any), the State Plan Management Unit shall take the lead in coordinating with relevant units under the State Plan Management Authority to review the list of Science and Technology Projects and tasks within Science and Technology Projects proposed for implementation by the Board.

2. The head of the State Plan Management Authority shall issue a decision to approve the list of Science and Technology Projects and tasks within Science and Technology Projects after receiving written comments from the Ministry of Science and Technology.

3. On the basis of the approval decision, the State Plan Management Unit shall notify the organization responsible for the Science and Technology Project and guide the preparation of registration files for tasks within the Science and Technology Project (research topics, pilot production projects) to participate in selection or direct assignment according to the guidelines issued by the Ministry of Science and Technology regarding the selection and direct assignment of organizations and individuals responsible for implementing scientific research and technological development topics and national-level pilot production projects.

Article 7. Review of Tasks within Science and Technology Projects

1. Organization of the Board:

a) The Project Review Board, established by the head of the State Plan Management Authority based on the proposal of the State Plan Management Unit, shall provide detailed explanations of tasks within Science and Technology Projects. The Board is responsible for advising the head of the State Plan Management Authority on evaluating the registration files of organizations and individuals directly assigned or participating in the selection process for task leadership. A single Board may review several tasks with related professional contents within the same specialized field;

b) The Board consists of nine or eleven members, including the Chair, Vice-Chair, and Board members. Members of the Board are reputable scientific experts with appropriate professional qualifications, economic experts, financial experts, and experienced management officials related to tasks within Science and Technology Projects. Staff from the organization responsible for the task may be Board members, but not more than one person. The Project Leader is a mandatory member of the Board. Individuals registering as task leaders and staff involved in task implementation cannot be Board members;

c) The administrative secretary of the Board shall consist of two to three people from the State Plan Management Unit and relevant units under the State Plan Management Authority;

d) The national product managing unit is responsible for organizing meetings of the Board.

2. Representatives attending the Board meeting include representatives from the Program Steering Committee, relevant units of the Ministry of Science and Technology, the State Plan Management Unit, and relevant units under the State Plan Management Authority.

3. Meeting materials, procedures, content, and working methods of the Board shall be applied according to the guidelines issued by the Ministry of Science and Technology regarding the selection and direct assignment of organizations and individuals responsible for implementing scientific research and technological development topics and national-level pilot production projects.

4. If necessary, the State Plan Management Unit may request the State Plan Management Authority to invite independent consultants to evaluate the detailed explanations of tasks within Science and Technology Projects before or after the Board meeting.

5. The head of the State Plan Management Authority shall approve organizations and individuals selected to implement tasks within Science and Technology Projects based on the results of the Project Review Board's work and the opinions of independent consultants (if any).

Chapter III

REVIEW OF SCIENCE AND TECHNOLOGY PROJECTS

Article 8. Review Documents

1. The review documents for scientific and technological tasks under the Project include the following copies:

a) A completed task description accompanied by: an explanation of the incorporation of comments and conclusions from the Task Review Board; a list of regulations, standards, and related documents used to prepare the budget for the task; quotations for raw materials, equipment, technology rights, expert contracts, and other relevant quotations;

b) Minutes of the Task Review Board meeting;

c) Financial resource mobilization plan for implementing the task in accordance with the provisions set out in Clause 2, Article 4 of Circular Joint Circular No. 218/2012/TTLT-BTC-BKHCN dated December 20, 2012, issued jointly by the Ministry of Finance and the Ministry of Science and Technology on financial management for the National Product Development Program until 2020 (referred to as Joint Circular No. 218/2012/TTLT-BTC-BKHCN);

d) Independent consultant's opinion document (if available).

2. The review documents for the Scientific and Technological Project include the following copies:

a) A completed general project description based on incorporating comments and conclusions from the Scientific and Technological Project Review Board;

b) Minutes of the Scientific and Technological Project Review Board meeting;

c) Decision approving the list of Scientific and Technological Projects and tasks under the Project by the State Product Quality Management Authority;

d) Decision approving the list of selected tasks under the Scientific and Technological Project by the State Product Quality Management Authority;

đ) Minutes of the Review Board meetings for tasks under the Scientific and Technological Project;

e) Financial resource mobilization plan for implementing the Scientific and Technological Project;

g) Independent consultant's opinion document (if available).

Article 9. Scientific and Technological Project Review Board

1. The Scientific and Technological Project Review Board is established by the Minister of Science and Technology based on the proposal of the Program Steering Committee. The Board is responsible for reviewing the documents, contents, and budgets of tasks under the Scientific and Technological Project and the general project description to advise the Minister of Science and Technology on approval.

2. The Board consists of nine members:

a) The Chairman is a member of the Program Steering Committee, responsible for overall management;

b) Two Deputy Chairmen: one Head of a specialized department; one Head of the Planning and Finance Department or Head of the Office of National Programs on Science and Technology;

c) Members are: one representative of the State Product Quality Management Authority; one economic and financial expert; one expert representing the Task Description Review Board (when reviewing research and technology transfer projects) or the Scientific and Technological Project Review Board (when reviewing Scientific and Technological Projects); one finance specialist from the Planning and Finance Department, Ministry of Science and Technology; one specialist from a specialized department, Ministry of Science and Technology; one staff member from the Office of National Programs on Science and Technology serving as the Board Secretary.

3. In cases where research and technology transfer projects have complex and special technical content, technology rights, or other matters related to foreign experts, the Program Steering Committee may propose and recommend the Ministry of Science and Technology to invite independent consultants. Independent consulting shall be carried out in accordance with the regulations of the Ministry of Science and Technology.

4. The Program Steering Committee is responsible for organizing Board meetings.

Article 10. Content of the Review of Project Task Files under Science and Technology Projects

1. The review of project task files, contents, and funding shall be carried out in accordance with the current regulations of the Ministry of Science and Technology.

2. The basis for expenditure and budget norms shall be based on Circular Joint No. 218/2012/TTLT-BTC-BKHCN.

Article 11. Content of the Review of Science and Technology Project Files

1. Review of Science and Technology Project Files: to examine the completeness, legality, and perfection of the files according to the regulations.

2. Review of the General Description of Science and Technology Projects: to examine the degree of completion of the contents of the description, the list of tasks eligible for implementation in the planned year, the list of tasks expected to be implemented subsequently, total implementation costs, and the total state budget support funds that have been reviewed. Ensure compliance with the requirements stipulated in Decision No. 2441/QĐ-TTg, Circular No. 10/2013/TT-BKHCN, and Circular Joint No. 218/2012/TTLT-BTC-BKHCN.

3. Review of the Plan for Mobilizing Financial Resources for Implementing Science and Technology Projects: to examine the legality and feasibility of financial resources.

Article 12. Organization of the Appraisal Board Meeting

1. The management unit of the State Program Quality Guarantee is responsible for checking the completeness and legality of the appraisal files as stipulated in Article 8, preparing sufficient copies of the files to be sent to the Program Steering Committee. The Office of National Programs on Science and Technology is responsible for providing the appraisal files to the members of the Appraisal Board at least five working days before the appraisal.

2. Members of the Appraisal Board are responsible for reviewing the files according to the prescribed Appraisal Form (Form B1-PTĐ-ĐT-SPQG, Form B2-PTĐ-DASXTN-SPQG, Form B3-PTĐ-DAKHCN-SPQG in Appendix 2) prior to the meeting.

3. Procedure and Content of the Appraisal Meeting

The Chairman of the Appraisal Board shall conduct the meetings of the Board in the following sequence:

a) The Head of the Project Task or the Head of the Science and Technology Project reports and explains the incorporation of comments from the Review Board in perfecting the files and descriptions.

b) Members representing the Review Board comment and evaluate the degree of completion of the Project Task Description or the General Description of the Science and Technology Project according to the contributions and conclusions of the Board.

c) The Secretary of the Board reads the opinions of independent appraisers (if any).

d) The Board exchanges and discusses issues related to procedures, files, scientific content, and funding of the Project Task or the General Description of the Science and Technology Project.

đ) The Head of the Project Task or the Head of the Science and Technology Project answers questions from the Appraisal Board.

e) The Board meets separately to discuss and determine the content and necessary funding for implementing the Project Task or the Science and Technology Project.

g) The Secretary of the Board is responsible for recording the statements of Board members and attendees; drafting the Minutes of the Appraisal according to the prescribed form (Form B4-BBTĐ-ĐT-SPQG, Form B5-BBTĐ-DASXTN-SPQG, Form B6-BBTĐ-DAKHCN-SPQG in Appendix 2).

4. During the appraisal process, if there are unresolved issues, the Chairman of the Board shall refer them to the Minister of Science and Technology for consideration and decision.

Chapter IV

APPROVAL OF SCIENCE AND TECHNOLOGY PROJECTS

Article 13. Documents for Approval

1. The Program Steering Committee shall take the lead and coordinate with the State Plan Management Unit and the Organization responsible for the Science and Technology Project to complete and prepare one set of documents as stipulated in Clause 2 of this Article and a proposal for approval according to the prescribed form (Form C1-TTr-DAKHCN-SPQG in Appendix 3), along with a draft Decision on approval according to the prescribed form (Form C2-QD-DAKHCN-SPQG in Appendix 3) to submit to the Minister of Science and Technology for consideration and approval.

2. The documents for approval include:

a) One original copy of the General Description of the Science and Technology Project completed after review;

b) One original copy of the Decision approving the list of Science and Technology Projects and tasks under the Science and Technology Project of the State Plan Management Authority;

c) One original copy of the Decision approving the list of organizations and individuals selected to lead the implementation of Science and Technology tasks under the Science and Technology Project of the State Plan Management Authority;

d) One original copy of the Decision establishing the Review Board for the Science and Technology Project of the Ministry of Science and Technology;

đ) One copy of the Minutes of the Review Board meeting for the Science and Technology Project;

e) One copy of the Financial Mobilization Plan for implementing the Science and Technology Project approved by the Review Board;

g) One original copy of the letter from the State Plan Management Authority (in cases where the State Plan Management Authority is not the Ministry of Science and Technology) requesting approval of the Science and Technology Project;

h) Independent consultant's opinion document (if any).

Article 14. Approval of Science and Technology Projects

1. The Minister of Science and Technology shall consider and approve the Science and Technology Project together with the General Description of the Science and Technology Project according to the prescribed form (Form C2-QD-DAKHCN-SPQG, Form C3-TMTQ-DAKHCN-SPQG in Appendix 3).

2. Supplementary approval for tasks within the Science and Technology Project that have not been reviewed, examined, and approved financially:

a) Based on the progress of implementation, the State Plan Management Authority shall organize the review of tasks as stipulated in Article 6; the Ministry of Science and Technology shall organize the examination of tasks as stipulated in Articles 7, 8, and 9 of this Circular;

b) The documents for supplementary approval include: one copy of the decision approving the Science and Technology Project; the program steering committee's proposal; the draft supplementary approval decision for the task; one original copy of the decision approving the list of organizations and individuals selected to lead the implementation of the task of the State Plan Management Authority; one copy of the decision establishing and the Minutes of the Review Board meeting for the task; one original copy of the letter from the State Plan Management Authority (in cases where the State Plan Management Authority is not the Ministry of Science and Technology) requesting approval of the task;

c) Based on the documents for approval, the Minister of Science and Technology shall approve supplementary tasks for implementation.

Chapter V

IMPLEMENTATION AND EFFECTIVE PROVISIONS

Article 15. Implementation Organization

1. Agencies, organizations, and individuals related to the management and implementation of Science and Technology Projects shall base their actions on the guidance provided in this Circular to organize implementation.

2. The Program Steering Committee and the State Plan Management Unit are responsible for managing all original documents and main texts during the review, examination, and approval process of Science and Technology Projects within their jurisdiction.

Article 16. Implementation Provisions

1. This Circular takes effect 45 days from the date of issuance.

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