Circular No. 12/2014/TT-BKHCN provides detailed regulations on managing scientific and technological tasks under Protocols.

CIRCULAR

Article 24provides for the management of scientific and technological tasks pursuant to N |||the Protocol

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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;

Pursuant to Decree No. 08/2014/NĐ-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology;

At the proposal of the Director of the International Cooperation Department and the Director of the Legal Affairs Department;

The Minister of Science and Technology shall stipulate the management of scientific and technological tasks pursuant to the Memorandum of Understanding.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular prescribes the procedures and formalities for proposing, determining, selecting, approving, organizing implementation, inspecting, evaluating, and certifying the results of implementing scientific and technological tasks pursuant to the Memorandum of Understanding.

Article 2. Applicability

This Circular applies to scientific and technological organizations, individuals engaged in scientific and technological activities, state agencies, and other organizations and individuals related thereto.

Article 3. Explanation of Terms

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

1. Scientific and technological tasks pursuant to the Memorandum of Understanding are tasks defined in Clause 11, Article 3 of Decree No. 08/2014/NĐ-CP dated January 27, 2014, of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology (hereinafter referred to as MOU tasks).

2. Protocol including:

a) Agreements made by Party and State leaders with foreign partners regarding science and technology;

b) Minutes of meetings of Committees and Subcommittees on cooperation in science and technology with bilateral and multilateral partners where the Ministry of Science and Technology is designated by the Government as the representative; bilateral and multilateral agreements on cooperation in science and technology signed by the Minister of Science and Technology or his authorized representative with foreign funding partners in accordance with regulations.

3. Foreign partners include:

a) Funding partners: Organizations and individuals providing financial support for the implementation of MOU tasks with Vietnamese scientific and technological organizations;

b) Implementing partners: Organizations and individuals cooperating with Vietnamese scientific and technological organizations to implement MOU tasks.

4. Managing unit for Protocol tasks is the entity directly assigned by the Minister of Science and Technology to manage MOU tasks.

Article 4. Requirements for MOU Tasks

MOU tasks must meet the criteria of national-level scientific and technological tasks set forth in Clause 1, Article 25 of Decree No. 08/2014/NĐ-CP dated January 27, 2014, of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology; ensuring cooperation with foreign partners' resources to jointly implement MOU tasks and meeting one of the following requirements:

1. Effectively addressing urgent issues in science and technology in Vietnam in terms of economic efficiency, research infrastructure, and advanced training standards for science and technology personnel in the region and globally.

2. Seeking and aiming to master or create new, advanced technologies with breakthrough characteristics, contributing to producing new products and industries.

3. Enhance capacity and efficiency in science and technology management.

4. Supporting traditional partners with special relations.

Chapter II

PROPOSAL, DETERMINATION, SELECTION AND APPROVAL OF MOU TASKS

Article 5. Building Proposals for Ordering MOU Tasks

1. Bases for building proposals for ordering MOU tasks:

a) Requirements of Party and State leaders;

b) Industry, sector, and local development strategies and plans;

c) Strategies, directions, goals, and scientific and technological tasks for five-year or ten-year periods of the country;

d) Announcements by the Ministry of Science and Technology on priorities and contents of cooperation that have been agreed upon with foreign partners;

f) Proposals for MOU tasks from agencies, organizations, and individuals.

2. Ministries, ministerial-level agencies, government agencies, provincial People's Committees, and central-level state agencies (hereinafter collectively referred to as ministries, sectors, and localities) shall compile proposals for MOU tasks from agencies, organizations, and individuals and propose their own scientific issues to be resolved through MOU tasks; submit the list of proposals for ordering to the Ministry of Science and Technology.

3. The proposal for ordering MOU tasks includes:

a) A letter proposing the ordering of MOU tasks from ministries, sectors, and localities;

b) An explanatory outline of the MOU task framework according to Model 1 prescribed in the Appendix issued together with this Circular (original).

Article 6. Determination of the Tasks of the Protocol

1. Based on the orders for tasks proposed by ministries, sectors, and localities, the Ministry of Science and Technology will aggregate and organize the classification of the proposal files for ordering protocol tasks according to fields of science and technology.

2. The Minister of Science and Technology decides to establish an Advisory Council for determining protocol tasks (hereinafter referred to as the Task Determination Council) according to the appropriate field of science and technology corresponding to the proposed order. The Task Determination Council may advise on one or several proposals within the same field or specialty of science and technology.

The Ministry of Science and Technology appoints an administrative secretary who is an officer from the Ministry of Science and Technology to prepare documents and organize meetings of the Council. The administrative secretary is not a member of the Task Determination Council.

3. Composition of the Task Determination Council:

a) The composition of the Task Determination Council shall be carried out in accordance with the provisions of Clause 1 and Clause 2, Article 16 of Circular No. 07/2014/TT-BKHCN dated May 26, 2014, issued by the Minister of Science and Technology, regarding the procedures and formalities for determining national-level science and technology tasks funded by the state budget (hereinafter referred to as Circular No. 07/2014/TT-BKHCN);

b) In special cases due to complexity or specific requirements of the proposed order, the Minister of Science and Technology may decide on the number and composition of members of the Council differently from the provision in Point a of this Clause;

c) Individuals registering as the head of the task or main participants in the protocol task, or currently working at the agency expected to lead the protocol task, shall not be members of the Task Determination Council, except in cases decided by the Minister of Science and Technology.

4. Working materials of the Task Determination Council include:

a) Results of information searches about related science and technology tasks from the national database on science and technology;

b) List of orders for tasks proposed by ministries, sectors, and localities and attached appendices (if any);

c) Copies of the proposal files for ordering tasks as stipulated in Clause 3, Article 5 of this Circular and related documents;

d) Evaluation form for determining protocol tasks according to Model 2.1 prescribed in the Appendix issued together with this Circular.

5. The method, procedure, and formalities for the work of the Task Determination Council shall be implemented in accordance with the provisions of Articles 17 and 18 of Circular No. 07/2014/TT-BKHCN.

The ballot counting team compiles the evaluation results of the Task Determination Council members according to Model 2.2 prescribed in the Appendix issued together with this Circular and publicly announces the ballot counting results at the Council's meeting.

The Task Determination Council approves the Meeting Minutes according to Model 2.3 prescribed in the Appendix issued together with this Circular, unifying the list of ordered task proposals.

Article 7. Approval of Ordered Protocol Tasks

1. Within seven working days from the date of the Council's work results, the head of the unit managing the ordered protocol task reviews the procedures and formalities of the Task Determination Council's work, considers the advisory opinions of the Task Determination Council on the ordered protocol task as required under Article 4 of this Circular.

If necessary, the Ministry of Science and Technology may seek advice from independent domestic or foreign experts or establish another council to re-determine the ordered protocol task. The process of seeking advice from independent experts is carried out in accordance with the provisions of Articles 16, 17, and 18 of Circular No. 10/2014/TT-BKHCN dated May 30, 2014, issued by the Minister of Science and Technology, regarding the selection and direct assignment of organizations and individuals to implement national-level science and technology tasks funded by the state budget (hereinafter referred to as Circular No. 10/2014/TT-BKHCN).

2. On the basis of the review results and advisory opinions stipulated in Clause 1 of this Article, the head of the unit managing the ordered protocol task submits to the Minister of Science and Technology for approval of the ordered protocol task. Within fifteen working days from the date of approving the list of ordered protocol tasks, the Ministry of Science and Technology notifies in writing the results of determining the ordered protocol task to ministries, sectors, and localities.

Article 8. Selection of scientific and technological organizations to implement protocol tasks

1. Within fifteen working days from the date of approval, the Ministry of Science and Technology shall publicly announce the list of protocol tasks ordered on the Ministry's electronic portal. To participate in the selection to implement protocol tasks, scientific and technological organizations must seek foreign partners, collaborate to develop a protocol task description, and submit their application to the Ministry of Science and Technology within the specified time limit.

2. The principles for selection and conditions for participating in the selection to implement protocol tasks shall be carried out according to the provisions set forth in points a, b, c, and d of Clause 1, Clause 2, and Clause 3 of Article 3 and Article 4 of Circular No. 10/2014/TT-BKHCN.

3. Application dossier for participation in the selection of protocol tasks

a) The application dossier for participation in the selection includes the following documents:

- Protocol task description developed according to Model 3 stipulated in the Appendix attached to this Circular;

- Copy of the certificate of registration for scientific and technological activities of the organization applying to be the main organizer;

- Commitment letter of the organization applying to be the main organizer and the individual applying to be the main task leader regarding capability and conditions for implementing the protocol task according to Model 4.1 stipulated in the Appendix attached to this Circular;

- Summary of scientific and technological activities and international cooperation activities of the organization applying to be the main organizer according to Model 4.2 stipulated in the Appendix attached to this Circular;

- Scientific curriculum vitae of the individual applying to be the main task leader and other individuals applying to perform the main protocol task according to Model 4.3 stipulated in the Appendix attached to this Circular;

- Summary of the foreign partner agency, scientific and technological activities; scientific and technological cooperation with Vietnam; scientific curriculum vitae of foreign experts participating in the implementation of the protocol task;

- Copy of the agreement between the organization applying to be the main organizer and the foreign partner regarding key contents; planned schedule; principles for sharing research results of the protocol task and resources for implementation;

- Annual activity evaluation results of the organization applying to be the main organizer.

b) The application dossier for participation in the selection consists of one original dossier (with stamp and direct signature) presented and printed on A4 paper size, using Vietnamese font of Unicode character set according to national standard TCVN 6909:2001, font size 14, and one electronic copy of the dossier recorded on optical disc (PDF format, without password protection) packed in a sealed envelope and marked clearly with:

- Name of the protocol task;

- Name and contact address of the organization applying to be the main organizer and the foreign partner;

- Full name of the individual applying to be the main task leader;

- List of main members applying to participate in the implementation of the protocol task (full name, year of birth, place of work);

- List of documents included in the dossier.

4. The opening, inspection, and confirmation of the validity of the application dossier for participation in the selection to implement protocol tasks shall be conducted according to the provisions of Clause 1 of Article 7 of Circular No. 10/2014/TT-BKHCN. Valid dossiers are those prepared in accordance with the prescribed forms and meet the requirements stipulated in Clauses 2 and 3 of this Article.

The result of the dossier opening shall be recorded in the Minutes according to Model 4.4 stipulated in the Appendix attached to this Circular.

5. The Minister of Science and Technology shall establish an Advisory Board for the selection to implement protocol tasks (hereinafter referred to as the Selection Board). One Selection Board may advise on one or several protocol tasks in the same field if there are multiple tasks.

6. Working materials of the Selection Board:

a) Results of information searches about the main task leader and related scientific and technological tasks from the national database on science and technology;

b) List of ordered protocol tasks that have been approved;

c) Copy of the application dossier for selection;

d) Evaluation form for selecting protocol tasks according to Model 4.5 stipulated in the Appendix attached to this Circular.

7. Composition, working principles, responsibilities, and procedures of the Selection Board shall be carried out according to the provisions of Clauses 1, 2, 3, and 4 of Article 8, Article 10, and Clauses 1, 2, 3, and 4 of Article 11 of Circular No. 10/2014/TT-BKHCN.

8. Content of the Selection Board's work

a) Scoring each dossier according to the Evaluation Form according to Model 4.5. A valid evaluation form is one that is completed in accordance with the regulations. The board scores a maximum of 100 points based on evaluation criteria and the following scale:

- Scientific value, up to 40 points;

- International cooperation value, up to 30 points;

- Result value, feasibility, and applicability, up to 30 points.

b) The Selection Board elects a ballot counting committee consisting of three members of the board, including the head of the committee and two members. The ballot counting committee compiles the evaluation form results of the Selection Board members according to Model 4.6 stipulated in the Appendix attached to this Circular and ranks the evaluated dossiers in descending order of average total score and the following conditions:

- Dossier meeting the requirements must have an average total score of at least 70/100 points; none of the criteria can have more than one-third of the board members present scoring zero (0 points); international cooperation value must reach at least 20/30 points; scientific value must reach at least 30/40 points;

- For dossiers with the same average total score, the dossier with higher international cooperation value will be ranked higher. In case of dossiers with the same average total score and the same international cooperation value, the dossier given a higher score by the Chairman of the board (or Vice-Chairman in charge, in the absence of the Chairman) will be prioritized in ranking.

c) The Council approves the Minutes of the Meeting according to Model 4.7 prescribed in the Appendix issued together with this Circular, recommending the successful scientific and technological organization to implement the Protocol Task. The Council recommends the contents that need to be amended and supplemented in the Task Description of the Protocol; the main scientific and technological products with corresponding economic-technical indicators that must be achieved; foreign partners; funding and cost allocation methods (allocating costs to the final product or allocating costs in parts) for implementing the Protocol Task.

d) The head of the unit managing the Protocol Task reviews the procedures and processes of the Council's work, considering the Council's advisory opinions on the Protocol Task.

The Ministry of Science and Technology may seek advice from independent domestic or foreign experts or establish another selection council.

Seeking advice from independent experts shall be carried out in accordance with the provisions of Articles 16, 17, and Article 18 of Circular No. 10/2014/TT-BKHCN.

đ) Based on the conclusions of the Selection Council and the review results, the recommendations of the unit managing the Protocol Task or the opinions of independent experts, the Minister of the Ministry of Science and Technology announces the selected Protocol Task, the leading organization, and the foreign partner to the leading organizations within a maximum period of seven working days from the end of the Council meeting.

Article 9. Negotiation and signing with foreign partners to organize the implementation of Protocol Tasks

On the basis of the notification provided for in Clause đ of Article 8 of this Circular, the Ministry of Science and Technology coordinates with ministries, sectors, localities, leading organizations, and task leaders to negotiate with foreign partners, seek financial resources, and sign the Protocol.

Within fifteen working days from the date of signing the Protocol, the Ministry of Science and Technology notifies the results to the organizations that have registered as leading organizations.

Article 10. Financial Audit

1. Within fifteen working days from the date of receiving the notification from the Ministry of Science and Technology, the leading organization of the signed Protocol Task has the responsibility to revise and complete the dossier according to the Council's conclusions, develop a specific cooperation plan with the foreign partner, and send it back to the Ministry of Science and Technology for financial audit organization.

The Ministry of Science and Technology will only organize a financial audit for Protocol Tasks where the foreign partner's financial contribution reaches at least forty percent of the total task implementation budget, except in cases involving traditional special relations with partners. Within fifteen working days from the date of receipt of the dossier, the Ministry of Science and Technology will notify the refusal to organize a financial audit for organizations leading Protocol Tasks where the foreign partner's financial contribution does not reach at least forty percent of the total task implementation budget.

2. The financial audit dossier for Protocol Tasks (hereinafter referred to as the Audit Dossier) includes:

a) List of selected Protocol Tasks, leading organizations, and task leaders;

b) Minutes of the Selection Council meeting;

c) A copy of the signed Protocol (accompanied by a Vietnamese translation);

d) Revised and completed Protocol Task Description; explanatory documents (from the leading organization) regarding the adoption of the Selection Council's opinions, confirmed by the Council meeting chairperson;

đ) Dossier submitted for selection by the leading organization of the Protocol Task;

e) At least three quotations for raw materials, machinery, and equipment used to prepare the financial budget for the Protocol Task. These quotations must remain valid for at least thirty days from the date of submission of the Audit Dossier.

3. The Minister of the Ministry of Science and Technology establishes the Protocol Task Audit Team (hereinafter referred to as the Audit Team) consisting of three members, including:

a) The Head of the Audit Team is the Leader of the Protocol Task Management Unit;

b) The Deputy Head of the Audit Team is a representative of the Ministry of Science and Technology's budget management unit;

c) One member is the Chairman or Vice-Chairman or a reviewing expert of the Protocol Task Selection Council.

4. The Audit Team works when all members are present. The responsibilities, procedures, and content of the Audit Team's work are implemented in accordance with the provisions of Clause 2 of Article 13, Clauses 1, 2, 3, 4, and 5 of Article 14 of Circular No. 10/2014/TT-BKHCN.

Audit Team members conduct evaluations according to Model 5 prescribed in the Appendix issued together with this Circular.

The administrative secretary completes the Minutes of the Protocol Task Audit according to Model 6 prescribed in the Appendix issued together with this Circular.

5. Within fifteen working days from the end of the Audit Team meeting, the leading organizations and task leaders are responsible for supplementing and completing the Protocol Task Description according to the Audit Team's Minutes and sending it back to the Ministry of Science and Technology. The Protocol Task Management Unit compiles and submits to the Minister of the Ministry of Science and Technology for approval to implement the Protocol Task funded from the science and technology public service budget.

Chapter III

IMPLEMENTATION OF THE PROTOCOL TASK

Article 11. Contract for Implementing Protocol Tasks

1. The Ministry of Science and Technology shall enter into contracts to implement protocol tasks that have been approved.

2. The model contract for implementing protocol tasks shall be carried out according to Circular No. 05/2014/TT-BKHCN dated April 10, 2014, issued by the Minister of Science and Technology on "Model Research and Development Contracts."

Article 12. Monitoring Progress in Implementing Protocol Tasks

1. Every six months from the start date of implementing protocol tasks as stipulated in the signed contract or upon urgent request of the competent management authority, the leading organization shall report progress and results of implementation to the Ministry of Science and Technology using Form 7 prescribed in the Appendix attached to this Circular or report according to the required content sent to the Ministry of Science and Technology.

2. In case the leading organization fails to submit progress reports as prescribed for two consecutive times or more, funding for implementing the task will be suspended and handled according to regulations.

3. Annually from the start date of implementing protocol tasks as stipulated in the signed contract or at any time deemed necessary, the Ministry of Science and Technology will conduct inspections and evaluations regarding the content, progress, financial usage, cooperation with foreign partners, and other related issues of protocol tasks.

Inspection results will be recorded in a Record according to Form 8 prescribed in the Appendix attached to this Circular and filed in the protocol task dossier.

4. Based on inspection result reports, the Minister of Science and Technology will decide on continuing funding for subsequent years, reviewing adjustments, supplements, or suspending and terminating the implementation of protocol tasks according to regulations applicable to national science and technology tasks.

5. Contract Adjustment:

a) The leading organization may proactively adjust the budget within the allocated total funds as prescribed.

b) The Minister of Science and Technology will consider and decide on adjusting the leading organization, name, objectives, products, implementation period, and total state budget support funds already approved based on the proposal document submitted by the leading organization of the protocol task.

Adjustments to the implementation period can only be made once, not exceeding 12 months for tasks with an implementation period of 24 months or more, or not exceeding 6 months for tasks with an implementation period under 24 months.

c) The Minister of Science and Technology authorizes the head of the managing unit to consider and decide on adjusting contract contents within the scope of the signed contract based on the proposal document submitted by the leading organization, except for the contents specified in Point b Clause of this Article.

Chapter IV

FINAL EVALUATION OF PROTOCOL TASK RESULTS

PROTOCOL

Article 13. Final Evaluation of Protocol Task Results

1. The procedures, criteria, and scoring system for final evaluation of protocol task results, the Advisory Board for final evaluation of protocol task results (hereinafter referred to as the Final Evaluation Board) shall be implemented according to Circular No. 11/2014/TT-BKHCN dated May 30, 2014, issued by the Minister of Science and Technology on guidelines for evaluating and finalizing national science and technology task results funded by the state budget (hereinafter referred to as Circular No. 11/2014/TT-BKHCN).

2. Dossier for Final Evaluation of Protocol Task Results:

In addition to the documents prescribed in Article 6 of Circular No. 11/2014/TT-BKHCN, the dossier for final evaluation of protocol task results must include:

a) A report by the leading organization evaluating the content of cooperation with foreign partners in protocol tasks according to Form 9 prescribed in the Appendix attached to this Circular;

b) A report by foreign partners evaluating the results of cooperation and future cooperation prospects.

3. Documents and materials related to the final evaluation of protocol task results will be classified, stored, and submitted by the Ministry of Science and Technology and the leading organization of protocol tasks according to current regulations.

Article 14. Settlement and liquidation of contracts

The Ministry of Science and Technology and the leading organization shall carry out the liquidation of contracts in accordance with Circular No. 11/2014/TT-BKHCN after completing the following tasks:

1. Having the evaluation results of the acceptance committee for the implementation outcomes of the Protocol task.

2. Having confirmation of the research result report submitted to the National Scientific and Technological Information Center, Ministry of Science and Technology or the Registration Certificate for the Implementation Outcomes of the Task.

3. Products of the Protocol task and assets purchased with the task implementation funds are inventoried and handed over in accordance with current regulations.

Chapter V

IMPLEMENTING PROVISIONS

Article 15. Effective Date

This Circular takes effect from August 1, 2014, and replaces Decision No. 14/2005/QĐ-BKHCN dated September 8, 2005, issued by the Minister of Science and Technology on "Regulations on the establishment and management of international cooperation tasks in science and technology under Protocols."

Article 16. Implementation Organization

1. Heads of units under the Ministry, heads of agencies and organizations, and individuals related thereto are responsible for implementing this Circular.

2. During the implementation process, if there are any difficulties, organizations and individuals shall submit their opinions in writing to the Ministry of Science and Technology for review and adjustment.