CIRCULAR

Provisions on management the Program development of intellectual property

for the period of 2016-2020

____________________

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

Pursuant to the Intellectual Property Law dated September 29, 2005 the 11 year and the Law Amending and Supplementing Certain Articles of the Intellectual Property Law dated December 19, 2009 the 6 year 2009;

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;

Pursuant to Decree No. 95/2017/ND-CP dated August 16, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Implementing Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister approving the Intellectual Property Development Program for the period of 2016-2020;

At the proposal of The Director of the National Office of Intellectual Property 1. Scope of Regulation This Circular stipulates the establishment, signing, and management of international cooperation programs of the National Research Development Fund (hereinafter referred to as the Fund) in providing financial support for the implementation of scientific and technological tasks, and activities enhancing national scientific and technological capacity.

the Minister of Science and Technology issues the Circular stipulating THE HEAD OF THE MINISTRY’S OFFICE, THE HEAD OF THE MINISTRY’S INSPECTION DEPARTMENT, THE HEADS OF THE DEPARTMENTS, THE DIRECTOR OF THE VIETNAM CIVIL AVIATION ADMINISTRATION, THE CHIEF EXECUTIVE OFFICER OF THE VIETNAM AIRPORTS CORPORATION - CPTP, AND THE HEADS OF THE AUTHORITIES, ORGANIZATIONS, AND INDIVIDUALS CONCERNED ARE RESPONSIBLE FOR IMPLEMENTING THIS CIRCULAR./. The Intellectual Property Development Program for the period of 2016-2020.

 

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 1. This Circular provides for the construction, approval of project lists; selection, direct assignment of organizations to lead projects; signing contracts to implement projects, inspection, adjustment of projects; evaluation, acceptance of project implementation results, and organization of common activities under the Intellectual Property Development Program for the period of 2016-2020 approved by Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister (hereinafter referred to as the Program).

Article 2. This Circular applies to organizations and individuals implementing and participating in the Program; relevant state agencies, organizations, and other individuals.

 

 

Article 2. Tasks under the Program

Tasks under the Program include common activities and projects.

1. Common activities under the Program are activities to build and implement the following tasks:

a) Tasks prescribed in Clause 1 and Clause 2, Section III, Article 1 of Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister;

b) Supporting domestic registration for protection for objects that are research results, product designs as prescribed in Clause 2, Section II, Article 1 of Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister;

c) Advising and supporting registration to establish intellectual property rights for individuals with inventions, technical solutions, and other creative achievements; honoring and rewarding outstanding individuals with intellectual property assets and creative achievements widely applied, bringing practical benefits to the community and society as prescribed in Clause 4, Section II, Article 1 of Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister.

2. Projects under the Program are scientific and technological tasks implementing the contents prescribed in Section II, Article 1 of Decision No. 1062/QD-TTg dated June 14, 2016 of the Prime Minister, except for the tasks prescribed at points b and c of Clause 1 of this Article.

Article 3. Classification and code numbers of projects under the Program

1. Classification of projects under the Program

Projects under the Program are classified into two groups:

a) Central-managed projects: These are projects built and implemented according to model points, having exemplary or complex characteristics, or special professional features;

b) Locally-managed projects: These are projects built and implemented based on the results of implementing model points that have been summarized, accepted, or resolved issues related to production and business development within localities and units, and are suitable for local organizational management capabilities.

2. The Minister of Science and Technology decides on the classification of projects based on the opinions of the advisory council determining projects under the Program.

3. Code numbers of projects under the Program

Projects under the Program are coded as follows:

SHTT.CN(DC).XX-20YY, where:

a) SHTT: Is the general symbol for projects under the Program;

b) CN: Is the symbol for central-managed projects;

c) DC: Is the symbol for locally-managed projects;

d) XX: Is the serial number of the project;

e) YY: Is the last two digits of the year when the project begins implementation.

Article 4. Principles and Content of Program Management

1. Principles of Program Management

a) The organization and implementation of the Program must ensure transparency, clarity, and compliance with legal regulations;

b) Information about the Program shall be published on the Ministry of Science and Technology's Electronic Information Portal, the Intellectual Property Office, and the Provincial Department of Science and Technology (referred to as the Provincial Department of Science and Technology);

c) The leading organizations and project leaders shall register and retain the results of project implementation in accordance with Circular No. 14/2014/TT-BKHCN dated June 11, 2014, issued by the Minister of Science and Technology regarding the collection, registration, retention, and publication of information on science and technology tasks.

2. Content of Program Management

a) Management of Common Activities under the Program

Common activities as stipulated in Clause 1, Article 2 of this Circular shall be managed and organized by the Ministry of Science and Technology and the People's Committees of provinces and centrally-administered cities (referred to as provincial-level People's Committees).

b) Management of Projects under the Program

Management of projects under the Program includes: Determining and approving the list of commissioned projects; selecting and directly assigning the leading organizations for projects; reviewing the budget estimates for projects; approving the results of selection and direct assignment of leading organizations for projects; signing contracts to implement projects; inspecting and adjusting projects; evaluating, accepting, and recognizing the results of project implementation; terminating contracts and disposing of assets after the completion of projects; organizing the dissemination and replication of project results.

Article 5. Program Management Structure

1. Ministry of Science and Technology: Uniformly manages the Program, determines and approves the list of commissioned projects (including central-managed projects and local-managed projects), and directly manages central-managed projects.

2. Provincial-level People's Committee: Cooperates in managing the Program at the local level (excluding the task of determining and approving the list of commissioned projects, which is carried out by the Ministry of Science and Technology) and directly manages local-managed projects.

3. Project Management Agency

a) The Intellectual Property Office (the central project management agency) through the Program Office for Intellectual Property Development assists the Minister of Science and Technology in performing the tasks specified in Clause 1 of this Article;

b) The Provincial Department of Science and Technology (the local project management agency) serves as the main unit assisting the provincial-level People's Committee in performing the tasks specified in Clause 2 of this Article.

 

Chapter II

BUILDING AND APPROVING THE LIST OF COMMISSIONED PROJECTS

Article 6. Principles for Determination Project of Commissioned Projects

1. The task that the project addresses is urgent or meets the common needs of state administrative agencies, communities, businesses, and aligns with economic, social, scientific, and technological development policies of the sector and locality.

2. The project's objectives are consistent with the Program's goals and are clearly defined and quantifiable.

3. The project content is consistent with the Program's content, clear, designed appropriately for practical application, and ensures feasibility.

4. The implementation plan is scientifically and reasonably arranged, innovative, and capable of addressing the tasks set forth by the project.

5. The anticipated outcomes and products of the project are consistent with the project's objectives and content and are quantifiable.

6. The project has sustainability and the potential to maintain and replicate results after completion.

7. It does not overlap with tasks already completed or currently being implemented and does not infringe upon the intellectual property rights of other subjects.

8. The project duration shall not exceed 24 months and must conclude no later than 2020, except in special cases decided by the Minister of Science and Technology (for central-managed projects) or the Chairman of the provincial-level People's Committee (for local-managed projects).

Article 7. Proposal for Projects

1. Annually, based on the guidance of the Ministry of Science and Technology, ministries, sectors, localities, organizations, or individuals propose projects under the Program according to Form B1 attached to this Circular.

2. The place receiving project proposals:

Intellectual Property Department

386 Nguyen Trai Street, Thanh Xuan District, Hanoi City.

3. Date of receipt of project proposal: It is the date when the postal service organization stamps the envelope of the dossier (in case of sending by post) or the date when the Intellectual Property Department's Office stamps "received" (in case of direct submission).

 

 

Article 8. Determination of Projects and Approval of Project Order List

1. Within seven working days from the end date of receiving project proposals as guided by the Ministry of Science and Technology stipulated in Clause 1 of Article 7 of this Circular, the Intellectual Property Department compiles all project proposals and submits them to the Minister of Science and Technology for consideration, organizing an advisory council to determine projects under the Program.

2. The advisory council determining projects is established by the Minister of Science and Technology, consisting of seven or nine members, including the Chairman, Vice-Chairman of the council, two opposing members, one scientific secretary, and other members. Council members are experts in intellectual property, specialists with expertise and practical experience in the field of the project, representatives of state management agencies, or other organizations and individuals related to the project.

3. The council operates according to the method prescribed in Article 17 of Circular No. 07/2014/TT-BKHCN dated May 26, 2014 of the Minister of Science and Technology on the procedures and steps to determine national science and technology tasks using state budget (abbreviated as Circular No. 07/2014/TT-BKHCN) and Clause 13 of Article 1 of Circular No. 03/2017/TT-BKHCN dated April 3, 2017 amending and supplementing some articles of Circular No. 07/2014/TT-BKHCN.

The procedures and steps of the council's work are carried out according to the provisions of Clauses 1, 2, 3, 4, 5, and 6 of Article 18 of Circular No. 07/2014/TT-BKHCN. Council members review and evaluate project proposals according to the principles stipulated in Article 6 and Form B2 attached to this Circular. The council unifies "recommend implementation" for project proposals with at least 75% of the total number of council members participating in the voting session "recommend implementation". The council is responsible for proposing to classify projects (central-managed projects or locality-managed projects) and recommending implementation methods (selection or direct assignment).

The council establishes and approves the Minutes of Meeting according to Form B3 attached to this Circular.

4. In cases where the Chairman of the council and at least one opposing member request, before organizing the council meeting, the Intellectual Property Department conducts on-site surveys, works with the proposing unit and other relevant units to check, collect information and data, determine the suitability of protected objects, manage and develop intellectual property assets for the purpose of reviewing and evaluating project proposals.

5. Within ten working days from the date the council approves the Minutes of Meeting, the Intellectual Property Department builds the list of ordered projects according to Form B4 attached to this Circular and submits it to the Minister of Science and Technology for consideration and approval.

 

 

Article 9. Announcing the list of commissioned projects

1. Within three working days from the date of approval, the National Office of Intellectual Property shall announce the list of commissioned projects on the Ministry of Science and Technology's electronic portal and the National Office of Intellectual Property's electronic portal.

2. Within five working days from the date of approval, the Department of Science and Technology shall announce the list of local projects under its management on the Department of Science and Technology's electronic portal.

 

Chapter III

SELECTION AND DIRECT ASSIGNMENT OF PROJECT LEADERSHIP ORGANIZATIONS

Article 10. Announcement of selection and direct assignment of project leadership organizations

1. The National Office of Intellectual Property shall be responsible for announcing the selection and direct assignment of central-managed project leadership organizations on the Ministry of Science and Technology's electronic portal, the National Office of Intellectual Property's electronic portal, the Science and Development newspaper (either online or print version), and the Enterprise Forum newspaper (either online or print version).

2. The Department of Science and Technology shall be responsible for announcing the selection and direct assignment of locally-managed project leadership organizations on the Ministry of Science and Technology's electronic portal, the Department of Science and Technology's electronic portal, and local newspapers (either online or print version).

3. The announcement of the selection and direct assignment of project leadership organizations shall include the following basic information: Project name; project goal orientation; product and requirements for the project product; requirements for the application dossier for the selection and direct assignment of project leadership organizations; submission time and address.

Article 11. Conditions for participating in the selection and direct assignment of project leadership organizations

1. Organizations registering to participate in the selection and direct assignment of projects must meet the following conditions simultaneously:

a) Having legal entity status and functions appropriate to the specialized field of the project;

b) Possessing the ability to mobilize corresponding funds to implement the project;

c) Not falling within any of the cases stipulated in Clause 2, Article 4 of Circular No. 08/2017/TT-BKHCN dated June 26, 2017, issued by the Minister of Science and Technology, regarding the selection and direct assignment of organizations and individuals to perform national-level science and technology tasks funded by the state budget (referred to as Circular No. 08/2017/TT-BKHCN).

2. Individuals registering as project leaders must meet the following conditions simultaneously:

a) Holding a bachelor's degree or higher, having relevant expertise and having worked in the project's field for at least five years up to the date of submitting the application; or being the author of objects specified in Article 3 of the Intellectual Property Law who registers as the leader of a project related to these intellectual property rights;

b) Possessing the ability to directly organize and ensure sufficient time to lead the implementation of the project;

c) Not falling within any of the cases stipulated in Clause 4, Article 4 of Circular No. 08/2017/TT-BKHCN.

Article 12. Application dossier for the selection and direct assignment of project leadership organizations

1. The dossier consists of one original set (with stamps and signatures), presented and printed on A4 paper using Vietnamese font from the Unicode character set according to the national standard TCVN 6909:2001, font size 14, and one electronic copy (without security settings), including the following documents:

a) Decision on establishment or Business Registration Certificate of the organization applying to lead the project or other equivalent documents;

b) Charter of operation of the organization applying for the selection and direct assignment of project leadership organizations (if applicable);

c) Application form for the selection of project leadership organizations according to Form B5 attached to this Circular;

d) Detailed project description according to Form B6 attached to this Circular;

đ) Summary of scientific and technological activities of the organization applying for the selection and direct assignment of the project according to the form prescribed in Clause 4, Article 5 of Circular No. 08/2017/TT-BKHCN;

e) Scientific curriculum vitae of the project leader, main members, and scientific secretary implementing the project; scientific curriculum vitae of domestic and foreign experts according to the forms prescribed in Clause 5 and Clause 6, Article 5 of Circular No. 08/2017/TT-BKHCN;

g) Confirmation letter on the agreement to cooperate in implementing the project from cooperating units (if applicable) according to the form prescribed in Clause 7, Article 5 of Circular No. 08/2017/TT-BKHCN;

h) Quotation for major equipment, raw materials needed to purchase, and services needed to rent for implementing the project, with the quotation validity not exceeding thirty days from the date of submission of the dossier. The quotation may be updated, adjusted, or supplemented before the project budget review meeting (if necessary);

i) Financial report of at least two recent years of the organization applying for the selection and direct assignment of the project;

k) Document proving the plan to mobilize corresponding funds (for projects requiring the mobilization of corresponding funds) according to Clause 10, Article 5 of Circular No. 08/2017/TT-BKHCN.

2. The dossier must be sealed tightly and marked clearly with the following information on the outside: Project name, list of documents in the dossier; name, address of the organization applying for the selection and direct assignment of project leadership, name of the individual applying for project leadership, and contact person information (telephone number and email address).

 

Article 13. Submission and Acceptance of Documents

1. For centrally managed projects

a) Place of accepting documents:

Intellectual Property Department

386 Nguyen Trai Street, Thanh Xuan District, Hanoi City.

b) Date of accepting documents: Is the date on which the postal service organization stamps the envelope containing the documents (in case of submission via post) or the date on which the "received" stamp is affixed by the Office of the Intellectual Property Department (in case of direct submission).

2. For locally managed projects

a) Place of accepting documents: As notified by the Department of Science and Technology;

b) Date of accepting documents: Is the date on which the postal service organization stamps the envelope containing the documents (in case of submission via post) or the date on which the "received" stamp is affixed by the Office of the document receiving agency specified in point a, Clause 2 of this Article (in case of direct submission).

3. Within the document acceptance period, the registering entity has the right to withdraw, replace, or supplement and amend submitted documents. Supplementary and amended documents are part of the previously submitted documents.

Article 14. Opening, including computer-based multiple choice tests and Confirming the Validity of hfiles Direct Assignment Project Registration

1. Within five working days from the end of the document acceptance period, the project management authority completes the opening, inspection, confirmation of validity, and preparation of the Opening Document Record according to Form B7 attached to this Circular.

2. Documents are considered valid if the project falls within the published list pursuant to Article 9 and meets the provisions of Articles 11, 12, and 13 of this Circular.

3. Within three working days from the date of preparing the Opening Document Record, the project management authority notifies the result of the document opening to the entity that directly registers for assignment of the main project.

Article 15. Examination Board Selection Advisory Board, Direct Assignment organize credit institutions, foreign bank branches are responsible for organizing the implementation of this Circular.Main Project Organizing Entity Project

1. The Selection Advisory Board for the main project organizing entity consists of seven or nine members, including the Chairman and Vice-Chairman of the board, two opposing members, one scientific secretary, and other members. Members of the board are experts in intellectual property, specialists with expertise and practical experience in the field of the project, representatives of state management agencies or other related organizations, including at least two members who have participated in the advisory board to determine the project.

2. Individuals falling under any of the cases stipulated in Clause 2, Article 8 of Circular No. 08/2017/TT-BKHCN shall not participate in the board.

3. Authority to establish the board

a) For centrally managed projects: The board is established by the Minister of Science and Technology;

b) For locally managed projects: The board is established by the Chairman of the Provincial People's Committee or delegated to the Director of the Department of Science and Technology to establish.

Article 16. Criteria and Scoring Scale for Evaluating Application Documents for Direct Assignment of the Main Project Organizing Entity

Evaluation of application documents for the main project organizing entity is conducted by scoring on the Application Document Assessment Form according to Form B8 attached to this Circular. The maximum score for one set of documents is 100 points, specifically as follows:

1. Criterion on the urgency and typicality of the project: Maximum 15 points.

2. Criterion on the feasibility of the project: Maximum 50 points.

3. Criterion on the effectiveness and sustainability of the project: Maximum 35 points.

Article 17. Principles, Procedures, and Content of Work of the Advisory Board Selection Advisory Board, Direct Assignment of the Main Project Organizing Entity Project

1. Principles of work of the board

a) The Selection Advisory Board for the main project organizing entity only convenes when at least five members (for a board of seven members) or seven members (for a board of nine members) are present, including the Chairman or Vice-Chairman of the board and two opposing members. The Chairman of the board chairs all sessions of the board. In the absence of the Chairman, the Vice-Chairman of the board chairs the session in writing according to Form B2-7-GUQ of Appendix II issued together with Circular No. 08/2017/TT-BKHCN;

b) Members of the board are responsible for evaluating documents honestly, objectively, and fairly, bearing individual responsibility for their evaluation results and collective responsibility for the board's final conclusion.

2. Procedures and content of work of the board

- The board meeting is organized within fifteen working days from the date of preparing the Opening Document Record as stipulated in Clause 1, Article 14 of this Circular. The board works according to the procedures and contents prescribed in Article 11 of Circular No. 08/2017/TT-BKHCN;

- The Voting Record of each set of documents is prepared according to the form B9 and the Meeting Minutes of the Board are prepared according to the form B10 Enterprises importing tobacco raw materials and cigarette paper for producing tobacco products for export or processing tobacco products for export shall submit registration applications according to Form

3. Completing the project application documents based on the board's conclusions

a) Within three working days from the date the board approves the Meeting Minutes, the project management authority is responsible for notifying in writing the results of the board meeting to the entity submitting the application documents for selection and direct assignment.

b) If there are objections to the results of the board meeting, the entity submitting the application documents for selection and direct assignment must submit its written comments to the project management authority within seven working days from the date the project management authority signs the notification of the board meeting results.

c) Within twenty days from the date the board approves the Meeting Minutes, the main project organizing entity and the project leader may submit the following documents to the project management authority:

- The project application documents completed according to the board's conclusions;

- A statement confirmed by the Chairman of the board explaining the completed contents according to the board's conclusion.

Article 18. Conditions for the selection and direct assignment of the leading organization of the project

1. The Council shall recommend the selection and direct assignment of the leading organization of the project if it meets all of the following requirements:

a) An average total score of at least 70 points;

b) An average feasibility score of at least 40 points;

c) An average effectiveness and sustainability score of at least 25 points.

2. In cases where multiple applications for the selection of the leading organization of a project meet the provisions of Clause 1 of this Article, the application with the highest average total score will be selected.

3. In cases where multiple applications for the selection of the leading organization of a project meet the provisions of Clause 1 of this Article and have equal average scores, the applications will be chosen in the following priority order:

a) Applications with a higher average feasibility score;

b) Applications with a higher average score in the evaluation of effectiveness and sustainability.

In the event that the average scores of both criteria mentioned above are equal, the Chairman of the Council or the Vice-Chairman authorized to chair the session shall decide on the selected application.

Article 19. Independent Consulting Evaluation of Selection and Direct Assignment of the Leading Organization of the Project

1. Within five working days from the date of receipt of the written opinion of the organization submitting the application regarding the results of the selection and direct assignment of the leading organization of the project as stipulated at point b, Clause 3, Article 17 of this Circular, the Minister of Science and Technology or the Chairman of the Provincial People's Committee shall decide to seek opinions from at least two independent experts.

2. Conditions for independent consulting experts, procedures for seeking opinions, and responsibilities of independent consulting experts shall be implemented according to the provisions of Article 18, Clause 2, Article 19, and Article 20 of Circular No. 08/2017/TT-BKHCN.

3. Within three working days from the date of receipt of the opinion of the independent consulting expert, the project management agency shall notify in writing the organization submitting the application for selection and direct assignment and guide the organization recommended for selection and direct assignment to complete the project application according to the opinion of the independent consultant (if any).

4. Within twenty days from the date the project management agency signs the notification document as stipulated in Clause 3 of this Article, the organization recommended to lead and manage the project shall complete and submit the application to the project management agency (if any).

Article 20. Examination of the Project Budget Estimate

1. The examination of the project budget estimate shall be conducted by the Budget Estimate Examination Team. The team consists of five members, including: The Team Leader who is the Head of the project management agency, the Deputy Team Leader who is a representative of the state management unit for planning and finance, one member who is the Chairman or Vice-Chairman or a member of the advisory council for the selection and direct assignment of the leading organization of the project, one member who is the accountant of the project management agency, and one member who is a project management officer.

2. The Central Management Project Budget Estimate Examination Team and the Target-Oriented Budget Support Project Budget Estimate Examination Team from the central science and technology public service budget shall be established by the Minister of Science and Technology. The local science and technology public service budget project budget estimate examination team shall be established by the Chairman of the Provincial People's Committee or delegated to the Director of the Department of Science and Technology to establish.

3. The principles of operation, responsibilities, procedures, and content of work of the Examination Team shall be carried out according to the provisions of Articles 13 and 14 of Circular No. 08/2017/TT-BKHCN.

4. Examination of the Central Management Project Budget Estimate

a) Within seven working days from the date of receipt of the application as stipulated in Clause 3, Article 17 or Clause 4, Article 19 of this Circular, the Intellectual Property Office shall organize a meeting to examine the central management project budget estimate;

b) Within three working days from the date the Central Management Project Examination Team approves the Minutes of the Meeting, the Intellectual Property Office shall notify the result of the budget estimate examination to the leading and managing organization of the project.

5. Examination of the Local Management Project Budget Estimate

a) Within three working days from the date of receipt of the application as stipulated in Clause 3, Article 17 or Clause 4, Article 19 of this Circular, the Department of Science and Technology shall send the application to the Intellectual Property Office. Within seven working days from the date of receipt of the application, the Intellectual Property Office shall organize a meeting to examine the target-oriented budget support project budget estimate for local management projects;

b) Within three working days from the date the Target-Oriented Budget Support Project Budget Estimate Examination Team for local management projects approves the Minutes of the Meeting, the Intellectual Property Office shall notify the result to the Department of Science and Technology responsible for managing the project;

c) Within seven working days from the date of receipt of the notification of the result of the target-oriented budget support project budget estimate examination for local management projects, the Department of Science and Technology shall organize the examination of the budget estimate from the local science and technology public service budget to support the implementation of the project. The portion of the project budget funded by the state budget must ensure the ratio between the target-oriented budget support from the central science and technology public service budget and the local science and technology public service budget according to the Financial Management Guidelines issued by the Ministry of Finance;

d) Within three working days from the date the Local Science and Technology Public Service Budget Project Budget Estimate Examination Team approves the Minutes of the Meeting, the Department of Science and Technology shall notify the result of the budget estimate examination to the leading and managing organization of the project.

Article 21. "5. The pre-tax weighted average cost of capital i (%) is determined according to the formula below:approve the selection results, directly assign the leading organization Project

1. Within fifteen days from the date the project management agency signs the notification document approving the budget estimate examination results, the leading and managing organization of the project shall be responsible for completing the project description according to the conclusion of the Examination Team and resubmitting it to the project management agency after confirmation by the Team Leader.

2. Within five working days from the date of receipt of the application as stipulated in Clause 1 of this Article:

a) The Intellectual Property Agency shall submit to the Minister of Science and Technology for consideration and approval the results of the selection and direct assignment of the central project management organization;

b) The Department of Science and Technology shall submit to the Chairman of the Provincial People's Committee for consideration and approval the results of the selection and direct assignment of the local project management organization;

3. The dossier for the approval of the results of the selection and direct assignment of the project management organization includes:

a) Report on the results of the selection and direct assignment of the project management organization;

b) Registration dossier for the selection and direct assignment of the project management organization in accordance with Clause 1 of Article 12 of this Circular, including the project description adjusted in accordance with Clause 1 of this Article;

c) Decision approving the list of commissioned projects, Decisions establishing the advisory board and the Budget Estimation Review Team;

d) Minutes of opening the registration dossier for the selection and direct assignment of the project management organization;

đ) Minutes of the advisory board meeting and the budget estimation review team meeting;

e) Draft decision approving the project management organization, principal investigator, funding, and implementation period.

Article 22. Approval of Targeted Support Funding from the State Budget for Science and Technology Affairs at the Central Level

1. Within five working days from the date of receipt of the provincial People's Committee Chairman's decision approving the results of the selection and direct assignment of the project management organization, the Intellectual Property Agency shall submit to the Minister of Science and Technology for consideration and approval of the targeted support funding from the state budget for science and technology affairs at the central level for local managed projects.

2. The dossier for the approval of the targeted support funding from the state budget for science and technology affairs at the central level includes:

a) Decision of the Minister of Science and Technology approving the list of commissioned projects;

b) Decision of the provincial People's Committee Chairman approving the project management organization, principal investigator, funding, and implementation period for local managed projects;

c) Decision establishing the Review Team and Minutes of the meeting reviewing the budget estimate for targeted support funding from the state budget for science and technology affairs at the central level for local managed projects;

d) Draft Decision approving the targeted support funding from the state budget for science and technology affairs at the central level for local managed projects.

Article 23. Announcing the Results of Selection, Directly Assigning the Project Management Organization

1. Within five working days from the date the Minister of Science and Technology approves the results of the selection and direct assignment of the central project management organization or approves the targeted support funding from the state budget for science and technology affairs at the central level for local managed projects, the project management agency shall notify the project management organization, principal investigator, and publish on the Ministry of Science and Technology’s Electronic Information Portal, the Intellectual Property Agency (for centrally managed projects), and the Department of Science and Technology’s website (for locally managed projects).

2. The contents to be published include: Project name; name and address of the project management organization, principal investigator; summary of objectives; expected results, products of the project and the implementation period.

Chapter IV

CONTRACTING, MONITORING AND ADJUSTMENT

DURING THE PROJECT IMPLEMENTATION PERIOD

Article 24. Signing contracts to implement projects

Based on the Decision approving by the Minister of Science and Technology or the Chairman of the People's Committee of the province, the project management agency signs a contract to implement the project with the leading organization and the head of the project according to form B11 attached to this Circular.

Article 25. Monitoring and reporting on the implementation of projects

1. From the date when the project's deposit account balance arises due to the first advance payment by the project management agency, the leading organization and the head of the project shall be responsible for periodically reporting (every six months and annually) or reporting at any time (as required by the project management agency) on the implementation of the project and the use of project funds according to forms B12 and B13 attached to this Circular.

2. The National Office of Intellectual Property shall take the lead and coordinate with the Department of Science and Technology where the project is implemented to organize regular or ad hoc inspections and evaluations of the implementation and use of funds for centrally managed projects. The Department of Science and Technology shall take the lead and coordinate with the National Office of Intellectual Property to organize regular or ad hoc inspections and evaluations of the implementation and use of funds for locally managed projects.

3. Inspection procedures for project implementation

a) Inspection Content:

- Completed contents and ongoing project contents;

- Fund usage situation: Including state budget support funds and counterpart funds;

- Completed project products and those currently in the implementation phase;

- Other contents (if any).

b) Inspection Time:

- Regularly every six months from the date when the project's deposit account balance arises due to the first advance payment by the project management agency;

- Ad hoc as required by the project management agency.

c) Participants in the inspection:

- The leader of the project management agency or an individual authorized by the leader of the project management agency to serve as the Head of the inspection team;

- One specialized management officer;

- One accountant of the project management agency;

- One member of the advisory council determining the project or the advisory council selecting and directly assigning the leading organization of the project (if necessary);

- Other members as required by the project management agency.

d) Inspection procedure: To be carried out in accordance with Article 10 of Circular No. 04/2015/TT-BKHCN dated March 11, 2015, issued by the Minister of Science and Technology, regarding the inspection, evaluation, adjustment, and termination of contracts during the implementation of national science and technology tasks funded by the state budget (referred to as Circular No. 04/2015/TT-BKHCN).

If necessary, the inspection team may request quality and technical parameter checks on project products at relevant agencies, including:

- Costs for quality and technical parameter checks on centrally managed project products shall be borne by the National Office of Intellectual Property from the common organizational activity funds under the central program;

- Costs for quality and technical parameter checks on locally managed project products shall be borne by the Department of Science and Technology from the common organizational activity funds under the local program.

d) Handling results after inspection completion: To be carried out in accordance with Clause 1 and Clause 2 of Article 11 of Circular No. 04/2015/TT-BKHCN.

Any adjustments during project implementation (if any) shall be carried out in accordance with Articles 26 to 28 of this Circular.

Article 26. Adjustment of Project Implementation Time

1. The project leading organization may request the Minister of Science and Technology or the Chairman of the People's Committee of the province to consider extending or shortening the project implementation time.

2. Within fifteen days from the date of receipt of the proposal document of the project leading organization as stipulated in Clause 1 of this Article, the project management agency shall be responsible for reviewing and assessing the reasons for requesting an extension or reduction in the project implementation time and submitting it to the Minister of Science and Technology (for centrally managed projects) or the Chairman of the People's Committee of the province (for locally managed projects) for consideration and approval.

3. An extension of the project implementation time can only be implemented once for each project, with the extended period not exceeding six months. In special cases, the extension of the project will be decided by the Minister of Science and Technology (for centrally managed projects) or the Chairman of the People's Committee of the province (for locally managed projects).

4. A reduction in the project implementation time can only be considered when at least two-thirds of the assigned work content and volume have been completed.

Article 27. Changes,Adjustment of each type of aircraft of the Vietnam Coast Guard

1. Change of Project Leading Organization

The project leading organization can only be changed in cases where there is a decision by the competent authority regarding the merger, consolidation, division, separation, transformation, or dissolution of the project leading organization. The new project leading organization must meet the conditions specified in Clause 1 of Article 11 of this Circular.

2. Change of Project Leader

The change of the project leader is carried out in the cases prescribed in Article 16 of Circular No. 04/2015/TT-BKHCN. The new project leader must meet the conditions specified in Clause 2 of Article 11 of this Circular.

3. Adjustment of the project name, objectives, products, project content, state budget funds for project implementation, project implementation funds outside the state budget, and procurement of raw materials, machinery, and equipment:

Such adjustments are carried out according to the provisions of Articles 13, 14, 15, and 18 of Circular No. 04/2015/TT-BKHCN.

Article 28. Authority, Procedures, and Formalities for Changes and Adjustments

1. The project leading organization decides on adjustments to the contents as stipulated in Clause 1 of Article 19 of Circular No. 04/2015/TT-BKHCN.

2. The Minister of Science and Technology (for centrally managed projects) or the Chairman of the People's Committee of the province (for locally managed projects) considers and decides on adjustments to the contents not covered by Clause 1 of this Article.

3. The procedures and formalities for adjustments are carried out according to the provisions of Article 20 of Circular No. 04/2015/TT-BKHCN.

Article 29. Termination of Contracts During Project Implementation

1. Cases of terminating contracts during project implementation: Implemented according to the provisions of Article 21 of Circular No. 04/2015/TT-BKHCN.

2. Authority, Procedure, and Formalities for Contract Termination

a) Authority for Contract Termination:

- The Minister of Science and Technology (for centrally managed projects) and the Chairman of the People's Committee of the province (for locally managed projects) issue decisions to terminate contracts. The termination decision must clearly specify the amount of state budget funds to be refunded, and the handling plan for products and assets formed or purchased during the project implementation process;

- The project management agency implements the contract liquidation with the project leading organization and the project leader according to current regulations.

b) Procedures and formalities for terminating contracts: Implemented according to the provisions of Article 22 of Circular No. 04/2015/TT-BKHCN.

 

Chapter V

EVALUATION AND ACCEPTANCE OF PROJECT IMPLEMENTATION RESULTS

Article 30. Self-assessment of project implementation results

The leading organization and the principal of the project shall be responsible for self-assessing the results of project implementation according to Form B14 attached to this Circular before submitting the evaluation and acceptance dossier to the project management agency.

 

Article 31. Dossier for Evaluation and Acceptance of Project Implementation Results

The dossier for evaluation and acceptance of project implementation results includes:

1. A letter requesting evaluation and acceptance of project implementation results from the leading organization of the project according to Form 2 issued with the Circular No. 11/2014/TT-BKHCN dated May 30, 2014 of the Minister of Science and Technology on the evaluation and acceptance of the results of national-level scientific and technological tasks funded by the state budget (hereinafter referred to as Circular No. 11/2014/TT-BKHCN).

2. Summary report and brief report on the results of project implementation according to Form B15 attached to this Circular.

3. Products and results of the project according to the project implementation contract and approved project description.

4. Report on the use of project funds according to Form B13 attached to this Circular.

5. Self-assessment report on the results of project implementation according to Form B14 attached to this Circular.

6. Other relevant documents (if any).

Article 32. Submission of the Dossier for Evaluation and Acceptance of Project Implementation Results

1. The dossier for evaluation and acceptance consists of one original set (with stamps and signatures), presented and printed on A4 paper size, using Vietnamese font of Unicode character set according to the national standard TCVN 6909:2001, font size 14, and one electronic copy (without security installation).

2. The submission and receipt of the dossier shall be carried out in accordance with the provisions of Article 13 of this Circular.

3. The deadline for submission of the dossier and verification of its validity shall be implemented in accordance with the provisions of Clause 1 and Clause 3 of Article 7 of Circular No. 11/2014/TT-BKHCN.

Article 33. Advisory Board for Evaluation and Acceptance of Project Implementation Results

1. The advisory board for evaluation and acceptance of project implementation results consists of seven or nine members, including the Chairman, Vice-Chairman of the board, two opposing members, one Scientific Secretary, and other members. Members of the board are experts in intellectual property, specialists with expertise and practical experience in the field of the project, representatives of relevant agencies, including at least one member who has participated in the advisory board to determine the project or the advisory board to select and directly assign the leading organization of the project.

2. Individuals belonging to any of the cases stipulated in Clause 5 of Article 9 of Circular No. 11/2014/TT-BKHCN shall not participate in the board.

3. Authority and time limit for establishing the advisory board for evaluation and acceptance of project implementation results

a) Authority to establish the board:

- For centrally managed projects: The board is established by the Minister of Science and Technology;

- For locally managed projects: The board is established by the Chairman of the Provincial People's Committee or delegated to the Director of the Department of Science and Technology to establish.

b) The board must be established within fifteen working days from the date the project management agency receives a valid evaluation and acceptance dossier of project implementation results.

Article 34. Procedure and Content of Work of the Advisory Board for Evaluation and Acceptance of Project Implementation Results hội đồng tư vấn đánh giá, nghiệm thu kết quả thực hiện dự án

1. The meeting of the board shall be organized within thirty days from the date of the decision establishing the board and shall only proceed if the following requirements are met:

a) The project management agency has received full written comments from two opposing members and the review opinion of the Expert Group (if any) at least one working day before the board meeting;

b) At least five members (for a board of seven members) or at least seven members (for a board of nine members) must attend, including the Chairman or Vice-Chairman and two opposing members.

2. Procedures for work of the board

a) The board operates according to the procedure stipulated in Clause 5 of Article 10 of Circular No. 11/2014/TT-BKHCN;

b) Members of the board assess the results of project implementation by scoring on the Comment and Assessment Form according to Form B16 issued with this Circular;

c) The board prepares and approves the Meeting Minutes according to Form B17 issued with this Circular.

3. For projects involving field deployment activities, projects with intermediate products, products being models or specific equipment, products requiring testing: In necessary cases, the project management agency organizes for the board to inspect and evaluate the actual site of project implementation or test and evaluate the quality and technical parameters of the product at a suitable specialized agency.

Article 35. Principles and budget for evaluation and acceptance of project implementation results 1. Principles for evaluation and acceptance: Implemented according to the provisions of Article 3 of Circular No. 11/2014/TT-BKHCN.

a) The budget for evaluating and accepting central-managed projects shall be funded from the general organizational activity budget of the Program at the central level by the Intellectual Property Office.

2. Funding for Evaluation and Acceptance:

b) The budget for evaluating and accepting local-managed projects shall be funded from the general organizational activity budget of the Program at the local level by the Department of Science and Technology.

c) Any additional costs incurred to complete products and acceptance documentation for project implementation results as required by the council shall be covered by the organizing body and the project leader.

Article 36. Content, evaluation criteria, and classification levels of the council

b) Degree of completion of project contents and workload; on the method d) Degree of completion of results and products: Quantity of results and products compared with the project description and contract for implementing the project; degree of compliance of each product and result with assigned scientific and technical standards; hđ) Effectiveness and sustainability (intellectual property rights protection and/or practical applicability of products and results) of the project;

1. Content and Criteria for Evaluation

a) Deadline for submission of evaluation and acceptance documentation;

e) Other contents and requirements stipulated in Article 12 of Circular No. 11/2014/TT-BKHCN.

c) Rationality and scientific nature of implementation plans;

2. Method of project evaluation and classification by the council

The method of project evaluation and classification by the council is based on the average score given by council members participating in the meeting, specifically:

3. For projects classified as "Accepted" by the council according to point b, Clause 2 of this Article, within thirty days from the date the council approves the Meeting Minutes, the organizing body and project leader are responsible for completing the evaluation and acceptance documentation according to the council's conclusions and submitting it to the project management authority after confirmation by the Council Chair regarding the completion of the documentation.

4. For projects classified as "Not Accepted" by the council according to point a, Clause 2 of this Article, they will be handled according to the provisions of Joint Circular No. 27/2015/TTLT-BKHCN-BTC dated December 30, 2015, issued by the Minister of Science and Technology and the Minister of Finance, concerning the allocation of funds for the implementation of science and technology tasks using state budget.

Article 37. Expert team and independent consultant for evaluation and acceptance of project implementation results

a) "Not accepted" if the average score of the council members is less than 50 points;

b) "Accepted" if the average score of the council members is 50 points or more, including:

- Accepted at the level of "Met Requirements" if the average score of the council members is from 50 to less than 70 points;

- Accepted at the level of "Good" if the average score of the council members is from 70 to less than 90 points;

- Accepted at the level of "Excellent" if the average score of the council members is from 90 to 100 points.

1. The expert team for evaluating and accepting project implementation results shall be established and operate according to the provisions of Article 9 of Circular No. 11/2014/TT-BKHCN.

2. The organization of soliciting opinions from independent consultants on the evaluation and acceptance of project implementation results shall be carried out according to the provisions of Articles 14 and 22 of Circular No. 11/2014/TT-BKHCN.

Article 38. Recognition of project implementation results

1. Authority to recognize project implementation results

a) The Minister of Science and Technology issues a decision recognizing the results of central-managed project implementations;

b) The Chairman of the People's Committee of the province issues a decision recognizing the results of local-managed project implementations.

2. Documents for recognizing project implementation results include the following:

a) Minutes of the council meeting for evaluating and accepting project implementation results;

b) Copy of the certificate of registration for project implementation results;

đ) Draft Decision recognizing project implementation results according to Form 11 issued together with Circular No. 11/2014/TT-BKHCN.

3. Within five working days from the date of receiving all documents specified in Clause 2 of this Article, the project management authority shall submit to the Minister of Science and Technology or the Chairman of the People's Committee of the province for examination and issuance of a decision recognizing project implementation results.

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

c) Report on completing the evaluation and acceptance dossier according to Form 10 issued together with Circular No. 11/2014/TT-BKHCN;

d) Opinion of the expert team or independent consultant (if any);

đ) The draft Decision recognizing the project implementation results according to Form 11 issued together with Circular No. 11/2014/TT-BKHCN.

3. Within five working days from the date of receiving all documents stipulated in Clause 2 of this Article, the project management agency shall submit to the Minister of Science and Technology or the Chairman of the People's Committee of the province for consideration and issuance of the decision recognizing the project implementation results.

Article 39. Liquidation of Contracts and Disposal of Assets After Completion of the Project

1. The project management agency shall liquidate the contract for implementing the project with the leading organization and the project leader according to Model B18 issued together with this Circular.

2. Intellectual property rights and the right to use the results of the project implementation shall be managed and executed in accordance with the laws on science and technology and intellectual property.

3. The leading organization and the project leader shall be responsible for managing and exploiting the results of the project implementation in accordance with current regulations. The disposal of assets formed through the implementation of the project shall be carried out in accordance with current regulations on the management and use of assets formed through the implementation of scientific and technological tasks funded by state capital.

 

Chapter VI

IMPLEMENTING PROVISIONS

Article 40. Responsibilities of the Ministry of Science and Technology

1. To organize and uniformly manage the Program in accordance with the division of labor assigned by the Prime Minister in Decision No. 1062/QĐ-TTg dated June 14, 2016, specifically as follows:

a) Guide the proposal of projects, build and approve a list of commissioned projects that align with the objectives and content of the Program, classify central-managed projects and local-managed projects;

b) Select and directly assign the leading organizations of central-managed projects;

c) Approve the results of selection and direct assignment of the leading organizations of central-managed projects;

d) Approve the budget for implementing central-managed projects, the budget for common activities under the Program at the central level, and targeted support funds from the central-level science and technology public expenditure budget for local-managed projects;

đ) Aggregate the budget estimate of the Program to balance within the annual public expenditure budget for science and technology; allocate the budget estimate for common activities under the Program at the central level and the budget estimate for implementing central-managed projects; coordinate with the Ministry of Finance to balance targeted support funds from the central-level science and technology public expenditure budget for local-managed projects;

e) Lead the inspection of project implementation and decide on adjustments during the implementation of central-managed projects, coordinate with provincial People's Committees to inspect local-managed projects;

g) Approve the tender plan for procurement packages of machinery, equipment, goods, raw materials, and services of projects funded by the central-level science and technology public expenditure budget for central-managed projects;

h) Finalize the budget of central-managed projects and common activities under the Program at the central level. Organize the evaluation, acceptance, recognition of project implementation results, and asset disposal of central-managed projects. Organize the dissemination and replication of project implementation results under the Program;

 

i) Organize the annual assessment, mid-term review, and final summary of the Program implementation;

k) Organize the implementation of common activities under the Program at the central level.

2. The National Office of Intellectual Property shall lead and coordinate with relevant units to assist the Minister of Science and Technology in performing the tasks stipulated in Clause 1 of this Article.

Article 41. Responsibilities of the Provincial People's Committee provincial level

1. To implement the Program in accordance with the division of labor assigned by the Prime Minister in Decision No. 1062/QĐ-TTg dated June 14, 2016, specifically as follows:

a) Aggregate project proposals from organizations and individuals and directly propose projects that align with the objectives and content of the Program to commission with the Ministry of Science and Technology;

b) Select and directly assign the leading organizations of local-managed projects within the approved list of commissioned projects by the Minister of Science and Technology. Approve the results of selection and direct assignment of the leading organizations of local-managed projects;

c) Approve the budget from the local science and technology public expenditure for implementing local-managed projects, the budget for common activities under the Program at the local level, and the matching budget from the local budget for central-managed projects (if applicable); aggregate the budget estimate from the local budget to implement the Program's tasks and balance within the annual local budget;

d) Lead the inspection and resolution of issues arising during the implementation of local-managed projects; coordinate inspections and resolution of issues arising during the implementation of central-managed projects implemented in the locality;

đ) Approve the tender plan for procurement packages of machinery, equipment, goods, raw materials, and services funded by the local science and technology public expenditure budget for local-managed projects;

e) Finalize the budget of local-managed projects, the matching budget for implementing central-managed projects (if applicable), and the budget for common activities under the Program at the local level. Organize the evaluation, acceptance of local-managed project implementation results, recognition of implementation results, and asset disposal of local-managed projects;

g) Establish mechanisms to support and organize the dissemination and replication of project implementation results under the Program in the locality;

h) Directly integrate the contents of projects under the Program with other economic and social development projects in the locality, mobilize other sources of capital to ensure sufficient funding for project implementation alongside state budget support;

i) Report in writing to the Ministry of Science and Technology on the annual results, mid-term reviews, and final summaries of the Program implementation in the locality or report promptly upon request of the Ministry of Science and Technology;

k) Organize the implementation of common activities under the Program in the locality.

2. The Department of Science and Technology shall lead and coordinate with relevant units to assist the Provincial People's Committee in performing the tasks specified in Clause 1 of this Article.

Article 42. Responsibilities of the Leading Organization of the Project

1. Sign contracts to implement the project and settlement certificates for the implementation of the project in accordance with Article 24 and Article 39 of this Circular.

2. Coordinate with the project management agency to implement the provisions set out in Clauses 3, 5, 7, 10, and 11 of Article 15 of Circular No. 18/2016/TT-BKHCN dated September 1, 2016, issued by the Minister of Science and Technology guiding the management of national science and technology projects (referred to as Circular No. 18/2016/TT-BKHCN).

3. Implement the provisions set out in Clauses 1, 2, 6, 9, 11, 12, 13, and 14 of Article 15 of Circular No. 18/2016/TT-BKHCN.

4. Summarize and report to the Ministry of Science and Technology (Intellectual Property Department) and the People's Committee of the province (Science and Technology Department) on the situation regarding the allocation, use, and final settlement of the project funds.

Article 43. Responsibilities of the Project Leader

1. Sign contracts to implement the project and settlement certificates for the implementation of the project in accordance with Article 24 and Article 39 of this Circular.

2. Bear responsibility for the legal status of intellectual property objects in accordance with the Intellectual Property Law (for the project leader who is the author of intellectual property rights objects as stipulated in Article 3 of the Intellectual Property Law).

3. Organize the implementation and bear responsibility for the results, products, and effectiveness of the project; develop plans to apply the results or commercialize products derived from the project results.

4. Use funds for their intended purposes effectively; implement reporting, managing funds, and settling accounts for the project according to current regulations.

5. Propose and recommend to the leading organization of the project adjustments to the content, products, funding, and progress of tasks within the project.

6. Inspect and urge organizations and individuals participating in and coordinating the implementation of the project according to the contract; report periodically and urgently on the progress and use of project funds.

Article 44. Effective date of implementation

1. This Circular takes effect from February 11, 2018.

 

2. The selection and direct assignment of the leading organization of the project from the list of commissioned projects approved by the Minister of Science and Technology before the date this Circular takes effect shall continue to be implemented in accordance with Circular No. 03/2011/TT-BKHCN dated April 20, 2011, issued by the Minister of Science and Technology guiding the selection and management of projects under the Intellectual Property Development Program for the period 2011-2015.

Article 45. Implementation Organization

1. During the implementation process, if there are emerging issues or difficulties, the relevant agencies, organizations, and individuals are requested to promptly reflect them in writing to the Ministry of Science and Technology for consideration and decision.

2. The People's Committee of the province bases its application or issuance of regulatory documents governing the local Intellectual Property Development Program on the provisions of this Circular./.