Circular No. 19/2011/TT-BKHCN stipulates the organization and management of activities under the National Key Science and Technology Program for the 2011-2015 period.

 

CIRCULAR

REGULATIONS ON THE ORGANIZATION AND MANAGEMENT OF THE IMPLEMENTATION OF NATIONAL KEY SCIENCE AND TECHNOLOGY PROGRAMS FOR THE 2011-2015 PERIOD

Pursuant to the Law on Science and Technology dated June 9, 2000;

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

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

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

The Minister of Science and Technology hereby stipulates the organization and management of the implementation of national key science and technology programs for the 2011-2015 period as follows:

PART I
GENERAL PROVISIONS

Article 1. Object and Scope of Application

1. This Circular stipulates the organization and management of the implementation of national key science and technology programs (hereinafter referred to as Programs), including: developing program frameworks, identifying, selecting, reviewing, implementing, monitoring, evaluating, and accepting scientific and technological tasks under the Programs, and summarizing the Programs, with the aim of implementing Decision No. 1244/QĐ-TTg dated July 25, 2011 of the Prime Minister approving the orientation, objectives, and main tasks of science and technology for the 2011-2015 period, except for cases specified in Clause 2 of this Article.

Programs include science and technology programs and social sciences and humanities programs. Scientific and technological tasks under the Programs include research topics (research topics on science and technology development, potential research topics on science and technology, research topics on social sciences and humanities), experimental production projects, and other tasks (hereinafter collectively referred to as research topics and projects).

2. This Circular does not apply to research topics and projects under the Programs that are led by foreign scientific and technological organizations, foreign individuals, or overseas Vietnamese individuals.

Article 3. Principles for Managing the Program

1. Management of Programs must be carried out in accordance with the Law on Science and Technology; ensuring the role of state management of the Ministry of Science and Technology and relevant ministries and sectors; ensuring the responsibilities and authorities of the Program Steering Committee, the leading organization of research topics and projects (hereinafter referred to as the Leading Organization), and the Principal Investigators of research topics and projects.

2. Management activities of Programs must ensure that Programs are implemented according to approved objectives, contents, and schedules.

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

Article 3. Code Numbers of Programs, Research Topics, and Projects

The code numbers of Programs, research topics, and projects are recorded as follows: KC.XX.DAYY/11-15, KC.XX.TNYY/11-15, and KX.XX.YY/11-15, where:

1. KC is the general symbol for Programs in the field of science and technology;

2. KX is the general symbol for Programs in the field of social sciences and humanities;

3. Group XX is the two-digit number indicating the serial number of the Program as recorded in the Decision of the Minister of Science and Technology;

4. Group DAYY, TNYY, where YY is the two-digit number indicating the serial number of research topics and projects within the Program; DA indicates a project; TN indicates a potential research topic;

5. 11-15 is the general symbol for national key science and technology Programs for the 2011-2015 period;

6. A dot separates the two-letter symbol for the field from the two-digit serial number of the Program; a dot separates the two-digit serial number of the Program from the two-digit serial number of the research topic or project; a slash separates the two-digit serial number of the research topic or project from the two-digit symbol for the period.

Article 4. Information on Programs, Topics, and Projects

1. Information on Programs, Topics, and Projects shall be published on the Ministry of Science and Technology's electronic portal, on the electronic information page of the Office of National Key Programs (hereinafter referred to as the Office of Programs), and in the Science and Development Newspaper, except for special information related to state secrets.

2. The Program Director Board, the Leading Organization, and the Topic and Project Leaders have the responsibility to provide the information specified in Clause 1 of this Article and to promote, disseminate, and transfer the results of scientific research and technological development of Programs, Topics, and Projects.

Chapter II
MANAGEMENT OF THE PROGRAM

Article 5. Organizational Structure of Program Management

1. The Ministry of Science and Technology shall take the lead, together with relevant Ministries and sectors, the Program Director Board, the Leading Organizations, and the Topic and Project Leaders within the Program, to manage and organize the implementation of the Program.

a) The functional departments of the Ministry of Science and Technology shall perform the State management role of the Ministry of Science and Technology in organizing Program management, assisting the Minister in fulfilling the responsibilities and authorities of the Ministry of Science and Technology as stipulated in Article 10 of this Circular;

b) The Office of Programs is a public service unit under the Ministry of Science and Technology, assisting the Minister of Science and Technology in performing the function of managing the activities of Programs.

2. The organizational structure of the Program includes: the Program Director Board and the administrative secretary of the Program.

The Program Director Board shall be established by the Minister of Science and Technology, tasked with assisting the Minister of Science and Technology in organizing and managing the implementation of the Program.

Article 6. Responsibilities and Authorities of the Program Director Board

1. The Program Director Board shall be responsible to the Minister of Science and Technology for the implementation of the Program’s objectives and products that have been approved, and for the scientific and technological level of the Program’s results meeting the requirements for national socio-economic development.

2. The Program Director Board has the following duties and authorities:

a) To organize the determination of tasks, select, and evaluate organizations and individuals leading the implementation of topics and projects, assess and accept the results of topics and projects within the Program;

b) To lead and coordinate with the Office of Programs and relevant units under the Ministry of Science and Technology to guide organizations and individuals to perfect the topic and project descriptions after the Minister of Science and Technology recognizes them as successful candidates to lead topics and projects; to review the content and budget of topics and projects within the Program after they are completed according to guidelines, and submit them to the Minister of Science and Technology for consideration and decision;

c) To develop an annual plan based on the goals, contents, and expected products of the Program that have been approved by the Minister of Science and Technology to implement the Program; to propose adjustments and supplements annually and coordinate with the Office of Programs to organize their implementation after approval by the Minister of Science and Technology;

d) To prepare reports (quarterly, annually; interim; final) on the implementation results of the Program to be compiled by the Office of Programs and reported to the Minister of Science and Technology;

đ) To approve the descriptions of topics and projects within the Program according to the content and budget of the topics and projects that have been approved by the Minister of Science and Technology; to jointly sign Scientific Research and Technological Development Contracts (hereinafter referred to as Contracts) with the Office of Programs to implement topics and projects and organize the acceptance and settlement of Contracts with the Leading Organizations and Topic and Project Leaders;

e) To monitor and urge the implementation process of topics and projects within the Program and resolve issues arising within its authority; to periodically lead and coordinate with functional units of the Ministry of Science and Technology and the main supervising ministry to inspect the implementation of topics and projects within the Program; to confirm the volume and results of the implementation of topics and projects as the basis for settlement and payment of subsequent funds;

g) To propose rewards for organizations and individuals with achievements, and to recommend handling violations by Leading Organizations and Topic and Project Leaders during the implementation of Program tasks;

3. The Program Director Board shall be responsible for determining the direction of international cooperation for topics and projects towards international integration in the field of science and technology. The content of international cooperation must address scientific and technological issues at regional levels, based on specific issues identified in the topic and project descriptions; the capabilities of partners; funding sources and the effectiveness of cooperation, and reflected in the minutes of the content and budget review of topics and projects as stated in point b Clause 2 of this Article.

4. The Program Director Board shall be guaranteed conditions regarding funding, working tools, and benefits as prescribed.

5. The Program Director Board may use the seal of the Office of Programs in transaction documents containing matters within the scope of the Program Director Board's duties and authorities.

The Program Director Board operates in accordance with the operational regulations issued by the Minister of Science and Technology.

Article 7. Responsibilities and Authorities of the Office of Programs

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

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

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

3. To disburse and settle funds for the leading organizations of projects according to the progress recorded in the contracts; to compile procurement plans for machinery and equipment of projects within the Programs and submit them for approval by the Ministry of Science and Technology;

4. To ensure conditions for the management and operation activities of the Programs; to coordinate and support the Program Steering Committees in organizing scientific and technological advisory activities and other tasks related to the management and operation of the Programs;

5. To coordinate with the Program Steering Committees to inspect and supervise the implementation and use of budgets for projects within the Programs; to monitor and compile reports on the mobilization and use of non-state budget funds for projects; to promptly identify and handle issues and errors during the organization and implementation of the Programs and the procurement of machinery and equipment for projects within the Programs within their authority; to propose measures and report to the Minister of Science and Technology for decisions on cases exceeding their authority;

6. To prepare final financial reports for the Programs and submit them to the Ministry of Science and Technology as prescribed; to compile and prepare periodic, special, mid-term summary, and final reports on the results of the Programs based on reports from the Program Steering Committees;

7. To coordinate with relevant functional units under the Ministry of Science and Technology to organize guidance on financial-accounting operations and management for leading organizations and project leaders within the Programs;

8. To establish databases on organizational structure, finance, activities, and outcomes of the Programs; to build and operate electronic information websites for the Programs; to organize statistical work for the Programs;

9. To serve as the focal point for receiving and compiling suggestions and recommendations from the Program Steering Committees regarding issues related to the establishment and management of the Programs, to present them or coordinate with relevant subordinate units under the Ministry to present them to the Minister of Science and Technology, and to notify the Minister's decisions to the Program Steering Committees and related organizations and individuals;

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

Article 8. Responsibilities and authorities of the Leading Organization implementing the project

1. Shall be responsible for the content and results of the project under the Program that it leads to implement.

2. Shall jointly sign with the Project Leader and the Program Management Board and Program Office the Contract to implement the project.

3. Shall bear responsibility as a legal entity in managing and organizing the implementation of the project and shall together with the Project Leader fulfill all commitments in the Contract regarding:

a) Ensuring material infrastructure (machinery, equipment, workshops, means of transportation) and human resources for the implementation of the project;

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

c) Other terms within the responsibilities of the Leading Organization.

4. Shall manage the allocated funds, raise sufficient funds and disburse them according to the schedule committed in the contract; organize bidding, procurement and management of machinery and equipment of the project in accordance with current regulations.

5. Shall report to the Ministry of Science and Technology (through the Program Office and the Program Management Board) in accordance with regulations. Create favorable conditions and provide full information to supervisory agencies for monitoring, inspection, and auditing of the project during its implementation and after evaluation.

6. Shall organize management, exploitation, and transfer of the results of the project in accordance with the law.

Article 9. Responsibilities and authorities of the Project Leader

1. Shall organize the implementation of the project; shall be responsible for the authenticity, scientific value, research level, and effectiveness of the research results of the project; shall have application plans for the results or commercialization plans for products derived from the project results.

2. Shall use funds for their intended purposes, in accordance with regulations, effectively according to the content of the Contract; shall complete financial settlement of the project in accordance with current regulations.

3. Shall be guaranteed the conditions to implement the project as agreed in the Contract and may propose adjustments when necessary.

4. Shall inspect and urge organizations and individuals participating in the implementation of the project according to the Contract. Shall submit periodic reports (every six months) and ad hoc reports on the progress of tasks and fund usage of the project.

5. Shall implement the publication, submission, and transfer of project results and products in accordance with current regulations.

Article 10. Responsibilities and authorities of the Ministry of Science and Technology

1. Shall lead and coordinate with relevant ministries and sectors to establish and approve the list of Programs based on socio-economic development goals and the National Strategy for Science and Technology Development; guide the implementation of the Programs.

2. Shall issue or coordinate with relevant ministries and sectors to issue documents on mechanisms and organizational structures for Program management and cooperate with the main managing ministries to organize implementation.

3. Shall organize the establishment and approval of Program objectives, contents, and expected products.

4. Shall approve the list of projects to organize selection and choose leading organizations and individuals; decide to recognize successful organizations and individuals as leaders of projects; approve the content and budget of projects under the Programs; review and decide to adjust the content and budget if necessary during the implementation of the Programs.

Shall decide to supplement urgent science and technology tasks and arrange implementation plans in the Programs.

5. Shall aggregate and balance the funds for implementing the Programs to allocate into the annual science and technology budget plan. Coordinate with the Ministry of Finance and the Ministry of Planning and Investment to ensure financial support for Program activities. Approve final accounts and aggregate annual final accounts of the Programs to send to the Ministry of Finance.

6. Shall decide to approve or delegate the head of the leading organization to approve the bidding plan and procurement of machinery and equipment for projects under the Program in accordance with the law.

7. Shall supervise, inspect, and audit the activities of the Programs, projects during their implementation and after evaluation.

8. Shall decide to recognize the results of project implementation under the Program; grant authority to the leading organizations and individuals of the Program to register intellectual property rights protection for project results in accordance with the law.

9. Shall evaluate the results and conclude the activities of the Programs.

10. Shall report to the Prime Minister on the situation and results of Program implementation.

Article 11. Responsibilities and Authorities of the Leading Ministries

1. Coordinate with the Ministry of Science and Technology in establishing the objectives and contents of the Program, determining scientific and technological tasks within relevant fields; creating conditions for the leading organizations and project leaders under their jurisdiction to effectively carry out assigned scientific and technological tasks.

2. Coordinate with the Ministry of Science and Technology to inspect, supervise, and urge the leading organizations and project leaders under their jurisdiction to fulfill their commitments as stipulated in the contracts.

Chapter III
IMPLEMENTATION OF THE PROGRAM

Article 12. Determination of Scientific and Technological Tasks within the Program

1. The Ministry of Science and Technology decides on the organization of the determination of scientific and technological tasks within the Programs.

2. The Program Steering Committee takes the lead and coordinates with the Program Office and related functional units under the Ministry of Science and Technology to organize the determination of tasks.

The determination of tasks shall be carried out in accordance with the provisions on the determination of national-level scientific and technological tasks and the provisions on the determination of potential scientific research projects issued by the Ministry of Science and Technology.

Article 13. Organization of Selection and Examination of Organizations and Individuals to Lead the Implementation of Scientific and Technological Tasks within the Program

1. The Program Steering Committee takes the lead and coordinates with the Program Office and related functional units under the Ministry of Science and Technology to organize the selection and examination of organizations and individuals to lead the implementation of projects within the Program.

2. The selection and examination of organizations and individuals to lead the implementation of projects shall be conducted in accordance with the provisions on the selection and examination of organizations and individuals to lead the implementation of national-level scientific and technological tasks and the provisions on the selection and examination of organizations and individuals to lead the implementation of potential scientific research projects issued by the Ministry of Science and Technology.

Article 14. Review of Projects

1. The Program Steering Committee leads and coordinates with the Program Office and functional departments of the Ministry of Science and Technology to review the content and budget of projects.

2. The review of projects shall be carried out in accordance with the provisions on the review of national-level scientific and technological tasks issued by the Ministry of Science and Technology.

3. In cases where necessary, the Minister of Science and Technology may seek advice from domestic and foreign experts regarding the results of the review before making a decision.

Article 15. Assignment of Tasks and Signing of Contracts

1. The Program Steering Committee and the Program Office sign contracts for the implementation of projects with the leading organizations and project leaders. The contract template is issued by the Ministry of Science and Technology.

2. Annually, the Ministry of Science and Technology assigns tasks and guides the content and plan of the Program to the Program Steering Committees and Program Offices, while simultaneously informing the leading ministries (for tasks led by subordinate agencies) about this content in the overall plan on science and technology of the leading ministries.

Article 16. Inspection and Evaluation of Project Implementation Processes

1. The Program Steering Committee shall conduct inspections and evaluations every six months, coordinating with the Program Office and relevant units under the Ministry of Science and Technology, and the leading ministries to assess the progress, scientific content, and products of projects according to signed contracts.

2. The Ministry of Science and Technology shall periodically or unexpectedly inspect the implementation status and results of projects and programs.

Article 17. Adjustment of Content, Budget, and Progress

1. The leading organization and project leaders may proactively adjust the budget among assigned expenditure items within the total allocated budget for the project based on work requirements.

2. The Ministry of Science and Technology, upon written requests from project leaders, leading organizations, and the Program Steering Committee, will consider and decide to adjust the following contents up to two times:

a) Objectives, products, and implementation schedule of the project or topic;

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

Documents related to adjustments are part of the Contract.

Article 18. Termination of Contracts

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

a) Projects encounter objective circumstances preventing completion of approved content and objectives;

b) Project leaders and leading organizations lack management and implementation capabilities; research directions are blocked or no longer required;

c) Violation of the Contract: conditions stipulated in the Contract are not met, leading to the inability to complete the project; the project does not comply with the research content agreed upon in the Contract; funds are misused.

2. Based on the decision to terminate the contract, the Program Steering Committee, the Program Office, the leading organization, and the project leaders shall carry out contract liquidation procedures according to the terms of the signed contract and laws governing contracts.

Article 19. Evaluation of Projects and Programs

1. Basic-level evaluation for research topics and projects:

a) The leading organization of the project shall organize the initial evaluation of the project and submit the completed evaluation report to the Program Steering Committee and the Program Office for formal acceptance evaluation.

b) The Program Steering Committee shall coordinate with the Program Office to monitor the initial evaluation process.

2. Formal Evaluation and Acceptance of Projects:

a) The Program Steering Committee shall lead and coordinate with the Program Office to formally evaluate and accept projects within the program.

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

3. Program Evaluation is conducted through three stages: mid-term evaluation, final evaluation, and post-final evaluation.

a) The Program Steering Committee shall conduct mid-term evaluations of program activities during the five-year plan period and report the evaluation results to the Minister of Science and Technology.

b) The Ministry of Science and Technology shall lead the formal evaluation of program activities at the end of their implementation and after their completion.

4. The procedures for evaluating and accepting projects and programs shall be carried out in accordance with regulations on national-level scientific and technological task evaluations and potential scientific and technological research project evaluations issued by the Ministry of Science and Technology.

Article 20. Recognition of Research Topic and Project Results

1. The Minister of Science and Technology shall issue a decision to recognize the results of research topics and projects based on the conclusion of the Advisory Board for Evaluation and Official Acceptance, and the proposal of the Program Steering Committee.

2. The Ministry of Science and Technology, based on the recommendation of the Program Steering Committee, shall determine the responsibilities of the relevant parties and take appropriate measures according to regulations for research topics and projects with officially evaluated and accepted results at the level of "unsatisfactory".

3. In cases where necessary, the Minister of Science and Technology shall issue a decision to recognize the results of research topics and projects based on the evaluation conclusions of an independent consulting organization.

Article 21. Liquidation of Contracts

The Program Steering Committee and the Office of Programs shall carry out the liquidation of contracts with the Leading Organization and the Head of the research topic and project in accordance with current regulations. In cases where the Program Steering Committee has completed its term of operation by the time conditions for liquidation are met, the Office of Programs shall carry out the liquidation of contracts with the Leading Organization and the Head of the research topic and project. The model for contract liquidation shall be issued by the Ministry of Science and Technology.

Article 22. Management of Research Topic and Project Results when the Program Ends

1. The supervising ministry and the Leading Organization shall be responsible for organizing the management, exploitation, and transfer of research topic and project results in accordance with the provisions of the law. Ownership rights, copyright, and usage rights of the research topic and project results of the Program shall be implemented in accordance with the laws on science and technology, intellectual property, and technology transfer.

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

Chapter IV
FINANCIAL PROVISIONS OF THE PROGRAM

Article 23. Budget for Implementing Programs

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

2. Sources of the budget for implementing research topics and projects include funds from the state budget and other sources as prescribed.

3. The program budget shall be balanced in the annual science and technology budget estimate and allocated to the Ministry of Science and Technology to provide under contracts to Leading Organizations implementing research topics and projects and to fund common activities of the programs.

Article 24. Use of Funds

1. Program, research topic, and project funds must be used for their intended purposes in accordance with current management regulations.

2. Assets purchased for the program, research topic, and project using state budget funds and assets created during the implementation of the research topic and project shall be managed in accordance with current regulations.

Article 25. Settlement of Accounts

1. The report proposing the settlement of accounts for research topics and projects must be completed before the evaluation and acceptance process begins.

The Ministry of Science and Technology shall review and approve the settlement of accounts for programs, research topics, and projects, and consolidate and submit them to the Ministry of Finance.

2. In cases where necessary, the Ministry of Science and Technology may decide to audit the financial operations of the program, research topic, and project as a basis for settling accounts.

Financial management of the program, research topic, and project shall be carried out in accordance with the guidance documents on financial management of programs issued by the Ministry of Finance and the Ministry of Science and Technology.

Chapter V
IMPLEMENTATION

Article 26. Handling Violations

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

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

Article 27. Implementation Provisions

This Circular shall take effect 45 days from the date of issuance.

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