Circular No. 28/2014/TT-BKHCN stipulates the examination, review, and approval of tasks supported with state budget funds for science and technology activities under the National Product Investment Project.

CIRCULAR

Regulations on the examination, review, and approval of tasks funded by state budget for scientific and technological activities under the National Product Manufacturing Investment Project.support funding from the state budget for scientific and technological activities under the National Productive Investment Project ||| technological activities under the National Productive Investment Project

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

Decision No. 157/QĐ-TTg dated February 1, 2021 of the Prime Minister promulgating the National Product Development Program until 2030;

Pursuant to Decree No. 20/2013/NĐ-CP dated February 26, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

Pursuant to Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the Program for Developing National Products until 2020;

The managing unit of tasks under the Program

The Minister of Science and Technology issues this Circular regulating the examination, review, and approval of tasks funded by state budget for scientific and technological activities (S&T) under the National Product Manufacturing Investment Project (hereinafter referred to as the National Product Manufacturing Investment Project).

Chapter I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular regulates the examination, review, and approval of tasks funded by state budget for S&T activities under the National Product Manufacturing Investment Project (hereinafter referred to as tasks under the National Product Manufacturing Investment Project), which involve applying research results from S&T tasks or receiving new and advanced technology transfers from other sources to master, perfect, and stabilize technology for manufacturing national products, including the following types:

Investment projects to enhance S&T capacity serving the development of national products, funded by the state budget for investment development, are not within the scope of regulation of this Circular.

2. This Circular applies to agencies, organizations, and individuals involved in managing and implementing tasks funded by state budget for S&T activities under the National Product Manufacturing Investment Project of the Program for Developing National Products until 2020.

Article 2. Interpretation of Terms

In this Circular, the following terms shall be understood as follows:

1. Tasks funded by state budget for S&T activities under the National Product Manufacturing Investment Project (hereinafter referred to as tasks under the National Product Manufacturing Investment Project) are research and application activities involving the results of S&T tasks or receiving new and advanced technology transfers from other sources to master, perfect, and stabilize technology for manufacturing national products, including the following types:

a) Transfer of technology for manufacturing national products: receiving transfer of technical secrets; technological schemes, technological processes, technical solutions, formulas, technical parameters, technical drawings, technical diagrams, computer programs, information data; rationalization of production solutions, technological innovation; purchasing and importing specialized machinery and equipment that have not yet been produced domestically for researching manufacturing technology for national products;

b) Application of technology for manufacturing national products: perfecting technological processes, S&T solutions; developing computer software; testing, analyzing, inspecting, evaluating product quality; producing pilot batches.

2. Pilot batchis a batch of products manufactured for trial purposes on a completed system of equipment, production lines (for industrial products) or pilot production models, trials (for other types of products) to stabilize technology, production scale, and product quality before mass production.

3. National Product Management Unit is the unit with the function of state management of the National Product Management Authority assigned by the Head of the National Product Management Authority to manage development projects and programs for national products.

The Department of Science and Technology for Economic and Technical Industries under the Ministry of Science and Technology (Ministry of Science and Technology) is the lead unit managing the Program for Developing National Products until 2020, and concurrently serves as the National Product Management Unit of the Ministry of Science and Technology.

Article 3. Application of Legal Documents

1. The mechanism for coordination between the Ministry of Science and Technology, the Management Authority of National Product Development Programs, the Program Steering Committee, the National Product Development Project Management Unit, the Project Leader of the National Product Development Investment Project, the Head of Tasks within the National Product Development Investment Project, and other relevant organizations and individuals during the review, assessment, and approval process of tasks within the National Product Development Investment Project supported by state budget funds for scientific and technological activities shall be implemented in accordance with the provisions of the Circular guiding the management of the National Product Development Program until 2020 issued by the Ministry of Science and Technology and other related documents.

2. The principles of operation and responsibilities of the review boards and assessment boards stipulated in Articles 7 and 11 of this Circular shall be applied in accordance with Article 10 of Circular No. 10/2014/TT-BKHCN dated May 30, 2014 of the Ministry of Science and Technology on the selection and direct assignment of organizations and individuals to implement national-level scientific and technological tasks funded by the state budget.

3. Independent Consulting: The provisions regarding independent consultants, procedures for obtaining their opinions, and the responsibilities of independent consultants shall be applied in accordance with Articles 16, 17, and 18 of Circular No. 10/2014/TT-BKHCN of the Ministry of Science and Technology.

Chapter II

REVIEW OF TASKS WITHIN NATIONAL PRODUCT DEVELOPMENT INVESTMENT PROJECTS

Article 4. Requirements for National Product Development Investment Projects Supported by State Budget Funds for Scientific and Technological Activities

1. National Product Development Investment Projects (including both new investment projects and expanded investment projects) supported by state budget funds for scientific and technological activities must originate from the results of scientific and technological tasks or the transfer of technology from domestic and foreign sources to produce national products within the framework of the approved National Product Development Program Outline.

2. The procedures and formalities for investment in National Product Development Investment Projects shall be carried out in accordance with the Law on Investment, the Law on Public Investment, and other related legal documents.

3. The scientific basis evaluation, technical assessment, and technical appraisal of National Product Development Investment Projects shall be conducted in accordance with the provisions of the Law on Technology Transfer and other related legal documents.

4. The content of requests for financial support from state budget funds for scientific and technological activities for tasks within National Product Development Investment Projects shall not overlap with the contents of national product development scientific and technological projects or other scientific and technological tasks that have already been supported from the state budget.

Article 5. Registration Application Documents

1. The Leading Organization of the National Product Development Investment Project shall prepare the registration application documents in accordance with Clause 2 of this Article and submit them to the competent authority for review, assessment, and approval of financial support from state budget funds before proceeding with investment procedures.

2. The registration application documents shall include the following materials:

a) One Application Form of the Leading Organization of the National Product Development Investment Project according to Model A1-ĐK-DAĐT-SPQG specified in Appendix I of this Circular;

b) One original Detailed Description of the National Product Development Investment Project according to Model A2-TMDA-DAĐT-SPQG and one original Detailed Description of Tasks within the National Product Development Investment Project according to Model A3-TMNV-DAĐT-SPQG specified in Appendix I of this Circular;

c) Feasibility study report or economic-technical report of the National Product Development Investment Project and related legal documents (if applicable);

d) Report on the results of scientific basis evaluation, technical assessment, and technical appraisal of the project in accordance with the Law on Technology Transfer and other related legal documents;

đ) Certified copy of one of the following documents: Decision on Establishment, Certificate of Registration for Scientific and Technological Activities, document registering production and business activities of the Leading Organization of the National Product Development Investment Project;

e) One Summary Report on Scientific and Technological Activities and Production and Business Operations of the Leading Organization of the National Product Development Investment Project.

3. Submission of Documents: The Leading Organization of the National Product Development Investment Project shall directly send one original set of documents (with stamps and signatures) bound into one volume, presented and printed on A4 size paper using Vietnamese font from the Unicode character set according to Vietnam Standard TCVN 6909:2001, font size 13 or 14, and one electronic version (in PDF format without security settings) of the documents specified in Clause 2 of this Article.

Documents included in the set shall be packed in a sealed envelope marked with the following information:

a) Name of the Set: Registration Application Set for National Product Development Investment Project;

b) Address for Receiving the Set: Name and address of the Management Authority of National Product Development Programs;

c) Name of the National Product Development Investment Project;

d) Name and address of the Leading Organization of the National Product Development Investment Project;

đ) List of full names of the Project Director and Heads of Tasks within the National Product Development Investment Project;

e) List of documents included in the set.

Article 6. Receiving and Processing Registration Files for Review

1. The Managing Authority of SPQG shall receive registration files for review from organizations leading the Investment Projects on SPQG and hand them over to the SPQG Management Unit for handling. Within 10 working days, the SPQG Management Unit shall take the lead and coordinate with relevant units to open, check the completeness and validity of the files in the presence of representatives of the organizations leading the Investment Projects on SPQG.

2. For files that do not meet the requirements stipulated in Article 5 of this Circular, the SPQG Management Unit shall notify in writing to the organizations leading the Investment Projects on SPQG about the content requiring additional or replacement documents within the latest three working days after opening the files and specify the deadline for submission.

3. The SPQG Management Unit shall take the lead and coordinate with relevant units based on the provisions of the Circular guiding the management of the Program for Developing SPQG until 2020 issued by the Ministry of Science and Technology, the Framework Plan for Developing SPQG, and other related documents to examine and select files meeting the requirements to build a preliminary list of Investment Projects on SPQG and tasks under such projects to be submitted to the review board according to Model A4-DMSB-DAĐT-SPQG prescribed in Appendix I of this Circular, and submit it to the head of the Managing Authority of SPQG for decision.

Article 7. Review Board

1. Organization of the Review Board

a) The Review Board shall be established by the head of the Managing Authority of SPQG based on the proposal of the SPQG Management Unit. The Board shall have the responsibility to advise on reviewing the registration files of Investment Projects on SPQG and tasks under such projects.

b) The Board shall consist of nine members, including: chairman; vice-chairman; secretary of the Board; two reviewers for each task; and other members who are scientific experts, managers, economic experts, among which one member is a representative of the SPQG Management Unit. Individuals belonging to the organization leading or participating in the implementation of the Investment Project on SPQG shall not be members of the Board.

In special cases where there is a need to change the number of members and the structure of the Board, the head of the Managing Authority of SPQG shall consider and decide.

c) Administrative secretaries of the Board: one person from the SPQG Management Unit and one person from the SPQG Financial Management Unit.

d) The SPQG Management Unit shall be responsible for organizing meetings of the Board. The meeting time of the Board shall not exceed 15 working days from the date of receiving complete and valid files. The meeting expenses of the Board shall be taken from the state budget allocated for the common activities of the Program for Developing SPQG until 2020 distributed to the Office of National Science and Technology Programs (for SPQGs managed by the Ministry of Science and Technology) or the Financial Management Unit (for SPQGs managed by ministries and sectors).

2. Invited delegates to attend the meeting of the Board include: representatives of the organizations leading the Investment Projects on SPQG, directors of Investment Projects on SPQG, task leaders; representatives of the Program Steering Committee; representatives of the Department of Science and Technology of the Ministry of Science and Technology (for SPQGs managed by ministries and sectors).

3. If necessary, the SPQG Management Unit may request the Managing Authority of SPQG to seek independent expert opinions to evaluate the registration files of Investment Projects on SPQG after the meeting of the Board.

Article 8. Procedure and content of work of the examination council

1. Sending registration dossier for examination and related documents to council members:

a) At least five working days before the first meeting of the council, the State Program Management Unit shall prepare and send to each council member one copy of the following: the registration dossier for examination as prescribed in Clause 2, Article 5 of this Circular; preliminary list of investment projects under the State Program; decision on establishment of the council; evaluation forms for the investment project registration dossier and for the project task description according to Form A5-PNXHS-DAĐT-SPQG, A6-PNXNV-DAĐT-SPQG as prescribed in Appendix I of this Circular.

b) Council members shall carefully review the registration dossier for examination and related documents, and record their evaluations on the evaluation forms to be submitted to the administrative secretary prior to the council meeting.

2. Procedure and content of work of the examination council:

a) The representative of the State Program Management Unit (administrative secretary) shall declare the purpose of the meeting, read out the decision on establishment of the council, introduce the council members and attendees; the representative of the State Program’s supervising agency shall make a statement, outline requirements and main contents regarding the examination of the investment project registration dossier and project tasks;

b) The council shall discuss and agree on working principles and elect a council secretary;

c) The Director of the investment project shall report briefly to the council on the project description and project tasks, answer questions from council members (if any), and then leave the meeting;

d) Reviewing members and council members shall present their evaluations and assessments of the investment project registration dossier and project task descriptions according to the criteria specified in the evaluation forms for the investment project registration dossier and project task descriptions; the council secretary shall read out the opinions of absent members (if any) for the council's consideration and reference;

đ) The council shall discuss, analyze, and evaluate the necessity of the investment project under the State Program; its suitability and compliance with the criteria stipulated in Decision No. 2441/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the State Program Development Plan until 2020 and the Circular guiding management of the State Program Development Plan until 2020 issued by the Ministry of Science and Technology; its consistency with the framework proposal for State Program development;

e) The council shall discuss and assess the investment project registration dossier and project task descriptions according to the specified criteria. During the discussion, the council may ask questions to reviewing members and council members about their evaluations;

g) The council shall independently score the investment project registration dossier and project task descriptions according to the evaluation criteria recorded in the evaluation forms for the investment project registration dossier and project task descriptions according to Form A7-PĐGHS-DAĐT-SPQG, A8-PĐGNV-DAĐT-SPQG as prescribed in Appendix I of this Circular, and vote secretly;

h) The council shall elect a ballot counting board consisting of three council members, including the head of the board and two members;

i) The ballot counting board shall compile the voting results of council members according to Form A9-BBKPHS-DAĐT-SPQG, Form A10-BBKPNV-DAĐT-SPQG as prescribed in Appendix I of this Circular;

k) The council shall publicly announce the scoring results and approve the minutes of the examination council meeting, the list of project tasks under the investment project proposed for support by the council, and recommendations for additional or improved information in the investment project registration dossier and project task descriptions;

l) An investment project proposed for financial support from the state budget for science and technology affairs must receive at least two-thirds of the votes of the attending council members rating it as "Meeting Requirements." Project tasks proposed for financial support from the state budget for science and technology affairs must receive at least two-thirds of the votes of the attending council members rating them as "Proposed for Support." Evaluation forms of absent members will be announced at the meeting but not counted in the meeting's voting results. For an investment project not recommended for financial support from the state budget for science and technology affairs by the council, the State Program Management Unit shall report to the head of the supervising agency for the project to notify the project's leading organization in writing;

m) The scientific secretary shall complete the minutes of the examination council meeting and the list of project tasks under the investment project proposed for financial support from the state budget for science and technology affairs according to Form A11-BBHĐ-DAĐT-SPQG, A12-DMNV-DAĐT-SPQG as prescribed in Appendix I of this Circular.

Article 9. Handling the Review Results

1. Based on the review results of the council and the report of the independent consultant (if any), the SPQG Management Unit shall compile a list of tasks under the SPQG Investment Project that are proposed to be supported with state budget funds for scientific and technological activities according to Model A13-THDM-DAĐT-SPQG as stipulated in Appendix I of this Circular to report to the head of the SPQG Managing Authority.

2. The SPQG Management Unit shall notify the organization responsible for the SPQG Investment Project about the review results and the council's recommendations to perfect the appraisal dossier.

3. For tasks under the SPQG Investment Project that are agreed upon by the head of the SPQG Managing Authority to propose support, the SPQG Managing Authority shall send a letter along with the dossier prescribed in Article 10 of this Circular to the Ministry of Science and Technology for appraisal.

Chapter III

APPRAISAL OF TASKS UNDER THE SPQG INVESTMENT PROJECT

Article 10. Appraisal Dossier

1. The appraisal dossier includes the following documents:

a) A certified copy of at least one of the following documents: Decision on Establishment, Certificate of Registration for Scientific and Technological Activities, registration documents for production and business operations of the organization responsible for the SPQG Investment Project;

b) The original Detailed Description of the SPQG Investment Project according to Model A2-TMDA-DAĐT-SPQG and the original Detailed Descriptions of tasks under the SPQG Investment Project according to Model A3-TMNV-DAĐT-SPQG as stipulated in Appendix I of this Circular, which have been completed after the review; an explanation from the organization responsible for the SPQG Investment Project regarding the revised contents attached to the descriptions and detailed budget estimates;

c) The original financial mobilization plan to meet the requirements set forth in Article 4 of Joint Circular No. 218/2012/TTLT-BTC-BKHCN dated December 20, 2012 of the Ministry of Finance and the Ministry of Science and Technology on financial management for implementing the National Product Development Program until 2020;

d) A copy of the list of regulations, norms, and related documents used to prepare the budget estimate; quotations for raw materials, equipment, technology licenses, contracts for hiring experts, and other related quotations;

đ) A copy of the opinion of the independent consultant (if any);

e) The original minutes of the review council meeting.

2. Submission of the Appraisal Dossier and preparation before the council meeting

a) The organization responsible for the SPQG Investment Project shall prepare the documents specified in points a, b, c, and d of Clause 1 of this Article and submit them to the SPQG Management Unit.

b) The SPQG Management Unit shall check the completeness and validity of the documents provided by the organization responsible for the SPQG Investment Project. In case the dossier is incomplete or invalid, the SPQG Management Unit shall notify the organization responsible for the SPQG Investment Project about the required supplementary or replacement documents and specify the deadline for submission. The SPQG Management Unit shall prepare the documents specified in points đ and e of Clause 1 of this Article and transfer the appraisal dossier to the Department of Science and Technology of Economic and Technical Industries of the Ministry of Science and Technology to establish the appraisal council.

c) The Department of Science and Technology of Economic and Technical Industries shall send a copy of the appraisal dossier, the appraisal form according to Model B1-PTĐHS-DAĐT-SPQG, B2-PTĐNV-DAĐT-SPQG as stipulated in Appendix II of this Circular, the original decision on establishment of the appraisal council, and the meeting invitation with the schedule to the members of the appraisal council at least five working days before the meeting.

d) Members of the council shall carefully study the appraisal dossier and related documents, record their comments on the appraisal forms, and send them to the administrative secretary before the council meeting.

Article 11. Appraisal Board

1. The appraisal council shall be established by the Minister of Science and Technology based on the proposal of the Department of Science and Technology of Economic and Technical Industries. The council shall be responsible for appraising the SPQG Investment Project dossier, the content and funding for tasks under the SPQG Investment Project to advise the Minister of Science and Technology on approval.

2. The council consists of five members:

a) The Chairperson is the leader of the Department of Science and Technology of Economic and Technical Industries;

b) One Vice-Chairperson is the leader of the Financial Management Unit;

c) Three members include: one member who is the chairperson or vice-chairperson of the review council, one member who is a technology expert, and one member who is an economic expert.

3. The council secretary is a staff member of the Department of Science and Technology of Economic and Technical Industries; the administrative secretary assisting the council is a staff member (officer) of the Office of National Science and Technology Programs.

4. Invited representatives attending the council meeting include: representatives of the program steering committee, representatives of the Planning and Consolidation Department; representatives of the Office of National Science and Technology Programs, representatives of the SPQG Management Unit (for SPQGs managed by ministries and sectors); representatives of the organization responsible for the SPQG Investment Project, the director of the SPQG Investment Project, and the head of tasks under the SPQG Investment Project.

5. The Office of National Science and Technology Programs shall organize council meetings. The council meeting shall not exceed fifteen working days after the decision to establish the appraisal council is issued. The council meeting expenses shall be taken from the state budget allocated for the common activities of the Program managed by the Office of National Science and Technology Programs.

Article 12. Content of Review

1. Review of the dossier: Examine and review the completeness, legality, and level of completion of the dossier; the appropriateness of the SPQG Investment Project with the National Product Development Program and the Framework Plan for Developing SPQG; the progress of implementing the SPQG Investment Project and the tasks within the SPQG Investment Project.

2. Review of content: Review the completeness and appropriateness of the content of the Explanation on the SPQG Investment Project and the Explanation on the tasks within the SPQG Investment Project with the conclusion of the examination council; determine the contents of the tasks within the SPQG Investment Project that will be supported financially from the state budget for science and technology affairs.

3. Financial review: Examine and evaluate the accuracy and reasonableness of the financial estimate, the legality and feasibility of the plan to mobilize financial resources; determine the items of expenditure and the level of support according to Circular Joint No. 218/2012/TTLT-BTC-BKHCN.

Article 13. Procedure and Content of Work of the Review Council

1. The Chairman of the Council shall chair the sessions of the Council in the following sequence:

a) The Director of the SPQG Investment Project, the head of the task, or the representative of the main organizing body reports and explains the completed dossier and explanations;

b) Members provide comments on the review of the dossier of the SPQG Investment Project and the content and finance of the tasks within the SPQG Investment Project;

c) The Council secretary reads the opinions of independent reviewers (if any);

d) Members of the Council provide comments on the review of the dossier of the SPQG Investment Project and the content and finance of the tasks within the SPQG Investment Project;

đ) The Director of the SPQG Investment Project, the head of the task, or the representative of the main organizing body of the SPQG Investment Project answers questions from the Council and attending delegates;

e) The Council discusses separately (without the presence of the main organizing body of the SPQG Investment Project and invited delegates); the Council reaches a consensus on the review conclusions regarding the dossier of the SPQG Investment Project, the content and finance of the tasks within the SPQG Investment Project; the Council approves the plan to mobilize financial sources;

g) The Council secretary is responsible for recording the statements of Council members and attending delegates; collecting review ballots from Council members; drafting the minutes of the Council meeting according to Model B3-BBTĐHS-DAĐT-SPQG, B4-BBTĐNV-DAĐT-SPQG stipulated in Appendix II of this Circular;

h) The Chairman of the Council announces the Council's review conclusions.

2. The Chairman of the Council is responsible for reporting in writing to the Minister of Science and Technology and proposing solutions for issues exceeding the Council's authority arising during the review process for the Minister of Science and Technology to consider and decide in the following cases:

a) A Council member disagrees with the overall conclusion of the review Council and requests to retain their opinion;

b) Due to transferred technology or content, support levels having special factors beyond the Council's ability to consider.

3. If necessary, the Minister of Science and Technology may seek additional opinions from independent consulting experts.

Chapter IV

APPROVAL OF TASKS WITHIN THE SPQG INVESTMENT PROJECT

Article 14. Approval Procedure

1. The dossier for approval includes:

a) One original copy of the Explanation on the SPQG Investment Project completed after review;

b) One original copy of the decision establishing the examination council;

c) One original copy of the minutes of the examination council meeting;

d) One original copy of the decision establishing the review council;

đ) One original copy of the minutes of the review council meeting on the SPQG Investment Project dossier and the original copies of the minutes of the review council meetings on the tasks within the SPQG Investment Project;

e) One original copy of the plan to mobilize financial resources to implement the tasks within the SPQG Investment Project approved by the review council;

g) Document containing the opinion of the independent consultant reviewer (if any).

2. Approval Procedure

a) The Department of Science and Technology of the economic-technical sectors takes the lead, coordinating with the SPQG Management Unit (of the Ministry) and the main organizing body of the SPQG Investment Project to review and complete the project dossier for approval according to the provisions of Clause 1 of this Article and draft the approval decision according to Model B5-QĐPD-DAĐT-SPQG stipulated in Appendix II of this Circular.

b) The Department of Planning and Synthesis takes the lead, coordinating with the Department of Science and Technology of the economic-technical sectors to submit to the Minister of Science and Technology for approval.

Article 15. Approval of tasks supported from the state budget for science and technology affairs under the Strategic Product Investment Project

1. The Minister of Science and Technology shall examine and approve tasks supported from the state budget for science and technology affairs under the Strategic Product Investment Project.

The approval decision shall be used instead of the document approving the use of state budget funds for science and technology affairs of the Strategic Product Investment Project to proceed with investment procedures in accordance with the Investment Law and the Public Investment Law.

2. After issuing the approval decision, the Department of Science and Technology of economic and technical sectors shall be responsible for transferring the original files and all main documents during the examination, evaluation, and approval of tasks under the Strategic Product Investment Project for national products managed by the Ministry of Science and Technology to the National Science and Technology Program Office under the Ministry of Science and Technology, and transferring all main documents during the evaluation and approval of tasks under the Strategic Product Investment Project for national products managed by the sector ministries to the Strategic Product Investment Project Management Unit (of the sector ministry).

Chapter V

IMPLEMENTING PROVISIONS

Article 16. Implementation Provisions

This Circular takes effect from December 1, 2014.

Article 17. Responsibility for Implementation

1. Agencies, organizations, and individuals related to the management and implementation of the National Product Development Program until 2020 shall organize implementation based on the guidance of this Circular.

2. The Strategic Product Investment Project Management Units of the sector ministries and the National Science and Technology Program Offices under the Ministry of Science and Technology shall be responsible for managing all original files and main documents during the examination, evaluation, and approval of tasks under the Strategic Product Investment Project for national products within their jurisdiction./.