Circular No. 31/2012/TT-BKHCN guides the determination of projects, selection, and direct assignment to organizations, individuals, and enterprises to implement projects under the High-Tech Research, Training, and Infrastructure Construction Program.

CIRCULAR

Guidelines for identifying projects, selecting, and directly assigning organizations, individuals,

enterprises to implement projects under the Research, Training

and Construction of High-Tech Infrastructure Program

 

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

Pursuant to the High Technology Law dated November 13, 2008;

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. 2457/QĐ-TTg dated December 31, 2010 of the Prime Minister approving the National Program on High-Tech Development until 2020;

Pursuant to Circular No. 02/2012/TT-BKHCN dated January 18, 2012 of the Minister of Science and Technology guiding the management of the National Program on High-Tech Development until 2020;

Considering the proposal of the Director of the High Technology Department;

The Minister of Science and Technology guides the identification of projects, selection, and direct assignment of organizations, individuals, and enterprises to implement projects under the Research, Training, and Construction of High-Tech Infrastructure Program as follows:

Article 1. Scope and objects regulated

This Circular guides the identification of projects, selection, and direct assignment of organizations, individuals, and enterprises to implement projects under the Research, Training, and Construction of High-Tech Infrastructure Program (hereinafter referred to as the Program), including: high-tech development projects, high-tech application projects, high-tech infrastructure construction and development projects, high-tech human resource development projects (hereinafter referred to as projects); applicable to organizations, individuals, and enterprises participating in implementing and managing the Program.

Article 2. Project Proposal, Order Project Proposal

1. Project Proposal

a) Basis for project proposal:

- In accordance with the objectives, contents, tasks of the Program;

- In accordance with strategies, plans, resolutions, programs, projects, and proposals already approved by the Government, the Prime Minister, Ministries, sectors, localities, corporations, and state-owned enterprises;

- Urgent requirements of Party and State leaders, Ministries, sectors, and localities;

- Market needs.

b) Based on the provisions at point a, Clause 1 of this Article, organizations and enterprises shall make project proposals.

2. Order Project Proposal

Heads of Ministries, agencies equivalent to Ministries, agencies under the Government, People's Committees of provinces and centrally-administered cities; Party committees; central-level political-social organizations, social organizations, social-professional organizations; state-owned corporations and holding companies shall base their order project proposals on the provisions at point a, Clause 1 of this Article and the requirements of their respective agencies.

3. Principles for Project Proposals and Order Project Proposals

a) Ministries, agencies equivalent to Ministries, agencies under the Government, People's Committees of provinces and centrally-administered cities; Party committees; central-level political-social organizations, social organizations, social-professional organizations; state-owned corporations and holding companies (hereinafter referred to as Ministries, sectors, and localities) shall guide, collect, and provide opinions on project proposals from organizations and enterprises under their jurisdictional management; order project proposals shall be submitted to the Ministry of Science and Technology;

b) For project proposals from organizations and enterprises not under the jurisdictional management of Ministries, sectors, and localities as stipulated in point a of this clause, the Ministry of Science and Technology shall guide, collect, and provide opinions on these project proposals.

The Ministry of Science and Technology shall organize research, identify, and search for highly feasible projects to propose orders;

c) The Ministry of Science and Technology shall compile project proposals and order project proposals.

Article 3. General requirements for projects

1. Have objectives, contents, and expected products that are consistent with the requirements stipulated in the Program.

2. Meet the criteria specified in Circular No. 02/2012/TT-BKHCN dated January 18, 2012, issued by the Minister of Science and Technology guiding the management of the National Program on High-Tech Development until 2020.

3. Not overlap in content with scientific and technological tasks that have been and are being implemented.

4. Possess the ability to mobilize resources from enterprises, scientific and technological organizations, domestic and foreign scientists to participate in implementation.

5. Impact the development of industries, fields, and economic regions.

6. The implementation time must be appropriate for each project's requirements. In special cases, this shall be decided by the Minister of Science and Technology.

Article 4. Principles for determining projects

1. The Steering Committee for Research, Training, and Construction of High-Tech Infrastructure (hereinafter referred to as the Steering Committee) assists the Minister of Science and Technology:

a) Organizing the construction and review of the project list;

b) Reviewing the project list to issue announcements for selection and direct assignment;

c) Organizing the review of project content and implementation costs to submit to the Minister of Science and Technology for consideration and decision.

2. Projects in the announced selection and direct assignment list will be determined with their names, objectives, and product requirements.

3. The procedures for determining projects in the list are stipulated in Articles 5, 6, 7, and 8 of this Circular.

Article 5. Procedures for Proposing Projects and Ordering Projects

1. Ministries, sectors, and localities organize guidance for organizations and enterprises under their management to propose projects and order projects within the Program (Form A1-1) according to the guidelines of the Ministry of Science and Technology and the provisions of this Circular.

2. Annually, quarterly, and monthly, ministries, sectors, and localities compile the list of proposed projects and ordered projects (accompanied by proposal forms for each project), and at the same time, ministries, sectors, and localities must provide opinions on the project proposals of organizations and enterprises (Form A1-2), and send them to the Office of the National Program on High-Tech Development, Ministry of Science and Technology, 39 Tran Hung Dao Street, Hoan Kiem District, Hanoi.

3. Ministries, sectors, and localities are responsible for receiving and applying the results if the project proposals of organizations and enterprises; and the project ordering proposals of ministries, sectors, and localities are accepted.

4. The Steering Committee organizes research, discovery, and search for high-potential projects for the Ministry of Science and Technology to order projects.

5. Based on the objectives, contents, and products that are consistent with the requirements stipulated in the Program, the Steering Committee selects and compiles the list of proposed projects and ordered projects from ministries, sectors, and localities.

Article 6. Building the Project List

1. The Steering Committee organizes the construction of the project list:

a) Based on the list of proposed projects and ordered projects from ministries, sectors, and localities, and the provisions of Clause 3 of this Circular, the Steering Committee leads the organization of the project list construction;

The Steering Committee organizes expert groups (each group consisting of 05 to 07 members) including scientists, experts in specialized fields, economic experts, financial experts. When necessary, the Steering Committee seeks opinions from independent consulting experts both domestically and internationally (hereinafter referred to as independent consulting experts) to build the project list. Priority is given to selecting project ordering proposals from ministries, sectors, and localities;

b) Based on the specific conditions of the projects, the Steering Committee recommends the form of selecting organizations, individuals, and enterprises through selection or direct assignment;

c) The working results of the Steering Committee and expert groups are recorded in minutes and consolidated reports;

d) The Steering Committee reports to the Minister of Science and Technology about the working results of the expert groups and the opinions of independent consulting experts. If necessary, the Steering Committee recommends the Minister of Science and Technology to seek opinions from relevant ministries, sectors, and localities regarding projects in the list.

2. For cases where the proposed project list and ordered project list have large scale and complex nature, the Steering Committee submits to the Minister of Science and Technology for the establishment of an advisory council to determine the project list (hereinafter referred to as the advisory council); hiring independent consulting experts (if necessary).

The advisory council consists of 07 to 09 members including scientists, experts in specialized fields, economic experts, financial experts, reputable managers with appropriate professional qualifications and practical experience in related fields.

The Steering Committee proposes independent consulting experts who meet the required qualifications and submits them to the Minister of Science and Technology for consideration and decision.

If necessary, the Steering Committee recommends the Minister of Science and Technology to seek opinions from relevant ministries, sectors, and localities regarding projects in the list.

Article 7. Meetings of the Advisory Board and Independent Consultant Research Reports

1. The National High-Tech Development Program Office (hereinafter referred to as the Program Office) shall send materials to members of the Advisory Board at least five working days before the meeting of the Advisory Board, and to independent consultants at least ten working days before the submission of their research reports. The materials include:

a) The contents of the Program;

b) A list of proposed projects and large-scale and complex project procurement proposals;

c) Other related documents.

2. The meetings of the Advisory Board and the independent consultant research reports shall focus on analyzing the projects in the list regarding the following issues:

a) The alignment of the project with the objectives and contents of the Program and the National High-Tech Development Program until 2020;

b) Compliance with the requirements stipulated in Clause 2 of this Circular;

c) Alignment with the orientation and objectives of the Program;

d) The appropriateness of the method for selecting organizations, individuals, or enterprises to implement the project;

đ) Some related issues concerning the project including: objectives, scale, location; main content and tasks; results created from the project; market, feasibility, and socio-economic efficiency; estimated total implementation costs; financial capacity, sources, and forms of capital provision; implementation solutions; start and end times; expected beneficiaries and use of project outcomes.

3. Organizing the meeting of the Advisory Board:

a) The meeting of the Advisory Board must have at least two-thirds of its members present, including the chairman or vice-chairman. The chairman shall chair the meeting of the Advisory Board. In the absence of the chairman, the vice-chairman shall chair the meeting;

b) Each project in the list must have at least two members providing counterarguments. The Advisory Board shall unify the working methods and appoint one member as secretary;

c) Members of the Advisory Board shall discuss the requirements as stipulated in Clause 2 of Article 7 and comment on the project (Form A2-1). The Advisory Board shall elect a ballot counting committee consisting of three members, including one head. The voting results shall be recorded in the minutes (Form A2-2);

d) Projects proposed by the Advisory Board to be included in the implementation list must receive at least two-thirds of the members present (and more than half of the total number of members according to the establishment decision) to agree by vote;

đ) The Board shall discuss and approve recommendations on the method of selection or direct assignment for the project;

e) The chairman and secretary of the Advisory Board shall be responsible for signing the meeting minutes (Form A2-3), along with the list of projects approved by the Advisory Board;

Article 8. Approval of the Project List

Based on the results of working with the expert group, the conclusions of the Advisory Board's meeting, and the independent consultant research report, the Steering Committee shall compile the project list, submit it to the Minister of Science and Technology for review and approval of the project list to be selected or directly assigned to organizations, individuals, or enterprises to implement.

Article 9. Selection and Direct Assignment to Organizations, Individuals, or Enterprises

1. Selection is the process of choosing organizations, individuals, or enterprises with capability and experience to implement the project based on state procurement through reviewing and evaluating application documents. Selection is applied to projects where multiple organizations or individuals have the ability to participate in order to achieve the highest effectiveness.

2. Direct assignment is the designation of organizations, individuals, or enterprises with capability, integrity, conditions, and appropriate expertise to implement special projects based on state procurement. Direct assignment is applied in one of the following cases:

a) Projects related to state secrets, national security, and defense;

b) Urgent projects serving economic and social development and ensuring social welfare;

c) Projects where the content of expenditure can only be implemented by one organization or individual with the necessary expertise and equipment;

d) Projects as prescribed by competent authorities.

Article 10. Conditions for participation in selection and direct assignment

1. The conditions for organizations, individuals, and enterprises to participate in selection and direct assignment to implement projects shall be applied according to the provisions of Article 4 of Circular No. 08/2012/TT-BKHCN dated April 2, 2012, issued by the Minister of Science and Technology on the selection and direct assignment of organizations and individuals to lead the implementation of scientific research and technological development topics and national-level experimental production projects.

2. The Office of the Program shall organize inspections and confirm the conditions for participation in selection and direct assignment of organizations, individuals, and enterprises in accordance with the regulations.

Article 11. Documents for registration to participate in selection and direct assignment

1. Application documents for selection and direct assignment include the following documents:

a) Application form for participating in project implementation;

b) Project description according to the model of the Ministry of Science and Technology (Form A3-1; Form A3-2; Form A3-3a,b,c,d,đ,e,g; Form A3-4a,b,c,d,đ,e);

c) Summary of scientific and technological activities of the organization, individual, enterprise (confirmed by participating members);

d) Legal documents confirming the agreement of organizations registered to cooperate in implementing the project;

đ) Legal commitment documents and explanations regarding the ability to mobilize financial resources to implement the project;

e) Supplementary documents: business plan, feasibility study report, project management capability report, and other relevant documents (if any).

2. The application package for participation in selection and direct assignment includes one original set (with stamps and direct signatures) presented and printed on A4 paper using Unicode Vietnamese font according to Vietnam Standard TCVN 6909:2001, font size 14, and one electronic copy of the application package recorded on a CD (in PDF format, without password protection), sealed in an envelope marked clearly as follows:

a) Name of the project applying for selection and direct assignment along with the program code;

b) Name and address of the organization, individual, enterprise applying for selection and direct assignment and the organization participating in cooperation to implement the project;

c) Full name and workplace of the project leader and list of key participants in the project implementation;

d) List of documents included in the registration package.

3. The application package for participation in selection and direct assignment shall be submitted directly or sent via postal service to the Program Office, Ministry of Science and Technology.

4. The Program Office shall organize the opening of applications, inspect, and confirm the validity of the applications and notify the organizations, individuals, and enterprises participating.

Article 12. Examination and approval of application packages for participation in selection and direct assignment

1. Based on the specific nature of the project, the Steering Committee will consider and submit to the Minister of Science and Technology for decision to establish a science and technology advisory council for selection and direct assignment (hereinafter referred to as the science and technology council); hire independent experts meeting the required qualifications (if necessary) to examine application packages for participation in selection and direct assignment by organizations, individuals, and enterprises to implement.

The science and technology council and independent experts have the responsibility to keep confidential information related to the evaluation process for selection and direct assignment.

2. The Program Office shall send materials to the members of the science and technology council at least five working days before the council's meeting, and to independent experts at least ten working days before the submission of the independent expert's research report. Materials include:

a) Decision on the establishment of the science and technology council and attached list, Decision on selecting independent experts;

b) Extract from the approved project list;

c) A copy of the original registration file or electronic version of the registration file for participation in selection or direct assignment;

d) Other related materials.

3. The selection and direct assignment application packages shall be evaluated by the science and technology council and independent experts based on the following contents:

a) Overall assessment of the project;

b) Urgency and feasibility of the project;

c) Objectives and content of the project consistent with requirements;

d) Implementation solutions for the project;

đ) Project outcomes;

e) Project effectiveness;

g) Project implementation capacity.

4. The Steering Committee organizes meetings of the science and technology council with seven to nine members, including the chairman, vice-chairman, two opposing members, and other members. Members of the science and technology council include scientists, subject matter experts, economic experts, financial experts, reputable managers with appropriate expertise and practical experience in the relevant field. Depending on the scale, complexity, and funding sources of the project, representatives from the Ministry of Finance, the Ministry of Planning and Investment, relevant ministries, sectors, and localities may attend the council's meetings. Each science and technology council can advise on one or several projects (in cases where projects are in the same field) and operate according to Articles 13 and 14 of this Circular.

Article 13. Principles of Work of the Science and Technology Council

1. The meeting of the Science and Technology Council must have at least two-thirds of the members of the Science and Technology Council present, including the chairman or vice-chairman, and two reviewing members.

2. The chairman presides over meetings; appoints one member to be the secretary of the council. In the absence of the chairman, the vice-chairman presides over the meeting.

3. Members of the Science and Technology Council evaluate honestly, objectively, and fairly; bear individual responsibility for their evaluation results and collective responsibility for the council's final conclusion.

Article 14. Content of Work of the Science and Technology Council

1. The Science and Technology Council discusses and evaluates each file according to the prescribed contents (Form A4-1).

2. The Science and Technology Council elects a ballot committee consisting of three members, including one head. The Science and Technology Council votes to evaluate each file.

3. The Science and Technology Council approves the voting results (Form A4-2), recommends organizations, individuals, or enterprises that have been selected or directly assigned to lead the project to supplement or modify (if necessary) the project description, project products, and recommendations regarding the budget for implementing the project.

4. The chairman and secretary of the Science and Technology Council are responsible for signing the minutes of the council meeting (Form A4-3).

Article 15. Approval of Results

On the basis of the conclusions of the Science and Technology Council, the research report of the independent consultant, the Research Management Board shall submit to the Minister of Science and Technology for consideration and decision on the organization, individual, or enterprise to implement the project.

In case of necessity, the Management Board organizes on-site inspections of the material and technical facilities, human resources, and financial capacity of the organization, individual, or enterprise recommended to lead the implementation of the project.

For files with inconsistent evaluation results, the Management Board reports to the Minister of Science and Technology for consideration and decision on whether to request the Science and Technology Council to review again or organize a new Science and Technology Council to provide consulting evaluations, and hire independent consultants.

2. The organization, individual, or enterprise leading the project has the responsibility to revise and complete the file according to the conclusions of the Science and Technology Council and submit it to the Program Office within fifteen working days from the date of receiving the notification of the selection result or direct assignment for content and budget verification, serving as the basis for arranging the implementation plan.

Article 16. Retention of Original Files

Within one year from the date the Minister of Science and Technology signs the decision approving the organization, individual, or enterprise to lead the implementation of the project, the Management Board is responsible for submitting the original file set (including non-selected files) for retention at the Ministry of Science and Technology.

Article 17. Basis and Project Verification Documents

1. Basis for verification:

a) Decision of the Minister of Science and Technology approving the list of projects for selection and direct assignment;

b) Minutes of the Science and Technology Council meeting, research report of the independent consultant;

c) Decision of the Minister of Science and Technology approving the organization, individual, or enterprise to implement the project;

d) Regulations and standards for establishing budgets, current economic and technical norms (if applicable), and other related documents.

2. Verification documents:

a) Decisions and documents mentioned in point a, b, and c of Clause 1 of this Article;

b) Revised and completed project description and explanatory documents of the selected organization, individual, or enterprise confirmed by the Management Board;

c) Quotation of raw materials, machinery, and equipment for establishing the project budget (within thirty days from the submission deadline).

Article 18. Reviewing Content, Budget, and Signing Contracts

1. The Steering Board shall submit to the Minister of Science and Technology for a decision to establish a review team to review the project; hire independent consultants (if necessary).

2. The review team shall have at least five to seven members, including: a team leader who is a representative of the Steering Board, several deputy team leaders, and members who are experts in relevant technology fields, economic experts, financial experts, enterprises, managers with appropriate professional qualifications and practical experience in related fields. Depending on the scale, complexity, and source of funds for the project implementation, representatives from the Ministry of Finance, relevant ministries, sectors, and localities, and functional departments managing finance and specialized management of the Ministry of Science and Technology may attend the review meeting.

3. The Steering Board shall propose independent consultants who meet the conditions for project review capacity, submit to the Minister of Science and Technology for consideration and decision.

4. The Program Office shall send documents to the review team members at least five working days before the review team meeting, and to independent consultants at least ten working days before the submission of the consultant's research report. Documents include:

a) Decision of the Minister of Science and Technology on establishing the review team, Decision on selecting independent consultants;

b) Project evaluation form (Form A5-1);

c) Documentation for review.

5. The content review of projects shall be based on reviewing the provisions stipulated in this Circular, Circular No. 02/2012/TT-BKHCN dated January 18, 2012, issued by the Minister of Science and Technology guiding the management of the National Program for High-Tech Development until 2020, and other related documents.

Financial review of projects shall be based on reviewing the provisions stipulated in Joint Circular No. 219/2012/TTLT-BTC-BKHCN dated December 20, 2012, issued by the Ministers of Finance and Science and Technology regarding financial management of the National Program for High-Tech Development until 2020, and other related documents.

6. The review team meeting must have at least two-thirds of the team members present, including the team leader and one deputy team leader. Team members and invited guests are responsible for keeping confidential information related to the review process.

7. Based on the results of the review team's work (Form A5-2) and the research report of the independent consultant, the Steering Board shall submit to the Minister of Science and Technology for consideration and decision to approve the project.

8. The approval decision for the project serves as the legal basis for signing contracts assigning the lead organization to implement the project. The Steering Board and the Program Office shall organize the signing of the contract and are responsible for implementing the contract according to regulations.

Article 19. Complaints and Accusations

1. Organizations, individuals, and enterprises have the right to file complaints and initiate lawsuits against administrative decisions and actions of competent authorities related to the selection and direct assignment of organizations, individuals, and enterprises to implement the project.

2. Citizens have the right to accuse violations of laws concerning the selection and direct assignment of organizations, individuals, and enterprises to implement the project.

3. Complaints and accusations and their resolution shall be carried out in accordance with the law.

Article 20. Implementation

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

1. This Circular takes effect from November 5, 2014.