Circular No. 37/2014/TT-BKHCN on the management of basic research topics funded by the National Research Development Fund

CIRCULAR

Regulations on managing basic research topicsHAPPY Funded by the National Research and Development Fund

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

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

Pursuant to Decree No. 23/2014/NĐ-CP dated April 3, 2014 of the Government on the Charter on organization and operation of the National Science and Technology Development Fund;

At the proposal of the Director of the National Research and Development Fund and the Head of the Legal Department;

The Minister of Science and Technology issues this Circular regulating the management of basic research topics funded by the National Research and Development Fund. This Circular regulates the management of basic research topics (hereinafter referred to as topics) funded by the National Research and Development Fund (hereinafter referred to as the Fund) in the fields of natural sciences and technology, and social sciences and humanities.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Thông tư này quy định chi tiết khoản 4 Điều 38 Luật Thủy sản số 18/2017/QH14 đã được sửa đổi, bổ sung tại điểm c khoản 21 Điều 14 Luật số 146/2025/QH15.

a) Scientific and technological organizations of Vietnam; foreign organizations operating in Vietnam with scientific research functions; foreign organizations participating in joint research with Vietnamese scientific and technological organizations (hereinafter referred to as scientific and technological organizations);

Thông tư này áp dụng đối với tổ chức, cá nhân có liên quan đến hoạt động kinh doanh đối tượng thủy sản nuôi chủ lực trên lãnh thổ Việt Nam.

b) Individual scientists who are Vietnamese citizens; foreign scientists participating in joint research with scientific and technological organizations and individual Vietnamese scientists;

c) State agencies, other organizations, and individuals related to the matter.

Field of natural sciences and technology

1. includes natural sciences; engineering and technology sciences; medical and agricultural sciences. Field of social sciences and humanities

2. includes social sciences and humanities. - The list of AHCI (Arts and Humanities Citation Index) or SSCI (Social Science Citation Index) of the International Institute for Science Information (United States);

b) For the field of social sciences and humanities, reputable international journals are those belonging to the following categories:

Reputable ISI Journals

- Scientific journals in the field of social sciences and humanities included in the Scopus database of Elsevier;

- International scientific journals in the field of social sciences and humanities decided by the Management Council of the Fund based on recommendations from sectoral and inter-sectoral Scientific Councils.

National reputable journals

b) For the field of social sciences and humanities, reputable ISI journals are those belonging to the AHCI (Arts and Humanities Citation Index) or SSCI (Social Science Citation Index) lists of the International Institute for Science Information (United States).

b) For the field of social sciences and humanities, reputable ISI journals are those belonging to the AHCI (Arts and Humanities Citation Index) or SSCI (Social Science Citation Index) categories of the International Institute for Scientific Information (United States).

Article 3. Objectives of Funding

1. Create a favorable research environment to promote basic scientific research in science and technology organizations in Vietnam.

2. Enhance research capacity, form strong research teams; contribute to training high-level human resources in science and technology.

3. Improve the quality of scientific research towards international standards.

4. Promote international cooperation and integration in scientific research.

The Fund considers funding basic research topics proposed by science and technology organizations and individual scientists that align with the basic research directions announced by the Fund, including:

1. Exploratory and discovery-oriented topics.

2. Topics aimed at developing research directions that have achieved initial results, and in-depth studies already conducted in Vietnam.

Article 5. International Cooperation in Research

The Fund implements international cooperation and integration activities in basic research through the following forms:

1. Short-term research collaboration abroad serving the research content of the topic (not exceeding six months).

Chapter II

PRINCIPLES OF EVALUATION, EVALUATING EXPERTS, AND THE SCIENCE AND TECHNOLOGY COUNCILSCIENCE AND TECHNOLOGY COUNCIL

Article 6. Principles of Evaluation and Selection, Assessment of Research Topic Results

The Fund conducts evaluation and selection, assessment of research topic results based on the following principles:

2. Evaluation based on documentation;

3. Ensuring objectivity, democracy, and equality;

4. Approaching international standards.

1. Evaluating experts are scientists invited by the Fund to provide consultation in evaluation and selection activities, and assessment of research topic results funded by the Fund. Evaluating experts must meet all of the following criteria:

a) Belong to the Fund's expert database;

b) Have relevant professional research results published in reputable international scientific journals (for natural sciences and engineering), or reputable international journals or monographs (for social sciences and humanities) within the last five years. In special cases, this is decided by the Chairman of the Fund Management Council;

c) Have conditions to participate in advisory work with high responsibility, honesty, and objectivity.

2. When necessary, the Fund invites foreign scientists, Vietnamese scientists residing abroad who are not in the Fund's expert database to serve as independent evaluating experts or join the Science Council established by the Fund to evaluate topics and advise on Fund activities.

Foreign experts and Vietnamese experts residing abroad participating in Fund activities must meet the criteria for selecting evaluating experts specified in points b and c of Clause 1 of this Article and enjoy benefits according to regulations.

3. Evaluating experts must have expertise relevant to the research content of the evaluated topic; be responsible for their advisory and evaluation opinions; keep confidential information related to the topic.

4. Evaluating experts shall not participate in evaluating topics they themselves have registered as principal investigators or participants, topics registered by the organization where they work as principal investigators, or topics with rights and interests related to them or other reasons affecting the objectivity of the evaluation results.

5. The Fund Management Agency builds and submits to the Fund Management Council for approval the Fund's expert database based on the criteria specified in points b and c of Clause 1 of this Article to serve the evaluation of topics.

1. The Scientific Council shall be established according to scientific fields or interdisciplinary fields by the Management Board of the Fund based on the proposal of the Fund Director to advise the Fund on the following issues:

a) Basic research directions funded by the Fund;

b) Evaluation and selection, assessment of the results of basic research projects funded by the Fund;

c) Other issues related to the activities of the Fund.

2. Members of the Scientific Council shall be selected based on the following criteria:

a) Criteria for experts as stipulated in Clause 1 and Clause 2, Article 7 of this Circular;

b) Recommended by scientists in the same field;

c) Commitment to participate and comply with the regulations of the Fund.

3. The term of office of the Scientific Council is two years. A member participating in the Scientific Council shall not exceed three consecutive terms.

4. In case of necessity, the Management Board of the Fund may establish another Scientific Council to evaluate and select, assess specific research projects.

5. The Management Board of the Fund shall prescribe the operational rules of the Scientific Council.

Chapter III

REGISTRATION TO IMPLEMENT RESEARCH PROJECTS

1. Annually, the Fund announces basic research directions funded by the Fund, provides guidance on relevant conditions, procedures, and deadlines for submitting application dossiers on the Fund's electronic portal.

2. Based on the announcement of the Fund, organizations, individuals, and scientists propose research projects, prepare the application dossier for implementing research projects, and submit it to the Fund in accordance with the regulations.

3. The application dossier for implementing research projects shall be in Vietnamese and English, following the model prescribed in the Appendix attached to this Circular, including:

a) Research project registration form (Model NCCB01, NCCB01E);

b) Detailed description of the research project (Model NCCB02, NCCB02E);

c) Academic curriculum vitae of the project leader and each member of the research team (Model NCCB03, NCCB03E) along with supporting documents proving research achievements;

d) Documents proving the training of doctoral students;

đ) Application form (Model NCCB04);

e) Other related documents as required by the Fund.

4. A valid dossier is one that is prepared according to the forms accompanying this Circular; it must have confirmation from the working agency, the main organization, or the sponsor, and be submitted within the deadline announced by the Fund.

1. For the main organization of the project:

a) Scientific and technological organizations registered for scientific and technological activities, having functions suitable to the specialized field of the project;

b) Fulfilling all responsibilities of the main organization for projects previously funded by the Fund as stipulated in Clause 1 and not falling under the cases specified in Clause 2, Article 20 of this Circular.

- Conduct research strictly in accordance with the approved outline, ensuring schedule and quality requirements.

a) Having expertise appropriate to the research content of the project, currently engaged in research at a scientific and technological organization. If the project leader does not belong to any scientific and technological organization, they must be sponsored and accepted as the main organization by a reputable scientific and technological organization in Vietnam in the relevant specialized field.

b) Having research capacity meeting the requirements of the project: holding a doctorate degree or associate professor/professor title and having relevant research results published in reputable international journals within five years from the date of submission of the dossier;

c) Having sufficient time to complete the research content of the project as prescribed. If the project leader is on overseas assignments or work, the total time spent abroad shall not exceed one-third of the project implementation period;

d) Not violating the conditions for registering as the main organization or participating in the project as stipulated in Clause 5, Article 19 of this Circular.

3. Members of the research project team must have professional qualifications and skills appropriate to the research content of the project, including:

a) Key researchers, scientific secretaries: holding a doctorate degree or associate professor/professor title and having relevant research results published in reputable national or international journals within five years from the date of the final receipt of applications.

In the case of a master's degree holder, they must have relevant research results, with one article published in a reputable international journal for natural sciences and engineering; one article published in a reputable international journal or two articles published in reputable national journals or one monograph for social sciences and humanities within five years from the date of the final receipt of applications;

b) Doctoral students participating in the project must have dissertation contents consistent with the project, with a decision assigning the dissertation topic not exceeding twenty-four months from the date of the final receipt of applications;

c) Technical staff and other support personnel.

4. For strong research teams, in addition to the requirements stipulated in Clauses 1, 2, and 3 of this Article, they must meet the following requirements:

a) The project leader must have relevant publications in reputable ISI journals within five years from the date of submission of the dossier, capable of gathering many high-level scientists to participate in the project, maintaining regular scientific cooperation with international research teams in the same or related fields;

b) At least two key researchers of the project must meet the requirements of the project leader as stipulated in Clause 2 of this Article;

c) The main organization of the project must have adequate material and technical facilities, research capacity, and commitment to support during the research period.

5. Each individual can simultaneously participate in no more than two projects, serving as the leader of no more than one basic research project funded by the Fund.

1. Duration of project implementation

a) For theoretical research projects, the implementation period shall not exceed 24 months.

b) For experimental research projects, the implementation period shall not exceed 36 months.

c) For projects implemented by strong research teams, based on the proposal of the project leader and the recommendation of the Scientific Council, the Management Board of the Fund shall consider and decide on a suitable period for implementing the project.

2. Research results of the project in the field of natural sciences and technology must include at least two articles published in reputable international journals and one article published in a reputable national journal.

3. Research results of the project in the fields of social sciences and humanities must meet one of the following requirements:

a) At least one article published in a reputable international journal and two articles published in reputable national journals;

b) At least two articles published in reputable international journals.

In cases where the research issue cannot be published in reputable international journals, the project's results must include at least one monograph (published or in manuscript form with conditions met for publication) and two articles published in reputable national journals. The Scientific Council proposes these cases for the Fund to consider and decide.

4. For exploratory and discovery projects, the research results must include at least one article published in a reputable international journal.

5. For projects implemented by strong research teams, the research results must include at least two articles published in reputable ISI journals and one article published in a reputable national journal.

6. The project leader must be the main author (for the field of natural sciences and technology) or an author (for the field of social sciences and humanities and not falling under the case where the research issue cannot be published in reputable international journals as stipulated in Clause 3 of this Article) of at least one article published in a reputable international journal as a result of the project.

7. Works published as specified in this Article must be annotated as research results of the project funded by the National Science and Technology Development Fund.

Chapter IV

EVALUATION AND SELECTION OF PROJECTS

1. The Fund implements the evaluation and selection of projects through the Scientific Council as prescribed in Article 8 of this Circular.

2. Evaluation criteria for selecting projects:

a) The necessity of the research issue and its alignment with the basic research directions supported by the Fund;

b) The novelty and creativity of the proposed research issue;

c) Clear objectives and content; appropriate methods and research plans to achieve the objectives;

d) The capacity and research experience of the project leader and research team; material and technical conditions of the host organization serving the research;

e) Expected results; the feasibility of the project; scientific significance and prospects for applying research results;

f) Contribution to postgraduate training;

g) Reasonable budget estimate for research.

3. The working method of the Scientific Council during evaluation and selection meetings is regulated by the Management Board of the Fund.

1. The Fund's Management Agency shall prepare a comprehensive report on the results of the evaluation and selection of research topics, comments on the appropriateness of the evaluation process, and submit them to the Fund's Management Board for consideration and decision.

2. Based on the report from the Fund's Management Agency regarding the results of the evaluation and selection of research topics and the financial capacity of the Fund, the Fund's Management Board shall consider and decide to approve the research topics supported by the Fund.

In necessary cases, the Fund's Management Board may seek additional opinions from independent evaluators before making a decision.

3. The Fund shall publish the list of funded research topics on the Fund's electronic information portal.

1. Examination of Research Topic Application Documents

The Fund's Management Agency shall organize the examination of the content of the research topic outline and budget estimate according to the regulations of the Fund's Management Board.

2. Approval of Research Topic Budgets

a) Based on the examination results, the Fund's Management Agency shall submit to the Fund's Management Board for approval of the budgets of the research topics;

b) The Fund's Management Agency shall send the Notice of Funding and instructions on necessary procedures to the organizations and individuals receiving funding to complete the research topic outline according to the approved content and budget.

Chapter V

IMPLEMENTATION OF RESEARCH TOPICS

1. The Fund's Management Agency shall negotiate and sign scientific research contracts (hereinafter referred to as contracts) with the principal investigator and the leading organization according to the approved budget list by the Fund's Management Board. The contract shall be prepared according to the model prescribed in the Appendix issued together with this Circular (Model NCCB05). In necessary cases, the Fund's Management Agency shall organize on-site inspections of the leading organizations and individuals implementing the research topics before signing the contract.

2. Within three months from the date the Fund's Management Agency sends the Notice of Funding, if the principal investigator and the leading organization fail to complete the research topic outline and contract, the Fund's Management Agency shall request the Fund's Management Board to consider and decide to revoke the funding for the research topic.

3. The contract serves as a legal basis during the implementation, inspection, and evaluation of the research topic and the resolution of violations related to the research topic. The approved research topic outline and any adjustment documents during the implementation period (if any) are integral parts of the contract.

4. During the contract implementation period, if there is expected to be a change in the contract content, the leading organization and the principal investigator shall have the responsibility to report in writing to the Fund for consideration and decision.

1. Based on the progress and research content recorded in the contract, the principal investigator and the leading organization shall prepare periodic reports on the implementation status of the research topic and the use of its budget according to the models prescribed in the Appendix issued together with this Circular (Models NCCB06, NCCB07) and submit them to the Fund's Management Agency as required.

2. The Fund shall organize periodic evaluations of the progress, outcomes, and budget usage of the research topic through the periodic reports on the implementation status of the research topic; in cases where the research topic is delayed or other necessary situations arise, the Fund shall organize on-site inspections of the implementation status of the research topic.

The inspection results shall be recorded in minutes confirmed by all relevant parties.

3. The results of periodic evaluations and on-site inspections shall be reported to the principal investigator and serve as the basis for deciding whether to continue the contract.

For research topics that violate the terms committed in the contract, the Fund shall examine the extent of the violation and handle it according to current regulations.

1. The report on the implementation results of the research project shall include the following contents:

a) A consolidated report on the implementation results of the research project according to the form prescribed in the Appendix issued together with this Circular (Form NCCB08);

b) A report on the use of funds for the research project (Form NCCB07);

c) An appendix on the publication results and other results of the research project.

2. The head of the research project and the main organizing entity shall be responsible for drafting and submitting the report on the implementation results of the research project to the Fund within thirty days after the completion of the contract period (including any extension periods if applicable).

In cases where the head of the research project completes the research project earlier than stipulated in the contract, the head of the research project and the main organizing entity have the right to request the Fund to organize an early acceptance inspection.

3. In cases where the research project cannot be completed within the time limit specified in the contract, at least sixty days before the end of the contract period, the main organizing entity and the head of the research project must submit a written report explaining the reasons and proposing an extension of the implementation period to the Fund Management Agency along with a report on the implementation status of the research project up to the date of the extension request.

Within thirty days, the Fund Management Agency will review and issue a written response regarding the acceptance or non-acceptance of the extension of the implementation period. The maximum extension period is twelve months.

4. Publication waiting period: For research projects that have completed all research contents and submitted the implementation results report according to the prescribed deadlines but whose international journal articles as publication results of the research project have not yet been published or officially accepted, the head of the research project must update the publication results of the international journal articles within twelve months after the completion of the contract period (including any extension periods if applicable) for the Fund to conduct the acceptance inspection of the research project in accordance with regulations.

1. The Fund organizes the evaluation of research project results through the Scientific Council prescribed in Article 8 of this Circular.

2. The evaluation dossier of the research project includes:

a) A consolidated report on the implementation results of the research project;

b) Articles published in scientific journals, conference proceedings, scientific seminars, monographs that have been published, and other scientific products (if any);

c) The research project proposal;

d) The contract;

đ) Any documents adjusting the contract during its implementation (if any).

3. Criteria for evaluating research project results:

a) The degree of achievement of research objectives and research results;

b) Publication results: articles published in reputable international and national journals; articles published in other international and national scientific journals, scientific reports presented at conferences and seminars; monographs; patents (if any);

Publication results recognized as research project outcomes must be published during the contract period and any extension or waiting period (if applicable).

Articles published in reputable ISI journals can be considered equivalent to two articles published in reputable international journals;

c) Other results of the research project: postgraduate training, research collaboration;

d) Implementation organization and use of research project funds according to the contract.

4. The working method of the Scientific Council at the meeting to evaluate research project results is determined by the Fund Management Board.

The Fund Management Agency compiles the evaluation results of the research project, submits them for consideration and decision-making by the Fund Management Board. If necessary, the Fund Management Board may seek additional opinions from independent evaluators before making a decision.

1. Based on the project outcome assessment by the Scientific Council, the leading organization and project leader shall be responsible for registering to retain the implementation results with the National Science and Technology Information Center under the Ministry of Science and Technology in accordance with regulations.

2. The Fund decides to recognize the project implementation results based on the project outcome assessment by the Scientific Council, the certificate of registration for the implementation results of science and technology tasks, and notifies the leading organization and project leader.

3. The decision recognizing the project implementation results serves as the basis for conducting financial settlement procedures and contract termination.

4. The leading organization, project leader, and research group members of basic research projects funded by the Fund are recognized for research achievements equivalent to national-level science and technology tasks.

5. Projects evaluated as not meeting standards or having contracts terminated shall be handled according to investment regulations and financial mechanisms for scientific and technological activities.

In cases where the project does not meet standards, the project leader may not register to lead new research projects within two years from the date of result notification.

In cases involving violations leading to suspension of implementation or criminal liability pursuit or violation of scientific ethics, the project leader and related individuals may not participate in projects funded by the Fund within five years from the date of the violation handling decision.

Article 20. Responsibilities of the Leading Organization of the Project

1. Responsibilities of the leading organization of the project:

a) Supporting and creating favorable conditions for the project leader to complete the application for funding; jointly signing the project implementation contract with the Fund Management Agency with the project leader;

b) Creating favorable conditions regarding procedures; providing adequate material, technical facilities, and human resources according to the contract to enable the research team to effectively implement the project;

d) Providing full information to the Fund and other relevant agencies for monitoring, inspection, and auditing of the project;

đ) Jointly bearing responsibility with the project leader for the project's implementation results;

e) Using management costs from the project budget for general management, financial, and administrative activities related to the project in accordance with regulations;

g) Organizing the management and exploitation of project outcomes and enjoying benefits from these activities in accordance with regulations;

h) Implementing the publication and registration of intellectual property rights protection for project outcomes in accordance with regulations;

i) Registering to store research results at the National Science and Technology Information Center in accordance with regulations;

2. Scientific and technological organizations violating the provisions of Clause 1 of this Article shall not be eligible to register as leading organizations for projects funded by the Fund for one year, starting from the date of the conclusion issued by the competent authority.

Article 21. Responsibilities of the Project Leader

1. Organize the implementation of the project in accordance with the signed contract.

2. Use funds for the intended purpose, in compliance with regulations, effectively according to the content of the contract; carry out settlement and final accounting of the project's funds in accordance with current provisions.

3. Supervise and urge organizations and individuals participating in the collaboration to implement the project in accordance with the contract. Report on the research situation, project implementation, fund usage, and project results in accordance with the Fund's regulations.

4. Coordinate with the main organizing body of the project to register the storage of research results at the National Science and Technology Information Center in accordance with the regulations.

5. The project leader and research members are responsible for the content of the publication of research results of the project in accordance with laws on science and technology, publishing, intellectual property, and other relevant laws of Vietnam.

Chapter VI

IMPLEMENTING PROVISIONS

Article 22. Effectiveness

1. This Circular takes effect from February 1, 2015, replacing the Regulations on the Organization and Implementation of Basic Research Projects in Natural Sciences funded by the National Research Development Fund issued together with Decision No. 03/QD-HĐQLQ dated December 24, 2008 of the Fund Management Board and the Regulations on the Organization and Implementation of Basic Research Projects in Social Sciences and Humanities funded by the National Research Development Fund issued together with Decision No. 03/QD-HĐQLQ dated April 8, 2010 of the Fund Management Board.

2. For projects approved for funding by the Fund before the effective date of this Circular shall continue to be implemented in accordance with the Regulations on the Organization and Implementation of Basic Research Projects in Natural Sciences funded by the National Research Development Fund issued together with Decision No. 03/QD-HĐQLQ dated December 24, 2008 of the Fund Management Board and the Regulations on the Organization and Implementation of Basic Research Projects in Social Sciences and Humanities funded by the National Research Development Fund issued together with Decision No. 03/QD-HĐQLQ dated April 8, 2010 of the Fund Management Board.

3. Any amendments or supplements to this Circular shall be proposed by the National Research Development Fund to the Minister of Science and Technology for decision./.