Circular No. 37/2015/TT-NHNN on the management and organization of implementation of scientific and technological tasks funded by the state budget under the responsibility of the State Bank of Vietnam.

CIRCULAR

Regulations on management and implementation of scientific and technological tasks using state budget under the responsibility of the State Bank of Vietnam.

Management and organization of scientific and technological tasks using the state budget under the responsibility of the State Bank of Vietnam.

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Pursuant to the Law on Science and Technology No. 29/2013/QH13 dated June 18, 2013;

Decree No. Decision No. 08/2014/NĐ-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology;Decision No. 11/2013/NQ-CP dated November 11, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the State Bank of Vietnam;

Pursuant to Decree No.November 11,At the proposal of the Director of the Legal Department and the President of the Institute for Strategy of Banking;

The Governor of the State Bank of Vietnam issues this Circular regulating the management and organization of implementation of scientific and technological tasks using the state budget of the State Bank of Vietnam.

Article 1. This Circular regulates the management and organization of implementation of scientific and technological tasks using the state budget under the responsibility of the State Bank of Vietnam (hereinafter referred to as scientific and technological tasks).

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

Article 2. The management and organization of implementation of national-level scientific and technological tasks managed by the Ministry of Science and Technology and entrusted to the State Bank of Vietnam to lead according to the guidance of the Ministry of Science and Technology and related legal documents.

Article 3. The management and organization of implementation of national-level scientific and technological tasks directly managed by the State Bank of Vietnam shall be carried out in accordance with regulations on the management and organization of implementation of national-level scientific and technological tasks decided by the competent authority.

Article 4. Scientific and technological tasks funded by science and technology funds; scientific and technological tasks at the grassroots level approved independently by the Banking Academy and Ho Chi Minh City University of Banking without using the state budget for science and technology of the State Bank of Vietnam (hereinafter abbreviated as SBV) are not within the scope regulated by this Circular.

This Circular applies to units under the SBV, other organizations and individuals related to management, implementation, transfer, and application of results of scientific and technological tasks under the responsibility of the SBV.

Article 2. Applicability

Article 1. "Organizations leading the implementation of scientific and technological tasks" are scientific and technological organizations assigned by authorized state agencies to lead the implementation of scientific and technological tasks in accordance with the law.

Article 3. Explanation of Terms

In this Circular, the following terms are understood as follows:

Article 2. "Individuals leading the implementation of scientific and technological tasks" are persons assigned by authorized authorities to lead or assigned by leading scientific and technological organizations to implement tasks through organizing the implementation of scientific and technological tasks.

Article 3. "Ministry-level urgent scientific and technological tasks" are research tasks to solve urgent scientific and technological issues requested by the Governor of the SBV.

Article 4. "Ordering the implementation of scientific and technological tasks" refers to the Governor of the SBV setting requirements for scientific and technological products, providing funding for organizations and individuals engaged in scientific and technological activities to research and create scientific and technological products through contracts.

Article 5. "Selection of scientific and technological tasks" refers to the Governor of the SBV determining organizations and individuals to implement ministry-level scientific and technological tasks based on orders from the SBV or the President of the Institute for Strategy of Banking determining organizations and individuals to implement grassroots-level scientific and technological tasks through reviewing and evaluating applications according to the criteria set forth in this Circular, ensuring competitiveness, fairness, and effectiveness.

Article 6. "Direct assignment of organizations and individuals leading scientific and technological tasks" refers to the Governor of the SBV designating organizations and individuals with sufficient capacity, conditions, and relevant expertise to implement ministry-level scientific and technological tasks based on orders from the SBV or the President of the Institute for Strategy of Banking designating organizations and individuals with sufficient capacity, conditions, and relevant expertise to implement grassroots-level scientific and technological tasks.

6. “Directly assigning organizations or individuals in charge of scientific and technological tasks” means that the Governor of the State Bank of Vietnam designates organizations or individuals with sufficient capacity, conditions, and appropriate expertise to carry out Ministry-level scientific and technological tasks pursuant to orders from the State Bank of Vietnam, or the Director of the Institute of Banking Strategy designates organizations or individuals with sufficient capacity, conditions, and appropriate expertise to carry out foundation-level scientific and technological tasks.

Article 4. Classification of scientific and technological tasks under the management responsibility of the State Bank of Vietnam at the Ministry level and at the basic level

1. Scientific and technological tasks at the Ministry level

Scientific and technological tasks at the Ministry level are tasks of significant importance for the development of the banking industry, addressing scientific and technological issues within the scope of the banking industry and utilizing the State Bank of Vietnam's scientific and technological business expenses, including:

a) Ministry-level scientific and technological programs

A ministry-level scientific and technological program is a form of organizing ministry-level scientific and technological tasks with the common goal of resolving scientific and technological issues to serve medium-term or long-term scientific and technological development and application within the State Bank of Vietnam's management scope. Such programs are implemented through a collection of ministry-level scientific and technological tasks, including research topics, experimental production projects, and scientific and technological projects;

b) Ministry-level scientific and technological research topics

A ministry-level scientific and technological research topic is a form of organizing ministry-level scientific and technological tasks, primarily focusing on understanding the nature and laws of banking industry issues to apply them to practical state administration work, scientific and technological development of the State Bank of Vietnam;

c) Ministry-level scientific and technological proposals

A ministry-level scientific and technological proposal is a form of organizing scientific and technological tasks, consisting of one or a group of contents aimed at determining theoretical and practical foundations to serve the establishment of mechanisms, policies, and laws within the State Bank of Vietnam's management domain;

d) Ministry-level scientific and technological projects

A ministry-level scientific and technological project is a form of organizing scientific and technological tasks, comprising several research topics and experimental production projects at the ministry level that are organically and synchronously conducted over a certain period, aiming to resolve key scientific and technological issues to serve the production of important products or groups of priority products, main force products, or spearhead products; enhancing the technological or management level of the banking industry; having a significant impact on the development of the banking industry;

đ) Ministry-level experimental production projects

A ministry-level experimental production project is a form of organizing scientific and technological tasks aimed at applying research results and implementing new solutions, methods, and models in practical banking activities or small-scale production trials to perfect new technologies, processes, or products before their introduction into production and daily life;

e) Potential ministry-level scientific and technological research topics and projects

Potential ministry-level scientific and technological research topics and potential ministry-level scientific and technological projects are forms of organizing potential ministry-level scientific and technological tasks, focusing on researching and solving scientific and technological issues requiring high applicability and promising to create or develop new research directions or products and services in priority or key areas of the banking industry;

2. Scientific and technological tasks at the basic level

Scientific and technological tasks at the basic level are tasks aimed at resolving scientific and technological issues within the scope of responsibilities of units under the State Bank of Vietnam and utilizing the State Bank of Vietnam's scientific and technological business expenses, including:

a) Basic-level scientific and technological research topics

A basic-level scientific and technological research topic is a form of organizing basic-level scientific and technological tasks, primarily focusing on understanding the nature and laws of scientific and technological issues in the banking sector at the unit level under the State Bank of Vietnam to apply them to practical unit operations;

b) Basic-level scientific and technological projects

A basic-level scientific and technological project is a form of organizing basic-level scientific and technological tasks aimed at resolving scientific and technological issues of units under the State Bank of Vietnam with the primary goal of creating products or management processes, enhancing the technological or management level of the unit.

Article 5. Code number of scientific and technological tasks at the Ministry level and at the basic level

1. The code number of scientific and technological tasks at the Ministry level of the State Bank shall be recorded as follows: DTNH.XXX/YY; DANH.XXX/YY; DASXTN.XXX/YY; DANH.XXX/YY; CTNH.XXX/YY; NCTN.XXX/YY.

Where:

a) DTNH is the general symbol for scientific and technological topics at the Ministry level;

b) DANH is the general symbol for scientific and technological projects at the Ministry level;

c) DASXTN is the general symbol for pilot production projects at the Ministry level;

d) DANH is the general symbol for scientific and technological projects at the Ministry level;

đ) CTNH is the general symbol for scientific and technological programs at the Ministry level;

e) NCTN is the general symbol for potential scientific and technological research tasks at the Ministry level;

g) Group XXX is a group of three digits recording the serial number of scientific and technological tasks listed in the decision to commission scientific and technological tasks at the Ministry level by the leadership of the State Bank;

h) Group YY is a group of two digits recording the last two digits of the year when the scientific and technological task begins implementation;

i) Between the group of general alphabetic symbols and the group of serial numbers of the tasks is a period; between the group of serial numbers of the task and the group of digits representing the year of commencement is a forward slash.

2. The code number of scientific and technological tasks at the basic level shall be recorded as follows:

a) Scientific and technological topic at the basic level (DTNH-CS.XXX/YY);

b) Scientific and technological project at the basic level (DANH-CS.XXX/YY).

Where:

(i) Group XXX is a group of three digits recording the serial number of scientific and technological tasks at the basic level listed in the decision to commission scientific and technological tasks;

(ii) Group YY is a group of two digits recording the last two digits of the year when the scientific and technological task begins implementation.

Article 6. Methods for assigning scientific and technological tasks

1. Scientific and technological tasks using state budget funds of the State Bank stipulated in this Circular shall be assigned through selection or direct assignment.

2. The direct assignment method shall only be applied to scientific and technological tasks falling under any of the following cases:

a) Scientific and technological tasks involving national secrets, special services for security and defense;

b) Urgent scientific and technological tasks;

c) Scientific and technological tasks that can only be carried out by one scientific and technological organization with sufficient human resources, expertise, and equipment.

3. The selection method applies to scientific and technological tasks where many organizations and individuals have the ability to participate.

Article 7. Management of scientific and technological tasks of the State Bank

1. Principles of management of scientific and technological tasks

a) Ensuring unified management of the implementation of scientific and technological tasks; unifying the functions and responsibilities of units under the State Bank participating in management and organizing the implementation of scientific and technological tasks, focusing on timely and effective service to the State Bank's administrative management tasks;

b) Ensuring autonomy, promoting creativity, and enhancing responsibility of organizations and individuals in implementing scientific and technological tasks of the State Bank;

c) Ensuring efficient use of resources of the State Bank to serve the implementation of scientific and technological tasks in the banking sector;

d) Ensuring full compliance with legal regulations on scientific and technological activities; mechanisms, policies, strategies, and plans for the development of scientific and technological activities of the State Bank.

2. Content of management of scientific and technological tasks

Management of scientific and technological tasks of the State Bank includes the following specific contents:

a) Determining the annual list of scientific and technological tasks;

b) Organizing the implementation of scientific and technological tasks;

c) Monitoring, inspecting, and evaluating the application of results from scientific and technological tasks;

d) Publishing information, archiving research results.

3. Online management of scientific and technological tasks

a) Organizations and individuals who are principal or members implementing scientific and technological tasks are responsible for complying with online management procedures and processes for scientific and technological tasks on the Banking Science and Technology Information Portal at the address: www.khoahocnganhang.org.vn;

b) The Institute of Banking Strategy is the unit managing and operating the Banking Science and Technology Information Portal; it is responsible for guiding organizations and individuals in exploiting and updating online information on the management of scientific and technological tasks.

Chapter II

MINISTRY-LEVEL SCIENTIFIC AND TECHNOLOGICAL TASKS

Section 1

IDENTIFYING THE LIST OF COMMISSIONED SCIENTIFIC AND TECHNOLOGICAL TASKS AT THE MINISTRY LEVEL

Article 8. Requirements for Ministry-level Science and Technology Tasks

Ministry-level science and technology tasks must simultaneously meet general requirements and specific requirements for each type of task as follows:

1. General requirements:

a) Be significant to the development of the banking industry, address scientific and technological issues within the scope of the banking sector, and utilize state budget funds for science and technology of the State Bank of Vietnam;

b) Be consistent with national socio-economic development strategies and plans and banking industry development strategies and plans at each stage;

c) Be consistent with scientific and technological development strategies or orientations of the banking industry at each stage;

d) Be urgent or important, and have an impact on the development of the banking industry;

đ) Not overlap in content with science and technology tasks using state budget funds that have been or are being implemented;

e) Not violate intellectual property regulations, inventions, and patents recognized by intellectual property protection agencies both domestically and internationally;

g) Have a budget estimate for implementing the task that is appropriate to the state budget funding capacity and current financial regulations.

2. Specific requirements for Ministry-level Science and Technology Programs:

a) Have the goal of producing scientific and technological results serving priority development directions within the management scope of the State Bank of Vietnam. The outcomes of science and technology tasks must demonstrate novelty, advancement, high applicability, and meet the program's objectives;

b) Include ministry-level science and technology tasks that are directly or indirectly related in terms of expertise;

c) The implementation period of the ministry-level science and technology program shall not exceed 60 months from the approval date, during which the implementation time of specific science and technology tasks must be consistent with the regulations for each type of task.

3. Specific requirements for Ministry-level Scientific and Technological Research Topics:

a) For applied research and technology development topics: the technology or scientific and technological product expected must have a specific application address or commercialization potential; there must be at least one article published in a domestic specialized journal;

b) For social science and humanities research topics: the outcome must provide scientific evidence and timely solutions to practical issues in policy formulation and implementation by the Party, socio-economic development policies, state laws, and the banking industry; there must be at least one article published in a domestic specialized journal;

c) Priority investment in funding for ministry-level topics, in addition to requiring at least one article published in a domestic specialized journal, must also include one monograph published from the research results or one article published in an international scientific journal (part of the ISI or Scopus system or a scientific journal in the ASEAN citation system);

d) The implementation period of the ministry-level scientific and technological research topic shall not exceed 36 months from the date of signing the scientific and technological contract.

4. Specific requirements for Ministry-level Scientific and Technological Project Proposals:

a) The construction of project proposals must be based on tasks approved by the Government, Prime Minister, or Governor of the State Bank of Vietnam; cooperative programs between the State Bank of Vietnam and Ministries, agencies equivalent to ministries, government agencies, provincial People's Committees under the central government;

b) The research results of the project proposal must be recommendations or draft mechanisms, policies, procedures, regulatory documents that fully satisfy scientific and practical evidence;

c) The implementation period of the project shall not exceed 24 months from the date of signing the scientific and technological contract.

5. Specific requirements for Ministry-level Scientific and Technological Projects:

a) Address scientific and technological issues directly serving management work, priority production projects, key projects, or technology transfer management projects approved by the Governor of the State Bank of Vietnam;

b) The results produced must ensure application and improve the economic efficiency of production investment projects; be meaningful for the development of science and technology in sectors managed by the State Bank of Vietnam;

c) Have a schedule consistent with the progress of production investment projects or technology transfer management;

d) The implementation period shall not exceed 36 months from the date of signing the scientific and technological contract.

6. Specific requirements for Ministry-level Pilot Production Projects:

a) The technology or scientific and technological product tested must be the result of a science and technology task evaluated, accepted, and recommended for application by the Science and Technology Council, or the result of exploiting inventions or useful solutions;

b) The technology or scientific and technological product expected must ensure stability at a small scale and feasibility in application or development at large-scale production;

c) The implementation period of the pilot production project shall not exceed 36 months from the date of signing the scientific and technological contract.

7. Specific requirements for Ministry-level Potential Scientific and Technological Tasks:

a) Address scientific and technological issues requiring high applicability;

b) Have prospects for creating or developing new research directions or products in priority and key areas of science and technology in the banking industry;

c) The implementation period shall not exceed 24 months from the date of signing the scientific and technological contract.

Article 9. Basis for building proposals

1. Proposals for scientific and technological tasks of the State Bank of Vietnam are built based on one or more of the following grounds:

a) Requirements of Party leaders, State leaders, and State Bank leaders;

b) Strategies, plans, development projects of the State Bank and strategies, master plans, development plans in fields managed by the State Bank;

c) Development strategy for science and technology and directions, goals, and scientific and technological tasks for five-year or ten-year periods of the State Bank;

d) Plans for scientific and technological activities of the Ministry of Science and Technology and of the State Bank.

2. Annually, the Institute of Strategy and Banking publicly announces the contents of the bases specified in Clause 1 of this Article on the Portal of Scientific and Technological Information of the Banking Industry to enable organizations and individuals to build proposals for scientific and technological tasks within the management authority of the State Bank.

Article 10. Procedure for Proposing

1. Before January 30 each year, the Institute of Strategy and Banking is responsible for drafting and submitting to the Governor of the State Bank for approval the plan to build proposals for scientific and technological tasks of the State Bank.

Based on the Governor's approval, the Institute of Strategy and Banking is responsible for guiding the implementation of the plan to build proposals for scientific and technological tasks of the State Bank.

2. All organizations and individuals have the right to participate in proposing scientific and technological tasks. When a scientific and technological task is approved, the proposer will be considered for priority assignment as the head of the task or participation in its implementation and will be rewarded according to the provisions of the law.

3. Organizations and individuals outside the State Bank submit proposals for scientific and technological tasks to the Institute of Strategy and Banking using the Proposal Form (Annex 1a) issued together with this Circular.

4. Organizations and individuals within the State Bank:

a) Submit proposals for scientific and technological tasks using the Proposal Form (Annex 1b) issued together with this Circular to their direct managing unit for consolidation; in cases where there is an intermediate managing unit (second-level budget unit), they should submit to the intermediate managing unit;

b) Units within the State Bank are responsible for consolidating proposals from organizations and individuals under their management using the form (Annex 1c) issued together with this Circular and submitting them to the Institute of Strategy and Banking;

c) Individuals within the State Bank may directly submit proposals to the Institute of Strategy and Banking.

5. The Institute of Strategy and Banking compiles a list of proposed scientific and technological tasks by research field, organizes preliminary examination and evaluation of the novelty and urgency of the proposals using the form (Annex 1d) issued together with this Circular, and submits it to the Governor of the State Bank for consideration and decision on the list of tasks to be solicited for comments from the Advisory Council to determine scientific and technological tasks.

Article 11. Advisory Council to Determine Scientific and Technological Tasks

1. The Institute of Strategy and Banking submits to the Governor of the State Bank for decision to establish the Advisory Council to Determine Scientific and Technological Tasks at the Ministry level.

2. The Advisory Council to Determine Scientific and Technological Tasks at the Ministry level (referred to in this Article as the Council) shall consist of between seven and eleven members, including: one Chairperson, one Deputy Chairperson, two reviewing members, one scientific secretary member, and other members. The composition of the Council includes representatives from agencies and units under the State Bank, scientists, experts, representatives from agencies and organizations that place orders, managers, and business operators with appropriate expertise and qualifications for the scientific and technological tasks being advised.

3. In special cases, due to the complexity or specific requirements of determining scientific and technological tasks, the Governor of the State Bank decides on the number and composition of Council members differently from the provisions of Clause 2 of this Article.

4. The Institute of Strategy and Banking appoints one administrative secretary to assist the Council in administrative work; the administrative secretary is not a member of the Council.

5. The Council has the responsibility to advise and determine the list of scientific and technological tasks proposed by the State Bank, including: determining the name, goal orientation, main content, expected products, and organizational methods for implementing each scientific and technological task.

6. The Institute of Strategy and Banking sends materials to Council members at least five working days before the Council meeting. Materials include: the Proposal Form for Scientific and Technological Tasks; a summary table of scientific and technological tasks proposed by organizations and individuals and results of information searches related to relevant scientific and technological tasks.

7. Working Method of the Council

a) Council members provide comments and evaluations of the proposals for scientific and technological tasks using the form (Annex 2a) issued together with this Circular and send them to the Institute of Strategy and Banking at least one working day before the Council meeting;

b) The Council convenes when at least two-thirds of the members are present, including the Chairperson (or Deputy Chairperson), two reviewing members, and the scientific secretary member;

c) The Council operates on the principles of democracy, objectivity, honesty, compliance with laws and professional ethics. Council conclusions are adopted when at least three-quarters of the members present agree through direct voting or secret ballot;

Different opinions of members are summarized and reflected in the Council meeting minutes by the Council's scientific secretary. Council members can request to retain their opinions if they differ from the Council's conclusion;

d) Council members are individually responsible for their advisory opinions, and must keep confidential any information received during the advisory process;

e) Individuals and representatives of organizations proposing scientific and technological tasks may be invited to attend Council meetings.

8. Council Meeting

a) The Council Secretary announces the decision to establish the Council;

b) The Chairperson of the Council manages the meeting. If the Chairperson is absent, the Deputy Chairperson manages the meeting;

c) Council members discuss each proposed task based on the following criteria: urgency, novelty, non-redundancy, feasibility, applicability, and ability to mobilize resources outside the budget (if applicable).

d) The members of the Evaluation Council review the proposals and vote to evaluate the scientific and technological task proposal according to the form (Annex 2b) issued together with this Circular.

A scientific and technological task proposal is recommended for "implementation" when all contents in the evaluation form are assessed as meeting the requirements, and it is recommended for "non-implementation" if any of the assessment contents are assessed at a level that does not meet the requirements;

đ) The Council appoints a Counting Committee consisting of two members from the Council to assist the Council in compiling the counting results according to the form (Annex 2c) issued together with this Circular.

A scientific and technological task is included in the proposed implementation list if at least 3/4 of the attending Council members recommend "implementation";

e) For tasks proposed for implementation, the Council discusses in detail to vote unanimously on the name of the task, the orientation of objectives, expected products, methods of implementation; votes to rank them in priority order in the list of proposed tasks for ordering;

g) The evaluation results and advisory determination of the task are recorded in the Meeting Minutes of the Advisory Council according to the form (Annex 2d (i), (ii), (iii) corresponding to each type of task) issued together with this Circular.

Article 12. Approval of the List of Scientific and Technological Tasks for Ordering

1. Based on the minutes of the Advisory Council meeting determining scientific and technological tasks, the Institute of Banking Strategy compiles the list of scientific and technological tasks for ordering at the Ministry level to be submitted to the Governor of the State Bank of Vietnam for approval. In case of necessity, the Governor of the State Bank of Vietnam may seek additional advice from independent experts before deciding to approve the list.

2. The content of the list of scientific and technological tasks for ordering at the Ministry level approved by the Governor of the State Bank of Vietnam includes: the name of the task, the orientation of objectives, expected products, estimated time for implementation, method of assigning the task for implementation.

3. Within fifteen working days from the date the list of scientific and technological tasks for ordering at the Ministry level is approved by the Governor of the State Bank of Vietnam, the Institute of Banking Strategy has the responsibility to publicly announce this list on the Science and Technology Information Portal of the banking industry.

Article 13. Determination of Urgent Ministry-Level Scientific and Technological Tasks

1. When urgent ministry-level scientific and technological tasks arise due to assignments from Party leaders, State leaders, Government, or State Bank of Vietnam leaders, units assigned the tasks submit the proposal file for urgent ministry-level scientific and technological tasks to the Institute of Banking Strategy for the Governor of the State Bank of Vietnam to decide on direct assignment for implementation of the task.

2. The proposal file for urgent ministry-level scientific and technological tasks includes: the task assignment document, the proposal letter for scientific and technological tasks from the organization or individual in charge, research outline, expected products, and budget estimate for implementation.

3. The Institute of Banking Strategy is responsible for taking the lead and coordinating with units under the State Bank of Vietnam to identify urgent scientific and technological issues arising from actual scientific and technological activities and business operations of the banking industry to propose to the leadership of the State Bank of Vietnam to order such tasks from organizations and individuals engaged in scientific and technological activities.

4. Urgent ministry-level scientific and technological tasks serving state management work are prioritized for implementation over other tasks. The approval process for urgent scientific and technological tasks is initiated immediately upon request, regardless of the annual science and technology plan of the State Bank of Vietnam.

Section 2

SELECTION AND DIRECT ASSIGNMENT OF MINISTRY-LEVEL SCIENTIFIC AND TECHNOLOGICAL TASKS

Article 14. Conditions for Participation in Selection and Direct Assignment to Perform Scientific and Technological Tasks

1. Organizations with scientific and technological functions suitable for the specialized field of the scientific and technological task ordered by the State Bank shall have the right to register to participate in selection or be directly assigned to perform the Ministry-level scientific and technological task of the State Bank, except for the following cases:

a) Up to the deadline for submitting the application, they have not fully repaid the recovered funds according to the contract for implementing previous scientific and technological tasks;

b) Having committed violations leading to being suspended from performing the task for a period of three years from the date of the competent authority's decision until the date of submitting the application.

2. Individuals registering to be the head of a Ministry-level scientific and technological task must simultaneously meet the following requirements:

a) Having a bachelor’s degree or higher;

b) Having expertise or a position suitable for the field of science and technology of the registered task and currently working in the same field for at least three years up to the date of submitting the application;

c) Being the main person or a key participant in building the task description of the scientific and technological task. The role as the main person or key participant in building the task description must be clearly stated in the task description of the scientific and technological task;

d) Having the ability to directly organize and ensure sufficient time to lead the research work of the scientific and technological task;

đ) Not falling under the cases stipulated in Clause 3 of this Article.

3. Individuals falling under any of the following cases shall not be allowed to register to participate in selection or direct assignment to perform scientific and technological tasks:

a) An individual who is the head of a scientific and technological task evaluated as "unsatisfactory" will not be eligible to register to participate in selection or direct assignment for a period of three years from the date of the conclusion of the Evaluation and Acceptance Committee;

b) An individual who is the head of a scientific and technological task at various levels that has committed violations leading to suspension from performing the task for three years from the date of the suspension decision or during the period of criminal responsibility pursuit or has been convicted but not yet had their criminal record expunged.

Article 15. Announcement of Selection to Perform Scientific and Technological Tasks

The Institute of Banking Strategy announces the list of Ministry-level scientific and technological tasks for selection on the Science and Technology Portal of the Banking Industry at least thirty days before the deadline for receiving applications. The application dossier for selecting the performance of Ministry-level scientific and technological tasks shall be carried out in accordance with Article 16 of this Circular.

Article 16. Application Dossier for Participation in Selection and Direct Assignment to Perform Scientific and Technological Tasks

1. The dossier for participation in selection and direct assignment of Ministry-level scientific and technological tasks includes:

a) A copy of the Certificate of Registration for Scientific and Technological Activities of the organization applying to lead the scientific and technological task;

b) An application form for leading the implementation of the scientific and technological task according to the model (Annex 3a) issued together with this Circular;

c) A detailed description of the scientific and technological task according to the model (Annex 3b) issued together with this Circular;

d) A summary of the scientific and technological activities of the organization applying to lead the implementation of the scientific and technological task (for the case where an organization applies to participate in selection and direct assignment of the scientific and technological task) according to the model (Annex 3c) issued together with this Circular;

đ) A scientific curriculum vitae of the individual applying to be the head and other individuals applying to be key researchers of the scientific and technological task, confirmed by the personnel management agency according to the model (Annex 3d) issued together with this Circular;

e) A scientific curriculum vitae of domestic experts according to the model (Annex 3đ) issued together with this Circular; a scientific curriculum vitae of foreign experts according to the model (Annex 3e) issued together with this Circular (for the case where the detailed description of the scientific and technological task includes hiring foreign scientific experts);

g) A confirmation document about the agreement of organizations and individuals applying to cooperate in implementing the scientific and technological task according to the model (Annex 3g) issued together with this Circular;

h) A document proving the ability to mobilize funds from other sources (if any);

i) Quotation of assets, equipment, raw materials needed to purchase or rent for the implementation of the scientific and technological task (in the case where the detailed description of the scientific and technological task includes purchasing or renting assets, equipment, raw materials);

k) Results of information searches related to relevant scientific and technological tasks according to the model (Annex 3h) issued together with this Circular (if any).

2. The dossier for participation in selection and direct assignment to perform Ministry-level scientific and technological tasks must be sealed and clearly marked on the outside: name of the scientific and technological task; name and address of the organization or individual applying to lead the scientific and technological task; list of documents and texts contained in the dossier.

3. Number of dossiers: One original dossier (with stamp and signature) presented and printed on A4 paper, using Vietnamese font of the Unicode character set according to national standard TCVN 6909:2001, font size 14 and one dossier recorded on CD (in PDF format, without password).

4. The dossier for selection and direct assignment to perform Ministry-level scientific and technological tasks shall be sent to the Institute of Banking Strategy.

5. The dossier must be submitted within the specified deadline as announced in the selection announcement. The submission date is the date stamped by the post office (in the case of sending by post) or the arrival stamp of the Institute of Banking Strategy's Office (in the case of direct submission). Before the submission deadline, organizations and individuals applying to participate in selection have the right to withdraw, replace, supplement, or amend the submitted dossier. All supplements and amendments must be submitted within the prescribed period and become part of the dossier.

Article 17. Opening and verifying the validity of the application files for selecting tasks to implement scientific and technological activities

1. Upon the expiration of the registration period for applications, within ten working days, the Institute of Banking Strategy shall carry out the opening, verification, and confirmation of the validity of the application files with the participation of representatives from relevant agencies (if necessary), and representatives of organizations and individuals who have registered to participate in the selection process.

2. A valid file is a file that fully meets the contents stipulated in Article 16 of this Circular. Valid files will be submitted to the Advisory Board for Selection and Direct Assignment to Implement Scientific and Technological Tasks as specified in Article 18 of this Circular for review and evaluation.

3. The results of the file opening shall be recorded in a protocol according to the model (Annex 3i) issued together with this Circular.

Article 18. Advisory Board for Selection and Direct Assignment to Implement Scientific and Technological Tasks

1. The Governor of the State Bank of Vietnam decides to establish the Advisory Board for Selection and Direct Assignment to Implement Scientific and Technological Tasks based on the proposal of the Institute of Banking Strategy (referred to as the Board in this Article).

a) The Board shall consist of seven to eleven members, including: one Chairperson, one Deputy Chairperson, two reviewing members, one secretary member, and other members. The composition of the Board includes managers, representatives of agencies and organizations proposing orders, representatives of units under the State Bank of Vietnam, scientists, and business professionals with expertise relevant to the research field of the scientific and technological task;

b) The Board may include one member from the organization registering as the main organizer of the scientific and technological task, but this member cannot serve as Chairperson, Deputy Chairperson, reviewing member, or scientific secretary of the Board. Individuals registering to participate in the implementation of the task cannot serve as members of the Board;

c) Experts and reviewing members who have participated in the Advisory Board for Determining Scientific and Technological Tasks shall be prioritized to be invited to join the Advisory Board for Selection and Direct Assignment for corresponding scientific and technological tasks.

2. The Institute of Banking Strategy shall appoint one specialist to serve as the administrative secretary assisting the Board. The administrative secretary is not a member of the Board.

3. At least three working days before the meeting of the Board, the Institute of Banking Strategy shall be responsible for sending the application files for participating in the selection and direct assignment of scientific and technological tasks to the Board members. Each member writes an Evaluation Form according to the model (Annex 3k (i), (ii), (iii) corresponding to each type of scientific and technological task) issued together with this Circular and sends it back to the Institute of Banking Strategy at least one working day before the meeting.

4. The Board shall convene only when at least two-thirds of the Board members attend, including the Chairperson or Deputy Chairperson, two reviewing members, and the secretary member. In case of necessity, depending on specific circumstances, the Board may invite representatives of personnel management agencies of individuals registering as the main organizers of the task, agencies registering as the main implementers of the task, agencies planning to use the research results, and related units to attend the Board's session; opinions of invited representatives are only for reference to the Board.

5. The Board's session:

a) The Board Secretary reads the decision establishing the Board, the protocol of file opening, introduces the composition of the Board and the attending delegates;

b) The Chairperson of the Board conducts the meeting. In the absence of the Chairperson, the Deputy Chairperson will conduct the meeting;

c) Individuals registering as the main organizers of the scientific and technological task present a summary of their research outline, propose methods of cost allocation to the final product or partial cost allocation, and answer questions from the Board (if any). After completing their presentations, individuals registering as the main organizers of the scientific and technological task shall not continue to attend the Board's session;

d) Representatives of the agency expected to use the research results (if any) express opinions on the necessity and requirements for the research results;

d) Members of the Board provide comments and evaluate each file and compare application files for the same scientific and technological task;

e) The Board discusses and reviews comments among Board members (if any) before independently scoring each file according to the model (Annex 3l (i), (ii), (iii) corresponding to each type of scientific and technological task) issued together with this Circular;

f) The Board appoints a Counting Committee consisting of two members of the Board to compile the results according to the model (Annex 3m) issued together with this Circular. For application files for participating in the selection, the results are compiled according to the average total score from highest to lowest;

g) The Board publicly announces the scoring results, evaluations, and approves the working protocol of the Board according to the model (Annex 3n) issued together with this Circular; recommends a list of organizations and individuals selected or directly assigned to organize the scientific and technological task;

Organizations and individuals recommended for selection are those with the highest average total score and must achieve at least 70 out of 100 points. None of the criteria can have more than one-third of the present Board members scoring zero (zero points). For files with the same average score, the file with a higher score from the Chairperson or Deputy Chairperson chairing the session shall be prioritized in ranking;

h) The Board votes to determine the results of the session with basic information:

(i) Name of the organization and individual proposed for selection or direct assignment;

(ii) Points requiring supplementation or modification in the explanation of the scientific and technological task in the file selected or directly assigned by the Board.

6. The results of the Board's meeting shall be immediately communicated to the organizations and individuals who have applied for selection or direct assignment of scientific and technological tasks upon the conclusion of the session.

Organizations and individuals recommended for selection or direct assignment to implement scientific and technological tasks shall be responsible for perfecting their files according to the Board's opinions within seven working days after the meeting, with confirmation from the Chairperson of the Board and reviewing members according to the model (Annex 3p) issued together with this Circular sent to the Institute of Banking Strategy.

Article 19. The Financial Review Team for Science and Technology Tasks

1. The Financial Review Team for Science and Technology Tasks shall be established by the Governor of the State Bank of Vietnam based on the proposal of the Institute of Banking Strategy (hereinafter referred to as the Review Team), consisting of three members, including:

a) The head of the Review Team is a representative of the leadership at the Department level of the Institute of Banking Strategy;

b) The deputy head of the Review Team is a representative of the leadership at the Department level of the Finance and Accounting Department;

c) One member of the Review Team is the Chairman or Vice-Chairman or reviewer member of the Selection Council responsible for directly implementing science and technology tasks;

d) The Institute of Banking Strategy appoints one individual to serve as the administrative secretary for the Review Team. The administrative secretary is responsible for preparing documents and assisting the Review Team;

e) The head of the Review Team may invite representatives of organizations or individuals related to attend and express opinions at the Review Team's meeting.

2. The dossier for the financial review meeting of science and technology tasks includes:

a) Minutes of the meeting of the Advisory Council for selecting and directly assigning science and technology tasks;

b) Detailed description of the completed task according to the opinion of the Council, the report on completing the detailed description and the detailed budget estimate of the task leader.

3. Principles of operation of the Review Team:

a) All three members must be present;

b) The head of the Review Team chairs the meeting;

c) The Review Team operates on a consensus basis, conclusions of the Review Team are only passed when all members agree.

4. Responsibilities of the Review Team:

a) Bears personal responsibility for the results of the financial review;

b) Reviews the budget estimate for implementing science and technology tasks with research contents consistent with the conclusions of the Council and current economic-technical norms and consumption standards of the state (if applicable); determines the total budget for implementing science and technology tasks (including budget support from the state budget and other sources), the budget allocation to the final product, the budget allocation in stages, and the phased budget allocation according to the fiscal year. The result of the financial review is recorded in the Financial Review Minutes according to the model (Annex 3q) issued together with this Circular;

c) The result of the financial review is immediately communicated to organizations and individuals who have registered to select and directly assign science and technology tasks upon completion of the financial review meeting.

5. The Institute of Banking Strategy reports, proposes, and submits to the Governor of the State Bank of Vietnam for decision when members of the Review Team cannot reach consensus on the contents stipulated in point b, Clause 4, Article 19 of this Law.

Article 20. Soliciting Independent Expert Opinions on the Selection and Direct Assignment of Organizations and Individuals Responsible for Science and Technology Tasks

1. In cases where necessary, the Institute of Banking Strategy shall submit to the Governor of the State Bank of Vietnam for decision to select one to two independent experts to provide advisory opinions on the selection and direct assignment of organizations and individuals responsible for science and technology tasks.

2. An independent expert is a person with deep knowledge, credibility, and research achievements in the field of solicitation; honest, objective, and responsible.

3. The dossier sent to the independent consultant does not include the name of the organization and individual registering to lead the science and technology task.

4. Within fifteen days from receiving the dossier, the independent expert provides written comments and bears responsibility for their observations, evaluations, and conclusions regarding the dossiers participating in the selection and direct assignment of organizations and individuals responsible for science and technology tasks.

Article 21. Approval of tasks and signing of science and technology contracts

1. The organization or individual in charge of the science and technology task shall complete the dossier according to the Audit Report of the Audit Team as stipulated at point b Clause 4 Article 19 within a maximum period of 10 working days from the date of receipt of the audit opinion and send it back to the Institute for Banking Strategy.

2. Within 05 working days from the date of receiving the completed science and technology task dossier according to the opinion of the Audit Team, the Institute for Banking Strategy shall submit to the Governor of the State Bank of Vietnam for approval of the science and technology task including: name of the science and technology task, leading organization, principal individual, implementation time, budget and method of cost allocation for implementing the science and technology task.

3. The Governor of the State Bank of Vietnam authorizes the Director of the Institute for Banking Strategy to sign the contract to implement the science and technology task according to the model research and development contract issued by the Minister of Science and Technology (hereinafter referred to as the Contract).

4. Within 10 working days from the date the Governor of the State Bank of Vietnam decides to place orders for the implementation of the science and technology task, organizations and individuals assigned to lead the implementation of the science and technology task shall complete the contract according to the guidance of the Institute for Banking Strategy. In case the organizations and individuals mentioned above fail to complete and submit the Contract within the prescribed deadline, the Institute for Banking Strategy will consider submitting to the Governor of the State Bank of Vietnam to revoke the order decision for these organizations and individuals.

5. After signing the Contract, the Institute for Banking Strategy shall be responsible for sending it to relevant units for implementation:

a) For tasks directly funded to the leading scientific and technological organization: the Contract shall be established in 04 copies, of which 01 copy is sent to the unit assigned to lead the task, 01 copy is sent to the principal individual, 01 copy is kept at the Institute for Banking Strategy, and 01 set of files is stored at the Administrative Bureau;

b) For tasks funded through the Administrative Bureau under the State Bank of Vietnam: the Contract shall be established in 04 copies; of which 01 copy is sent to the principal individual, 01 copy is sent to the direct management unit of the principal individual of the task, 01 copy is sent to the Administrative Bureau for monitoring and implementing funding procedures, and 01 copy is kept at the Institute for Banking Strategy.

Article 22. Amendment of Contracts

1. Extension of task implementation:

a) In cases where it is necessary to extend the implementation period of the task, at least one month before the end of the Contract implementation period, the leading organization of the task shall submit a written request for extension of the science and technology task implementation to the Institute for Banking Strategy, specifying in detail the reasons for the delay in the implementation of the science and technology task and reporting on the progress of the science and technology task implementation at the time of requesting the extension;

b) Within 10 working days, the Institute for Banking Strategy shall be responsible for submitting to the Governor of the State Bank of Vietnam for consideration and issuance of a decision to extend the implementation of the science and technology task;

c) In cases where the science and technology task is agreed to be extended, the extension period shall be calculated from the end date of the Contract and specified in detail in the decision to extend the implementation of the science and technology task. The maximum extension period is 12 months for tasks with an implementation period exceeding 24 months, 06 months for tasks with an implementation period not exceeding 24 months, and 03 months for tasks with an implementation period not exceeding 12 months. Special cases are decided by the Governor of the State Bank of Vietnam.

2. The leading organization implementing the science and technology task must submit a written explanation to the Institute for Banking Strategy for submission to the Governor of the State Bank of Vietnam for consideration and decision regarding the adjustment of the following contents: name of the science and technology task; leading organization and individual of the science and technology task; objectives; main content; expected results; total budget estimate and annual budget.

3. In cases where detailed budget adjustments are made without changing the total budget estimate, the following procedures shall apply:

a) For allocated budget portion: within the scope of the total allocated budget estimate and without changing between items, based on the proposal of the principal individual of the science and technology task, the head of the leading organization implementing the science and technology task has the authority to decide to adjust the budget estimate of the allocated budget portion among various expenditure items according to the actual needs of the work;

b) For non-allocated budget portion: the principal individual of the science and technology task and the leading organization implementing the science and technology task may proactively adjust the budget estimate among various expenditure items (if there is no change between items) with a maximum adjustment rate of 10% between each other.

4. Documents related to the amendment of the Contract are part of the Contract.

Section 3

INSPECTION, EVALUATION, ACCEPTANCE AND TERMINATION OF CONTRACTS

Article 23. Mid-term inspection and evaluation of the implementation of scientific and technological tasks

1. During the process of implementation, the organization responsible for implementing scientific and technological tasks shall have the responsibility to conduct mid-term inspections and evaluations to promptly identify and correct any errors that affect the objectives, contents, progress, and results of the approved scientific and technological tasks.

2. Every six months, organizations responsible for implementing Ministry-level scientific and technological tasks shall have the responsibility to submit reports to the State Bank of Vietnam (through the Institute of Banking Strategy) on the implementation status and disbursement progress according to the template (Annex 4a) issued together with this Circular.

3. In October each year, the Institute of Banking Strategy will coordinate with intermediate management units (second-level budget units), the Department of Finance and Accounting, the Administration Bureau, and experts (if necessary) to inspect the progress of implementation, conduct mid-term evaluations of the achieved results, disbursement situation, and use of funds for the implementation of scientific and technological tasks. In case of surprise inspections, the organization and individual in charge of the scientific and technological task will be notified at least three working days in advance.

4. The head of the inspection team shall be responsible for compiling the results and proposing necessary handling measures. The inspection results serve as the basis for the Institute of Banking Strategy to report to the Governor of the State Bank of Vietnam for consideration regarding suspension, adjustment, or continuation of the implementation of the contract. The inspection record of the implementation status of the task shall be established in two copies according to the template (Annex 4b) issued together with this Circular, kept at the Institute of Banking Strategy and the organization (or individual in charge) implementing the scientific and technological task.

5. Costs for mid-term inspection and evaluation shall be covered from the management expenses of scientific and technological tasks of the State Bank of Vietnam.

Article 24. Submission of Research Results of Scientific and Technological Tasks

1. Not later than thirty days before the end date of the scientific and technological task as recorded in the Contract, the organization and individual in charge of the scientific and technological task must submit research products and a self-assessment report on the implementation results of the scientific and technological task according to Clause 2 of this Article to the Institute of Banking Strategy for organizing the assessment and acceptance.

2. Self-assessment of the implementation results of scientific and technological tasks:

a) The individual in charge of the scientific and technological task shall be responsible for conducting a self-assessment of the implementation results according to the content stipulated in Clause 4 of Article 26 of this Circular before submitting the evaluation and acceptance application to the Institute of Banking Strategy;

b) The self-assessment results shall be compiled and reported according to the template (Annex 4d) issued together with this Circular.

Article 25. Documentation for Assessment and Acceptance of the Implementation Results of Scientific and Technological Tasks

The documentation for assessment and acceptance of the implementation results of scientific and technological tasks includes:

1. A letter requesting the assessment and acceptance of the Ministry-level scientific and technological task of the organization or individual assigned to implement the task according to the template (Annex 4c) issued together with this Circular.

2. A comprehensive report and a summary report of the implementation results according to the template (Annex 4m) issued together with this Circular.

3. Products of the scientific and technological task.

4. A copy of the Contract and task description.

5. Confirmation documents and related materials concerning the publication, dissemination, training, reception, and utilization of research results (if applicable).

6. A report on the use of funds for the task according to the template (Annex 4đ) issued together with this Circular.

7. A self-assessment report on the implementation of the task.

8. Other relevant documents (if applicable).

Article 26. Advisory Council for Evaluation and Acceptance of Results of Scientific and Technological Tasks

1. The Advisory Council for Evaluation and Acceptance of Results of Scientific and Technological Tasks at the Ministry level (referred to herein as the Council) shall be established.

a) The Institute of Banking Strategy shall submit to the Governor of the State Bank of Vietnam a Decision to establish the Council within ten working days from the date of receipt of a valid evaluation and acceptance result implementation task dossier.

b) Within three working days after the Governor of the State Bank of Vietnam signs the Decision to establish the Council, the Institute of Banking Strategy shall publish on the banking industry's scientific and technological information portal general information about the scientific and technological task, including: name; code number; budget; implementation period; the main organizing entity, the principal investigator, and other key participants in the task.

c) The Council shall consist of seven to nine members, including: one Chairperson, one Deputy Chairperson, two reviewing members, one scientific secretary member, and other members, wherein the composition of the Council must include at least one member who has participated in the Advisory Council for Determination of Tasks or in the direct assignment of tasks; experts representing the main organizing entity of the task, organizations capable of applying research results, and units under the State Bank of Vietnam. An expert representing the main organizing entity of the task may not serve as Chairperson, Deputy Chairperson, reviewing member, or scientific secretary member.

d) Situations where participation in the Council is not allowed: the principal investigator, key participants, and those involved in the implementation of the task; individuals currently being pursued for criminal responsibility or who have been convicted but not yet rehabilitated; spouses, parents, children, siblings, or blood relatives of the principal investigator or key participants in the task or persons with related rights and interests; individuals with evidence of conflicting interests with the principal investigator or the main organizing entity of the task.

đ) In special cases due to the complexity or specific requirements of the task, the Governor of the State Bank of Vietnam may decide on the number and composition of Council members differently from the provisions in point c of this clause.

e) The evaluation and acceptance dossier specified in Article 25 of this Circular shall be sent to Council members and the specialized team (if any) at least five working days before the Council meeting, accompanied by a review form (Annex 4e (i), (ii), (iii) corresponding to each type of task) issued together with this Circular.

2. Council Meeting

a) The Council meeting shall be organized within thirty days from the date of the decision to establish the Council. The Council shall only convene when the following requirements are met:

(i) The Institute of Banking Strategy has received full written comments from two reviewing members and the assessment opinion of the specialized team (if any) at least one working day before the Council meeting;

(ii) The Council meeting must have present at least two-thirds of the Council members, including the Chairperson or Deputy Chairperson, two reviewing members, and the scientific secretary;

In case of necessity, the Council may invite representatives of organizations applying the results of the task, management agencies of the principal investigator of the scientific and technological task, units under the State Bank of Vietnam, and related organizations to attend the Council meeting;

b) The Council meeting:

(i) The Council Secretary announces the decision to establish the Council, introduces the composition and attending delegates;

(ii) The Council Chairperson presides over the Council meeting. In the absence of the Council Chairperson, the Deputy Chairperson shall preside over the meeting;

(iii) The presiding officer of the Council meeting unifies and approves the work content of the Council according to the provisions of this Circular; states the main contents and requirements for evaluation and acceptance as stipulated in this Circular;

(iv) The Council elects a ballot counting committee consisting of two Council members to compile the evaluation results of the Council members;

(v) The principal investigator of the task presents a summary of the organization and implementation process of the task, reports on scientific and technological products, and self-assessment report on the task results;

(vi) Council members ask questions to the principal investigator of the task regarding the results and issues related to the task. The principal investigator and relevant individuals answer the Council's questions (if any) and do not continue to participate in the Council meeting;

(vii) Reviewing members read their comments on the task results; the scientific secretary reads the absent member's review form (if any); Council members express their opinions on the task results;

(viii) Council members evaluate the task classification according to the model (Annex 4g (i), (ii), (iii) corresponding to each type of task) issued together with this Circular; the Council conducts a voting to assess the task results; the ballot counting committee compiles and reports the voting results according to the model (Annex 4h) issued together with this Circular;

(ix) The scientific secretary drafts the Council's evaluation conclusion according to the model (Annex 4i) issued together with this Circular. In case the Council classifies the result as "Not Achieved," it must clearly identify the completed contents according to the Contract. The Council discusses to unify each content of the conclusion and approve the minutes;

c) The Council's concluding opinion shall be sent by the Institute of Banking Strategy to the main organizing entity within two working days after the end of the meeting as a basis for supplementing and perfecting the dossier.

3. Principles of Evaluation by the Council

a) The evaluation of the task results is conducted through an evaluation form bearing the seal of the State Bank of Vietnam on the upper left corner of the first page;

b) Council members evaluate independently.

c) An evaluation form is valid if it complies with the regulations for each evaluation content.

d) An invalid form is one that is left blank or evaluated contrary to the regulations by a Council member;

đ) The overall classification result of the task is based on the evaluation results of each expert as prescribed.

4. Content of Evaluation and Requirements for Products of Ministry-Level Scientific and Technological Tasks

a) Evaluation of the comprehensive report: Evaluate the completeness, clarity, authenticity, and logical consistency of the comprehensive report and necessary accompanying documents (design documents, technology documents, intermediate products, cited documents).

b) Evaluation of the product of the task compared to the order, including: Quantity, volume of products; quality of products; types of products; features, technical specifications of products;

c) Requirements for the comprehensive report:

(i) An overview of existing research results related to the task;

(ii) Data and materials that are representative, reliable, authentic, and up-to-date;

(iii) The content of the report must be a complete presentation of the research results of the task structured systematically and logically with scientific arguments based on theoretical and practical foundations that address the research issues raised, truthfully reflecting the results of the task consistent with common practices in scientific research activities;

(iv) The structure and style of the content must be scientifically appropriate;

d) Requirements for products of the Ministry-level task

In addition to the requirements stated in the Contract and the Task Description, the products of the Ministry-level task must meet the following requirements:

(i) For products such as application principles; methods; standards; regulations; technical specifications; computer software; design drawings; technological processes; diagrams, maps; data, databases; analytical reports; forecasting documents (methods, processes, models, etc.); plans, master plans; economic-technical justifications, feasibility studies, and similar products, they need to be reviewed by a specialized Scientific Council or a team of experts established by the leading organization;

(ii) For products such as postgraduate education outcomes, useful solutions, inventions, publications, and similar products, confirmation documents are required;

5. Evaluation and classification for Ministry-level tasks

The implementation results of the task are evaluated and classified into five levels based on the average score of valid evaluation forms as follows:

+ Excellent: average score of 95 points or higher;

+ Good: average score from 85 to under 95 points;

+ Fair: average score from 75 to under 85 points;

+ Pass: average score from 50 to under 75 points;

+ Fail: average score below 50 points.

Article 27. Handling of Ministry-level acceptance results

1. In cases where the scientific and technological task results are classified at level "Pass" or higher:

a) Within thirty working days from the date of receiving the task evaluation results, the head of the scientific and technological task shall complete the dossier according to the opinions and conclusions of the Council, prepare the Final Product Report of the scientific and technological task according to the model (Annex 4k) issued together with this Circular, and send it to the Institute of Banking Strategy;

b) The Institute of Banking Strategy will coordinate with the Chairman of the Council to inspect and supervise the completion of the task evaluation dossier. The Chairman of the Council will confirm the completion of the dossier by the head of the task;

c) The Institute of Banking Strategy and the individual head of the scientific and technological task will proceed with procedures to establish intellectual property rights to protect the research results of the scientific and technological task in accordance with current regulations.

2. In cases where the scientific and technological task results are classified at level "Fail"

a) If the scientific and technological task results are classified at level "Fail", and if the task has not been extended, it may be considered for extension. The extension period will be implemented according to the provisions of point c Clause 1 Article 22 of this Circular.

(i) To be considered for extension, the scientific and technological task must be recommended for extension by the Acceptance Advisory Council and the leading organization or the head of the scientific and technological task must submit an extension request in accordance with the provisions of point a Clause 1 Article 22 of this Circular, sent to the Institute of Banking Strategy;

(ii) Within ten working days from the date of receipt of the request, the Institute of Banking Strategy will review and submit to the Governor of the State Bank of Vietnam for a decision on extension; notify the opinion on the extension of the scientific and technological task;

(iii) After the extension period, the evaluation and acceptance will be carried out according to the content and procedures stipulated in this Circular; All costs for completing the contents recorded in the Contract and re-evaluation will be borne by the individual head and the leading organization of the scientific and technological task;

b) In cases where the scientific and technological task results are classified at level "Fail" but are not extended according to the provisions of point a of this clause or the second acceptance result still fails, the Institute of Banking Strategy, based on the conclusion of the Evaluation and Acceptance Council, will submit to the Governor of the State Bank of Vietnam for consideration and handling of the Contract termination according to the terms stipulated in the Contract. If necessary, the Governor of the State Bank of Vietnam may seek additional independent expert opinions before making a decision.

Article 28. Registration and retention of results of tasks at the Ministry level

1. Within thirty working days from the date of the Council meeting, for tasks classified as Achieved or higher, the head of the task shall be responsible for registering and submitting the dossier of the results of scientific and technological tasks to the Institute of Banking Strategy.

2. The dossier of the results of scientific and technological tasks shall be established in six sets of paper copies and two CDs containing all products submitted to the Institute of Banking Strategy, including:

a) Summary report;

b) Summary report of research results in Vietnamese;

c) Two pages summarizing the research results in English;

d) Recommendation report (completed after formal acceptance).

Reports shall be bound together, with hard covers and square spines, with information on the cover according to the model (Annex 4m) issued along with this Circular.

3. Within ten days from the date of receiving the complete dossier, the Institute of Banking Strategy shall be responsible for registering and submitting the results of the task to the National Science and Technology Information Center under the Ministry of Science and Technology, and simultaneously publishing the list of completed scientific and technological tasks on the banking science and technology portal.

Article 29. Recognition of Results, Liquidation of Contracts, and Transfer of Research Results

1. The dossier for recognizing the results of the task includes:

a) Minutes of the Advisory Council meeting for evaluating and accepting the results of scientific and technological tasks at the Ministry level;

b) Report on completing the product of the scientific and technological task according to the model (Annex 4k) issued along with this Circular;

c) Opinions of experts or independent consulting organizations (if any).

2. Recognition of the results of the task

Within ten working days from the date of receiving the documents specified in Clause 1 of this Article, the Institute of Banking Strategy shall be responsible for presenting to the Governor of the State Bank of Vietnam for issuance of the Decision recognizing the results of the task according to the model (Annex 4l) issued along with this Circular.

3. Termination of the Contract:

a) When the scientific and technological task is completed, the head of the scientific and technological task and the leading scientific and technological organization must submit the final report to the Institute of Banking Strategy;

b) After the decision recognizing the results by the Governor of the State Bank of Vietnam, the Institute of Banking Strategy shall conduct an evaluation and inventory, and present to the Governor of the State Bank of Vietnam for a decision on handling assets purchased using the funds for the scientific and technological task;

c) The liquidation of contracts between the parties shall be carried out after the final settlement and asset inventory of the scientific and technological task according to the model of the liquidation minutes issued by the Minister of Science and Technology.

4. Transfer of research results

a) Within ten days from the date of receipt of the research results of tasks classified as Achieved or higher, the Institute of Banking Strategy shall be responsible for coordinating with the leading scientific and technological organization and the head of the task to transfer the research results to the addresses approved in the task description or proposed in the minutes of the Council's evaluation and acceptance meeting;

b) Annually in October over five consecutive years, the heads of organizations receiving transferred research results of scientific and technological tasks shall be responsible for preparing reports on the application and use of transferred research results to the Institute of Banking Strategy for compilation and reporting to the Governor of the State Bank of Vietnam;

c) Expenses for transferring, evaluating the application and use of research results shall be funded from the management expenses of the scientific and technological tasks of the State Bank of Vietnam.

Chapter III

SCIENCE AND TECHNOLOGY TASKS AT THE LOCAL LEVEL

Article 30. Principles for Management and Implementation of Basic Level Science and Technology Tasks

1. Management and implementation of grassroots-level scientific and technological tasks shall be carried out in accordance with the provisions of this Chapter. In cases where this Chapter does not provide, corresponding provisions in Chapter II of this Circular shall apply.

2. Forms for grassroots-level scientific and technological tasks shall adopt the forms of Ministry-level scientific and technological tasks issued along with this Circular.

Article 31. Requirements for scientific and technological tasks

Basic level science and technology tasks must simultaneously meet the following requirements:

1. The research results must have potential contributions to the implementation of the main unit's research tasks.

2. It must contribute to solving scientific and technological issues of the institution.

3. The content must not overlap with other scientific and technological tasks of the State Bank of Vietnam (SBV) that have been approved within the five years prior to the submission of the research task proposal. In case of overlapping content, it must be proven that continued research is necessary.

4. At the time of finalizing the acceptance procedures, there must be at least one article related to the research topic published in the proceedings of a scientific seminar issued by a licensed publisher or one scientific article published in a specialized scientific journal.

Article 32. Units and individuals responsible for scientific and technological tasks

1. The Institute of Banking Strategy is the scientific and technological organization responsible for implementing the institutional-level scientific and technological tasks as stipulated in this Circular.

2. Any individual meeting the conditions set forth in Article 33 of this Circular may apply to be the head of institutional-level scientific and technological tasks organized by the Institute of Banking Strategy.

3. Annually, based on the SBV’s budget allocated for scientific and technological activities, the Institute of Banking Strategy will submit to the SBV Governor for approval the number and structure of institutional-level scientific and technological tasks proposed by individuals from the Institute of Banking Strategy and those outside the Institute of Banking Strategy.

Article 33. Conditions for participating in the selection and direct assignment to implement scientific and technological tasks

Individuals applying to be the head of institutional-level scientific and technological tasks must meet all the following requirements and not fall under the category specified in Clause 3, Article 14 of this Circular:

1. Hold a bachelor's degree or higher.

2. They must have worked for at least two years in fields related to the research content up to the date of submitting the application.

3. They must be the principal or a key participant in drafting the scientific and technological task description. The role of being the principal or a key participant in drafting the description must be clearly stated in the scientific and technological task description.

4. They must have the ability to directly organize and ensure sufficient time to lead the execution of the scientific and technological task research work.

Article 34. Basis for proposing scientific and technological tasks

1. Requirements of advisory management work, research, and professional activities according to the functions and responsibilities of the unit.

2. Strategies, planning, and plans already approved by the SBV Governor.

3. Plans to develop legal regulatory documents and projects in areas managed by the SBV, led by the unit.

4. Scientific issues requiring research to serve as a basis for proposing tasks at the ministry level and national level or directly supporting the unit's operations.

Article 35. Procedure for Proposing Scientific and Technological Tasks

1. Based on the SBV Governor's request for scientific tasks, guidance from the Institute of Banking Strategy, and the need to solve scientific and technological issues of the institution, units and individuals propose institutional-level scientific and technological tasks.

2. The heads of SBV subordinate units compile the list of proposed tasks and send it to the Institute of Banking Strategy.

Article 36. Determination and Approval of the List of Science and Technology Tasks

1. Determination of the List of Basic Level Science and Technology Tasks

a) The Governor of the State Bank of Vietnam authorizes the Director of the Institute of Banking Strategy to issue a decision establishing the Advisory Council for determining basic level science and technology tasks;

b) The composition, duties, methods, and content of work of the Council shall be carried out in accordance with the provisions of Article 11 of this Circular.

2. Approval of the List: The Director of the Institute of Banking Strategy approves the list of basic level science and technology tasks based on the approval of the Governor of the State Bank of Vietnam regarding the quantity and structure of science and technology tasks as stipulated in Clause 3, Article 32 of this Circular and the advisory opinion of the Advisory Council for determining basic level science and technology tasks as stipulated in Clause 1 of this Article.

Article 37. Selection and Direct Assignment of Units and Individuals to Lead Science and Technology Tasks

1. After approving the list of basic level science and technology tasks, the Institute of Banking Strategy sends a notification to units and individuals meeting the conditions to register for selection and direct assignment.

2. Heads of units publicly notify individuals within their units to register to lead the implementation of the tasks.

3. The Director of the Institute of Banking Strategy establishes an Advisory Council for selection and direct assignment to implement basic level science and technology tasks. The Council consists of 05 to 07 members including scientists, representatives from proposing entities, ordering entities, managers, and business professionals with relevant expertise and qualifications for the science and technology tasks; ensuring that more than 50% of the Council's members are individuals not currently employed at the Institute of Banking Strategy.

The Council is responsible for reviewing and evaluating applications to undertake the tasks according to the procedures, formalities, and contents prescribed in Article 18 of this Circular.

Article 38. Financial Review Team for Scientific and Technological Tasks at the Basic Level

1. The Director of the Institute of Banking Strategy establishes a Financial Audit Team.

2. The composition of the Audit Team, principles of operation, responsibilities of the Audit Team, and the audit meeting dossier are implemented in accordance with the provisions of Article 19 of this Circular.

3. The Audit Team is responsible for reviewing the budget estimate of basic level science and technology tasks in accordance with current regulations, preparing an audit report. In cases where the total budget estimate of the science and technology task exceeds 10% of the approved budget, written consent from the Governor of the State Bank of Vietnam is required.

4. The Director of the Institute of Banking Strategy approves the science and technology task and implements the signing of a Contract with the individual leading the basic level science and technology task.

Article 39. Inspection, Supervision, and Adjustment of Contract Implementation

1. The leader of the basic level task is responsible for reporting the progress of implementing the science and technology task as requested by the Institute of Banking Strategy.

2. The Institute of Banking Strategy is responsible for organizing regular inspections of the implementation of basic level science and technology tasks annually in June.

3. Adjustments to the schedule, content, and budget of the basic level task are decided by the Director of the Institute of Banking Strategy.

Article 40. Evaluation, acceptance, registration, retention, publication, and application of research results

1. Not later than 15 days before the end of the implementation period under the Contract, the head of the basic-level task must submit the final report and accompanying documents to the Institute for Banking Strategy for evaluation and acceptance.

2. The advisory council for evaluating and accepting the results of basic-level scientific and technological tasks:

a) The advisory council for evaluating and accepting the results of basic-level scientific and technological tasks shall be established by the Director of the Institute for Banking Strategy.

b) The council has the responsibility to review, evaluate, and accept the contents and research results of basic-level scientific and technological tasks. The composition, procedures, formalities, methods, and content of the council's work shall be carried out in accordance with the provisions of Article 26 of this Circular.

c) For scientific and technological tasks led by individuals from the Institute for Banking Strategy, in addition to complying with the provisions of Clause 3 of this Article, the council must ensure that more than 50% of its members are individuals who are not currently employed at the Institute for Banking Strategy, including the Chairman and at least one opposing member.

3. Handling of Acceptance Results:

a) Tasks rated at level "Pass" or higher:

(i) Within 10 days from the date of the council's evaluation results, the head of the task is responsible for perfecting the research product according to the council's opinions and submitting it to the Institute for Banking Strategy;

(ii) The Institute for Banking Strategy is responsible for checking and confirming the completion of the task's documentation;

b) Tasks rated "Fail": if they have not been extended during the implementation process, they may be considered for an extension of up to two months. The second evaluation shall be conducted in accordance with the provisions of this Circular but not more than once for each task. All costs for completing the contents recorded in the Contract and re-evaluation shall be borne by the individual head and the organization leading the scientific and technological task.

The Institute for Banking Strategy will base its decision to terminate the contract on the conclusions of the council.

4. Registration of task results:

a) Within no more than 20 days from the date recorded on the Acceptance Report, tasks rated at level "Pass" or higher must register and submit their results to the Institute for Banking Strategy;

b) The registration dossier includes: Registration form; final report; one page summarizing the research results; report on the completion of the acceptance dossier according to the council's opinions, confirmed by the implementing unit; CD storing all research products;

c) The Institute for Banking Strategy is responsible for reviewing the dossier and issuing a registration certificate for the completion of the basic-level task to the organization and individual leading the task.

5. Retention of task results:

a) After registering the results of the basic-level scientific and technological task, the head of the task must submit for retention at:

(i) The Institute for Banking Strategy: one set;

(ii) The direct managing unit of the task head: one set;

b) The retention dossier includes: Summary report; Summary report; CD storing all task products.

6. Within 10 days from the date of receiving the retention dossier, the Institute for Banking Strategy shall publish the results on the Science and Technology Portal of the Banking Industry.

7. Transfer of research results

a) Within 10 days from the date of receipt of the research results of tasks rated Pass or higher, the Institute for Banking Strategy is responsible for leading and coordinating with the task head to transfer the research results to the approved addresses in the task description or proposed in the minutes of the evaluation council meeting.

b) Annually in October over five consecutive years, the heads of organizations receiving transferred research results of scientific and technological tasks shall be responsible for preparing reports on the application and use of transferred research results to the Institute of Banking Strategy for compilation and reporting to the Governor of the State Bank of Vietnam;

c) Expenses for transferring, evaluating the application and use of research results shall be funded from the management expenses of the scientific and technological tasks of the State Bank of Vietnam.

Article 41. Recognition of Results and Liquidation of Contracts

1. The recognition of results from the performance of tasks shall be applied to cases evaluated at the "Pass" level or higher.

2. Documents for recognition include:

a) Minutes of the Advisory Council meeting to evaluate and accept the results of scientific and technological tasks;

b) A completed evaluation acceptance report file according to the Advisory Council's opinions on evaluating and accepting the results of scientific and technological tasks.

3. Recognition of the results of scientific and technological tasks:

a) The head of the task is responsible for compiling the documents mentioned in Clause 2 of this Article and sending them to the Institute of Banking Strategy for a decision to recognize the results;

b) Within ten days from receiving all the documents, the Director of the Institute of Banking Strategy will consider and issue a decision recognizing the results of the scientific and technological task.

4. Liquidation of Contracts

a) After obtaining the decision recognizing the results of the scientific and technological task, the head of the task must submit a final settlement report to the Institute of Banking Strategy.

The head of the task must assess, inventory, and hand over products and assets purchased with the implementation funds of the scientific and technological task;

b) Within ten days from receiving the documents specified in point a of this clause, the Director of the Institute of Banking Strategy signs off on the liquidation of the Contract and reports to the Governor of the State Bank of Vietnam.

Chapter IV

REWARD AND VIOLATION HANDLING

Article 42. Awards and Scientific and Technological Prizes

1. Awards:

a) Organizations and individuals who successfully complete scientific and technological tasks, apply them to practical activities within their industry, and achieve high economic and social benefits may be considered for awards by the Governor of the State Bank of Vietnam;

b) The funding and levels of awards shall be implemented in accordance with current laws.

2. Scientific and Technological Prizes: The State Bank of Vietnam organizes the awarding of scientific and technological prizes to organizations and individuals with outstanding research works within its management scope, or it may propose the Ministry of Science and Technology to award the Ho Chi Minh Prize, the State Prize for Science and Technology, and other prizes as stipulated by law.

Article 43. Handling of Violations

Organizations and individuals participating in scientific and technological activities who violate regulations will be subject to administrative penalties according to the Government's regulations on administrative penalties in scientific and technological activities and technology transfer, or they may face criminal responsibility according to current laws, depending on the severity of the violation.

Chapter V

RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS INVOLVED

Article 44. Responsibilities of Units under the State Bank of Vietnam

1. Institute of Banking Strategy:

a) Advise and assist the Governor of the State Bank of Vietnam in organizing the management of the implementation of scientific and technological tasks within the banking sector;

b) Report to the Governor of the State Bank of Vietnam on the results of selecting and directly assigning units and individuals to lead scientific and technological tasks before approving the base-level scientific and technological tasks;

c) Develop and manage the Banking Sector’s Scientific and Technological Information Portal, update databases managing the State Bank of Vietnam’s scientific and technological tasks, and implement regulations on publishing information about the results of scientific and technological tasks according to current regulations;

d) Propose the Governor to issue regulatory documents governing the management of scientific and technological activities within the banking sector;

đ) Implement public services related to science and technology according to the law and regulations of the State Bank of Vietnam;

e) Fulfill the functions and responsibilities of the leading scientific and technological organization for Ministry-level and base-level scientific and technological tasks according to the Governor's decisions.

2. Department of Finance and Accounting:

a) Guide financial procedures and current regulations for units and individuals involved in implementing scientific and technological tasks;

b) Collaborate with the Institute of Banking Strategy in reviewing and allocating appropriate budgets for research content; participate in regular and spot checks on the implementation of scientific and technological tasks;

c) Lead and coordinate with the Institute of Banking Strategy in summarizing and allocating budgets, auditing, and settling financial accounts according to current regulations.

3. Management Bureau:

a) Guide disbursement, settlement, and finalization of funds according to regulations, ensuring the settlement progress of scientific and technological tasks;

b) Lead and coordinate with the Institute of Banking Strategy and the Department of Finance and Accounting in inspecting disbursement, usage, and settlement of funds for scientific and technological tasks when required.

4. Banking Academy and Ho Chi Minh City University of Banking:

a) Research, identify, and propose scientific and technological tasks;

b) Organize and implement scientific and technological activities within their units, creating favorable conditions for unit members assigned scientific and technological tasks;

c) Conduct reporting and statistical work on scientific and technological activities, contribute comments on scientific and technological issues as requested by the State Bank of Vietnam.

5. Other Units:

a) Collaborate with the Institute of Banking Strategy to develop directions, determine, and propose scientific and technological tasks for the State Bank of Vietnam;

b) Create favorable conditions for unit members assigned scientific and technological tasks;

c) Conduct reporting on scientific and technological activities, contribute comments on scientific and technological issues within their specialized fields according to their functions and responsibilities;

d) Organize the application of scientific and technological activity results in practical banking operations.

Article 45. Responsibilities of scientific and technological organizations that take the lead in implementing scientific and technological tasks

1. Shall be responsible for the content of the project description and budget estimate of the task to meet the objectives and produce products in accordance with the Contract.

2. Select individuals within the organization who have sufficient professional qualifications and organizational capacity to serve as the head of the task when assigning the task directly.

3. Sign a Contract with the State Bank of Vietnam; sign task assignment contracts and specialized service contracts with organizations and individuals participating in the implementation of the scientific and technological task.

4. Fully implement all commitments in the Contract regarding the responsibilities of the receiving party towards the State Bank of Vietnam and the responsibilities of the ordering party towards the head of the task and other organizations and individuals participating in the implementation of the task.

5. Ensure material conditions (equipment, workshops, means of transportation), human resources, mobilize legitimate financial sources outside the state budget (if any), and other conditions necessary to ensure the implementation of the task according to the signed Contract.

6. Shall be liable under the law and to the Governor of the State Bank of Vietnam for the reasonableness and legality of the results of the implementation of scientific and technological tasks.

7. Use the allocated funds effectively to implement the task according to the signed Contract; provide adequate and timely funding from committed sources in the contract to the head of the task and other organizations and individuals participating in the implementation of the task; complete the procedures for settlement of accounts according to current regulations.

8. Implement reporting systems as prescribed; create favorable conditions and provide full information to management, inspection, and audit agencies on the implementation of the task; propose adjustments when necessary to achieve the goals, contents, and products of the task.

9. Organize the registration of intellectual property rights protection for the results of the task for organizations and individuals in accordance with the provisions of the law.

10. Implement the publication and submission of the results of the implementation of scientific and technological tasks as prescribed in this Circular and the Contract.

11. Manage, exploit, transfer the results of the task, enjoy the benefits and bear responsibility for distributing the benefits from these activities in accordance with the law and the Contract.

Article 46. Responsibilities of individuals leading scientific and technological tasks

1. Implement scientific and technological tasks assigned by competent authorities, use funds in accordance with current state regulations and the signed Contract.

2. Propose to the head of the direct managing agency and the leading organization of the task to create favorable conditions in terms of time and other support to implement the scientific and technological task.

3. Select members to participate in the implementation of scientific and technological tasks; sign task assignment contracts and specialized service contracts with organizations and individuals inside and outside the unit to implement research content in accordance with current regulations.

4. Report fully, as required, and on time about the content, progress, products created, and the situation of fund usage of the scientific and technological task to the leading organization and the Institute of Banking Strategy.

5. Prepare financial statements according to current regulations and be responsible for providing complete documentation for inspection, auditing, and auditing when required.

6. When necessary, propose changes to the content, location, budget, and time of the scientific and technological task with the leading organization of the task; such changes can only be implemented with the written consent of the Governor of the State Bank of Vietnam for tasks at the Ministry level and the Director of the Institute of Banking Strategy for tasks at the institutional level.

7. Coordinate with units and individuals meeting the conditions to participate in the implementation of the task as prescribed; enjoy copyright benefits for scientific works created by themselves according to the law; receive allowances according to current regulations.

8. Shall be liable under the law and to the Governor of the State Bank of Vietnam for the use and repayment of funds for the implementation of scientific and technological tasks in cases where operations are suspended or accepted at the "Unsatisfactory" level and the contract is terminated.

9. Implement registration, retention of the results of the implementation of scientific and technological tasks and current regulations on the publication, use, and transfer of research results of scientific and technological tasks using the state budget according to the law.

Chapter VI

IMPLEMENTING PROVISIONS

Article 47. Effective Date

1. This Circular takes effect from February 16, 2016.

2. Decision 277/QD-NHNN dated February 16, 2012 of the Governor of the State Bank of Vietnam promulgating the Management Regulations for Scientific Research Activities in the Banking Industry ceases to be effective.

3. Contracts prior to the date this Circular takes effect shall continue to be implemented according to the content of the signed contracts.

4. For scientific and technological tasks of banking units not using the state budget, the provisions of this Circular may be applied for management and organization of implementation.

Article 48. Implementation organization

The Director of the Office, the Head of the Legal Department, the Director of the Institute of Banking Strategy, the Heads of units under the State Bank of Vietnam; the Governors of the provincial and central city branches of the State Bank of Vietnam; relevant organizations and individuals shall be responsible for organizing the implementation of this Circular.