Circular No. 40/2014/TT-BKHCN stipulates the management of urgent scientific and technological tasks with significant importance in science and practice, and potential scientific and technological tasks funded by the National Science and Technology Development Fund.

CIRCULAR

Regulations on the management of urgent scientific and technological tasks with significant scientific and practical importance, and potential scientific and technological tasks funded by the National Research Development Fund

Urgent scientific and technological tasks with significant scientific and practical importance, and potential scientific and technological tasks funded by the National Research Development Fund

 are those with high application value and promising to create or develop new research directions or products in priority and key national science and technology fields

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

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

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

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

The Minister of Science and Technology issues this Circular on the management of urgent scientific and technological tasks with significant scientific and practical importance, and potential scientific and technological tasks funded by the National Research Development Fund (hereinafter referred to as the Fund).

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

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

This Circular stipulates the management of urgent scientific and technological tasks with significant scientific and practical importance, and potential scientific and technological tasks funded by the National Research Development Fund (hereinafter referred to as the Fund).

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

This Circular applies to organizations and individuals engaged in scientific and technological activities in Vietnam, and other related organizations and individuals.

Article 2. Interpretation of Terms

Within the scope of these Regulations, the following terms shall be understood as follows:

1. Urgent scientific and technological tasks with significant scientific and practical importance are research topics that study newly emerged issues in practice, which are urgent and require timely resolution to meet societal needs (hereinafter referred to as urgent topics).

Article 3. Requirements for urgent topics

1. Urgent topics proposed to the Fund by organizations or individuals must meet the following requirements:

a) The research content must address newly emerged issues requiring timely resolution to meet societal needs;

b) Must have significant scientific and practical importance;

d) There must be an application address for the main results created when the topic is completed. The organization applying the results must have the capacity to effectively accept and implement the results.

2. Products of the topic

a) A comprehensive report summarizing the research results of the topic including scientific and technological solutions with full scientific and practical evidence to resolve the issue at hand;

- An article published in a reputable national journal or a reputable international journal;

- A patent or utility model certificate or plant variety protection certificate. In cases where a certificate has not yet been issued, there must be confirmation from the competent authority regarding the possibility of protection.

1. Potential research topics proposed to the Fund by organizations or individuals must meet the following requirements:

a) Possess innovation and pioneering characteristics; upon successful research, they have the potential to open up new research directions in science and technology or create new technological products. For research aimed at creating new technological products, there must be an application address for the main results generated when the topic is completed;

b) Belong to priority and key national fields of science and technology;

c) The implementation period of the research topic shall not exceed thirty-six months.

2. Products of the topic

a) A comprehensive report on the research results of the topic including scientific and technological solutions with full scientific and practical evidence to address the issues raised, new technological products in prototype form (if applicable);

b) Scientific publication in one of the following forms:

- At least two (02) articles published in reputable international journals;

- An exclusive invention patent recognized by experts as having high-quality scientific content or a plant variety protection certificate. In cases where a patent has not yet been granted, confirmation from the competent authority regarding the possibility of protection must be provided.

The Fund implements the evaluation of research topics based on the following principles:

2. Evaluation based on documentation.

3. Ensuring objectivity, democracy, and equality.

4. Adhering to international standards.

1. The Science Council is established by the Management Board of the Fund based on the proposal of the Fund Director, with the task of advising the Fund in the selection and evaluation of research topics.

2. The Science Council consists of nine members, including:

a) Six (06) members are specialists with expertise relevant to the topic, selected from the Fund's database of experts;

b) Three (03) members are managers in fields related to the research issue, representing organizations capable of applying research results.

3. In cases where it is necessary to establish a Science Council with a different structure and experts than those specified in Clause 2 of this Article, the Management Board of the Fund will consider and decide.

4. The Management Board of the Fund specifies detailed regulations on the operation rules of the Science Council.

1. Budget for implementing research topics: state budget for science and technology affairs allocated to the Fund and other sources of funding (if any).

2. The budget for managing research topics activities is funded annually from the state budget for science and technology affairs allocated to the Fund.

3. The budget estimate and expenditure norms for research topics are implemented according to current regulations.

Chapter II

EVALUATION AND SELECTION OF RESEARCH TOPICS

1. Application documents for implementing research topics, in accordance with the forms prescribed in the Appendix issued together with this Circular, include:

a) Application Form (Form DXTN-01);

b) Registration Form for Implementation (Form DXTN-02);

c) Detailed Description of the Topic, Summary Description of the Topic (Forms DXTN-03, DXTN-04);

d) Research Capacity and Physical Facilities of the Leading Organization of the Topic (Form DXTN-05);

đ) Scientific Curriculum Vitae of the Individual Registering as the Principal Investigator of the Topic (along with supporting documents proving achievements as required under Clause 2 of Article 9 of this Circular) and other individuals registering to implement the topic (Form DXTN-06);

e) Confirmation Letters from Organizations Cooperating in Research Implementation (Form DXTN-07);

g) Confirmation Letters from Beneficiary Organizations Regarding the Feasibility of Applying Research Results (Form DXTN-08);

h) Other Relevant Documentation (if any).

2. A valid application is one that is prepared according to the forms attached to this Circular, fully stamped by the organization and signed by the individual according to each form.

1. For organizations registering as the main sponsor of the topic:

a) Have registered scientific and technological activities, with functions suitable to the field of expertise of the topic;

b) Have appropriate material and technical conditions to implement the topic;

c) Are not in the cases prescribed in Clause 2, Article 19 of this Circular.

2. For individuals registering as the main leader of the topic:

a) Are the proposer and the main leader in building the topic description;

b) Have a university degree or higher and are currently working in a field of expertise relevant to the research content of the topic;

c) Have the ability to organize implementation and ensure the time required to lead the topic;

d) Are not restricted in their citizen rights according to Vietnamese law;

đ) Do not violate the conditions for registering as the main leader of the topic as stipulated in Clause 4, Article 18 of this Circular;

e) Meet at least one of the following requirements:

- For urgent topics, must have published works in reputable international scientific journals related to the registered topic within five (05) years from the submission date.

For potential topics, must have published works in reputable ISI journals related to the registered topic within five (05) years from the submission date.

- Be the author of an invention or plant variety granted protection, with content related to the registered topic and applied in practice within seven (07) years from the submission date.

3. In cases where an individual does not belong to an organization meeting the conditions specified for the main sponsoring organization, they must be accepted by an organization meeting the conditions stipulated in Clause 1 of this Article as the main sponsoring organization.

1. Research topics are evaluated and selected through two (02) steps: evaluation of topic proposals and evaluation of topic content.

2. Criteria for evaluating topic proposals are based on the requirements set out in Clause 1, Article 3 and Clause 1, Article 4 of this Circular.

3. Criteria for evaluating topic content:

a) Research objectives of the topic; overview of research status in the field of the topic;

b) Research content, research methods, techniques used;

c) Novelty, creativity, and scientific significance of the proposed research;

d) Feasibility regarding the implementation plan and budget, ability to complete the registered product;

đ) Potential for application and transfer plans for research results of the topic;

e) Competence and research experience of the topic leader and research team; material and technical facilities of the main sponsoring organization serving research.

1. The Fund implements the evaluation and selection of research topics through the Scientific Council as prescribed in Article 6 of this Circular.

2. The process of organizing the evaluation and selection of research topics and announcing funding results from the date of receiving complete valid applications shall not exceed thirty (30) days for urgent topics and sixty (60) days for potential topics (excluding the time for inspection and survey by the working group as prescribed in Clause 3 of this Article).

3. The working method of the Scientific Council is determined by the Fund Management Board. If necessary, the Fund Management Board may seek additional opinions from independent experts before making a decision.

The Scientific Council proposes that the Fund establish a working group to inspect and survey the material and technical facilities, capabilities, and resources of organizations and individuals assigned to implement the topic (if necessary). The working group conducts inspections and surveys within ten (10) days from the date of establishment decision.

1. Based on the results of the research topic evaluation and selection process and the financial capacity of the Fund, the Fund Director reviews the evaluation process and submits it to the Management Board for consideration and decision on approving the research topics to be sponsored by the Fund.

2. The Fund announces the list of sponsored research topics on its electronic portal and notifies the evaluation and selection results to organizations and individuals who have registered their research topics.

3. Organizations and individuals assigned to lead the implementation of research topics are responsible for revising the research topic descriptions, completing the application dossier according to the conclusions of the evaluation board, and submitting the supplemented and completed dossier along with an explanatory document (one original copy signed by the research topic leader and an electronic version) to the Fund within ten working days from the date of the Evaluation and Selection Results Notification.

1. Examination of Research Topic Application Dossiers

The Fund's management body organizes the examination of the content of the research topic outlines and budget estimates according to regulations issued by the Fund's Management Board.

2. Approval of Research Topic Budgets

a) Based on the examination results, the Fund Director submits to the Management Board for consideration and approval of the budgets for the research topics;

b) The Fund's management body informs the organizations and individuals receiving sponsorship about the funding and guides them through necessary procedures to complete the research topic descriptions according to the approved content and budget.

Chapter III

IMPLEMENTATION AND EVALUATION OF RESEARCH TOPIC RESULTS

1. The Fund's management body conducts negotiations and signs scientific research contracts (hereinafter referred to as contracts) with the research topic leaders and leading organizations according to the approved budget list. The contract is established according to the model prescribed in the Appendix accompanying this Circular (Model DXTN-09).

2. Within thirty days from the date the Fund's management body announces the sponsorship, if the research topic leader and leading organization fail to complete the research topic description and contract, the Fund's management body will request the Management Board to consider and issue a decision to revoke the sponsorship for the research topic.

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

4. Contract Adjustments

a) The leading organization of the research topic may proactively adjust the budget estimate within the allocated total budget according to regulations;

b) Organizations and individuals leading the implementation of the research topic must submit a written request to the Fund for consideration and decision when requesting adjustments to the contents of the signed contract;

c) The Management Board examines and decides on adjustments regarding the leading organization, research topic leader; the name, objectives, products of the research topic, the total state budget funding already approved, termination of contract execution;

d) The Fund Director examines and decides on other content adjustments within the scope of the signed contract, except for those specified in Point c of this Clause;

đ) The Management Board establishes a scientific council or expert team consisting of subject matter experts and financial experts to examine the adjustments stipulated in Point c of this Clause, determine the reasons for terminating the contract, and propose handling solutions.

5. The Fund's management body proceeds with the liquidation of the contract with the organizations and individuals leading the implementation of the research topic according to regulations.

1. Based on the progress and research content recorded in the contract, the project leader and the leading organization shall prepare a periodic report on the progress and results of the project implementation, and the use of funds according to the model prescribed in the Appendix issued together with this Circular (Model DXTN-10) and submit it to the Fund in accordance with the regulations.

2. The Fund's management agency shall organize periodic evaluations of the progress, results, and fund usage of the project through the periodic reports. In cases where the project is delayed or other necessary circumstances arise, the Fund's management agency shall organize on-site inspections of the project implementation situation.

The results of periodic evaluations and inspections shall be recorded in minutes confirmed by all relevant parties.

3. The results of periodic evaluations and on-site inspections shall be notified to the project leader and serve as the basis for continuing funding for the project.

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

1. A request for evaluation of project results from the leading organization of the project according to the model prescribed in the Appendix issued together with this Circular (Model DXTN-11).

2. Products of the project include: a comprehensive report on the implementation results of the project according to the model prescribed in the Appendix issued together with this Circular (Model DXTN-12) and scientific and technological publications and products of the project in accordance with the quantity and quality stipulated in the contract.

3. Documentation of the project includes:

a) The contract along with the approved project description;

b) Comprehensive report on the implementation results of the project;

c) Minutes of periodic evaluations of the project implementation situation; inspection minutes (if any);

d) Documents related to the organization of project implementation (if any);

đ) Documentation on measurement, testing, and evaluation results of project products conducted by authorized organizations (if any);

e) Confirmation documents and materials related to the publication, publication, acceptance, and utilization of research results of the project (if any);

g) Design drawings (for machine, equipment products...), original survey data, field journals or original data records of the project (if any).

4. Quantity and deadline for submitting documentation for evaluating project results

a) Evaluation documentation consists of 01 original file and 01 electronic file as prescribed in Clause 3 of this Article;

b) Deadline for submission: Within 30 days from the date of contract completion or the extended contract end date, the organization or individual responsible for implementing the project must submit the evaluation documentation to the Fund;

If the project leader completes the research project earlier than stipulated in the contract, the project leader and the leading organization have the right to request the Fund to conduct an early acceptance inspection.

5. In cases where the project cannot be completed within the time frame specified in the contract, at least 60 days before the contract completion date, the leading organization and the project leader must submit a written report explaining the reasons and proposing an extension of the project implementation period to the Fund's management agency, accompanied by a report on the project implementation status up to the extension request date. The extension period for urgent projects shall not exceed six months, and for potential projects, it shall not exceed twelve months.

Within 30 days, the Fund will review and issue a written response regarding the acceptance or non-acceptance of the project extension request.

1. The Fund shall organize the evaluation of research project results through the Scientific Council as stipulated in Article 6 of this Circular.

2. The content of evaluating research project results shall be carried out based on five groups of criteria, specifically as follows:

a) Evaluating the completeness in terms of quantity, volume, and types of products of the research project;

b) Evaluating the appropriateness of the approach to the research problem, research methods, and techniques used;

c) Evaluating the scientific and technological requirements achieved by the products of the research project;

d) Evaluating the practical significance of the research project and its potential for transferring research outcomes;

đ) Evaluating outstanding results of the research project.

3. The working method of the Scientific Council during the meeting to evaluate research project results shall be regulated by the Fund Management Board.

Based on the evaluation of research project results by the Scientific Council, the Director of the Fund shall submit to the Fund Management Board for consideration and decision. In necessary cases, the Fund Management Board shall seek independent expert advice before making a decision.

1. On the basis of the evaluation of research project results by the Scientific Council, the leading organization and the project leader shall be responsible for registering to retain the implementation results according to the regulations of the National Science and Technology Information Center.

2. The Fund Management Board shall decide to recognize the implementation results of the research project based on the evaluation of the Scientific Council and the certification of registration of the implementation results of science and technology tasks issued by the National Science and Technology Information Center.

3. The recognition decision of the implementation results shall serve as the basis for conducting financial settlement procedures and contract termination.

4. If the research project is evaluated as not meeting the standard or has been suspended, it shall be handled according to the investment regulations and financial mechanisms for scientific and technological activities.

In case the research project does not meet the standard, the project leader shall not be allowed to register as the leading organization for a new research project within two (02) years from the date of the decision.

In case there is misconduct leading to suspension of implementation or criminal prosecution or violation of scientific ethics, the project leader and related persons shall not participate in projects funded by the Fund within five (05) years from the date of the decision on handling violations.

5. The publication and transfer of research project results shall be carried out in accordance with current regulations.

1. Responsibilities of the leading organization of the research project:

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

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

c) Receiving and supporting the project leader in managing and using the funds provided by the Fund, and settling accounts according to regulations; confirming the progress and situation of fund usage, ensuring documentation before the Fund and relevant state agencies;

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

đ) Jointly with the project leader, being responsible for the results of implementing the research project;

e) Using management costs from the research project's budget for general management, financial, and administrative activities related to the research project according to regulations;

g) Carrying out procedures for evaluating results, accepting the research project, and recovering funds (if applicable) according to regulations;

h) Organizing the management and exploitation of research project results and enjoying benefits from these activities according to regulations;

i) Implementing the publication and registration of intellectual property rights protection for research project results according to regulations;

k) Implementing the registration of storing research project results at the National Science and Technology Information Center according to regulations.

2. A scientific and technological organization violating the provisions of Clause 1 of this Article shall not be allowed to register as the leading organization for projects funded by the Fund within one year, starting from the date of the conclusion by the competent authority.

Article 20. Responsibilities of the Project Leader

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

2. Use funds for the intended purpose, in accordance with regulations, effectively as stipulated in the contract; carry out settlement and final accounting of the project's funds in accordance with the provisions.

3. Supervise and urge organizations and individuals participating in the collaboration to fulfill their obligations under the contract in implementing the project. Report on the research situation, project implementation, fund usage, and project outcomes according to the Fund's regulations.

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

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

Chapter IV

IMPLEMENTING PROVISIONS

Article 21. Effective Date

1. This Circular takes effect from February 1, 2015, replacing the Provision on the Organization and Implementation of Urgent Scientific and Technological Tasks Arising with Significant Scientific and Practical Importance, and Promising Scientific and Technological Tasks with Risk Characteristics issued together with Decision No. 32/QĐ-HĐQLQ dated September 14, 2012 of the Management Board of the Fund.

2. For projects approved for funding by the Fund before the effective date of this Circular, they shall be implemented in accordance with the Provision on the Organization and Implementation of Urgent Scientific and Technological Tasks Arising with Significant Scientific and Practical Importance, and Promising Scientific and Technological Tasks with Risk Characteristics issued together with Decision No. 32/QĐ-HĐQLQ dated September 14, 2012 of the Management Board of the Fund.

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