Circular No. 84/2017/TT-BQP on the management of scientific and technological research topics within the Ministry of National Defense

CIRCULAR

Regulations on the management of scientific and technological research topics within the Ministry of National Defense

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

Pursuant to DecreeNo. 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. 95/2014/NĐ-CP dated October 17, 2014 of the Government on investment and financial mechanisms for scientific and technological activities;

Pursuant to Decree No. 35/2013/NĐ-CP dated April 22, 2013, of the Government, stipulating the functions, tasks, powers, and organizational structure of the Ministry of National Defense;

Considering the proposal of the Director of the Military Science Bureau under the Ministry of National Defense;

The Minister of National Defense promulgates this Circular on the management of scientific and technological research topics within the Ministry of National Defense.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

Article 1. This Circular stipulates the management of scientific and technological research topics within the Ministry of National Defense using state budget funds, including: Research topics under programs, projects, and plans for science and technology; independent research topics at the level of the Ministry of National Defense; research topics at the grassroots level; national-level scientific and technological research topics included in the annual list of scientific and technological tasks proposed and implemented by the Ministry of National Defense (hereinafter referred to collectively as research topics).

Article 2. Scientific and technological research topics according to protocols, special scientific and technological research topics assigned directly by the Minister of National Defense for implementation do not fall within the scope of regulation of this Circular.

Article 2. Applicability

This Circular applies to agencies, units, organizations, and individuals inside and outside the military implementing scientific and technological research topics within the Ministry of National Defense.

Article 3. Explanation of Terms

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

1. National-level research topic implemented within the Ministry of National Defense is an independent national-level scientific and technological research topic, a research topic under national key science and technology programs ordered and carried out by units under the Ministry of National Defense (hereinafter referred to as national-level research topic).

2. Research topic management agency is the agency responsible for managing scientific and technological research topics at various levels within the Ministry of National Defense. The research topic management agency at the level of the Ministry of National Defense is the Military Science Bureau (hereinafter referred to as the research topic management agency). The research topic management agency at the grassroots level is an organization under agencies and units directly subordinate to the Ministry of National Defense responsible for managing grassroots-level research topics.

3. Main managing unit of research topics at the Ministry of National Defense level is an agency or unit directly subordinate to the Ministry of National Defense (hereinafter referred to as the main managing unit of research topics).

4. Leading unit implementing research topics is the unit directly implementing research topics. In cases where the leading unit is a direct subordinate of the Ministry of National Defense, the leading unit implementing research topics is simultaneously the main managing unit of research topics.

5. Budget management agency is the agency responsible for directly managing state budget funds to organize the implementation of research topics (hereinafter referred to as the budget management agency).

Article 4. Code number of research topics

Clause 1. The code number of national-level research topics shall be implemented in accordance with Circular No. 09/2014/TT-BKHCN dated May 27, 2014 of the Minister of Science and Technology on the management of national-level scientific and technological tasks.

Clause 2. The code number of research topics at the Ministry of National Defense level is recorded as follows: DTCTCN.XX/YY, DTCTNT.XX/YY, DTCTXH.XX/YY, DTDACN.XX/YY, DTĐACN.XX/YY, DTĐLCN.XX/YY, DTĐLNT.XX/YY, DTĐLXH.XX/YY, DTĐLHY.XX/YY. The code number of research topics at the Ministry of National Defense level is issued by the Military Science Bureau.

Where:

a) DTCTCN is a general symbol for research topics under the program of military science and technology.

b) DTCTNT is a general symbol for research topics under the program of military arts and science.

c) DTCTXH is a general symbol for research topics under the program of military social sciences and humanities.

d) DTDACN is a general symbol for research topics under the project of military science and technology.

đ) DTĐACN is a general symbol for research topics under the plan of military science and technology.

e) DTĐLCN is a general symbol for independent research topics in the field of military science and technology.

g) DTĐLNT is a general symbol for independent research topics in the field of military arts and science.

h) DTĐLXH is a general symbol for independent research topics in the field of military social sciences and humanities.

i) DTĐLHY is a general symbol for independent research topics in the field of military logistics and medical science.

k) XX is a group of two digits recording the serial number of research topics at the Ministry of National Defense level arranged by the Military Science Bureau in each group during the year of implementation.

l) YY is a group of two digits recording the last two digits of the year of implementation of research topics at the Ministry of National Defense level.

m) Between the group of letters representing the field and the group of digits representing the serial number of research topics is a period; between the group of digits representing the serial number of research topics and the group of digits representing the year of implementation is a slash.

Clause 3. The code number of grassroots-level research topics is recorded as follows: DTCS_CN.XX/YY/Z...Z, DTCS_NT.XX/YY/Z...Z, DTCS_XH.XX/YY/Z...Z, DTCS_HY.XX/YY/Z...Z. The code number of grassroots-level research topics is issued by the head of the grassroots-level research topic management agency.

Where:

a) DTCS_CN is a general symbol for independent research topics in the field of military science and technology.

b) DTCS_NT is a general symbol for independent research topics in the field of military arts and science.

c) DTCS_XH is a general symbol for independent research topics in the field of military social sciences and humanities.

d) DTCS_HY is a general symbol for independent research topics in the field of military logistics and medical science.

đ) XX is a group of two digits recording the serial number of grassroots-level research topics arranged by the leading unit of the research topic in each group during the year of implementation.

e) YY is a group of two digits recording the last two digits of the year of implementation of grassroots-level research topics.

g) Between the group of letters representing the field and the group of digits representing the serial number of research topics is a period; between the group of digits representing the serial number of research topics and the group of digits representing the year of implementation is a slash.

h) Z...Z is a group of symbols representing the name of the unit specified by the head of the agency or unit directly subordinate to the Ministry of National Defense.

Article 5. Announcing the list, collecting, registering, retaining, and providing information on the implementation of research topics

The announcement of the list, collection, registration, retention, and provision of information on scientific and technological research topics shall be carried out in accordance with the regulations of the Ministry of National Defense regarding the collection, registration, retention, and provision of information on scientific and technological tasks within the Ministry of National Defense and related provisions.

Article 6. Financial matters of research topics

1. The budget for implementing research topics includes the budget for implementing the contents and the management budget for research topics.

2. The budget for implementing the contents of research topics includes the budget supported from the state budget for scientific and technological affairs, the national defense budget, and other lawful sources.

3. The management budget for research topics is taken from the state budget for scientific and technological affairs and the national defense budget to cover management activities for research topics.

4. The source of the budget for implementing the contents of research topics is balanced to the Ministry of National Defense to allocate to the leading unit to fund the implementation of the research topic according to the progress stipulated in the science and technology contract (hereinafter referred to as the contract).

5. The Ministry of National Defense encourages the mobilization of lawful funds outside the state budget to implement research topics.

6. The construction of the budget estimate, management, utilization, settlement, and final accounting of the budget for research topics shall be carried out in accordance with the State's and the Ministry of National Defense's current financial management regulations for scientific and technological affairs.

Chapter II

MANAGEMENT OF THE IMPLEMENTATION OF RESEARCH TOPICS

Section 1

NATIONAL LEVEL RESEARCH TOPICS

Article 7. Determining research topics, proposing the leading unit to implement national level research topics

The determination of research topics and the proposal of the leading unit to implement national level research topics shall be carried out in accordance with the regulations of the Ministry of Science and Technology and the Ministry of National Defense.

Article 8. Signing contracts to implement national level research topics

The Director of the Military Science Department together with relevant units under the Ministry of Science and Technology signs a contract with the leading unit and the head of the research topic implementing the national level research topic according to the model contract prescribed in Circular No. 05/2014/TT-BKHCN dated April 10, 2014, issued by the Ministry of Science and Technology titled "Model Contract for Scientific Research and Technological Development."

Article 9. Reporting and inspection system for the implementation of national level research topics

1. Every six months from the date the contract becomes effective or upon urgent request from the competent authority, the leading unit implementing the national level research topic within the Ministry of National Defense shall prepare a progress report or a report as required and submit it to the Ministry of Science and Technology, the Military Science Department, and the managing unit of the research topic. If the leading unit fails to submit the progress report as required for two consecutive times or more, funding for the implementation of the research topic will be suspended and handled according to the signed contract. In cases of force majeure preventing timely reporting, the leading unit must inform the managing authority.

2. The Military Science Department shall organize regular or urgent inspections of the progress, content, and budget usage of the research topic according to the signed contract, either independently or in collaboration with the managing unit of the national level research topic and the managing unit of the research topic. When there are signs of violation or at the request of the leading unit implementing the research topic, the managing authority shall organize urgent inspections of the research topic. The managing authority shall notify the leading unit implementing the research topic at least five working days before conducting a regular inspection.

3. Based on the results of the inspection, the Military Science Department shall propose recommendations and suggestions to the Ministry of Science and Technology and the Ministry of National Defense to require the managing unit of the research topic to take necessary measures to ensure the progress and quality of the research topic's products according to the signed contract.

Article 10. Evaluation at the Basic Level for National-Level Research Projects

1. The Military Science Department shall be responsible for organizing the basic-level evaluation of the results of national-level research projects implemented within the Ministry of National Defense. The procedures and formalities for evaluating national-level research projects at the basic level shall be carried out in accordance with Circular No. 91/2015/TT-BQP dated August 11, 2015, issued by the Minister of National Defense on the evaluation and acceptance of the results of scientific and technological research projects within the Ministry of National Defense.

2. The leading unit implementing the project shall prepare the dossier through the managing agency of the project to report to the Military Science Department for the organization of the basic-level evaluation of the national-level research project.

Section 2

NATIONAL DEFENSE MINISTRY PROJECTS

Article 11. Determination of Projects, Direct Assignment, and Selection of Units and Individuals to Lead Implementation of National Defense Ministry Projects

The determination of projects, direct assignment, and selection of units and individuals to lead the implementation of National Defense Ministry projects shall be carried out in accordance with Circular No. 41/2014/TT-BQP dated June 5, 2014, issued by the Minister of National Defense on the assignment of tasks and selection of leading units to implement military science and art research projects and military social science and humanities research projects at the National Defense Ministry level, or Circular No. 39/2015/TT-BQP dated May 23, 2015, issued by the Minister of National Defense on direct assignment and selection of units and individuals to lead the implementation of scientific and technological research projects within the National Defense Ministry.

Article 12. Signing Contracts for the Implementation of National Defense Ministry Projects

The Military Science Department shall sign contracts with the managing agency of the project, the leading unit implementing the project, and the project leader. The contract shall be executed according to Form B1-HDKHCN attached to this Circular.

Article 13. Reporting, Inspection, Audit, and Supervision of the Implementation of National Defense Ministry Projects

1. Every six months from the date the contract becomes effective or upon the urgent request of the project management agency, the leading unit implementing the National Defense Ministry project shall prepare progress reports according to Form B2-BCDK attached to this Circular or reports based on the required content and submit them to the managing agency of the project and the project management agency through the managing agency of the project. If the leading unit fails to submit progress reports as prescribed for two consecutive times or more, funding for the project will be suspended and handled according to the signed contract. In cases of force majeure preventing timely reporting, the leading unit implementing the project must report to the project management agency.

2. Regular or urgent inspections regarding the progress, content, and financial usage of the project according to the signed contract shall be organized by the Military Science Department, in coordination with the managing agency of the project. When there are signs of violation or at the request of the leading unit implementing the project, the project management agency shall organize urgent inspections of the project. The inspection period shall be notified to the leading unit implementing the project by the project management agency at least five working days in advance.

3. Based on the inspection results, the project management agency shall recommend and propose to the Ministry of National Defense to require the managing agency of the project to take necessary measures to ensure the progress and quality of the project's products according to the signed contract.

4. Where necessary, the project management agency shall organize supervision and cooperate in auditing the implementation of the project's contents.

Article 14. Adjustment of Contracts for Implementing Ministry of National Defense Topics

1. The leading unit implementing the topic may proactively adjust the budget estimate within the total allocated budget according to current regulations.

2. Adjustments concerning the leading unit implementing the topic, objectives, products, and the total state budget support already approved shall be reviewed and decided by the Minister of National Defense based on the proposal of the topic management agency.

3. The Minister of National Defense authorizes the Director of the Military Science Department to decide on adjusting other contents within the scope of the signed contract based on the proposal document of the topic's leading unit, except for the contents stipulated in Clause 2 of this Article.

4. The adjustment of the implementation time for the topic can only be carried out once for each topic. The extension period shall not exceed twelve months for topics with an implementation duration of twenty-four months or more, and not more than six months for topics with an implementation duration under twenty-four months. In special cases, the Minister of National Defense shall decide. The extension of the implementation time for the topic shall only be considered at least one month before the contract ends.

5. When necessary, the topic management agency shall seek opinions from the agencies and units proposing the topic and related agencies before deciding to adjust the contract.

Article 15. Evaluation, Acceptance, and Recognition of Results of Implementing Ministry of National Defense Topics

1. The Military Science Department shall organize the evaluation, acceptance, recognition of results, and settlement of contracts for implementing topics. The contract settlement shall follow Table B3-TLHD attached to this Circular.

2. The procedures and formalities for evaluating, accepting, and recognizing the results of implementing topics shall be carried out according to the provisions of Circular No. 44/2014/TT-BQP dated June 12, 2014, issued by the Minister of National Defense on the evaluation and acceptance of military science and art topics and military social and humanistic science topics at the Ministry of National Defense level or Circular No. 91/2015/TT-BQP dated August 11, 2015, issued by the Minister of National Defense on the evaluation and acceptance of results of implementing science and technology topics within the Ministry of National Defense.

Article 16. Management of Assets of Ministry of National Defense Topics

Assets purchased or formed during the implementation of Ministry of National Defense topics using state budget funds shall be managed and disposed of according to the provisions of Joint Circular No. 16/2015/TTLT-BKHCN-BTC dated September 1, 2015, issued by the Ministry of Finance and the Ministry of Science and Technology guiding the management and disposal of assets formed through the implementation of science and technology tasks using state budget funds and relevant regulations.

Section 3

TOPICS AT THE BASE LEVEL

Article 17. Determination of Topics, Direct Assignment, Selection of Units and Individuals to Lead Implementation of Base Level Topics

The determination of topics, direct assignment, and selection of units and individuals to lead the implementation of base level topics shall be carried out according to the regulations of the Ministry of National Defense regarding direct assignment and selection of units and individuals to lead the implementation of science and technology topics within the Ministry of National Defense.

Article 18. Reporting System, Inspection, Audit, Supervision, and Adjustment of Contracts for Implementing Base Level Topics

The heads of agencies and units directly subordinate to the Ministry of National Defense shall establish reporting systems, inspections, audits, supervision, and adjustments of contracts for implementing base level topics in accordance with this Circular and the actual situation of science and technology work in their respective agencies and units.

Article 19. Evaluation, acceptance, and recognition of the results of implementing grassroots-level projects

The evaluation, acceptance, and recognition of the results of implementing grassroots-level projects shall be carried out in accordance with the regulations of the Ministry of National Defense on evaluating and accepting the results of scientific and technological projects within the Ministry of National Defense and related provisions.

Article 20. Management of assets of grassroots-level projects

Assets purchased or formed during the implementation of grassroots-level projects funded by the state budget shall be managed and disposed of in accordance with Circular Joint No. 16/2015/TTLT-BKHCN-BTC dated September 1, 2015, issued by the Ministry of Finance and the Ministry of Science and Technology guiding the management and disposal of assets formed through the implementation of scientific and technological tasks funded by the state budget and related provisions.

Chapter III

DUTIES AND LIMITATIONS OF ORGANIZATIONS, UNITS, AND INDIVIDUALS

Article 21. Duties and authorities of the project management agency under the Ministry of National Defense

1. To take the lead and coordinate with relevant agencies and units to organize advisory boards to determine the list of national-level projects, submit it for approval by the Minister of National Defense, and send the proposed list of national-level projects to be implemented within the Ministry of National Defense to the Ministry of Science and Technology.

2. To take the lead and coordinate with relevant agencies and units to determine the list of Ministry-level projects, submit it for approval by the Minister of National Defense.

3. To take the lead in reviewing the Project Description and auditing the budget; submit the results of the review of the Project Description and budget audit of Ministry-level projects for approval by the Minister of National Defense.

4. To jointly with the Head of the Program, Project, and Scientific and Technological Initiative (if any), acting as the contracting party (Party A), sign contracts with the managing unit of the project, the leading unit implementing the project, and the project leader.

5. To coordinate with the Financial Department of the Ministry of National Defense and relevant state agencies in compiling and balancing the budget for implementing Ministry-level projects to allocate them into the state budget plan.

6. To take the lead in inspecting; coordinate with relevant agencies and units to audit the implementation of Ministry-level projects; take the lead or coordinate with the competent agency of the Ministry of Science and Technology to inspect national-level projects; adjust the implementation contract according to Clause 3, Article 14 of this Circular.

7. To take the lead in organizing the evaluation, acceptance, recognition of results, and liquidation of the implementation contract of Ministry-level projects; to take the lead in organizing the grassroots-level evaluation of national-level projects.

8. To manage the list, content, and results of projects implemented by units within the Ministry of National Defense with ministries, sectors, and localities.

9. Other duties and authorities as prescribed by law.

Article 22. Duties and authorities of the budget management agency for projects

1. To implement the receipt, disbursement, and settlement of the budget for implementing projects.

2. To coordinate in supervising, inspecting, and auditing the implementation of projects.

3. To coordinate with the project management agency to participate in evaluating, accepting, confirming the disbursement and settlement of the budget, recognizing the results of implementing projects; to coordinate with the project leader to report on the project budget.

4. Other duties and authorities as prescribed by law.

Article 23. Responsibilities and Authorities of the Agency Proposing to Order Research Topics

1. Be responsible for the content and quality standards of the proposed research topic.

2. Coordinate with the research topic management agency in determining the research topic, direct assignment, selection, evaluation, and acceptance of the research topic.

3. Appoint representatives to participate in advisory board meetings to determine the research topic, direct assignment review boards, and evaluation and acceptance boards of the research topic.

4. Organize the receipt and be responsible for applying the research results of the proposed research topic after evaluation and acceptance; report annually or at any time in writing to the research topic management agency on the application results.

5. Other responsibilities and authorities as prescribed by law.

Article 24. Responsibilities and Authorities of the Main Managing Unit of the Research Topic

1. Direct units and individuals to perfect the research topic description after receiving the decision approving the review result and cost verification of the research topic by the Minister of National Defense.

2. Be responsible as the recipient party (Party B) to sign a contract with the Military Science Department and settle the contract after the research topic has been evaluated and accepted by the Ministry of National Defense.

3. Direct the main implementing unit to carry out the research topic; inspect, urge the implementation of the research topic and resolve issues within its authority; confirm the volume and results of the research topic's implementation as the basis for payment, settlement, and further funding for the research topic.

4. Implement reporting systems on the results and progress of using the research topic funds, the next period's budget estimate with the Ministry of National Defense (through the Military Science Department) according to Form B4 - BCTCĐT attached to this Circular; provide full information to the research topic management agency for supervision, inspection, and audit of the research topic.

5. Coordinate with the research topic management agency to inspect, audit, and supervise the research topic.

6. Manage allocated funds and complete settlement procedures as prescribed.

7. Lead the organization to evaluate the research topic according to Circular No. 44/2014/TT-BQP dated June 12, 2014, issued by the Minister of National Defense on evaluating and accepting military arts and social sciences research topics at the Ministry of National Defense level or Circular No. 91/2015/TT-BQP dated August 11, 2015, issued by the Minister of National Defense on evaluating and accepting the results of science and technology research topics within the Ministry of National Defense.

8. Manage, exploit, transfer research results and manage assets formed during the implementation of the research topic according to state regulations and those of the Ministry of National Defense.

9. Report the comprehensive settlement of research topic funds that have been evaluated and accepted according to Form B5-BCTHKPĐT attached to this Circular.

10. Organize the review of descriptions; inspections; evaluations, and acceptances of research topics at the grassroots level under their own management scope.

11. Annually report to the Military Science Department on the list, content, and research results of topics implemented with ministries, sectors, and localities as prescribed.

12. Other responsibilities and authorities as prescribed by law.

Article 25. Responsibilities and Authorities of the Main Implementing Unit of the Research Topic

1. Be responsible for the content of the description, budget estimates, and results of the approved research topic.

2. Select the principal investigator who has sufficient professional qualifications and organizational capabilities to lead the research topic. In case of changing the principal investigator, a written report must be submitted and approved by the research topic management agency.

3. Together with the principal investigator, sign a contract with the research topic management agency and fully implement all commitments in the contract.

4. Ensure material conditions (equipment, workshops, means of transportation), human resources, mobilize sufficient legitimate financial sources outside the state budget (if any), and other conditions to ensure the implementation of the research topic according to the signed contract.

5. Use the research topic implementation funds effectively according to the signed contract; provide sufficient and timely funds from committed sources in the contract to the principal investigator and organizations and individuals participating in the research topic's implementation; follow current procedures for payment and settlement of funds.

6. Implement reporting systems to the research topic management agency as prescribed. Create favorable conditions and provide full information to the research topic management agency for inspection and audit of the research topic's implementation. Recommend to the research topic management agency any adjustments needed to achieve the research topic's objectives, content, and products.

7. Organize the registration of intellectual property rights protection from the research topic's results for organizations and individuals according to the law.

8. Implement the publication and submission of research topic implementation results according to current regulations.

9. Organize the management, exploitation, and transfer of research topic results, enjoy the benefits and bear responsibility for distributing the interests from these activities according to the law.

10. The research results of topics implemented by the main implementing unit are recorded and serve as a basis for considering rewards and being assigned to undertake other scientific and technological tasks.

11. Other responsibilities and authorities as prescribed by law.

Article 26. Responsibilities and authorities of the project leader

1. Establishing and perfecting the project description to meet the objectives and produce products according to the approval decision.

2. Signing contracts on behalf of one of the parties receiving orders to implement the project.

3. Organizing the implementation of the project and being responsible for its honesty, scientific value, results, and effectiveness as stipulated in the signed contract; proposing to the leading unit about application plans or commercialization of products derived from the project's outcomes.

4. Ensuring conditions for implementing the project as committed in the contract and proposing necessary adjustments.

5. Cooperating with the leading unit to register intellectual property rights protection for the project in accordance with the law.

6. Supervising and urging participating units and individuals. Reporting project implementation results as required. Leading the preparation of scientific and technological summary reports and other documents as stipulated in the signed contract with the leading unit.

7. Other responsibilities and authorities as prescribed by law.

Chapter IV

IMPLEMENTING PROVISIONS

Article 27. Effectiveness and transitional provisions

1. This Circular takes effect from May 26, 2017.

2. In cases where laws and regulations cited in this Circular are amended, supplemented, or replaced, the corresponding provisions in the amended, supplemented, or replacing documents shall apply.

Article 28. Responsibility for Implementation

1. The Chief of General Staff, the Director of the Political General Department, heads of agencies and units under the Ministry of National Defense are responsible for implementing this Circular.

2. The Director of the Military Science Bureau shall inspect and urge the implementation of this Circular.

3. Any difficulties arising during implementation should be reported to the Ministry of National Defense (through the Military Science Department) for study and amendment./.