CIRCULAR

REGULATING THE PROVISIONS ON MANAGEMENT OF MINISTERIAL-LEVEL THEMES OF SCIENCE AND TECHNOLOGY OF THE MINISTRY OF EDUCATION AND TRAINING

MINISTER OF EDUCATION AND TRAINING

Pursuant to the Decree No.178/2007/ND-CP of December 03, 2007 of the Government defining the functions, tasks, powers and organizational structure of ministries, ministerial-level agencies;

Pursuant to the Decree No.32/2008/ND-CP of March 19, 2008 of the Government defining the functions, tasks, powers and organizational structure of the Ministry of Education and Training;

Pursuant to the Decree No.75/2006/ND-CP of August 02, 2006 of the Government detailing and guiding a number of Articles of the Law on Education;

Pursuant to the Decree No.81/2002/ND-CP of October 17, 2002 of the Government detailing the implementation of a number of Articles of the Law on Science and Technology;

Pursuant to Decree No.201/2004/ND-CP of December 10, 2004 of the Government promulgating the Regulation on management of activities of social sciences and humanities;

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Minister of Education and Training decides:

Article 1.To issue together with this Circular the Regulations on management of ministerial-level themes of science and technology of the Ministry of Education and Training.

Article 2. This Circular takes effect from May 19, 2010 and replaces the Decision No.24/2005/QD-BGD & DT dated August 02, 2005 of the Minister of Education and Training, promulgating the Regulation on management of ministerial-level themes of science and technology of the Ministry of Education and Training. All previous provisions contrary to the provisions of this Circular are annulled.

Article 3. Office chief, Director of Department of Science, Technology and Environment, the heads of units of the Ministry of Education and Training, Directors of the Universities, the principals of the universities, colleges, Directors of the Research Institutes, directors of the scientific research centers are responsible for the implementation of this Circular.

FOR MINISTER
DEPUTY MINISTER




Tran Quang Quy

REGULATION

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Chapter I

GENERAL PROVISIONS

Article 1. Scope of governing and subjects of application

1. This document provides for the management of ministerial-level themes of science and technology, ministerial-level tasks of science and technology (hereinafter referred to as ministerial-level themes of science and technology) of the Ministry of Education and Training including: determination of the list, selection, approval and assignment of ministerial-level themes of science and technology and organization to deploy and inspect the implementation of ministerial-level themes of science and technology and assess the performance of the ministerial-level themes of science and technology.

2. This document applies to the universities, institutes, universities and colleges, research institutions and scientific research centers under the Ministry of Education and Training, the units of the Ministry of Education and Training, the organizations and individuals to be selected or assigned the ministerial-level themes of science and technology by the Ministry of Education and Training.

Article 2. Ministerial-level themes of science and technology

1. The ministerial-level themes of science and technology to solve the following issues:

a) To improve the quality of education and training;

b) To serve the development of education and socio-economic development;

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2. The ministerial-level themes of science and technology shall be approved by the Minister of Education and Training and assigned to organizations and individuals for the implementation.

3. Each ministerial-level theme of science and technology shall be in charge by a scientist with members to participate in the research and a member to be the scientific secretary of the theme, there is not co-presider of theme.

4. Time for the implementation of ministerial-level theme of science and technology shall be no later than 24 months after it is approved and funded for implementation.

Article 3. Requirements for the ministerial-level themes of science and technology

1. With feasibility.

2. With scientific value, creating new and innovative products.

3. With practical value, meeting the development requirements of educational sector, socio-economic development.

Article 4. Standards of the presiders of the ministerial-level themes of science and technology

The individuals registering to be presiders of the ministerial-level themes of science and technology must have the following criteria:

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2. There is at least one work published in the domestic and abroad scientific journal in the field of research or the field close to the theme, or presiding basic-level theme or higher which has been accepted in the field of research.

3. At the time of the selection, they are not the presiders of the ministerial-level themes or projects of trial production of the Ministry of Education and Training, or not being handled in accordance with Clause 1 of Article 34 of this Regulation.

Article 5. The presiders of the ministerial-level themes of science and technology

1. To set up explanation for the ministerial-level theme of science and technology Department (hereinafter referred to as theme explanation).

2. To organize the performance of the research task according to the contents and the progress recorded in the theme explanation; observe the requirements to check the implementation of the theme of the presiding agency and the governing agency.

3. To make sure that the theme shall not be overlapped with the themes which were and being implemented, the master thesis, doctoral dissertation protected; make sure to show clearly and fully quote along with the source of quoted text.

4. To report every six months and annually on the implementation of theme.

5. To write final report and summary report of theme.

6. To make payment, settlement of funding of the themes in accordance with the current financial provisions and transfer fixed assets purchased from funds of the themes (if any) to the agencies presiding over the themes for management after it is ended.

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8. To publicize the results of research of the themes on electronic information page of the presiding agencies and the mass media according to current regulations.

Article 6. Powers of presiders of the ministerial-level themes of science and technology

1. To recommend to the heads of directly-managing agencies and agencies presiding over the themes for creating the conditions of time, funding, equipment, laboratories, workshops to implement the theme.

2. To select the participants in the research of theme, sign contracts with the organizations or individuals inside and outside the unit to deploy the research contents in accordance with current regulations.

3. To propose adjustment, supplement to the theme explanation with the presiding agency and governing agency.

4. To require the presiding agencies to assess for acceptance of theme after submission of complete dossiers as prescribed.

5. To be established intellectual property rights to protect the results of theme research.

6. To transfer research results of the themes in accordance with the current regulations.

Article 7. Source of funding for the implementation of the ministerial-level themes of science and technology

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a) From the State budget;

b) From the lawful revenues of the agencies presiding over themes;

c) From the international cooperation activities;

d) Support of the establishments applying the research results, the social and economic organizations;

đ) From other lawful revenue sources.

2. To encourage the individuals, collectives, organizations to implement the themes with funds outside the state budget.

Article 8. Agencies presiding over the ministerial-level themes of science and technology

1. Agencies presiding over the ministerial-level themes of science and technology are the universities, academies, universities, colleges, institutes and scientific research centers and institutions of science and technology managed by the Ministry of Education and Training to organize the implementation of the ministerial-level themes of science and technology.

2. Agency presiding over themes coordinates with the Department of Science, Technology and Environment, Ministry of Education and Training in the wholly management of the ministerial-level themes of science and technology of the unit.

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DETERMINATION OF THE LIST, SELECTION AND APPROVAL AND ASSIGNMENT OF THE MINISTERIAL-LEVEL THEMES OF SCIENCE AND TECHNOLOGY

Article 9. The process of determining the list of the ministerial-level themes of science and technology

1. The education managing authorities; academies, universities, colleges, institutes and science research centers; ministries, branches, localities and enterprises; organizations and individuals of proposing the ministerial-level themes of science and technology (Form 1, Appendix I) before February 28 of the year preceding the plan year.

2. The Ministry of Education and Training sets up a council to determine the list of the ministerial-level themes of science and technology.

3. Time to determine the list of the ministerial-level themes of science and technology is before March 31 of the year preceding the plan year.

4. The Ministry of Education and Training announces publicly on the website of the Ministry of Education and Training and the mass media the list of the ministerial-level themes of science and technology which have been determined for the organizations and individuals to participation in the selection.

Article 10. Criteria for determining the ministerial-level themes of science and technology

1. The ministerial-level themes of science and technology is determined on the basis of evaluation of the theme proposal according to the following criteria: theme’s name, the urgency of the theme, the goal of the theme, research content, products and expected results of the theme, funding and expected efficiency of the theme (Form 2, Appendix I).

2. Theme’s name is evaluated according to the contents: clarity; generality; overlap with the themes which were and being studied.

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4. The goal is evaluated according to the contents: clarity, detail; conformity with theme’s name.

5. Research content is evaluated according to the contents: conformity with the goal of the theme, the feasibility of implementation.

6. Products and expected results of the theme are evaluated according to the contents: the ability to obtain scientific products, training products, product of applications, other products.

7. Funding of the theme is evaluated according to the contents: the conformity with the research content.

8. Expected efficiency of the theme is evaluated according to the contents: the efficiency of education and training, the socio-economic efficiency, scientific efficiency.

Article 11. Council to determine the list of the ministerial-level themes of science and technology

1. The Minister of Education and Training decides to set up a council to determine the list of the ministerial-level themes of science and technology.

2. The Council to determine the list of themes has seven or nine members, including the chairman, secretary and members. Council consists of three members (for the council with 7 members) or 4 members (for the council with 9 members) are representatives of the state authorities, organizations of application of research results of theme; the remaining members are the scientists in the concerned field of science and technology. Council members are the prestige professionals of objectivity, professional qualifications, and knowledge of the theme field.

3. Working methods of the Council:

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b) Chairman of the council directly presides over the meeting.

c) Documentation of the meeting is sent to the members at least three days prior to the meeting.

d) The council members evaluate the theme proposals under slip of theme proposal assessment (Form 2, Appendix I). Written opinions of the absent members are only for reference.

e) Theme proposal is included in the list of the ministerial-level themes of science and technology for selection of organizations and individuals to implement if there are more than 2/3 of the council members who are present to classify "Satisfactory". Theme proposal evaluation results are recorded in the minutes of the council meeting to determine the list of themes (Form 3, Appendix I).

Article 12. The process of selection of organizations and individuals to implement the ministerial-level themes of science and technology

1. The organizations, individuals that meet the criteria in Article 4 and Article 8 of this Regulation can register to participate in the selection to implement the ministerial-level themes of science and technology.

3. The Ministry of Education and Training establishes a council to select organizations and individuals to implement the ministerial-level themes of science and technology.

4. Time to select is before May 31 of the year preceding the plan year.

5. The Ministry of Education and Training announces publicly on mass media the result of selection of the organizations and individuals to implement the ministerial-level themes of science and technology.

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1. Registration dossier for selection includes:

a) Theme explanation (15 explanations/theme) (Form 4, Appendix I);

b) Scientific potential of the organizations and individuals to implement the ministerial-level themes of science and technology (15 explanations/theme) (Form 5, Appendix I);

c) Confirmation of the organizations or individuals coordinating the execution of themes;

d) A written request made by the head of the agency presiding over theme.

2. Registration dossier for selection must be sealed and written clearly outside: theme’s name, name, address of the agency presiding over theme; full name of the theme presider, the list of documents in the dossier.

Article 14. Criteria for selection of organizations and individuals to implement the ministerial-level themes of science and technology

1. The selection of organizations and individuals to implement the ministerial-level themes of science and technology is made based on the results of evaluating the criteria presented in the registration dossier for selection.

2. Evaluation and selection criteria include:

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b) The urgency of theme: science, specification, clarity of interpretation of the urgency for the theme research;

c) The objective of theme: the level of specification, clarity on science, theory and practice of the objective needs to be achieved;

d) The approach and methods of research: the specific approach of theme (continued using the approach which has been existed or the new one); reliability, validity of the research methods to implement the theme;

đ) The objects and scope of the research: the consistence, clarity of objects, the scope of research with objectives, contents of research;

e) The contents of the research and progress to implement: the adequacy of the contents, the main tasks should be carried out, the conformity of research content with the objective of the theme, the conformity of progress with research content and duration to implement the theme;

g) Products: transparency, newness and innovation of the kind of research products expected to be achieved; conformity of the products with the objectives and content of the research;

h) Effectiveness, method of transferring research results and potential of applications;

i) The capacity of the theme presider: experience, achievements in scientific research and training; capacity to organize management and implement the themes;

k) Members to participate in the research (minimum 5 people, maximum 10 people, to encourage the post-graduates to participate in research of themes): experiences and achievements in the field of research of the themes;

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m) The scientific and technological potential of the agency presiding over theme: human resources, equipment, laboratories and other material facilities to implement the themes;

n) Estimated budget: the appropriateness of the cost estimates with the current financial regulations, the content and progress of the research, the state budget index.

Article 15. Council of selection of organizations and individuals to implement the ministerial-level themes of science and technology

1. The Minister of Education and Training decides to set up the council of selection of organizations and individuals to implement the ministerial-level themes of science and technology.

2. The council of selection has seven or nine members, including the chairman, secretary and members. Council consists of 2 members (for the council with 7 members) or 3 members (for the council with 9 members) are representatives of the state authorities, organizations of application of research results of theme; the remaining members are the scientists in the concerned field of science and technology. Council members are the prestige professionals of objectivity, professional qualifications and knowledge of the theme field. The theme presider and the participants in the theme research are not allowed participating in the council.

3. Working method of the Council:

a) The Council is held the meeting only when having the presence of at least 2/3 of the members.

b) Chairman of the council directly presides over the meeting.

c) Documentation of the meeting sent to members at least three days before the council meeting.

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e) Result of evaluating the selection is GPA of the council members and be recorded in the minutes of the meeting of the selection council (Form 7, Appendix I).

Article 16. Approval and assignment of the ministerial-level themes of science and technology

1. Based on the selection result, the Ministry of Education and Training approves the list of the ministerial-level themes of science and technology to take on science and technology plan of the plan year.

2. In the cases the themes with expenses in excess of rate specified in Item b, Point 3 of Part III of the Joint Circular No.44/2007/TTLT-BTC-BKHCN dated May 07, 2007 of the Ministry of Finance and the Ministry of Science and Technology guiding the norms of construction and allocation of cost estimates for the themes, projects of science and technology using the State budget, the Minister of Education and Training establishes the council to appraise content and cost estimates of the implementation of the ministerial-level themes of science and technology before approving the list of themes and theme explanation.

3. Based on the budget of science and technology activity granted for the Ministry of Education and Training, the Ministry of Education and Training assigns to agencies presiding over the themes to implement the themes in the first quarter of each year.

4. In addition to the themes to be selected, the Minister of Education and Training assigns directly the themes serving the direction of branch for the organizations and individuals to implement. The approval process is applied as for the themes to be selected.

Chapter III

ORGANIZATION OF IMPLEMENTATION AND INSPECTION OF THE IMPLEMENTATION OF MINISTERIAL-LEVEL THEMES OF SCIENCE AND TECHNOLOGY

Article 17. Adjustment, supplement to the explanation of ministerial-level themes of science and technology

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2. The adjustment, supplements to the explanation of theme are be considered for approval only when:

a) The period for the implementation of theme is less than 1/2 of the total execution time;

b) The theme presider is dead, serious ill, takes abroad long-term work, transfers his/her job;

c) It needs to change the contents, schedule, products, funding to achieve the research objectives proposed.

3. The Ministry of Education and Training approves supplements to the explanation of ministerial-level themes of science and technology on the basis of consideration of records of adjustment and supplements to the explanation of theme.

Article 18. Report on the implementation of ministerial-level themes of science and technology

1. The theme presider is responsible for reporting the execution of theme periodically to the agency presiding over theme before June 15 and December 15 each year.

2. The agency presiding over theme shall report to the Ministry of Education and Training before June 30 and December 30 each year (Form 9, Appendix I).

3. In extraordinary cases, agency presiding over theme and the theme presider shall report at the request of the Ministry of Education and Training.

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1. The Ministry of Education and Training inspects annually or irregularly the implementation of ministerial-level themes of science and technology.

2. Head of agency presiding over theme shall periodically inspect the execution of theme every 6 months.

3. The contents of inspection include the progress of implementation, research content, products and the use of funds of the theme compared to the theme explanation.

4. Inspection result is a basis for agency presiding over theme, the Ministry of Education and Training considers the continuation of implementation, additional adjustment and liquidation of theme.

Inspection minutes of the implementation of ministerial-level themes of science and technology (Form 10, Appendix I) stored in the agencies presiding over themes and in the Ministry of Education and Training.

Article 20. Liquidation of the ministerial-level themes of science and technology

1. The ministerial-level themes of science and technology will be made liquidation procedures if there is one of the following cases:

a) There is a written proposal for the liquidation of the agency presiding over theme;

b) There is a inspection conclusion of the Ministry of Education and Training for liquidation;

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d) Implementation time was more than 6 months without reason.

2. Council of theme liquidation has 7 members or more, consisting of experts representing the state management authorities of science and technology, financial planning, representative of the agency presiding over theme (lead of the agency presiding over theme, representatives of department/board of science and technology and department/board of financial plan), the scientists in the field of theme research (Form 18 and 19, Appendix I).

Chapter IV

ASSESSMENT OF PERFORMANCE OF MINISTERIAL-LEVEL THEMES OF SCIENCE AND TECHNOLOGY

Article 21. Organization of the performance assessment of the ministerial-level themes of science and technology

The performance assessment of the ministerial-level themes of science and technology is carried out at two levels: assessment at the grassroots-level and assessment for acceptance at the ministerial-level. Each level is organized the independent assessment.

Article 22. Assessment of outcomes of theme at the grassroots-level

1. After completing the research content, the theme presider submits to department/board of science and technology of the agency presiding over theme, reports finally the theme and the products and materials according the theme explanation to organize the evaluation of the theme outcome at the grassroots-level (hereinafter referred to as the grassroots-level assessment).

2. The grassroots-level assessment is conducted in the agency presiding over theme through the science and technology council established by the head of the agency presiding over theme (hereinafter referred to as the grassroots-level assessment council).

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1. Head of the agency presiding over theme decides to establish the grassroots-level assessment council.

2. The grassroots-level assessment council is responsible for assessment and advice to the head of the agency presiding over theme of research result achieved compared to the theme explanation.

3. Number of council members, organizational forms and the council meeting program shall be decided by the head of agency presiding over theme. The grassroots-level assessment council has at least seven members including the chairman, 2 critics, and the members, of which there are at least two members outside agency presiding over theme. The theme presider and the participants in the research are not allowed to participate in the grassroots-level assessment council.

d) The grassroots-level assessment council based on the theme explanation to evaluate the contents: level of satisfaction compared to the theme explanation, the value of science and the application of research results, research performance, superior results and quality of the final report and summary report (Form 13 and Form 14, Appendix I).

đ) The agency presiding over theme widely notifies on the website or internal bulletin of agency presiding over theme for those who are interested to attend in the grassroots-level assessment council.

Article 24. Classification of grassroots-level assessment

The grassroots-level assessment council classifies the themes by two levels: "Satisfactory" or "Unsatisfactory ".

1. The theme is assessed as "Satisfactory" if there are at least 2/3 of the council members present voting "Satisfactory".

2. The theme is assessed as "Unsatisfactory" for one of the following cases:

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b) The results of research has no scientific value, no use value, overlapped;

c) Records, documents and data on research results are not true;

d) Objectives and content of research are not consistent with research objectives, research content in the theme explanation.

Article 25. Handling of grassroots-level assessment results

1. For the themes to be evaluated at the grassroots level as "Satisfactory":

a) The theme presider completes documents according to the conclusions of the grassroots-level assessment council.

b) The agency presiding over theme inspects the modified contents of the theme presider according to the conclusions of the Council and conducts the procedures for requesting assessment for acceptance at the ministerial level.

2. For the theme assessed as "Unsatisfactory", the agency presiding over theme reports to the Ministry of Education and Training on the grassroots-level assessment result to conduct liquidation procedures.

Article 26. Assessment for acceptance of the ministerial-level theme

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2. Dossier requesting for assessment for the ministerial-level acceptance includes:

a) Final report, summary report of theme (Appendix II, Form 1 and 2, Appendix II) and the products, the document by theme explanation (together with the list of products), degrees on protection of research results (if any);

b) Research result information (Form 11, Appendix I);

c) Research result information in English (Form 12, Appendix I);

d) The CD disk saved the summary report, summary report of theme, information on theme research result, information on research result in English and the products, the materials of theme;

đ) The financial settlement statement of the theme;

e) Establishment decision and minutes of meetings of the grassroots-level assessment council;

g) Official dispatch of the agencies presiding over theme requesting the Ministry of Education and Training to make decision on the establishment of the ministerial-level assessment council for acceptance, together with the List of introducing the members the ministerial-level assessment council for acceptance (from 11 persons or more, including 3 critics) (Form 15, Appendix I).

3. The Ministry of Education and Training considers and makes decision on the establishment of the ministerial-level assessment council for acceptance.

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1. The ministerial-level assessment council for acceptance has 7 or 9 members. The council consists of five members (for the council with seven members) or 6 member (for the council with 9 members) to be the scientists, experts in the field of theme research; the remaining members are representatives of state authorities, business, production establishments or organizations related to the application and transfer of research results of theme. There are at least half of the council members to be officials outside agencies presiding over theme. There are maximum three members of the ministerial-level assessment council to be members the grassroots-level assessment council.

2. The council consists of a chairman, a secretary, two critics and the members; wherein at least one critic is the one outside the presiding agency. Chairman and the critics of the grassroots-level assessment council are not the chairman and the critics of the ministerial-level assessment council.

3. Council members are the objective, prestige scientists, experts, with appropriate professional qualifications and understanding in the field of theme research. The council members are responsible before the Minister of Education and Training on the evaluation results for theme acceptance.

4. The theme presider and the participants in the research are not allowed to participate in the ministerial-level assessment council for acceptance.

Article 28. Content of the ministerial-level assessment for acceptance

1. Level to meet the objectives, content, approaches and research methods, scientific products, training products, applicable products compared with the registration in the theme explanation.

2. Scientific value and the value of the application of research results.

3. Effectiveness of research in education and training, economy and society ...

4. The outstanding results such as post-graduate training, scientific articles published in international journals.

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Article 29. Organization of meeting of Council of the ministerial-level assessment for acceptance

1. The council of ministerial-level assessment for acceptance is held meeting within 45 days from the date of signing the decision to establish the council.

2. The council is held the meeting as having the presence of at least 2/3 of the members or more, with comments of the two critics and only be absent one critic.

3. Council meeting agenda includes:

a) Representative of the Ministry of Education and Training or representative of agency presiding over theme is authorized to read the decision on the establishment of council, introduce the council composition and the representatives.

b) Chairman presides over the meeting of the council.

c) Secretary records minute of the meeting of council of ministerial-level assessment for acceptance (Form 17, Appendix I).

d) Theme presider reports the result of the theme research.

đ) The critics read comments and ask questions.

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g) Theme presider answers the questions.

h) General exchange.

i) The council members evaluate independently by scoring each item of the slip of assessment for ministerial-level acceptance (Form 16, Appendix I).

k) The Council shall meet separately to evaluate and unify in conclusion.

l) Chairman announces the result of the evaluation of theme acceptance.

Article 30. Classification for the ministerial-level assessment for acceptance

1. The council of ministerial-level assessment for acceptance scores to classify theme according to five levels: Excellent, Good, Fairly good, satisfactory and unsatisfactory.

2. Classification of theme is based on the final point average of the present council members according to a 100 point scale: Excellence: 95-100 points; Good: 85-94 points; Fairly good: 70-84 points; Satisfactory: 50 -69 points; Unsatisfactory: less than 50 points (Form 17, Appendix I).

Article 31. Handling of results of the ministerial-level assessment for acceptance

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2. After completed the documents, the theme presider and agency presiding over theme are responsible for publishing the results of theme research on the mass media.

3. The theme presider and agency presiding over theme are responsible for carrying out the procedures to establish intellectual property rights for the protection of theme research results in accordance with current regulations of the State.

Article 32. The operational funding of the councils and inspection of the execution of theme

1. The operational funding of the council to determine the list, the selection council, appraisal council, council of the ministerial-level assessment for acceptance, the council of theme liquidation and inspection of the execution of theme is spent from the budget of science and technology activity granted every year.

2. The operational funding of the grassroots-level assessment council is spent from the budget of science and technology activity for theme.

3. Expenditure regime for the operation of the councils and inspection of the execution of theme shall comply with the current financial regulations of the State.

Chapter V

REWARDS AND HANDLING OF VIOLATIONS

Article 33. Rewards

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2. Funding for reward and the reward rate shall comply with current regulations.

Article 34. Handling of violations

1. Theme presider does not complete the task assigned according to theme explanation will be handled in the form of liquidation and must reimburse funding allocated from the State budget, and will not be registered as a ministerial-level theme presider for at least 3 years.

2. Organizations and individuals that violate these rules, depending on the nature and seriousness of the violation, shall be handled in accordance with current regulations.