Circular 43/2013/TT-BNNPTNT guiding the management of science and technology tasks, financial management of science and technology tasks and staff organization of online public science and technology organizations under the Ministry of Agriculture and Rural Development

CIRCULAR

GUIDANCE ON MANAGEMENT OF SCIENCE AND TECHNOLOGY TASKS, FINANCIAL MANAGEMENT OF SCIENCE AND TECHNOLOGY TASKS, AND ORGANIZATIONAL STRUCTURE OF PUBLIC SCIENCE AND TECHNOLOGY INSTITUTIONS AFFILIATED TO THE MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT

Pursuant to the Government’s Decree No. 01/2008/ND-CP dated January 03, 2008 defining functions, missions, authority and organizational structure of the Ministry of Agriculture and Rural Development, and the Government’s Decree No. 75/2009/ND-CP dated September 10, 2009 amending Article 3 of the Government’s Decree No. 01/2008/ND-CP;

Pursuant to the Government’s Decree No. 115/2005/ND-CP dated September 05, 2005 providing for the autonomy of public science and technology institutions and the Government’s Decree No. 96/2010/ND-CP dated September 20, 2010 providing amendments to the Decree No. 115/2005/ND-CP;

Pursuant to the Government’s Decree No. 104/2006/ND-CP dated September 22, 2006 detailing and guiding the implementation of the Law on Intellectual Property regarding plant variety rights;

At the request of the Director of the Science - Technology and Environment Department,

Minister of Agriculture and Rural Development promulgates a Circular to provide guidance on management of science and technology tasks, financial management of science and technology tasks, and organizational structure of public science and technology institutions affiliated to the Ministry of Agriculture and Rural Development.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

1. This Circular provides guidance on management of science and technology tasks (hereinafter referred to as “S&T task”), financial management of S&T tasks, and organizational structure of public science and technology institutions affiliated to the Ministry of Agriculture and Rural Development (hereinafter referred to as “MARD’s affiliated public S&T institutions”).

2. This Circular does not apply to S&T tasks performed under the Joint Circular No. 66/2012/TTLT-BNNPTNT-BTC-BKHCN dated December 28, 2012 by the Ministry of Agriculture and Rural Development, the Ministry of Finance, and the Ministry of Science and Technology providing guidance on implementation of certain articles of the Prime Minister’s Decision No. 846/QD-TTg dated June 02, 2011 on piloting orders for some science and technology products by the Ministry of Agriculture and Rural Development.

Article 2. Regulated entities

This Circular applies to MARD’s affiliated public S&T institutions, including special-rank institutions, other institutions affiliated to MARD, and entities performing S&T tasks under the management of MARD.

Chapter II

MANAGEMENT OF SCIENCE AND TECHNOLOGY TASKS

Article 3. Determination of S&T tasks

MARD’s affiliated public S&T institutions shall select and prepare the lists of S&T tasks which are proposed by the units under the management, and then send them to the Science - Technology and Environment Department for getting opinions from relevant entities and submitting them to MARD for consideration.

Article 4. Inspection of S&T tasks

1. The Science - Technology and Environment Department shall take charge and cooperate with MARD’s affiliated public S&T institutions in conducting regular inspections (or unexpected inspections) of ministerial-level S&T tasks which are under the management of the Science - Technology and Environment Department in accordance with applicable laws.

2. Directorates shall take charge and cooperate with the Science - Technology and Environment Department, and MARD’s affiliated public S&T institutions in conducting regular inspections (or unexpected inspections) of ministerial-level S&T tasks which are under their management in accordance with applicable laws.

3. Heads of MARD’s affiliated public S&T institutions shall conduct regular inspections (or unexpected inspections) of special S&T tasks, and submit reports on inspection results to MARD in accordance with applicable laws.

Article 5. Evaluation and acceptance of S&T tasks

1. For ministerial-level S&T tasks managed by the Science - Technology and Environment Department: MARD’s affiliated public S&T institutions shall evaluate and take charge of grassroots-level acceptance process, and then send reports and relevant documents thereof to the Science - Technology and Environment Department for ministerial-level evaluation and acceptance.

2. For ministerial-level S&T tasks managed by Directorates:

a) MARD’s affiliated public S&T institutions shall evaluate and take charge of grassroots-level acceptance process, and then send reports and relevant documents thereof to the Directorates for ministerial-level evaluation and acceptance;

b) The Directorates shall send reports on results of acceptance of S&T tasks to MARD in accordance with applicable laws.

3. For special S&T tasks: Heads of MARD’s affiliated public S&T institutions shall evaluate and perform the acceptance duties, and then send reports thereof to MARD in accordance with applicable laws.

Article 6. Intellectual property and technology transfer

1. Entities implementing schemes or projects that generate intellectual assets (such as plant varieties, livestock breeds, aquatic breeds, technological processes, useful solutions, industrial designs and patients) must register for protection of intellectual property rights in accordance with regulations of the Law on Intellectual Property, and its instructional documents, and must apply to MARD for certifying them as technological advances.

2. Entities implementing schemes or projects may transfer plant varieties, livestock breeds, aquatic breeds, technological processes, useful solutions, industrial designs or patients after they are certified in writing as technological advances by MARD.

3. MARD’s affiliated public S&T institutions are entitled to divide and use the proceeds from the transfer of technology in accordance with their internal spending regulations and law regulations.

Chapter III

FINANCIAL MANAGEMENT OF SCIENCE AND TECHNOLOGY TASKS

Article 7. Cost estimating

1. Cost estimates of S&T tasks must be prepared according to the form announced by MARD. A cost estimate must specify expenditure for each duty or task and classify expenditures as fixed or variable expenditures in accordance with regulations of the Joint Circular No. 93/2006/TTLT/BTC-BKHCN dated October 04, 2006 of the Ministry of Finance and the Ministry of Science and Technology providing guidance on funding management of science and technology schemes and projects funded by state budget (hereinafter referred to as the “Circular No. 93”).

2. Spending items and levels must comply with applicable regulations. Based on the description of a S&T task, the person who is in charge of that S&T task (hereinafter referred to as “presiding person”) shall determine duties to be fulfilled in conformity with contents of the cost estimate and in accordance with 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 providing guidance on spending levels and allocation of funding to science and technology schemes and projects funded by state budget (hereinafter referred to as the “Circular No. 44”).

3. With regard to areas or duties for which spending levels are not determined by competent authorities, MARD’s affiliated public S&T institutions shall temporarily determine spending levels and submit them to MARD for considering approval. Spending levels approved by MARD shall be used as the basis for cost estimating and allocation of fixed expenditures.

4. In addition to spending levels and unit units prescribed in Ministries’ Circulars, unit prices for cost estimating are stipulated as follows:

a) Labor cost:

- The wages paid to a technical worker shall not exceed the sum of salary and compulsory salary-based payments of a scientific officer with an average salary rate and a coefficient of 3.66. Only contractual workers in charge of implementing the project or scheme are eligible to enjoy wages of technical workers. If scientific officers in the payroll of a public S&T institution must work overtime to fulfill duties of a scheme or project, they will be given overtime pay in accordance with regulations;

- With regard to unskilled workers, the head of presiding organization and the presiding person of a scheme or project, based on the market price in each region at a certain period, shall estimate the wages of unskilled workers. The sum of wages of unskilled workers shall not exceed 80% of that of technical workers.

- If domestic experts are employed to perform S&T tasks under time-based contracts, these experts shall be paid in accordance with regulations of the Circular No. 18/2010/TT-BLDTBXH dated June 10, 2010 by the Ministry of Labour, War Invalids and Social Affairs providing for salaries paid to domestic experts performing consulting contract packages and working under time-based contracts for state-funded projects;

- If a S&T task requires the cooperation of foreign experts, the head of MARD’s affiliated public S&T institution, based on the S&T task requirements and the capacity of balance of funding shall decide or assign its affiliates to decide payments made to these foreign experts according to specific agreements entered into with them so as to ensure quality and efficiency of S&T task.

b) Research theme-based costs:

- The entity in charge of implementing the scheme or project shall formulate the research theme’s outline, assign tasks, check and accept working results, settle and complete contracts, and make statements of costs of that research theme.

- With regard to special S&T tasks, heads of MARD’s affiliated public S&T institutions shall evaluate and decide the number, types and costs of research themes which must not exceed the ceiling costs prescribed in the Circular No. 44. After the number and types of research themes of ministerial-level S&T tasks are dully appraised by the Science - Technology and Environment Department, and the costs thereof are also evaluated by the Financial Department, they shall be submitted to MARD for considering approval.

c) For materials, raw materials, tools and devices whose prices are available as announced by competent authorities, these prices shall be used as the basis for cost estimating. In case of unavailability of prices announced by competent authorities, the presiding person of the scheme or project shall determine unit prices of materials based on quotations provided by relevant suppliers at the estimation time, and then submit them to his/her superior officer for considering approval.

5. Cost estimates for business trips, meetings and seminars shall be prepared in accordance with applicable regulations of competent authorities and internal spending regulations of each unit. The head of a MARD’s affiliated public S&T institution shall take charge of considering approval for cost estimates for business trips, meetings and seminars of its affiliates provided that total estimated cost shall not exceed the ceiling cost given approval in the general description.

6. Cost estimates for tasks with investment nature:

a) Tasks with investment nature include repair of infrastructural facilities, purchase of machinery and equipment (formation of fixed assets) and rent of assets used for conduction of the scheme or project;

b) The Science - Technology and Environment Department shall cooperate with the Financial Department to consider submitting the estimated costs of rent of assets and infrastructural facilities to MARD for consideration, if necessary. In case of unavailability of lessors, the Science - Technology and Environment Department shall cooperate with the Financial Department in requesting MARD to purchase or repair necessary assets and facilities.

7. Spending items and levels specified in this Article are used as the basis for cost estimating of a scheme or project. The estimated cost and assignment of funding approved by MARD shall be considered as maximum limits for implementing a scheme or project.

8. With regard to S&T tasks carried out in ODA or NGO projects, unit costs and spending levels shall follow regulations by sponsors.

Article 8. Verification and approval for descriptions and cost estimates

1. For ministerial-level S&T tasks:

a) For ministerial-level S&T tasks managed by the Science - Technology and Environment Department: Based on descriptions and general cost estimates prepared by MARD’s affiliated public S&T institutions, the Science - Technology and Environment Department shall take charge and cooperate with the Financial Department to verify and consider approving for such descriptions and general cost estimates by July 30 every year.

b) For ministerial-level S&T tasks managed by Directorates: Based on descriptions and general cost estimates prepared by MARD’s affiliated public S&T institutions, the Science - Technology and Environment Department shall take charge and cooperate with the Financial Department and Directorates to verify contents of such descriptions and spending items. Directorates shall consider approving for such descriptions and general cost estimates by July 30 every year.

2. For special S&T tasks: Heads of MARD’s affiliated public S&T institutions shall verify and consider approving descriptions and cost estimates for these special S&T tasks within one month from the date on which the List of special S&T tasks is approved by MARD.

3. Verification and approval for descriptions and cost estimates for S&T tasks shall be performed in accordance with applicable guidelines of MARD.

4. With respect to S&T tasks carried out in ODA or NGO projects, procedures for verification and financial management for these S&T tasks shall be performed in accordance with regulations of the Government's Decree No. 38/2013/ND-CP dated April 23, 2013 (hereinafter referred to as “Decree No. 38”), the Government's Decree No. 93/2009/ND-CP dated October 22, 2009 (hereinafter referred to as “Decree No. 93”), instructional documents for Decree No. 38 and Decree No. 93, and special regulations of sponsors.

Article 9. Use of the funding during the implementation of schemes or projects

1. Heads of MARD’s affiliated public S&T institutions shall instruct their affiliates to control the use of funding, make payments according to the approved cost estimates (for each spending item) and compare payments made with state treasuries at the end of each year; instruct heads of entities implementing S&T schemes or projects and presiding persons of S&T schemes or projects to carry out the purchase of materials, tools, devices and other assets and equipment (acquisition or bidding) within their competence. With respect to a scheme or project’s works performed with the cooperation of international parties, the head of the entity implementing such scheme or project shall consider approving the cost estimate and make separate statement of costs of such works, and then aggregate such costs in the general cost estimate and cost statement of that scheme or project. Payments for wages and research themes may be made by adopting timekeeping method or under fixed-price contracts.

2. Use of fixed funding:

a) For works that are provided with fixed funding: The presiding person of a scheme or project shall actively make a payment which is greater or lower than the prescribed spending limit depending on the quality and results of works and in conformity with internal spending regulations of the presiding organization;

b) For works that are not provided with fixed funding: The presiding person of a scheme or project shall manage and use funding in accordance with applicable regulations, and in conformity with the approved cost estimate.

Article 10. Adjustment of cost estimates

1. A cost estimate shall be adjusted in case there are changes in works, workload, norms, and unit prices or upon the occurrence of objective events such as disasters or epidemics resulting in changes in spending items of a cost estimate or the total cost estimate.

2. Cases requiring adjustment of total cost estimate: During the performance of S&T tasks, if the consumer price index announced by the General Statistics Office of Vietnam increases 20% or higher in comparison to that announced in the cost estimating time or upon the occurrence of any objective events such as disasters or epidemics resulting in total cost estimate increases 20% of higher, the head of MARD’s affiliated public S&T institution must submit written explanations and request for adjustment of the cost estimate.

a) For ministerial-level S&T tasks:

The Science - Technology and Environment Department shall take charge and cooperate with the Financial Department to verify and request MARD to consider approving the adjustment of total cost estimate. Directorates shall take charge of verifying adjustment of total cost estimates for S&T tasks under their management with the cooperation of the Science - Technology and Environment Department, and the Financial Department.

b) For special S&T tasks: Heads of MARD’s affiliated public S&T institutions shall take charge of giving approval for adjustment of total cost estimates after obtaining consent from the Director of the Science - Technology and Environment Department.

3. In case total cost estimate is kept unchanged, adjustment of spending items of a cost estimate shall be carried out as follows:

a) With regard to the fixed funding: In case there is no change in spending items, within the limit of total fixed funding and on the basis of proposal of the presiding person of a scheme or project, the head of the presiding organization may make adjustments of items of expenditures according to actual requirements of works;

b) With regard to funding other than the fixed funding: The presiding person and the presiding organization may actively make adjustments of items of expenditures (if there is no change in spending items), if necessary. An item of expenditure may be adjusted to increase or decrease by 10%. In case an item of expenditure is adjusted to increase or decrease by more than 10%, such adjustment requires the consent from a competent authority.

Article 11. Statement of S&T tasks and dealing with closing balance

1. The statement of S&T tasks shall be carried out according to guidance provided in the Circular No. 93, annual guidelines provided by MARD and MARD's guidelines for management of S&T schemes and projects. To be specific:

a) With regard to labor costs: Necessary documents used as the basis for approval for a statement of a S&T task include labour contracts or fixed-price contracts which must specify sufficient information about contractual workers and be signed by the presiding person of that S&T task with certification of the head of the entity implementing such S&T task. If the contractual worker does not work for any legal entity, the contract must specify full name, sex, ID (number, issued date and issuing authority), telephone number, permanent residence, tax code (if any) and include valid certification of the communal government;

b) With regard to “research theme”: Necessary documents used as the basis for approval for a statement shall include contract (or written assignment), which is enclosed with the outline and cost estimate for the research theme, documents on payments made to the person who is in charge of that research theme (fixed amounts), written record of acceptance or certification of results of research theme made by the presiding person of S&T scheme or project (or by the head of the entity implementing such S&T scheme or project) and records of contract termination; these documents must be certified by the entity implementing such S&T scheme or project.

2. Statement of S&T tasks shall be made in fiscal year. The statement of a S&T task shall be given approval if it satisfies all of the following requirements:

a) Results of performance of the task have been assessed and accredited by the competent authority or its authorized person;

b) The statement must include necessary documents as prescribed in the Circular No. 93 and written guidelines for statement of costs promulgated by MARD.

3. A public S&T institution shall instruct, check and consider approving statements of S&T tasks provided by relevant presiding persons so as to prepare and submit its consolidated statement of S&T tasks to the governing body for verification as regulated in the Circular No. 93.

4. Balances (of estimates or advances) during the performance of S&T schemes or projects according to approved plans shall be transferred to the funding of the following year in order to be continued. Procedures in such cases shall be carried out in accordance with regulations of the Circular No. 108/2008/TT-BTC dated November 18, 2008 by the Ministry of Finance providing guidance on dealing with closing budget and preparation of state budget reports and statements in the following year (hereinafter referred to as "Circular No. 108"). The entity implementing the S&T task must check and compare information of the form No. 02/DVDT and the form No. 03/DVDT (enclosed with the Circular No. 108) with the state treasury where relevant transactions are made.

5. With regard to S&T tasks completed in a year:

a) If a S&T task has been completed before September 30, the acceptance of task results and statement must be carried out by December 31 of the same year. In special cases, the competent authority may consider approving for application for deadline extension and transfer of unaccomplished works and expenditures to the following year;

b) If a S&T task has been completed between September 30 and December 31 of the same year, the grassroots-level acceptance must be completed by December 31 and the statement of the task must be submitted by January 25 of the following year so as to ensure timely processing of balance as regulated in the Circular No. 108 by the Ministry of Finance.

Article 12. Use of administration funding and savings from funding of S&T schemes or projects

1. Administration funding of S&T schemes or projects shall be used in accordance with internal spending regulations of MARD’s affiliated public S&T institutions.

2. The entity implementing the S&T scheme or project must specify savings from funding in the statement of that scheme or project. The entity implementing the S&T scheme or project shall make statement and report the savings to the superior S&T institution.

a) If savings are kept in an account opened at a state treasury: The entity implementing the S&T scheme or project must ask for an account statement from the state treasury by December 31 and carry out procedures for withdrawing such saving amounts.

b) If savings are redundant advanced amounts: The entity implementing the S&T scheme or project, upon the completion of payments and determination of savings, shall request the state treasury and the presiding organization to give permission for transfer of redundant advanced amounts for dealing with the savings.

3. Dealing with savings from funding:

a) Savings from the fixed funding shall be used to reward groups and individuals implementing S&T tasks in accordance with regulations of the Circular No. 93. The presiding person of the task shall propose the limit on reward given to each individual to the head of the presiding organization for making final decision on rewards in conformity with the internal spending regulations of a public S&T institution;

b) Savings from the funding other than the fixed funding shall be contributed to the career development fund of the entity implementing the S&T task.

Article 13. Handling assets upon scheme or project completion

1. Assets which are purchased with funding from state budget shall be considered as state-owned assets. Upon the completion of a S&T task, acceptance and cost statement duties, MARD shall base on the presiding organization's request to authorize the Financial Department to consider handling assets as follows:

a) Allow the presiding organization to keep such assets for further use;

b) Transfer such assets to state agencies that have demand for using such assets or lack assets in comparison to standards and norms of assets as regulated;

c) Allow the liquidation of assets;

d) Handling of assets shall be determined and specified in MARD’s statements of costs.

2. If assets are purchased with ODA funding, upon the completion of S&T tasks, they shall be handled under written agreements signed between MARD and sponsors.

Chapter IV

ORGANIZATIONAL STRUCTURE AND PERSONNEL

Article 14. Organizational structure, job positions, payroll and salaries

Heads of MARD’s affiliated public S&T institutions shall fulfill duties regarding organizational structure and payroll as follows:

1. Make decisions on establishment, re-structuring or dissolution of non-juridical persons that do not have their own seals and bank accounts such as divisions or subjects of a S&T institution after obtaining a written approval from the Minister of MARD.

Procedures and formalities for establishment, re-structuring and dissolution of non-juridical persons shall comply with applicable laws.

2. Consider approval for the charters or regulations on organization and operation of its affiliates in accordance with applicable regulations. Charters or regulations on organization and operation of special-rank S&T institutions or their affiliated centers shall be promulgated after they are approved in writing by MARD's Minister.

3. MARD’s affiliated public S&T institutions shall appraise the schemes on job positions or adjustment of job positions of public service providers under their management; consolidate and formulate their own schemes on job positions or adjustment of job positions, and then submit them to MARD for considering approval in accordance with applicable regulations.

A public service provider that is granted the autonomy in performing tasks, finance, organizational structure and personnel shall decide its payroll according to job positions and professional titles-based organizational structure approved by the Minister of MARD, and manage its officers within its competence.

4. Make decisions on pay rise for officers holding the position of senior research officer and equivalent or holding a lower-level job position in accordance with applicable law; submit report thereof to MARD in accordance with applicable law.

Article 15. Personnel affairs

1. The Minister of MARD shall make decisions on planning, appointment, re-appointment, dismissal, approval for resignation, internal and external transfer of officers, approval for retirement and application of disciplines to Directors and Deputy Directors of special-rank S&T institutions, Directors and Deputy Directors of institutions affiliated to MARD.

2. The Director of a special-rank S&T institution shall make decisions on planning, appointment, re-appointment, dismissal, approval for resignation, internal and external transfer of officers, approval for retirement and application of disciplines to heads and vice heads of divisions, directors and deputy directors of institutions, centers, important laboratories and other organizations affiliated to such special-rank S&T institution. The Director of a special-rank S&T institution must report and obtain written approval from the Minister of MARD before carrying out procedures and formalities for appointment of heads and vice heads of divisions, directors and deputy directors of institutions, centers, important laboratories and other organizations affiliated to such special-rank S&T institution.

The Director of a special-rank S&T institution shall make decisions on other job positions (which are not specified in this Clause) in accordance with applicable laws.

3. The Director of an institution affiliated to MARD shall make decisions on planning, appointment, re-appointment, dismissal, approval for resignation, internal and external transfer of officers, approval for retirement and application of disciplines to heads and deputy heads of its affiliated units in accordance with applicable laws.

4. Heads of public S&T institutions shall provide for the conclusion of employment contracts with Vietnamese and foreign experts in order to perform their S&T tasks in accordance with applicable laws.

Chapter V

IMPLEMENTATION

Article 16. Entry into force

1. This Circular comes into force from December 06, 2013.

2. This Circular shall supersede the Circular No. 67/2010/TT-BNNPTNT dated November 17, 2010 by the Ministry of Agriculture and Rural Development providing guidance on the autonomy of MARD's affiliated public S&T institutions.

3. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Agriculture and Rural Development for consideration./.

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