Circular 10/2019/TT-BKHCN stipulating the management of science and technology tasks according to the Protocol issued by the Ministry of Science and Technology

CIRCULAR

ON MANAGEMENT OF SCIENTIFIC AND TECHNOLOGICAL TASKS UNDER PROTOCOLS

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

Pursuant to the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 elaborating a number of Articles of Law on Science and Technology;

Pursuant to the Government’s Decree No.95/2017/ND-CP dated August 16, 2017 on functions, tasks, powers and organizational structure of the Ministry of Science and Technology;  

At the request of heads of Department of International Cooperation and Department of Legal Affairs;

The Minister of Science and Technology hereby promulgates a Circular on management of scientific and technological tasks under protocols.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular provides for management of scientific and technological tasks performed under protocols (hereinafter referred to as “protocol-based tasks”) prescribed in Point e Clause 2 Article 25 of the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 elaborating a number of Articles of Law on Science and Technology (hereinafter referred to as “Decree No. 08/2014/ND-CP”).

Article 2. Regulated entities

This Circular is applicable to science and technology organizations, individuals involved in scientific and technological activities and relevant state agencies, organizations and individuals.

Article 3. Definitions

In this Circular, the terms below are construed as follows:

1. “protocol”comprises:

a) Science and technology agreements between leaders of the Communist Party or the State and foreign partners;

b) Minutes of meetings between intergovernmental committees, committees and subcommittees on cooperation in science and technology and bilateral or multilateral partners in which the Ministry of Science and Technology (“MOST”) is authorized by the Government to act as a representative; and bilateral and multilateral agreements on cooperation in science and technology between the Minister of Science and Technology and foreign partners per regulations.

2. “foreign partner”includes:

a) Regulatory bodies and organizations representing other countries and territories with which Vietnam is in a science and technology partnership;

b) Funding partners, including organizations and individuals (approved by the foreign partners prescribed in Point a Clause 2 herein) providing funding for protocol-based tasks in cooperation with Vietnamese science and technology organizations;

c) Executing partners, including organizations performing protocol-based tasks together with Vietnamese science and technology organizations.

3. “protocol-based tasks management unit" (“management unit”) means an MOST affiliate assigned to manage protocol-based tasks.

4. “unit managing funding of protocol-based tasks” (“funding management unit”) means a level III  budget estimating unit assisting MOST with state funding management and state management tasks to fulfill objectives and develop products of protocol-based tasks.

5. “specialized management unit” refers to an MOST affiliate in charge of state management of scientific research and technological development in protocol-based tasks.

6. “financial plan management unit” refers to an MOST affiliate in charge of state management of financial plans of scientific and technological activities.

7. “unit in charge” means an entity selected to undertake a protocol-based task.

Article 4. General requirements for protocol-based tasks

Protocol-based tasks must meet the criteria for state-funded scientific and technological tasks specified in Clause 1 Article 25 of the Decree No. 08/2014/ND-CP; ensure contribution of resources from foreign partners; promote cooperation in science and technology with foreign partners; and fulfill one of the following requirements from Vietnam:

1. Produce a solution to a pressing scientific and technological issue.

2. Seek, study and master or develop innovative technology, contributing to introduction of a new product or manufacturing industry.

3. Improve capacity and efficiency of science and technology management.

4. Promote cooperation with foreign partners having special traditional relations with Vietnam (hereinafter referred to as “long-term foreign partners”).

Article 5. Identification numbers of protocol-based tasks and relevant forms

Identification number of a protocol-based task in a decision by the Minister of Science and Technology approving the unit in charge, person in charge, funding and schedule of the task shall follow the format of NĐT/xx/yy/zz, in which:

1. “NĐT” stands for protocol-based task.

2. “xx” refers to the ISO 3166 code of the home country of the executive partner.

3. “yy” refers to the last two numbers of the year in which the decision is approved.

4. “zz” denotes the ordinal number of the protocol-based task among those approved within the year.

Chapter II

PROPOSAL AND DETERMINATION OF PROTOCOL-BASED TASKS

Article 6. Formulation of proposed orders for protocol-based tasks

1. Bases for formulation of a proposed order for a protocol-based task:

a) Requests from leaders of the Communist Party and the State;

b) Strategies and plans for development of sectors and localities;

c) Main scientific and technological tasks, strategies, directions and objectives of a 5-year or 10-year period;

d) Proposals from ministries, ministerial-level agencies, Governmental agencies, People’s Committees of provinces and central-affiliated cities and other central state agencies;

dd) Proposals from long-term foreign partners.

2. Procedures for formulation of a proposed order for a protocol-based task:

a) Discussion with the foreign partner:

MOST shall have a preliminary discussion on cooperation priorities, requirements and plans for the protocol-based task with the foreign partner;

b) Formulation of the proposed order:

- MOST shall establish an advisory council to determine the protocol-based task (hereinafter referred to as “advisory council”) and draw up a list of cooperation priorities and requirements for the protocol-based task;

- Based on the work of the advisory council, MOST shall discuss and finalize cooperation priorities, requirements and plans for the protocol-based task with the foreign partner, and finalize contents of the notification of selection of protocol-based task.

Article 7. Advisory council

1. Minister of Science and Technology has the power to decide establishment of the advisory council, which shall compose of 5-9 members, including a chairperson, a deputy chairperson and other members being experts and managers of relevant fields. In special cases, the Minister of Science and Technology may decide a different number of council members.

2. MOST shall assign 01 administrative secretary to prepare documents and organize meetings of the council. The administrative secretary shall prepare and send documents to all council members at least 03 working days before a meeting.

3. Working documents of the advisory council consist of:

a) The decision on establishment of the advisory council;

b) The protocol;

c) Relevant documents prescribed in Clause 1 Article 6 of this Circular;

d) Minutes of the Council’s meeting (using Form No. 2  of the Appendix enclosed with this Circular);

e) Other relevant documents.

Article 8. Operation of the advisory council

1. The advisory council may operate with the attendance of at least 2/3 of council members and the chairperson or authorized deputy chairperson.

2. Members of the advisory council shall advise the Minister of Science and Technology on:

a) Cooperation priorities for performance of the protocol-based task;

b) Specific requirements for the protocol-based task (suitable for each foreign partner);

c)  Requirements for product(s) of the protocol-based task.

3. The advisory council shall operate on the basis of democratic centralism. A conclusion of the council is passed when it is approved by more than 3/4 of the present council members via voting.

Article 9. Work procedures of the advisory council

1. The administrative secretary shall publish the council establishment decision.

2. An MOST representative shall summarize the work procedures of the council.

3. The council chairperson shall preside over the meeting. The chairperson shall delegate this task to the deputy chairperson in writing if the chairperson is to be absent. The council shall elect 01 member to be a scientific secretary who records opinions and draws up the meeting minutes using Form No. 2 of the Appendix enclosed therewith.

4. Council members shall give their opinions on the cooperation priorities and requirements for the protocol-based tasks applying for the selection using Form No. 1 of the Appendix enclosed therewith.

5. The council shall discuss and vote to pass the list of cooperation priorities for the protocol-based task, specific requirements and requirements for product(s) of the protocol-based task.

Article 10. Notification of selection of protocol-based task

1. MOST shall review work procedures of the advisory council and consider advice from the advisory council.

2. Based on the work of the advisory council, MOST shall negotiate with the foreign partner and finalize contents and time of release of the notification of selection of protocol-based task. The notification must be published on MOST‘s website for at least 60 days for participating organizations and individuals to prepare their applications.

Chapter III

SELECTION AND APPROVAL OF PROTOCOL-BASED TASKS

Article 11. Selection of protocol-based tasks

1. Rules and eligibility requirements for protocol-based task selection are provided for in Clauses 1 and 2 Article 3 and Article 4 of the Circular No. 08/2017/TT-BKHCN dated June 26, 2017 by the Minister of Science and Technology on selection and assignment of state-funded national scientific and technological tasks to organizations and individuals (hereinafter referred to as “Circular No. 08/2017/TT-BKHCN”) and the following rules:

a) Scientific and technological tasks identical to completed or on-going tasks shall not be selected;

b) Tasks not in compliance with the notification of selection of protocol-based task shall not be selected.

2. An application for protocol-based task selection includes:

a) An authentic copy of the description of the protocol-based task (using Form No. 3  of the Appendix enclosed with this Circular);

b) A copy of the establishment decision or certificate of registration of scientific and technological activities of the unit in charge;

c) A copy of the written agreement between the Vietnamese unit in charge and unit in charge from the foreign partner which specifies the main tasks of both parties; provisional execution plan; rules for sharing of research result; and contributed resources of both parties, in which, the foreign partner’s contribution is exchangeable (hereinafter referred to as “agreement”). These contributed resources include financial resources, workforce, facilities and other necessary resources;

d) An authentic copy of the commitment to perform the protocol-based task from the unit in charge (using Form No. 4  of the Appendix enclosed with this Circular);

dd) An authentic copy of the scientific profile of the person in charge and copies of scientific profiles of participants in the protocol-based task (using Form No. 5  of the Appendix enclosed with this Circular);

e) Other relevant documents.

Article 12. Submission of application for protocol-based task selection

1. An application for theprotocol-based task selection shall be presented and printed on A4 paper sheets using the Unicode Vietnamese character set prescribed in the national standard TCVN 6909:2001 with a font size of 14. The application shall be packed and sealed, and the package’s outside shall contain the following information:

a) Application for selection according to notification of selection of protocol-based task (full name of notification of selection of protocol-based task);

b) Name of the protocol-based task applying for the selection;

c) Name and address of unit in charge and person in charge of the task;

d) List of documents included in the application.

2. The application may be submitted in person or by post to MOST. Method and time limit for submitting applications the notification of selection of protocol-based task from MOST shall be announced on MOST’s website.

3. The date of receipt of an application is the date of receipt written on the postmark (if sent by post) or the mark denoting its receipt from MOST (if sent in person).

4. Before the submission deadline, applicants have the right to replace or amend their submitted applications.

Replacement of or amendment to a submitted application must be completed by the submission deadline; any document supplemented after such deadline is not considered a part of the submitted application.

Article 13. Opening of applications for protocol-based task selection and confirmation of validity thereof

Upon the submission deadline, MOST shall:

1. Within 05 working days, open, review and confirm adequacy and validity of the applications with participation of representatives of some relevant units; application opening results shall be recorded using Form No. 6 of the Appendix enclosed with this Circular.

2. Cooperate with the foreign partner in finalizing list of applications received by both parties; review information related to the regulations in Clause 1 Article 11 of this Circular to shortlist applications.

Article 14. Council for selection of protocol-based task

1. Minister of Science and Technology has the power to establish councils for selection of protocol-based task for each group of sectors (hereinafter referred to as “selection council”).

MOST shall assign 02 administrative secretaries to assist the selection council. These secretaries shall prepare and send documents to all council members at least 05 working days before a meeting.

2. Working documents of the selection council consist of:

a) The decisions on establishment of the selection council and appraisal team;

b) Result of review of information related to the regulations in Clause 1 Article 11 of this Circular;

c) Notification of selection of protocol-based task;

d) The applications in compliance with regulations in Clause 2 Article 11 herein;

dd) Comments on the applications (using Form No. 7  of the Appendix enclosed with this Circular);

e) Assessments of the applications (using Form No. 8  of the Appendix enclosed with this Circular);

g) Record of inspection of assessments of the applications (using Form No. 9  of the Appendix enclosed with this Circular);

h) Compilation of assessments of the applications (using Form No. 10  of the Appendix enclosed with this Circular);

i) Minutes of the selection council’s meeting (using Form No. 11  of the Appendix enclosed with this Circular).

3. Composition of the selection council:

a) The selection council shall consist of 7-9 members, including a chairperson, a deputy chairperson, 02 reviewers (for each task) and other members. Council members are science and technology experts, economy experts or experienced managers in the sector or enterprise to benefit from the result of the protocol-based task (no more than 1/3 of total council members). Reviewers are experts in the areas related to the task.

In special cases, the Minister of Science and Technology may decide a different number of council members.

b) The following individuals may not participate in the selection council:

- Individuals in charge of or participating in performance of protocol-based tasks;

- Employees of units in charge of protocol-based tasks;

- Employees of organizations cooperating in performance of protocol-based tasks.

Article 15. Operating rules, responsibilities, procedures and tasks of selection council

1. Operating rules of the selection council:

a) The council may convene with the attendance of at least 2/3 of council members, the chairperson or authorized deputy chairperson and 02 reviewers for each task;

b) The council chairperson shall preside over the council’s meetings. If the chairperson is absent, they shall delegate this task to the deputy chairperson in writing.

2. Responsibilities of council members:

a) Give honest, objective and fair assessments, take responsibility for their actions and assessments and the council’s conclusion. Council members shall keep information related to assessment of applications confidential;

b) Study and analyze each content and piece of information in applications, give comments and assessments for each application upon request; and provide explanations for such comments and assessments.

3. Where necessary, the selection council may request MOST to establish a team to inspect facilities, workforce and financial capacity of units in charge of protocol-based tasks.

4. Work procedures and tasks of selection council:

a) An administrative secretary shall read the council establishment decision and application opening record, and introduce the council members and delegates participating;

b) The MOST representative shall announce the requirements and basic tasks of protocol-based task selection;

c) The council shall discuss and finalize the work procedure and elect a scientific secretary;

d) The council shall assess the applications as follows:

- Reviewers and council members shall present their comments and assessments for each application;

- The scientific secretary shall read the written comments of the absent members (if any) for the Council to consider;

dd) For the applications meeting the requirements of the selection notification, the selection council shall assess and mark each application using Form No. 8 of the Appendix enclosed with this Circular. An assessment is considered valid when it complies with regulations. The council shall score a maximum of 100 points for the following criteria:

- Scientific value (maximum score = 35);

- International cooperation value (maximum score = 30);

- Value of result, feasibility and applicability (maximum score = 35);

e) The council shall elect 03 council members to form an assessment inspection board, which is composed of a head and 02 members. An administrative secretary shall assist the board with compiling the assessments from council members using Form No. 9 of the Appendix enclosed therewith; and compiling the assessment results in descending order of scores using Form No. 10 of the Appendix enclosed therewith with due consideration taken of the following conditions:

- An application qualified in terms of technical aspects must score a total of at least 70/100 on average, in which, no criterion is scored 0 by 1/3 of the present council members; international cooperation value must score at least 20/30; and scientific value must score at least 25/35;

- For applications with equal total scores, the application with a higher score for the international cooperation value shall be prioritized. For applications with equal total scores and equal scores for the international cooperation value, the applications scored higher by the council chairperson (or authorized deputy chairperson) shall be prioritized;

g) The council shall pass the meeting minutes, list of unqualified applications and list of qualified applications in order of priority. The council may suggest amendments to qualified applications (if any).

5. MOST shall review the council’s work procedures and consider the council’s advice.

If necessary, MOST may obtain advice from domestic and foreign independent consultants or establish another selection council. Advice from independent consultants shall be obtained according to regulations in Articles 18, 19 and 20 of the Circular No. 08/2017/TT-BKHCN.

6. Based on the conclusion of the selection council or advice from independent consultants, MOST shall review and negotiate with the foreign partner to finalize list of cooperation projects. Within 07 days from the date of conclusion of negotiation with the foreign partner, MOST shall inform the units in charge of the protocol-based tasks that are selected and not selected in writing.

Article 16. Appraisal of funding for protocol-based tasks

1. Within 30 days from the date of receipt of the notice from MOST, the unit in charge of a protocol-based task shall send the complete application to MOST for approval of funding for the task. If MOST does not receive the complete application from the unit in charge by the abovesaid deadline, MOST will announce suspension of task approval procedures.

2. An appraisal dossier includes:

a) An authentic copy of the description of the protocol-based task amended as advised by the selection council; and a written explanation from the person in charge of the task for taking the council's advice, which is confirmed by the chair of the meeting and 02 reviewers;

b) Cost estimate and explanation for each expenditure item in Appendixes 1 and 2 of Form No. 3 of the Appendix enclosed with this Circular;

c) Authentic copies of 03 quotations for equipment and raw materials to be procured and services to be hired for the task (the quotations shall be drawn up no later than 30 days before the dossier is submitted) and proofs of other financial sources (if any);

d) Authentic copies of documents of the reciprocal capital mobilization plan for tasks requiring reciprocal capital:

- For reciprocal capital allocated from the unit in charge’s equity: Proofs of the unit in charge’s capacity to allocate its equity for the task;

- For reciprocal capital mobilized from individuals, organizations or the owner: Legal commitments to and confirmations of contribution of capital for the task from individuals, organizations or the owner;

- For reciprocal capital borrowed from a credit institution: Commitment to grant loan from the credit institution or unexpired credit facility agreement between the credit institution and the unit in charge. Before conclusion of the contract on performance of the protocol-based task, at the request of the appraisal team, the unit in charge shall provide the credit agreement of the task the total value of which can cover the reciprocal capital;

dd) Authentic copies of confirmations of participation from organizations cooperating in performance of the protocol-based task (if any);

e) An authentic copy or a notarized copy of the agreement between the Vietnamese unit in charge and the unit in charge from the foreign partner.

3. Within 05 working days from the date on which discussion with the foreign partner on funding and the completed appraisal dossier is finalized, MOST shall appraise contents and funding of the protocol-based task. MOST shall allocate funding worth a maximum of 2.5 times the contribution from the foreign partner, except for long-term foreign partners or other cases decided by the Minister of Science and Technology.

4. Minister of Science and Technology has the power to decide establishment of a team for appraisal of funding for the protocol-based task (hereinafter referred to as “appraisal team”). The appraisal team shall consist of 05 members, with the team leader being the head of the management unit; the deputy team leader being the head of the funding management unit; 01 member being the representative of the specialized management unit; 01 member being the representative of the financial plan management unit and 01 member being the chairperson or deputy chairperson or a reviewer of the selection council.

In special cases, the Minister of Science and Technology may decide a different number of team members.

Rules, responsibilities and procedures concerning operation of the appraisal team are provided for in Article 13 and Clauses 1, 2, 4, 5 and 7 Article 14 of the Circular No. 08/2017/TT-BKHCN.

5. MOST shall assign 02 administrative secretaries to assist the appraisal team. These secretaries shall prepare and send documents to all members of the appraisal team at least 05 working days before a meeting.

Working documents of the appraisal team consist of:

a) The decisions on establishment of the selection council and appraisal team;

b) Meeting minutes of the selection council;

c) Commitment on provision of funding from the foreign partner (an authentic copy and its Vietnamese translation);

d) The appraisal dossier in compliance with regulations in Clause 2 Article 16 herein;

dd) Appraisal of funding for the protocol-based task (using Form No. 12 of the Appendix enclosed with this Circular);

e) Record of appraisal of funding for the protocol-based task (using Form No. 13 of the Appendix enclosed with this Circular).

6. If necessary, MOST may obtain advice from domestic and foreign independent consultants or establish another team. Advice from independent consultants shall be obtained according to regulations in Articles 18, 19 and 20 of the Circular No. 08/2017/TT-BKHCN.

Article 17. Approval of protocol-based tasks

1. Within 07 days from the date of conclusion of the appraisal team’s meeting, MOST shall send the appraisal record to the unit in charge and person in charge for amendment (if any).

Within 30 days from the date of receipt of the record from MOST, the unit and person in charge shall send the description of the protocol-based task amended as advised by the appraisal team and a written explanation for taking such advice from the person in charge to MOST. If MOST does not receive the completed application from the unit in charge by the abovesaid deadline, MOST will announce suspension of task approval procedures.

2. On the basis of the conclusion of the appraisal team or opinion of an independent consultant and the description of the protocol-based task completed as advised by the appraisal team, the management unit shall propose the decision to approve the protocol-based task and unit in charge, person in charge, funding and schedule thereof to the Minister of Science and Technology for signing.

The decision to be proposed shall include:

a) An authentic copy of the description of the protocol-based task completed based on the conclusion of the appraisal team;

b) Original copies of the comments and assessments from members of the selection council and appraisal team;

c) Authentic copies of decisions on establishment of the selection council and appraisal team; and meeting minutes of the selection council and appraisal team;

d) A draft decision approving the protocol-based task and unit in charge, person in charge, funding and schedule thereof.

Chapter IV

PERFORMANCE OF PROTOCOL-BASED TASKS

Article 18. Conclusion of contracts on performance of protocol-based tasks

MOST shall conclude contracts on performance of approved protocol-based tasks with the units in charge of such tasks (“contract”) using the contract form specified in the Circular No. 05/2014/TT-BKHCN dated April 10, 2014 by Minister of Science and Technology on model contract on scientific research and technological development.

Article 19. Periodical contract inspection and assessment, contract amendment and termination

1. Procedures for periodical inspection and assessment, amendment and termination regarding contracts are provided for in the Circular No. 04/2015/TT-BKHCN dated March 11, 2015 by Minister of Science and Technology on contract inspection, assessment, amendment and termination during performance of state-funded national scientific and technologicaltasks (hereinafter referred to as “Circular No. 04/2015/TT-BKHCN”).

2. A dossier on periodical inspection and assessment of a protocol-based task includes:

a) The documents listed in Clause 1 Article 8 of the Circular No. 04/2015/TT-BKHCN;

b) An authentic copy of the report on international cooperation in protocol-based task (using Form No. 14  of the Appendix enclosed with this Circular).

3. Any proposed amendment related to the foreign partner must be confirmed by the person in charge from such partner in writing.

4. A dossier on termination of a contract consists of:

a) The documents listed in Clause 2 Article 22 of the Circular No. 04/2015/TT-BKHCN;

b) A copy of the written confirmation from the foreign partner (if the foreign partner is at fault);

c) An authentic copy of the notification of contract termination from the Vietnamese unit in charge to the foreign partner (if the Vietnamese side is at fault).

Article 20. Assessment, commissioning and recognition of results of protocol-based tasks, and contract completion

1. Procedures for assessment, commissioning and recognition of results of protocol-based tasks and completion of contracts are provided for in the Circular No. 11/2014/TT-BKHCN dated May 30, 2014 by Minister of Science and Technology providing guidelines for assessment and commissioning of results of state-funded national scientific and technological tasks (hereinafter referred to as “Circular No.11/2014/TT-BKHCN”).

2. A dossier on assessment and commissioning of a protocol-based task includes:

a) The documents listed in Article 6 of the Circular No. 11/2014/TT-BKHCN;

b) A report on international cooperation in protocol-based task (using Form No. 14 of the Appendix enclosed with this Circular);

c) An assessment of the cooperation process and result and of prospects for cooperation from partner.

Article 21. Handling of results and property, registration, retention, ownership and use of results after completion of protocol-based tasks

1. Handling of property, transfer of ownership and use of results of protocol-based tasks are provided for in the Government’s Decree No. 70/2018/ND-CP dated May 15, 2018 on management and use of property acquired from performance of state-funded scientific and technological tasks and relevant applicable regulations of laws.

2. Results of protocol-based tasks shall be registered and retained according to regulations in the Circular No. 14/2014/TT-BKHCN dated June 11, 2014 by Minister of Science and Technology prescribing collection, registration, retention and announcement of information on scientific and technological tasks.

Article 22. Funding for protocol-based tasks

1. State funding for protocol-based tasks shall be included in the annual scientific and technological expenditure estimate distributed to MOST. Protocol-based tasks may be funded by other sources as per applicable regulations.

2. Protocol-based tasks shall employ financial regimes provided for by guidelines from competent authorities and other relevant documents on management and performance of state-funded scientific and technological tasks.

Chapter V

RESPONSIBILITIES FOR MANAGEMENT AND PERFORMANCE OF PROTOCOL-BASED TASKS

Article 23. Responsibilities of MOST

1. Determine protocol-based tasks; select; appraise and approve units in charge, persons in charge, funding and performance schedules; conclude contracts; inspect performance of tasks under concluded contracts; handle amendment to contracts; assess, commission and recognize results and complete contracts.

2. Compile and balance funding for management and performance of protocol-based tasks to incorporate it into the annual science and technology budget plan; allocate and settle funding for protocol-based tasks according to contract’s terms.

Article 24. Responsibilities of units in charge

1. Formulate and complete applications for protocol-based task selection and appraisal dossiers according to regulations.

2. Sign contracts with MOST; take responsibility for performance, management, use and transfer of results of protocol-based tasks and apply for patent for such results according to regulations of laws.

3. Periodically report progress and result of the tasks to MOST; and report difficulties arising and propose solutions to MOST.

4. Manage and use funding properly and effectively; submit reports and settle funding as regulated; submit consolidated reports to MOST on annual allocation, use and settlement of funding and total funding settlement upon completion of a task.

5. Preside over self-assessment of results of protocol-based tasks according to regulations in the Circular No. 11/2014/TT-BKHCN.

Article 25. Responsibilities of persons in charge

1. Organize performance of protocol-based tasks; take responsibility for scientific value, technological level and efficiency of protocol-based tasks; devise plans for application of protocol-based task results or commercialization of products from protocol-based tasks.

2. Manage and use funding properly and effectively; and submit reports and settle funding as regulated.

3. Propose any adjustment necessary during performance of protocol-based tasks to units in charge.

4. Cooperate with units in charge in registration, delivery and transfer of results and products of protocol-based tasks; and apply for patent as prescribed by law.

Chapter VI

IMPLEMENTATION PROVISIONS

Article 26. Effect

1. This Circular takes effect from December 13, 2019 and supersedes the Circular No. 12/2014/TT-BKHCN dated May 30, 2014 by MOST on management of scientific and technological tasks under protocols (hereinafter referred to as “Circular No. 12/2014/TT-BKHCN”).

2. If the documents cited in this Circular are amended, the amended documents shall apply.

Article 27. Transitional clause

Notifications on orientations and cooperation priorities finalized with foreign partners from MOST, proposed orders and protocol-based tasks received, processed or approved prior to the effective date of this Circular shall be regulated by the Circular No. 12/2014/TT-BKHCN.

Article 28. Implementation

1. Heads of MOST affiliates, heads of relevant regulatory bodies and organizations and relevant individuals shall implement this Circular.

2. During the implementation of this Circular, any difficulty arising should be reported to MOST in writing for consideration and amendment.

APPENDIX

FORMS

(Promulgated together with Circular No. 10/2019/TT-BKHCN dated October 29, 2019 by Minister of Science and Technology)

Form No. 1

10/2019/TT-BKHCN

ADVISORY COUNCIL MEMBERS’ OPINIONS COLLECTION FORM

1. The advisory council determined the protocol-based task in cooperation with ……… according to Council Establishment Decision No. ……./QD-BKHCN dated [date] by Minister of Science and Technology.

2. Full names of council members: ......................................................................................

3. Opinions of council members:

a) Cooperation priorities

(Specify cooperation priorities to finalize these priorities and select the protocol-based task with the partner)

b) Specific requirements for protocol-based task

(Provide requirements for the protocol-based task based on strengths and potential of the foreign partner*, requirements in terms of schedule, funding, resources, etc. and other special requirements)

c) Requirements for product(s) of protocol-based task

(Provide orientations applied to requirements for product(s) or target scientific and technological advancement and quality levels of product(s) of the protocol-based task compared to similar products; economic - technical objectives of technology or scientific and technological product (if any), etc.)

d) Other recommendations of council members

* For long-term foreign partners: specify impact, benefits and applicability of research results and method for transfer of research results to the foreign partner.

Form No. 2

10/2019/TT-BKHCN

ADVISORY COUNCIL MEETING MINUTES

I. GENERAL INFORMATION

1. The advisory council determined the protocol-based task in cooperation with ……… according to Council Establishment Decision No. ……./QD-BKHCN dated [date] by Minister of Science and Technology.

2. The council convened at [location] on [date].

3. Number of council members present to total number of members: …/…

- Absent: … persons, namely .....................................................................

4. Guests joining the meeting:

II. MEETING ACTIVITIES

1. The administrative secretary presented the Council Establishment Decision, the protocol’s content and results of the preliminary discussion with the foreign partner on cooperation priorities, requirements and plans for cooperation in the protocol-based task.

2. The representative of the Ministry of Science and Technology summarized the work procedures of the council.

3. The council discussed and finalized the following matters:

a) Cooperation priorities

b) Specific requirements for protocol-based task

c) Requirements for product(s) of protocol-based task

4. The council gave other recommendations.

5. The council passed the meeting minutes.

6. Conclusions

Form No. 3

10/2019/TT-BKHCN

DESCRIPTION

PROTOCOL-BASED TASK

I. GENERAL INFORMATION

1. Task name

- Vietnamese name:

- English name:

2. Area of science:

3. Execution time: … months: Start …… End ……

4. Vietnamese unit in charge

Name of unit in charge:............................................................................................................

Phone number: ......................................................  Fax:..........................................................

Email:...............................................................................................................................

Website:............................................................................................................................

Address:..............................................................................................................................

Full name of unit head:.............................................................................................

Account number:.....................................................................................................................

State treasury/ Bank:..........................................................................................

Name of supervisory body of unit in charge:....................................................................................

Summary of scientific and technological activities of unit in charge:

….

5. Person in charge from Vietnamese side

Full name:..........................................................................................................................

Date of birth: …………………………………….. Male/ Female:.......................................

Academic title, academic degree, specialization:............................................................................................

Scientific research title: ………………. Position:....................................................

Workplace phone number: ………………………… Mobile phone number:.............................................................

Email:...............................................................................................................................

Scientific profile of person in charge made using Form No. 5

6. Cooperating organizations from Vietnamese side (if any)

Phone number: ......................................................  Fax: ..........................................................

Email: ...............................................................................................................................

Website:............................................................................................................................

Address: ..............................................................................................................................

Full name of organization head:.............................................................................................

Account number:.....................................................................................................................

Bank: .......................................................................................................................

7. Unit in charge from foreign partner

Name of unit in charge: ............................................................................................................

Phone number: …………………………….. Fax: ..........................................................................

Email: ...............................................................................................................................

Website: ............................................................................................................................

Address: ..............................................................................................................................

Summary of scientific and technological activities of unit in charge from foreign partner

8. Person in charge from foreign partner

Full name:..........................................................................................................................

Date of birth: …………………………………….. Male/ Female:.......................................

Academic title, academic degree, specialization:............................................................................................

Scientific research title: ………………. Position:....................................................

Workplace phone number: ………………………… Mobile phone number:.............................................................

Email: ...............................................................................................................................

Summary of scientific profile of person in charge from foreign partner

9. Persons primarily involved in performance of protocol-based task from Vietnamese side (full name, academic title, academic degree, workplace, title/ in-charge task and scientific profile of each person submitted together with protocol-based task description)

-

-

II. RESEARCH OBJECTIVES, CONTENTS AND PLANS

10. Objectives

-

-

…

11. Status

□ New

□ Follow up with research of the same research team

□ Follow up with research of another author

12. Research situations in Vietnam and other countries and challenges faced by scientific research and technological development in Vietnam[1]

- Analyze and assess general research situations in Vietnam and other countries (citing studies related to protocol-based task);

- Analyze and assess general socio-economic significance of research topic;

- Present and assess research challenges related to protocol-based task in Vietnam in detail;

- Present and assess how foreign partner’s capacity, experience, potential and strengths will help respond to research challenges in Vietnam and develop protocol-based task’s content; research results of unit in charge and person in charge related to protocol-based task.

13. Research contents and tasks in charge by Vietnamese side

(List and describe research contents and tasks in charge by Vietnam with the following information:

- Main contents and tasks to carry out, provisional start and end times;

- Required outcomes;

- Provisional converted work days and corresponding wages;

- Provisional main raw materials and funding therefor;

- Provisional equipment to purchase and funding for equipment.

Content 1: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

…………………………………………………..

Content 2: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

14. Contents carried out in cooperation with foreign partner

(List and describe contents carried out in cooperation with foreign partner with the following information:

- Main contents and tasks to carry out, provisional start and end times;

- Required outcomes;

- Provisional converted work days and corresponding wages;

- Provisional main raw materials and funding therefor;

- Provisional equipment to purchase and funding for equipment;

Content 3: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

………………………………………………….

Content 4: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

………………………………………………….

15. Contents carried out to complete and grasp results

(List and describe research contents and tasks carried out to complete and grasp results of cooperation with foreign partner with the following information:

- Main contents and tasks to carry out, provisional start and end times;

- Required outcomes;

- Provisional converted work days and corresponding wages;

- Provisional main raw materials and funding therefor;

- Provisional equipment to purchase and funding for equipment;

Content 5: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

………………………………………………….

Content 6: …………………………………..

Task 1: …………………………………..

Task 2: …………………………………..

………………………………………………….

16. Research approach, methods and technique

(Detailed grounds for research approach, design, method and technique, compare with similar methods, present novelty, uniqueness and creativeness of protocol-based task)

17. Schedule (for description presented for funding appraisal)

III. RESULTS

18. Main product(s) and quality requirements thereof

19. Impact and benefits of research results, and research results applicability and transfer method*

- Impact on relevant scientific and technological areas, unit in charge, facilities applying research results, society-economy and environment.

- Description of market demand (demand of domestic and foreign markets; name and demand of specific clients (if any); necessary conditions for trading of product on market), possible applications of research results to business operations (competitiveness in terms of product price and quality), scope of application and address (provisional) where results will be applied, connection with enterprises during and after research, transfer method (all-inclusive technology transfer, technology transfer with training, transfer gradually paid according to revenue percentage, connecting with an enterprise for production or capital contribution; self-establishing an enterprise based on research results, etc.).

IV. FUNDING ESTIMATE AND FUNDING SOURCES

__________________

*Scientific workers, unskilled workers

Appendix 1 (for description presented for funding appraisal)

FUNDING ESTIMATE

Unit: million VND

Appendix 2 (for description presented for funding appraisal)

EXPENDITURE ITEM EXPLANATION

SectionI. TOTAL WAGE ESTIMATE (scientific workers and unskilled workers)

Unit: million VND

SectionII. DETAILED ESTIMATE OF WAGES PAID TO MAIN WORKERS(for description presented for funding appraisal)

Calculation unit: million VND

1. The estimate shall be prepared according to guidelines in Point a Clause 1 Article 7 of Circular No. 55/2015/TTLT-BTC-BKHCN dated 22/4/2015 by the Minister of Finance and Minister of Science and Technology and sections 15, 16 and 17 of the description.

2. Participants shall include the officials named in section 9 and performing tasks assigned according to section 18 of the description.

3. Adhere to regulations in Table 1 Point b Clause 1 Article 7 of Circular No. 55/2015/TTLT-BTC-BKHCN dated 22/4/2015 by the Minister of Finance and Minister of Science and Technology.

4. “Hsten” shall be calculated according to regulations in Table 1 Point b Clause 1 Article 7 of Circular No. 55/2015/TTLT-BTC-BKHCN dated 22/4/2015 by the Minister of Finance and Minister of Science and Technology.

5. “Snc” shall be calculated according to regulations in Point b Clause 1 Article 7 of Circular No. 55/2015/TTLT-BTC-BKHCN dated 22/4/2015 by the Minister of Finance and Minister of Science and Technology.

6. “Lcs”, which stands for “Lương cơ sở” (“statutory pay”), is stipulated by the State; estimate of wages paid to technicians and support workers shall be calculated according to regulations in Point a Clause 1 Article 7 of Circular No. 55/2015/TTLT-BTC-BKHCN dated 22/4/2015 by the Minister of Finance and Minister of Science and Technology.

SectionIII. RAW MATERIALS AND ENERGY (for description presented for funding appraisal)

Unit: million VND

1. In case of applicable economic - technical norms promulgated by competent state agencies:

- Estimated funding for raw materials and energy shall be prepared based on the economic - technical norms (citing documents used as grounds) and accompanying quotations.

- Proposed funding for expenditure items shall be calculated according to regulations in Point g Clause 2 Article 7 of Joint Circular No. 27/2015/TTLT-BKHCN-BTC dated 30/12/2015 by the Minister of Science and Technology and Minister of Finance on provision of fixed funding to science and technology tasks funded by state budget.

2. In case there are no applicable economic - technical norms promulgated by competent state agencies, the estimate shall be prepared based on estimated expenditures and quotations and expenditure rate may not be proposed.

SectionIV. EQUIPMENT*(for description presented for funding appraisal)

Unit: million VND

______________________

*Provide technical specifications

SectionV. INTERNATIONAL COOPERATION (for description presented for funding appraisal)

Unit: million VND

_____________________

**Special expenditure items require appraisal by an advisory council established by the Ministry of Science and Technology and relevant competent authorities.

SectionVI. OTHER EXPENDITURES (for description presented for funding appraisal)

Unit: million VND