THE MINISTRY OF HEALTH | THE SOCIALIST REPUBLIC OF VIETNAM |
No. 37/2010/TT-BYT | Hanoi, August 16, 2010 |
CIRCULAR
ON MANAGEMENT OF SICENTIFIC RESEARCH AND EXPERIMENT PROJECTS APPROVED BY THE MINISTRY OF HEALTH
Pursuant to the Law on Science and Technology dated June 9, 2000;
Pursuant to the Government's Decree No. 188/2007/ND-CP dated December 27th 2007, defining the functions, tasks, powers and organizational structure of the Ministry of Health and the Government's Decree No. 22/2010/ND-CP dated March 09th 2010 on amendments to Article 3 of the Government's Decree No. 188/2007/ND-CP dated December 27 2007, defining the functions, tasks, powers and organizational structure of the Ministry of Health;
In consideration of:
Circular No. 12/2009/TT-BKHCN dated May 8, 2009 of the Ministry of Science and Technology on guidelines for acceptance of science and technology projects, pilot production projects approved by the State;
Joint Circular No. 93/2006/TTLT/BTC-BKHCN dated October 4, 2006 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for fixed grants for science and technology projects financed by state budget;
Joint Circular No. 44/2007/TTLT-BTC-BKHCN dated May 7, 2007 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for quotas and appropriation of budget estimates for science and technology projects financed by state budget;
Circular No. 07/2009/TT-BKHCN dated April 3, 2009 of the Ministry of Science and Technology on guidelines for assessment and acceptance of social science projects approved by the State;
Decision No. 24/2006/QD-BKHCN dated November 31, 2006 of the Ministry of Science and Technology on determination of science and technology tasks under major science and technology programs approved by the State in the period of 2006 to 2010;
Decision No. 11/2007/ QD-BKHCN dated June 4, 2007 of the Ministry of Science and Technology on selection of principal researchers of social science and humanity projects approved by the State;
Decision No. 10/2007 QD-BKHCN dated May 11, 2007 of the Ministry of Science and Technology on selection of principal researchers of scientific researches and experiment projects,
Chapter I
GENERAL PROVISIONS
Article 1. Scope
1. This Circular sets forth determination, selection, assessment, conclusion of science and technology contracts, inspection, testing for acceptance, recognition and completion of contracts of researchers/experiment projects approved by the Ministry of Health.
2. Scientific researches/experiment projects specified in this Circular subject to approval of the Minister of Health.
3. Researches approved by the Ministry of Health in respect of drug tests, clinical medical equipment are required to comply with applicable law on clinical drug tests, clinical medical equipment tests and regulations in this Circular.
Article 2. Interpretation of terms
1. ”research” meansscience and technology matters need to be studied to grasp the nature and principle of finding solutions and creating techniques and technology to serve the objectives of protecting and caring for the people's health, to be determined and selected by the science and technology council at ministerial level and approved by the Ministry of Health under the provisions of this Circular.
2. ”experiment project” meanstechnology matters need to be approved to create new technology and specific products to meet the market demand and meet the requirements of the health sector and socio-economic efficiency.
3. ”determination” meansdetermination of name, key objectives and expected research/experiment project findings.
4. ”selection of principal researchers group 1” means selecting the most qualified entity to undertake a research through considering and assessing applications for selection according to requirements and criteria prescribed in this Circular, to be applied to science and technology researches for which multiple potential entities apply.
5. “selection of principal researchers group 2” means verifying and assessing applications of researchers assigned by the Ministry of Health according to requirements and criteria prescribed in this Circular, to be applied to experiment projects and researches belonging to national secrets, researches to be conducted to solve urgent problems of the health sector or health-related national defense and security, economy, culture and society problems, researcher matters that only specialization and equipment of one organization or individual are suitably qualified for.
6. ”contract” meansan agreement entered into the research grant provider and principal researcher to perform tasks approved in the research outline.
7. “acceptance testing” means a process of testing the research/experiment project findings compared to the approved outline and the concluded contract.
Chapter II
DETERMINATION OF RESEARCHES AND EXPERIMENT PROJECTS
Article 3. Rules for determining researches and experiment projects
1. Researches and experiment projects shall be determined based on:
a) Strategies, national target programs, action programs and plans for development of health branch;
b) Proposals from scientific research, production, services, and management of entities; from cooperation programs between the Ministry of Health and other ministries or other international cooperation in terms of science and technology in the health area.
c) The rule of priorities to be given to researches/experiment projects or groups of researches/experiment projects that solving a problem that brings socio-economic value or improving the level of science and technology of the health sector.
2. The Minister of Health shall determine researches/experiment projects in consideration of advices of the science and technology council referred to in a council meeting minutes prescribed in Article 9 hereof. In necessary circumstances, the Minister of Health may directly determine researches/experiment projects.
Article 4. The power to determine researches/experiment projects
The Minister of Health shall issue a list of researches/experiment projects.
Article 5. Requirements for researches
1. Practical value: conform to requirements pertaining to practical development of the health branch and health-related cultural and social areas.
2. Scientific value:
a) Resolve new science and technology matters at the advanced level of the region or the world;
b) Summarize health-related laws of nature, cultural and social issues.
c) Enhance science and technology competence of the health branch.
3. Feasibility: resources are sufficient to resolve the research matters.
Article 6. Requirements pertaining to experiment projects
1. Technology:
a) New and advanced compared to existing technology in Vietnam or able to replace technology imported from abroad;
b) Raise the technological level of the manufacturing sector when it is widely applied.
2. Feasibility and economic efficiency:
a) Have market for the products (clear description of the potential market, modes of technology transfer and commercialization of the products of the project);
b) Be able to mobilize human resources, finance and facilities from various sources for the implementation of the project;
c) The project product may create new products or new industries, increase employment and income for the community.
3. Technology to be employed must be legal and originated from one of the following sources:
a) Results of researches that are assessed, examined and proposed for practical application by the science and technology council at national, ministerial, ministerial-equivalent, or the grassroots level;
b) Patents, utility solutions, scientific products that are given science and technology awards at home and abroad;
c) Results of a research gained abroad that are recognized by the competent authority.
Article 7. Determination council
1. Determination council means a body which is established with the purpose of giving advices of determination of researches/experiment projects to be selected to the Minister of Health.
2. The Minister of Health shall establish, define functions, tasks, powers and operation of the determination council.
3. A determination council is composed of 7-11 members, a president, a vice president, two critical members and remaining members. Composition of council:
a) A half of experts suitably qualified and having at least 3 years' experience in the scientific area of specialization assigned for consultation;
b) A half of representatives of regulatory agencies, traders, and relevant entities.
Article 8. Working method
1. A council meeting shall be convened when it is attended by at least two thirds of members, with compulsory presence of the president or vice president, written opinions of absent member are used for reference only.
2. The president (or the vice president, who replaces the president when he/she is absent) will preside over council meetings which work under rules of democracy and impartiality; and take several liability for the impartiality and accuracy of independent consulting and joint liability for the council conclusion.
Article 9. Procedures, contents and working results of determination council
The determination council shall perform consulting researches/experiment projects through the following meetings:
1. The meeting held to determine the list of researches/experiment projects
a) The council will discuss and analyze each research/experiment project in the preliminary list (form A4 DMSB of Appendix 1issued herewith) according to the rules and criteria specified in Articles 3, 5, and 6 of this Circular.
b) Council’s members will assess each research/experiment project as prescribed in form A5 PDG of Appendix 1 issued herewith.
c) The council will elect a counting group composed of 3 members, with a group leader. The counting results will be consolidated as prescribed in form A6 BBKPDT of Appendix 1 in case of researches and form A7 BBKPDASXTN of Appendix 1 in case of experiment projects issued herewith.
d) According to the counting results, the council will determine the list of researches/experiment projects in order of precedence. A research/experiment project to be included in the list at the request of the council must be voted for by at least two thirds of council’s members participating in the voting meeting which accounts for at least a half of number of council’s members. The order of precedence of researches/experiment projects is ranked according to the number of affirmative votes. If multiple researches/experiment projects have equal votes, the council will use the direct voting rule to rank the order of precedence.
dd) The council will assign 2 expertised members to act as critical members for each research/experiment project in the list. In exceptional circumstances, the council may propose the Ministry of Health to invite critical members other than the council’s members. The critical member must complete each research/experiment project using the form specified in the form A8 PPBDT of Appendix 1 in case of researches and form A9 PPBDASXTN of Appendix 1 in case of experiment projects issued herewith for further discussion in the second meeting.
2. The meeting held to complete the list of researches/experiment projects
a) Critical members offer opinions about researches/experiment projects as assigned as prescribed in Point dd, Clause 1 of this Article.
b) The council will discuss, offer suggestions, and vote to ratify the council conclusion for each research/experiment project according to the rule of absolute majority.
c) The secretary will take a meeting minutes and the list of researches/experiment projects ratified by the council according to form A11 DM DT,DASXTN of Appendix 1issued herewith.
d) The council will propose selection methods.
3. The list of researches/experiment projects must be completed before July 30 of the year proceeding the plan year.
4. According to the working results of the council, the Science and Education Department shall consolidate and complete the list of researches/experiment projects approved by the Ministry, and then submit it for Minister’s approval.
Chapter III
SELECTION OF PRINCIPAL RESEARCHERS GROUP 1 AND 2
Article 10. Rules for selection of principal researchers group 1 and 2
1. The selection of researchers group 1 shall be done in conformity with the rules of impartiality, transparency, and equality among applicants. The Ministry of Health shall publish a list of researches/experiment projects on the annual basis by an official dispatch and means of mass media (Health and Life Newspaper, website of the Ministry of Health or other means of mass media) at least 2 months before the selection with the purpose of enabling qualified entities prescribed in Article 11 hereof to apply for selection.
2. Written notices of selection of researchers group 2 shall be sent to organizations expected to act as the principal researcher.
3. The selection shall be done through a science and technology council consulting the selection (hereinafter referred to as selection council) established by the Ministry of Health.
4. The evaluation of applications for selection shall be done using the weighted scoring method according to given criteria of the researches/experiment projects.
5. Each research to be selected as prescribed in Article 12 of this Circular shall have up to 1 application considered successful.
Article 11. Conditions for (principal) researchers
1. A principal researcher being organization must have legal status, have operation in conformity with the field of research/experiment project, meet conditions for personnel, equipment, and facilities deemed necessary to carry out the research/experiment project effectively.
2. A principal researcher being individual must obtain at least a bachelor's degree and at least 3 years' experience in the field of the research/experiment project. Each individual is solely entitled to act as the principal researcher of up to two researches/experiment projects concurrently approved by at least the Ministry level.
3. An individual is not entitled to act as a principal researcher in any of the following cases:
a) He/she has acted as the head of research/experiment project that is considered "failed" by at least the Ministry level and obtain no permit for an extension from the competent authority to complete the findings; or the research approved by Ministry is downgraded to the grassroots level within 2 years from the receipt of approval issued by the Ministry of Health; or the research is suspended by the regulatory agency as a result of violation committed whilst it is carried out within 2 years from the date on which the ministerial-equivalent examination council gives findings, or from the date on which the regulatory agency suspend the performance.
b) He/she submits an application for acceptance testing at the grassroots level at least 6 months late from the deadline for completion of the research contract without the Ministry of Health’s consent, in particular:
- If he/she has submitted the application for acceptance testing 6 months to less than 24 months late from the said deadline, he/she is suspended from selection for 1 year, commencing from the submission date of application;
- If he/she has submitted the application for acceptance testing at least 24 months late from the said deadline, he/she is suspended from selection for 1 year, commencing from the submission date of application.
Article 12. Applications for selection
1. An application for selection shall consist of:
a) An application form for acting as principal researcher (using form B1 Appendix 2 issued herewith);
b) Description of research/experiment project (using form B2 TMDT Appendix 2 in case of research and form B3 TMDA Appendix 2 in case of experiment project issued herewith);
c) Summary of operation of the organizational applicant (using form B4 LLTC Appendix 2 issued herewith);
d) Scientific background of applicant being individual bearing certification of his/her employer (the workplace for which he/she registers) using form B5 LLCN Appendix 2 issued herewith;
dd) Certification of other entities applying to become co-researchers (using form B6 PHNC Appendix 2 issued herewith);
e) The document proving capacity of capital mobilization from other sources (in case of experiment project), undertakings and representation for capacity of capital mobilization from sources other scientific budget, accounting for at least 70% of total estimated investment.
g) Document stating voluntary participation of research subjects, interests and duties of research subjects, commitment on observance to regulations on morals in biomedical research of the principal researcher (if the research directly relates to human).
h) Each entity solely joins a bid for a certain research as a collaborator, head, or cooperating body. An application is in breach of this requirement shall be rejected.
2. Submission of applications for selection: a set of application (1 original copy and 12 certified copies) bearing a seal and the following outside:
a) Name of research or experiment project name registered (specifying name of research or experiment project, name and code of the Program);
b) Name and address of the organizational applicant for principal researcher and co-researchers (with certification of co-researchers);
c) Full name of person registered for leader of research/experiment project and the list of primary co-researchers;
d) A list of documents included.
3. Attention: the Science and Education Department, the Ministry of Health.
4. Deadline for submission or additional submission:
a) Each application must be submitted by the deadline prescribed by the Ministry of Health. The receipt date is the date stated on the postmark (if the application is submitted by post) or on receiving seal of documentary department of the Ministry of Health or on receiving seal of documentary department of the Science and Education Department (submitted in person). If an application submitted by post is torn or damaged, the recipient must take a record to certify its status. The record must bear certification of the postal worker delivering the application.
b) Before the said deadline, the applicant is entitled to withdraw to replace a new application or amend the existing application. Any amendment must be submitted by the given deadline and form an integral part of the application.
Article 13. Selection council
1. The Minister of Health shall establish and stipulate functions, tasks, powers and operation of the selection council.
2. The operation of the selection council shall be conducted through meetings.
3. A consulting council is composed of 7-11 members, a president, a vice president, two critical members and remaining members, in which:
a) Two thirds of experts suitably qualified and having at least 3 years' experience in the scientific area of specialization assigned for consultation;
b) One third of representatives of regulatory agencies, traders benefiting from the research findings and relevant entities.
c) An expert or a critical member who has joined the consulting council may be invited to join the respective selection council.
d) Scientific and administrative secretaries will assist the council.
dd) The following individuals are not allowed to join the council:
- A person applying for becoming a principal researcher or co-researcher
- A person working for the organizational applicant for becoming principal researcher. In exceptional circumstances, council members may be employees working for the organizational applicant but not exceeding 2 people and may not act as president, vice president or critical members;
4. Working rules of the selection council.
a) Each council’s member must stay honest, impartial, and fair when conducting assessment; take several liability for his/her assessment and take joint liability for the conclusion of the council and keep secrets in connection with the assessment for selection.
b) Each critical member must criticize each item and information mentioned in the application for selection.
Whenever necessary, the council may propose the Ministry of Health to invite external experts knowledgeable about the field of study of research/experiment project to perform the critical task. These experts will not take votes on assessment of researches/experiment projects.
c) Council’s members shall study and analyze every items and piece of information mentioned in the application; give comments and assessment and give scores according to criteria in prescribed forms (form B8 PNXTMDT Appendix 2 in case of research, form B9 PNXTMDA Appendix 2 in case of experiment project issued herewith) and send them to administrative secretary before the council meeting takes place.
d) A council’s meeting will be considered valid when it is attended by two thirds of number of members, including the president, vice president, and all critical members.
dd) The president (or the vice president if the president is absent) will preside over council's meetings.
e) The scientific secretary shall take a meeting minutes and other documents containing specialist opinions of members and conclusions of council.
d) Each member will mark independently according to groups of criteria and scale as prescribed. Before marking, the council will reach a consensus on viewpoints and marking method.
Article 14. Selection
1. The meeting to reach a consensus on working method and open applications for selection will be held as follows:
a) The administrative secretary reads the council establishment decision and introduces the council’s composition and participating delegates. The representative of the Science and Education Department raises requirements and key information about selection of principal researchers as prescribed in this Circular.
b) The council will reach a consensus on rules, procedures, assessment criteria and scale prescribed in this Circular.
c) Open applications: The council and the Science and Education Department shall open applications and verify if they are eligible; the Science and Education Department may invite representatives of bodies assuming the prime responsibility to participate as deemed necessary. Eligible application means an application prepared in accordance with forms and requirements pertaining to applications for selection. The council will announce ineligible applications which are not considered further. If only one application is submitted for selection, the council still conducts the selection in accordance with this Circular.
d) Eligible applications will be considered further.
dd) The opening of applications shall be recorded (using form B7 BBMHS Appendix 2 issued herewith).
e) The administrative secretary reads the record of opening applications and then announces number and the list of eligible applications to be considered further.
2. The meeting to assess applications shall be held as follows:
a) Critical experts assess and analyze applications, give general judgment of strength and weakness of each application and make comparison between applications of the same research.
b) The council raises questions to critical experts about assessment criteria.
c) The scientific secretary reads written comments of absent members (if any) for reference.
d) The council discusses, assess, and compare applications of the same research.
dd) Council’s members gives scores independently based on criteria and scale prescribed in the following forms: Form B10 CDTMDT Appendix 2 in case of research and form B1 CDTMDA Appendix 2 in case of experiment project issued herewith.
e) The council elects the counting group and voting group: The counting group is composed of 3 members, with a group leader. A valid vote means a ballot that has been cast within the rules specified thereon; the counting group will consolidate and report on counting results to the council using form B12 BBKPCDTMDT Appendix 2 in case of research or form B13 BBKPCDTMDA Appendix 2 in case of experiment project issued herewith.
g) An application of research will be considered for approval if its weighted score is at least 80/100 (in case of research of which the consideration of moral aspect is required) or 60/80 (in case of research which the consideration of moral aspect is not required), in which the weighted score of each criterion is not less than 3 and at least two thirds of present council’s members give at least 3 marks.
h) An application of experiment project will be considered for approval if its weighted score is at least 65/100, in which weighted score of each criterion is not less than 3 and at least two thirds of present council’s members give at least 3 marks.
i) With regard to applications with the same assessment score, the application with higher score marked by the president will be ranked higher.
k) If the president also marks the same score for the above applications, they will be ranked equally and the council will propose the methods of selection.
l) The council ratifies the record form B15 BBHDTC Appendix 2 issued herewith in terms of working results of council, and proposing successful principal researcher:
m) The successful principal researcher refers to the applicant obtaining the highest score among applications considered according to criteria in form B14 THDGDTTC Appendix 2 issued herewith.
n) The council reaches a consensus on amendments deemed necessary to the description of research/experiment project requested for approval.
Article 15. Procedures for approving selection results
1. The successful principal researcher must amend application according to the selection council’s conclusions.
2. The Science and Education Department takes charge and cooperates with Department of Planning and Finance in evaluating the completion of description as follows:
a) Science aspect: In accordance with proposals in the meeting minutes of selection council
b) Finance aspect: In accordance with Joint Circular No. 44/2007/TTLT/BTC-BKHCN dated May 7, 2007 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for quotas and allocation of budget estimates for science and technology researches and projects funded by government budget, Joint Circular No. 93/2006/TTLT/BTC-BKHCN dated October 4 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for fixed grants for science and technology researches and projects funded by government budget and Joint Circular No. 85/2004/TTLT/BTC- BKHCN dated August 20, 2004 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for financial management of science and technology projects funded by the state budget and reimbursement of grants for experiment projects
3. The Minister of Health shall consider approving principal researchers in consideration of consultation of the Science and Education Department.
4. The Ministry of Health shall enter into a contract with the principal researcher using Form B16 HDDT Appendix 2 in case of research and form B17 HDDA Appendix 2 in case of experiment project issued herewith.
Chapter IV
INSPECTION
Article 16. The power to inspect
1. The body in charge of research management shall conduct inspection on the periodical or ad-hoc basis on a case-by-case basis.
2. The person in charge of inspection may not be the member of research group, must comply with regulations on confidentiality of research data and be held accountable to the body head for his/her work.
3. In exceptional circumstances, the acceptance testing council may invite experts to evaluate findings, inspect figures, test research product of researches/experiment projects.
Article 17. Handling of inspection results
1. The inspection results must be reported in writing to competent authority.
2. The managing authority, principal researcher shall instruct the head of research/experiment project to comply with documents on science and technology management and take actions against violations during the inspection progress. The handling results must be reported to the governing body.
3. In necessary cases, according to inspection reports, the managing authority will give guidelines for amendments to contract or termination of contract in accordance with applicable regulations and laws.
Chapter V
ACCEPTANCE TESTING
Article 18. Applications for acceptance testing
1. Within 30 days after the acceptance testing at the grassroots level is completed, the principal researcher will send 12 applications to the Science and Education Department affiliated to the Ministry of Health, including 1 original copy (using form C1 BCTK DT, DA on statistical report of Appendix 3 and form C3 HDBCTH DT, DA on guidelines for consolidated report of Appendix 3 issued herewith). The application consists of:
a) A decision on establishment of acceptance testing council at the grassroots level.
b) Meeting minutes of acceptance testing council at the grassroots level.
c) Official dispatch of applicant for acceptance testing at the ministerial level.
d) Representation of contents amended and completed in conformity with conclusions of acceptance testing council at the grassroots level bearing certification of the head of principal researcher and president of acceptance testing council at the grassroots level.
dd) The principal researcher applies Article 19 and Article 20 of this Circular to carry out the acceptance testing at the grassroots level.
Article 19. Criteria for rating researches/experiment projects
1. Criteria for rating researches are specified in form C5 PDGKQ DT Appendix 3 issued herewith.
2. Criteria for rating experiment projects are specified in form C6 PDGKQ DA Appendix 3 issued herewith.
3. If an application for acceptance testing of research/experiment project at the ministerial level is submitted at least 3 months late from the deadline for contract completion without the managing authority’s consent, it will not rated more than credit grade.
Article 20. Acceptance testing council
1. The Minister of Health shall establish, define functions, tasks, and operation of the acceptance testing council.
2. The acceptance testing council shall conduct acceptance testing according to objectives, requirements, Contents, products, time schedule by approved outlines, concluded contract and be held accountable to the Minister of Health for acceptance testing of researches/experiment projects at the ministerial level.
3. An acceptance testing council is composed of 7-11 members, a president, a vice president, two critical members and remaining members, in which:
a) Two thirds of experts suitably qualified and having at least 3 years' experience in the scientific area of specialization assigned for consultation;
b) One third of representatives of regulatory agencies, traders benefiting from the research findings and relevant entities.
c) Scientific and administrative secretaries will assist the council.
d) Members of acceptance testing council at the grassroots level may join in acceptance testing council at ministerial level but not exceeding 30% of council’s members, in which the president and critical members of the former council may not act as the president, vice president or critical members of the latter council;
dd) The head and co-researchers of a research/project may not act as members of respective acceptance testing council;
e) The organizational principal researcher, in necessary cases, may join in the council but not exceeding 2 members and may not act as the president, vice president and critical members.
4. With regard to a key research/experiment project, the Science and Education Department (or the president) shall request the Ministry of Health to establish a group in charge of assessing research figures, scientific and financial aspects of the research, and then send a report on assessment to the president before the acceptance testing meeting. The assessment group is composed of 3-5 members being council’s members and external experts (as deemed appropriate) and a council’s member will be the group leader.
5. Acceptance testing of researches/experiment projects at ministerial level.
a) The president shall, according to the application for acceptance testing and assessment report (if any), hold an acceptance testing meeting; time limit for acceptance testing is 30 days from the date on which the Minister of Health issues a decision on acceptance testing.
b) Primary participants of acceptance testing meeting are acceptance testing council, representative of governing body, representative of principal researcher and head of research/experiment project and the research group.
c) A council’s meeting will be considered valid when it is attended by two thirds of number of members, including the president, vice president, and all critical members.
d) Procedures for acceptance testing meeting:
The president (or vice president if the president is absent) will preside over the meeting as follows:
- The administrative secretary reads the council establishment decision and introduces the council’s composition and participating delegates. The representative of the Science and Education Department raises requirements and key information about acceptance testing of research/experiment project as prescribed in this Circular.
- The council will reach a consensus on rules, procedures, acceptance testing criteria and scale prescribed in Article 19 of this Circular.
- The leader of expert group reads assessment report;
- The head of research/experiment project or representative (of the research group) summarize the research/experiment project findings to the acceptance testing council.
- The critical member reads comments to research/experiment project (using form C3 PNXKQ DT Appendix 3 in case of research and form C4 PNXKQ DA Appendix 3 in case of experiment project issued herewith);
- The scientific secretary reads written comments of absent members (if any) for reference;
- Council’s members discuss with members of expert group and critical members about the research/experiment project findings; raise questions to the head of research/experiment project in terms of findings and relevant matters.
- The head of research/experiment project or representative (of the research group) will answer questions of the council.
- The council holds a closed discussion; council’s members give scores according to criteria in form C5 PDGKQ DT of Appendix 3 in case of research and form C6 PDGKQ DA of Appendix 3 in case of experiment project issued herewith.
- The council elects a counting group composed of 3 members, with a group leader. The council cast the ballots to evaluate the research/experiment project findings;
- The counting group will make a record and report the counting results using form C7 BBKP DT of Appendix 3 in case of research and form A8 BBKP DA of Appendix 3 in case of experiment project issued herewith;
- The president drafts an assessment conclusion, clarifying contents need to be amended. If the council rates “failed”, clarifying parts in research/experiment project that are conformable or unconformable to the contract for the Ministry of Health’s consideration in accordance with current provisions;
- The council reaches a consensus on conclusion and ratifies the record (using form C9 BBNT DT of Appendix 3 in case of research and form C10 BBNT DA of Appendix 3 issued herewith);
- The representative of managing authority expresses opinions (if any).
Article 21. Recognition of research/experiment project findings
The recognition of research/experiment project findings regardless of “passed” or "failed”.
1. Documents required for recognition include:
a) The meeting minutes of acceptance testing council;
b) A certification keeping research/experiment project findings;
c) A report on completed application in consideration of opinions of acceptance testing council.
2. Recognition of research/experiment project findings:
the Science and Education Department affiliated to the Ministry of Health shall gather documents prescribed in Clause 1 of this Article, and then submit them to the Minister of Health for recognition.
Article 22. Completion of contract
1. When a research/experiment project completes, its head must submit final accounts to the managing authority.
2. After a decision on recognition of the research/experiment project findings is issued by the Minister of Health, the governing body must evaluate, check and hand over products and assets purchased by the grant for research/experiment project.
3. The contracting parties shall complete the contract after receiving the statement and stocktaking results.
4. If a research/experiment project is considered failed after acceptance testing, the respective contract will not be completed and handled in accordance with Clause 5, Clause 6 Article 29 hereof.
Chapter VI
SUBMITING, PUBLISHING, AND OWNING RESEARCH/EXPERIMENT PROJECT FINDINGS
Article 23. Submitting findings
1. If a research is considered passed after acceptance testing, the principal researcher shall, within 30 days, complete the research according to contributions of the council and submit it to the Science and Education Department. Scientific papers: to be printed with hard cover and CD using form in form C1 BCTK DT, DA Appendix 3 and form C2 HDBCTHDT, DA Appendix 3 issued herewith. After acceptance testing, the principal researcher must register research findings to Department of National Science and Technology Information.
2. Within 30 days from the receipt of research and completion report, the Science and Education Department must verify and request additional documents as deemed appropriate.
Article 24. Publishing research findings
The completed research submitted to the Science and Education Department shall be kept at the Office of the Ministry Archives and published on the science and technology website of the Ministry of Health and National Science and Technology Information Agency.
Article 25. Owning research findings
The Ministry of Health shall own and manage research findings of researches granted by state budget. The ownership and management of research findings of researches from other sources shall be agreed by the principal researcher and grant provider in accordance with current provisions.
Chapter VII
IMPLEMENTATION
Article 26. Responsibilities of managing authorities
1. Science and Education Department shall cooperate with Department of Planning and Finance and relevant units in initiating and inspecting the implementation of this Circular.
2. Science and Education Department shall cooperate with Department of Planning and Finance in checking if the research/experiment project has been run on schedule in terms of scientific and spending aspects.
Article 27. Responsibilities of principal researchers
1. An organizational principal researcher shall
a) Direct the head of research/experiment project to complete the description thereof;
b) Ensure that the research/experiment project meets requirements mentioned in the description approved by the Ministry of Health and specified in the contract.
c) Send reports on progress of research/experiment project before June 30 and December 31 to the Ministry of Health. A report may be required on the ad-hoc basis at the request of the managing authority.
d) Conduct acceptance testing and assess the results of research/experiment project at the grassroots level.
2. An individual principal researcher shall:
a) Perform the tasks as specified in the approved description and use budget in accordance with laws and regulations.
b) Hold the copyright of his/her scientific work as per the law.
c) Enable inspectors to refer to research figures upon requests.
3. Principal researchers shall take legal responsibility for grant and research findings if the contract of research is not completed and must make reimbursement as prescribed in Joint Circular No. 93/2006/TTLT/BTC-BKHCN of the Ministry of Finance and the Ministry of Science and Technology dated October 4, 2006 on fixed budget for science and technology researches and projects funded by state budget.
Article 28. Finance management
1. Grant allocation:
The Science and Education Department shall cooperate with Department of Planning and Finance in planning the annual allocation of grant according to time for performance of researches/experiment projects.
Expenses associated with management of researches/experiment projects funded by government budget shall be covered in accordance with Joint Circular No. 44/2007/TTLT/BTC-BKHCN dated May 7, 2007 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for quotas and allocation of budget estimates for science and technology researches and projects funded by government budget, Joint Circular No. 93/2006/TTLT/BTC-BKHCN dated October 4 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for fixed grants for science and technology researches and projects funded by government budget and relevant legislative documents.
2. Financial statements:
a) The financial statements of researches/experiment projects shall be done in accordance with Joint Circular No. 93/2006/TTLT/BTC-BKHCN dated October 4 of the Ministry of Finance and the Ministry of Science and Technology on guidelines for fixed grants for science and technology researches and projects funded by government budget and relevant guiding documents.
b) If a research/experiment project is considered qualified, Department of Planning and Finance shall, according to the record of acceptance testing issued by the acceptance testing council approved by the competent authority, cooperate with the Science and Education Department in initiating financial statements and doing stocktaking and handing over the procured property (if any) within the scope of approved research/experiment project.
Article 29. Actions against violations
1. If an official or public employee (including an official working under a contract) violates regulations on selection, inspection, assessment, acceptance testing of research/experiment project, he/she shall be liable for sanctions in accordance with regulations on officials and public employees and current provisions.
2. If a council’s member is considered not impartial, fair, dishonest, and violating rule of confidentiality when determining, selecting or conducting acceptance testing for a research/experiment project, he/she will not be invited to participate in another council and liable for sanctions as prescribed by law on science and technology and current provisions.
3. If the council is detected not complying with regulations on selection, assessment, or acceptance testing, the head of the Ministry of Health may request the council to make amendments or reassessment.
4. If any information declared for selection is considered dishonest leading the falsifying the assessment results, the selection results shall be cancelled.
5. Violating entities shall be liable for sanctions in accordance with law on science and technology and current provisions.
6. An entity fails to achieve the objectives of research/experiment project (the acceptance testing result is failed) must reimburse the grant and take legal responsibility in accordance with current provisions.
Article 30. Complaints and denunciation
1. Any entity is entitled to file complaints and lawsuits against an administrative decision or administrative act of competent authority relating to the determination, selection, assessment, conclusion of science and technology contract, inspection, acceptance testing, recognition and completion of contract of research/experiment project.
2. A citizen is entitled to denounce violations against determination, selection, and assessment, conclusion of science and technology contracts, inspection, acceptance, recognition and completion of contracts of pilot production project.
3. The complaints and denunciation and handling thereof shall be done in accordance with current provisions.
Chapter VIII
IMPLEMENTATION
Article 31. Entry in force
This Circular comes into force as of October 15, 2010. Any regulation promulgated previously not in accordance with this Circular shall be annulled.
Article 32. Implementation
Relevant organizations, principal researchers and co-researchers of researches/experiment projects shall implement this Circular.
Difficulties that arise during the implementation of this Circular should be reported to the Science and Education Department affiliated to the Ministry of Health for consideration.
| MINISTER |
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