Thông tư 18/2016/TT-BKHCN

CIRCULAR

ON GUIDELINES FOR THE MANAGEMENT OF NATIONAL SCIENCE AND TECHNOLOGY PROJECTS

Pursuant to the Law of science and technology dated June 18, 2013;

Pursuant to the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 on explanations and guidelines for the implementation of certain articles of the Law of science and technology;

Pursuant to the Government’s Decree No. 20/2013/ND-CP dated February 26, 2013 on the functions, missions, authority and organizational structure of the Ministry of Science and Technology;

At the request of the Head of the Department of Science and Technology for Economic Technical Branches and the Head of the Department of Legislation,

Minister of Science and Technology promulgates the Circular on guidelines for the management of state-funded national science and technology projects.

Chapter I

GENERAL

Article 1. Scope and regulated entities

1. This Circular provides guidelines for the management of national science and technology projects (referred to as sci-tech projects) financed by the state budget pursuant to Point dd, Section 2, Article 25 of the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 on explanations and guidelines for the implementation of certain articles of the Law of science and technology.

2. This Circular applies to the authorities, organizations, enterprises and individuals executing and managing sci-tech projects.

Article 2. Terminology

In this Circular, the following words and phrases are construed as follows:

1. The bodies proposing the procurement for sci-tech projects (referred to as the procuring bodies) are ministries, ministerial-level agencies, governmental bodies, provincial People’s Committees and other central government agencies.

2. The organizations overseeing sci-tech projects are enterprises or sci-tech organizations that undertake the functions, missions and fields apposite to the research and manufacture of pivotal and imperative products.

3. Sci-tech project management agencies (referred to as the project management agencies) are state management units of the Ministry of Science and Technology to which the responsibility for managing sci-tech projects is assigned.

4. Sci-tech project financial management agencies (referred to as the financial management agencies) are units of the Ministry of Science and Technology to which the responsibility for managing directly the finance of sci-tech projects is assigned.

Article 3. Requirements for the organizations overseeing sci-tech projects

1. An organization overseeing a sci-tech project shall meet the following requirements:

a) Be designated to preside over or cooperate in executing an investment project that manufactures pivotal and imperative products and product groups of a ministry, sector or locality;

b) Have juridical personality, adequate infrastructure, finances, human resources and capacities to carry out or cooperate in the research and application of outputs from the sci-tech project into production;

c) Have obtained a written commitment by the organization governing the production investment project to funding and application of the sci-tech project’s outputs and to employ and assign the sci-tech projects' outputs in the production investment project.

2. Principal investigator of the sci-tech project shall be the head of the organization overseeing such project. Such individual shall have ample time and abilities to conduct the sci-tech project. In special circumstances, such individual shall be designated by the Minister of Science and Technology.

Article 4. Requirements for the organizations administering missions under sci-tech projects

1. An organization administering missions under a sci-tech project shall be an enterprise or a sci-tech organization that meet the following requirements:

a) Have juridical personality, engage in industries (for the enterprise) or registered sci-tech fields (for the sci-tech organization) commensurate with the scientific and technological aspects of the sci-tech project;

b) Have adequate infrastructure, finances, personnel and capacities to succeed in the missions under the sci-tech project;

c) Have applied in writing to the organization overseeing the sci-tech project for the missions under such project and have obtained approval thereof;

d) Satisfy the Ministry of Science and Technology’s requirements for selecting and designating entities to execute directly the national science and technology missions.

2. Principal leader of missions under the sci-tech project shall satisfy the Ministry of Science and Technology’s requirements for selecting and assigning entities to conduct directly the national science and technology missions.

Chapter II

PROCEDURE FOR ESTABLISHMENT OF SCI-TECH PROJECTS

Article 5. Formulation and procurement

1. The procuring bodies shall base on competent authorities’ approvals of propositions about investment projects on pivotal and imperative products or product groups on annual or ad-hoc basis to propose the formulation of or the procurement for sci-tech projects and missions thereof to the Ministry of Science and Technology.

2. Such formulation and procurement shall be governed by the Circular No. 07/2014/TT-BKHCN dated May 26, 2014 by the Minister of Science and Technology on the procedure for specifying state-funded national science and technology missions.

3. The application to the Ministry of Science and Technology for procurement includes:

a) The proposal for procurement as defined in the Circular No. 07/2014/TT-BKHCN dated May 26, 2014 by the Minister of Science and Technology;

b) 01 original copy of the general explanatory draft of the sci-tech project (sample n^o B2-TMTQ-DAKHCN in Appendix I to this Circular);

c) The copies of the written approval of the proposition for the production investment project, the investment report and relevant legal documents;

d) The written commitment by the organization governing the production investment project to funding and application of the sci-tech project's outputs.

4. Ministry of Science and Technology shall assign project management agencies to summarize and list proposals for sci-tech projects and missions thereof. Moreover, it shall consider and evaluate preliminarily the completeness and suitability of the sci-tech projects and mission thereof (sample n^o B1-TH-DAKHCN in Appendix I to this Circular).

Article 6. Listing of sci-tech projects and missions thereof

1. Ministry of Science and Technology shall organize the listing of sci-tech projects and missions thereof pursuant to the Circular No. 07/2014/TT-BKHCN dated May 26, 2014 by the Minister of Science and Technology on the procedure for specifying state-funded national science and technology missions.

2. Ministry of Science and Technology's approval of the list of sci-tech projects and missions thereof shall be founded on the conclusion of the advisory council for determining missions.

Ministry of Science and Technology, when necessary, shall consult procuring bodies on the list of sci-tech projects and missions thereof before approval.

Article 7. Selection and direct contracting of the organizations administering missions under sci-tech projects

1. The organization, enterprise or individual qualifying pursuant to Article 4 of this Circular shall prepare explanations to sci-tech projects' missions according to the Ministry of Science and Technology’s approval of the list of sci-tech projects and missions thereof.

Such explanatory documents shall be delivered by the organization overseeing the sci-tech project to the Ministry of Science and Technology for engaging in the selection and direct contracting process as per regulations.

2. Ministry of Science and Technology shall organize the selection and direct contracting of the organization administering the sci-tech project’s missions.

3. The documentation and formalities for selection and direct contracting of organizations administering sci-tech projects’ missions shall adhere to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 and the Circular No. 23/2014/TT-BKHCN dated September 19, 2014 on amendments to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the selection and direct contracting of organizations and individuals conducting state-funded national science and technology missions.

The council for selection and direct contracting, when necessary, shall advise the Ministry of Science and Technology to inspect on-site the capacities and circumstances of the organizations administering and cooperating in the sci-tech project’s missions.

4. Ministry of Science and Technology shall verify the funding for sci-tech projects’ missions pursuant to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 and the Circular No. 23/2014/TT-BKHCN dated September 19, 2014 on amendments to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the selection and direct contracting of organizations and individuals conducting state-funded national science and technology missions.

Article 8. Verification of general explanations to sci-tech projects

1. The organization overseeing the sci-tech project shall complete and present to the Ministry of Science and Technology the general explanation to such project according to the conclusions of the council for selection and direct contracting, and the expenditure assessment team.

2. Ministry of Science and Technology shall verify the general expenditure of the sci-tech project via the expenditure assessment team formed by the Ministry of Science and Technology.

3. The verifiers, principles and procedure for verification shall be subject to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 and the Circular No. 23/2014/TT-BKHCN dated September 19, 2014 on amendments to the Circular No. 10/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the selection and direct contracting of organizations and individuals conducting state-funded national science and technology missions.

The expenditure assessment team shall be responsible for verifying the consistency of the general explanation to the sci-tech project with the missions under such project and the estimate of general operating expenses of the sci-tech project according to Section 2, Article 10 of this Circular.

4. The organization overseeing the sci-tech project shall elaborate and present the general explanation to the sci-tech project upon the conclusion of the verification of the project’s general operating expenses to the Ministry of Science and Technology for approval.

5. Ministry of Science and Technology, when necessary, may consult relevant ministries, bodies and agencies or inspect the actual facilities, personnel and financial capacity of the organization recommended to govern the sci-tech project.

The written approval by the Minister of Science and Technology of the general explanation to the sci-tech project shall be the legal basis of the contract for execution of such project.

Chapter III

EXECUTION OF SCI-TECH PROJECTS

Article 9. Signing of contracts for execution of sci-tech projects and missions thereof

1. Signing of contracts for execution of sci-tech projects:

Minister of Science and Technology shall designate a financial management agency and a project management agency (as Party A) to sign the contract for a sci-tech project with the organization overseeing such project (as Party B).

2. Signing of contracts for execution of missions under sci-tech projects:

a) Minister of Science and Technology shall designate the financial management agency and the organization overseeing the sci-tech project (as Party A) to sign the contract for the missions under such project with the organization administering such missions (as Party B), unless otherwise stated in Point b of this Section;

b) Minister of Science and Technology shall designate the financial management agency and the project management agency (as Party A) to sign the contract for the missions under the sci-tech project with the organization overseeing such project (as Party B) if such organization directly presides over the missions.

3. The sample contracts for a sci-tech project and missions thereof are annexed to this Circular (sample n^o B3-HDDA-DAKHCN, sample n^o B4-HĐNV-DAKHCN, sample n^o B5-HĐNV-DAKHCN in Appendix II).

Article 10. Financial and asset management for sci-tech projects

1. The funding for a sci-tech project shall include the expenditure for the project's missions and the general operating expenses of the project. Such funding is sourced from:

a) The science and technology budget planned in the estimate of annual state budget.

b) The finance provided by the organization overseeing the sci-tech project and the organizations administering the missions under such project;

c) The finances mobilized from the production investment project and other sources.

2. State spending on sci-tech projects:

a) The item, content and level of the spending on missions under a sci-tech project shall be governed by current regulations applicable to national sci-tech missions;

b) The general operating expenses of a sci-tech project are dispensed to meetings, seminars, initial and final summaries; examination and evaluation of the output of the project's missions; general management of the project; responsibility allowance for the project’s principal investigator; and other matters in direct relation to the project's general activities.

3. The estimation, apportionment, disbursement and finalization of the funding for a sci-tech project shall be subject to the Ministry of Finance’s and Ministry of Science and Technology’s current regulations on financial management of pivotal national sci-tech programs, independent national missions and national sci-tech projects.

4. Management and handling of assets of sci-tech projects:

The management and handling of the assets ensuing from a sci-tech project executed pursuant to the Joint Circular No. 16/2015/TTLT/BKHCN-BTC dated September 01, 2015 by the Minister of Science and Technology and Minister of Finance on guidelines for the management and handling of the assets ensuing from the implementation of state-funded science and technology missions.

Article 11. Examination, assessment, revision and termination of contracts during the advancement of sci-tech projects and missions thereof

Ministry of Science and Technology shall lead and cooperate with procuring bodies in examining, assessing, revising and terminating contracts during the advancement of sci-tech projects and missions thereof pursuant to the Circular No. 04/2015/TT-BKHCN dated March 11, 2015 by the Minister of Science and Technology on the examination, assessment, revision and termination of contracts during the advancement of state-funded national science and technology missions.

Article 12. Completion assessment and closure of contracts for execution of sci-tech projects and missions thereof

1. National-level completion assessment of missions under sci-tech projects:

a) Ministry of Science and shall lead and cooperate with the organization overseeing a sci-tech project and the procuring body in carrying out the national-level completion assessment of the missions under such project, except those specified in Point b of this Section;

b) In regard to a sci-tech project's missions conducted directly by the organization overseeing such project: Ministry of Science and Technology shall lead and cooperate with the procuring body in carrying out the national-level completion assessment.

2. Ministry of Science and Technology shall lead and cooperate with the procuring body in carrying out the national-level completion assessment.

3. The procedure for completion assessment of sci-tech projects and missions thereof shall be subject to the Circular No. 11/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the completion assessment of state-funded national science and technology missions.

4. Contract closure:

a) Ministry of Science and Technology shall lead and cooperate with the organization overseeing a sci-tech project in closing the mission execution contract with the organization or head person administering the project’s missions upon the conclusion of the completion assessment of such missions, unless otherwise specified in Point b of this Section;

b) Ministry of Science and Technology shall close the mission execution contract with the organization or head person administering a sci-tech project's missions directly conducted by the organization overseeing the project upon the conclusion of the completion assessment of such missions;

c) Ministry of Science and Technology shall close the project execution contract with the organization overseeing a sci-tech project upon the conclusion of the completion assessment of the project;

d) The procedure for closure of contracts for execution of sci-tech projects and missions thereof shall be subject to the current regulations on national sci-tech missions.

Chapter IV

RESPONSIBILITIES FOR MANAGEMENT OF SCI-TECH PROJECTS

Article 13. Responsibilities of Ministry of Science and Technology

1. Responsibilities of project management agencies:

a) Lead and cooperate with functional divisions of the Ministry of Science and Technology in specifying sci-tech projects and listing missions thereof on the basis of procuring bodies' proposals for procurement and reporting therefor to the Minister of Science and Technology for approval;

b) Lead and cooperate with functional divisions of the Ministry of Science and Technology in selecting and designating the organization administering the missions under a sci-tech project;

c) Lead and cooperate with functional divisions of the Ministry of Science and procuring bodies in verifying the content, expenditure and progress of sci-tech projects and missions thereof;

d) Cooperate with functional divisions of the Ministry of Science and Technology in reviewing selections, direct contracts, mission-related expenditure and general operating expenses of sci-tech projects and reporting therefor to the Minister of Science and Technology for approval;

dd) Lead and cooperate with the functional divisions of the Ministry of Science and Technology in scrutinizing the general explanations to sci-tech projects and reporting therefor to the Minister of Science and Technology for approval;

e) Cooperate with the financial management agencies in entering contracts for execution of sci-tech projects and missions thereof with the organizations overseeing such projects and administering the missions thereof;

g) Cooperate with the functional divisions of the Ministry of Science and Technology in totaling and apportioning the funding for sci-tech projects under the annual science and technology budget plan;

h) Cooperate with the financial management agencies and functional divisions of the Ministry of Science and Technology in inspecting the advancement of sci-tech projects according to the signed contracts on regular or ad hoc basis; amend such contracts according to Article 11 of this Circular;

i) Cooperate with the financial management agencies, procuring bodies and project overseeing organizations in assessing, finalizing and accepting the outputs and closing contracts for sci-tech projects and missions thereof;

k) Cooperate with the divisions of the Ministry of Science and Technology, procuring bodies and project overseeing organizations in summing up sci-tech projects.

2. Responsibilities of financial management agencies:

a) Cooperate with the project management agencies and functional divisions of the Ministry of Science and Technology in specifying missions, implementing selections and direct contract, and verifying the expenditure for sci-tech projects and missions thereof before reporting to the Minister of Science and Technology for approval;

b) Lead and cooperate with the project management agencies in entering contracts for execution of sci-tech projects and missions thereof with the organizations overseeing such projects and administering the missions thereof;

c) Lead and cooperate with the project management agencies and functional divisions of the Ministry of Science and Technology in presenting the plans and results of selection of contractors providing machinery, equipment, materials and services for sci-tech projects' missions to the Minister of Science and Technology for approval as per current regulations on bidding;

d) Lead and cooperate with the project management agencies and functional divisions of the Ministry of Science and Technology in inspecting the progress of sci-tech projects according to the signed contracts on regular or ad hoc basis; amend such contracts according to Article 11 of this Circular;

dd) Take the primary role in disbursing and finalizing finances for sci-tech projects and missions thereof;

e) Lead and cooperate with the functional divisions of the Ministry of Science and Technology in totaling and apportioning the funding for sci-tech projects under the annual science and technology budget plan;

g) Lead and cooperate with the project management agencies, procuring bodies and project overseeing organizations in assessing, finalizing and accepting the outputs and closing contracts for sci-tech projects and missions thereof;

h) Cooperate with the divisions of the Ministry of Science and Technology, procuring bodies and project overseeing organizations in summing up sci-tech projects.

Article 14. Responsibilities of procuring bodies

1. Propose procurement for sci-tech projects to the Ministry of Science and Technology as per regulations.

2. Cooperate with the Ministry of Science and Technology in listing sci-tech projects and missions thereof; engage in the process of selection and direct contracting, verify the expenditure for sci-tech projects and missions thereof.

3. Cooperate with the Ministry of Science and Technology in reviewing, revising, inspecting and expediting sci-tech projects.

4. Be held responsible for applying the sci-tech project’s outputs procured; summarize and report the result of application to the Ministry of Science and Technology.

5. Cooperate with the Ministry of Science and Technology and the organizations overseeing sci-tech projects in assessing and finalizing sci-tech projects and missions thereof at national level.

6. Cooperate with the Ministry of Science and Technology and the organizations overseeing sci-tech projects in summing up sci-tech projects.

Article 15. Responsibilities of the organizations overseeing sci-tech projects

1. Propose and present sci-tech projects and missions thereof to competent authorities; recommend the methods for execution of the sci-tech projects' missions as per regulations.

2. Prepare documents for sci-tech projects as per regulations.

3. Cooperate with the Ministry of Science and Technology and procuring bodies in selecting and direct contracting the organizations administering the missions under sci-tech projects; verify the contract, expenditure and progress of the sci-tech projects’ missions.

4. Enter sci-tech project contracts with the Ministry of Science and Technology.

5. Cooperate with the Ministry of Science and Technology in jointly contracting with the organizations administering the sci-tech projects’ missions according to Point a, Section 2, Article 9 of this Circular.

6. Support the organizations administering the sci-tech projects’ missions to implement sci-tech contents of the contracts.

7. Cooperate with the Ministry of Science and Technology and procuring bodies in organizing, guiding and inspecting the progress of the sci-tech projects’ missions; expose issues during the execution of sci-tech projects, propose remedial solutions and report to procuring bodies and the Ministry of Science and Technology; make periodic reports on the progress and result of sci-tech projects to the procuring bodies and Ministry of Science and Technology.

8. Summarize and report to the Ministry of Science and Technology the apportionment, utilization and finalization of annual expenses and the eventual finalization of expenses at the end of sci-tech projects.

9. Lead and cooperate with the organizations administering the sci-tech projects’ missions in self-evaluating the result of national missions under sci-tech projects according to the Circular No. 11/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the completion assessment of state-funded national science and technology missions.

10. Cooperate with the Ministry of Science and Technology and procuring bodies in assessing and finalizing sci-tech projects and missions thereof at national level.

11. Lead and cooperate with the Ministry of Science and Technology and procuring bodies in summing up sci-tech projects.

12. Organize the application for protection of intellectual property ensuing from sci-tech projects as per the laws.

13. Apply the outputs of the sci-tech projects’ missions into production in line with the progress of the production investment projects.

14. Be held liable to the procuring bodies and Ministry of Science and Technology for the implementation of sci-tech projects and the application of resultant outputs.

Article 16. Responsibilities of the organizations administering missions under sci-tech projects

1. Formulate and complete the explanations to the missions under the sci-tech projects assigned.

2. Select and recommend individuals with expertise and managerial abilities to preside over the missions under the sci-tech projects.

3. Enter science and technology contracts with the Ministry of Science and Technology and the organizations overseeing sci-tech projects; enter stipulated sum agreements with other organizations and individuals who carry out the missions.

4. Maintain the infrastructure, finance, personnel, cooperation and research capacities to accomplish the sci-tech projects' missions according to science and technology contracts.

5. Be subject to the supervision of the organizations overseeing sci-tech projects and the Ministry of Science and Technology in regard to progress and works.

6. Plan the selection of contractors providing state-funded machinery, equipment, materials and services for the sci-tech projects’ missions, and present the plans to the Ministry of Science and Technology via the organizations overseeing the sci-tech projects for approval.

7. Spend the grant efficiently on the missions according to the signed contracts with the Ministry of Science and Technology and the organizations overseeing sci-tech projects; dispense and pace the finances from sources defined in the contracts to the principal leaders of the missions and other entities engaged in such missions; retain accounting documents as per current regulations.

8. Make periodic and ad hoc reports on the progress of the missions, report the finalization of mission-related expenditure to the organization overseeing the sci-tech projects and Ministry of Science and Technology.

9. Be responsible for managing the assets purchased with state funds or ensuing from (if any) the outputs of the missions until the competent state management authorities decide the handling of such assets.

10. Organize the application for protection of intellectual property ensuing from the outputs of the missions as per the laws.

11. Cooperate with the organizations overseeing the sci-tech projects in self-evaluating the result of national missions under sci-tech projects according to the Circular No. 11/2014/TT-BKHCN dated May 30, 2014 by the Minister of Science and Technology on the completion assessment of state-funded national science and technology missions.

12. Meet the requirements for assessing and finalizing the missions at national level; register and present the result of the sci-tech projects' missions as per current regulations.

13. Manage, utilize and transfer the outputs of national missions, benefit from and be liable for the distribution of interests from the said activities as per the laws.

Article 17. Responsibilities of principal investigators of sci-tech projects and principal leaders of missions thereof

1. Responsibilities of the principal investigators of sci-tech projects:

a) Sign contracts for execution of the sci-tech projects and missions thereof according to Article 9 of this Circular;

b) Organize the execution of sci-tech projects and missions thereof and be held liable for the scientific value, technological level and efficiency of such projects and missions thereof; have plans to actualize the outputs of such projects or commercialize the resultant products;

c) Spend the funding for proper purposes in effective manner; report, settle, finalize and manage the expenditure of sci-tech projects and missions thereof as per current regulations;

d) Propose to the organizations overseeing the sci-tech projects the revisions to the content, product, expenditure and schedule of the missions thereof;

dd) Inspect and expedite the entities’ cooperation in executing the sci-tech projects and missions thereof according to the contracts; make annual and ad hoc reports on the progress of the missions and the spending of the sci-tech projects and missions thereof;

e) Apply to register, deliver and transfer the outputs and products of the sci-tech projects and missions thereof as per current regulations;

g) Cooperate with the organizations overseeing the sci-tech projects and administering the missions thereof in having intellectual property registered as per the laws.

2. Responsibilities of the principal leaders of the missions under sci-tech projects:

a) Sign contracts for execution of the missions under sci-tech projects according to Article 9 of this Circular;

b) Organize the execution of sci-tech projects and missions thereof and be held liable for the scientific value, technological level and efficiency of the sci-tech projects’ missions; have plans to actualize the outputs of such missions or commercialize the resultant products;

c) Spend the funding for proper purposes in effective manner; report, settle, finalize and manage the expenditure of the sci-tech projects’ missions thereof as per current regulations;

d) Propose the revisions to the content, product, expenditure and schedule of the sci-tech projects’ missions to the organizations administering such missions;

dd) Inspect and expedite the entities’ cooperation in executing the sci-tech projects’ missions according to the contracts; make annual and ad hoc reports on the progress of the missions and the spending of the sci-tech projects’ missions;

e) Apply to register, deliver and transfer the outputs and products of the sci-tech projects’ missions as per current regulations;

g) Cooperate with the organizations administering the sci-tech projects' missions in having intellectual property registered as per the laws.

Chapter V

IMPLEMENTATION

Article 18. Transition

1. The sci-tech projects approved by competent authorities prior to the effect of the Law of science and technology dated June 18, 2013 shall progress as per the Circular No. 11/2013/TT-BKHCN dated March 29, 2013 by the Minister of Science and Technology on guidelines for the establishment and management of state-funded sci-tech projects.

2. The sci-tech projects approved after the date that the Law of science and technology dated June 19, 2013 takes effect shall proceed as per the Law of science and technology and guiding documents.

Article 19. Effect

1. This Circular takes effect as of October 18, 2016.

2. Circular No. 11/2013/TT-BKHCN dated March 29, 2013 by the Minister of Science and Technology on guidelines for the establishment and management of state-funded sci-tech projects shall lose effect on the date that this Circular comes into force.

3. If legislative documents mentioned in this Circular are amended or replaced, new legislative documents shall prevail.

Article 20. Implementation

1. Ministries, ministerial-level agencies, government bodies, provincial People’s Committees and other central government agencies shall base on this Circular to propose sci-tech projects in line with the plan for social - economic development with the aim of promoting the effects of science and technology on production and life.

2. Difficulties ensuing during the process of implementation shall be reported promptly to the Ministry of Science and Technology for review and revision./.