Thông tư 37/2014/TT-BKHCN

CIRCULAR

ON GUIDELINES FOR THE MANAGEMENT OF BASIC RESEARCH TOPICS SPONSORED BY THE NATIONAL SCIENCE AND TECHNOLOGY DEVELOPMENT FUND

Pursuant to the Government’s Decree No. 20/2013/NĐ-CP dated February 26, 2013 defining the functions, tasks, entitlements and organizational structure of the Ministry of Science and Technology;

Pursuant to the Government’s Decree No. 08/2014/NĐ-CP dated January 27, 2014 providing instructions on the implementation of a number of articles of the Law on Science and Technology;

Pursuant to the Government’s Decree No. 23/2014/ND-CP dated April 03, 2014 on the charter of organization and operation of the National Science and Technology Development Fund;

Pursuant to the proposal by the Director of the National Science and Technology Development Fund and the Head of the Department of Legislation;

The Minister of Science and Technology promulgates the Circular on guidelines for the management of basic research topics sponsored by the National Science and Technology Development Fund.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated entities

1. Scope

This Circular provides guidelines for the management of basic research topics (hereinafter referred to as topic) sponsored by the National Science and Technology Development Fund in the field of Social Sciences and Humanities, field of Natural Sciences and Technologies.

2. Regulated entities

a) Vietnamese science and technology organizations; foreign science and technology organizations operating in Vietnam; foreign organizations participating and cooperating in research with Vietnamese science and technology organizations (hereinafter referred to as science and technology organization).

b) Vietnamese science and technology individuals; foreign scientists participating and cooperating in research with Vietnamese science and technology organizations and individuals.

c) Other relevant regulatory authorities, organizations and individuals.

Article 2. Definitions

1. “Field of Natural Sciences and Technologies” includes natural science; information technology science; medicine, pharmacy and health sciences; agricultural science.

2. Field of Social Sciences and Humanities includes social sciences and humanities sciences.

3. Prestigious international journals

a) In the field of Natural Sciences and Technologies, prestigious international journal means scientific journals chosen from the SCI (Science Citation Index) and the SCIE (Science Citation Index Expanded) list of the Institute for Scientific Information (USA), decided by the Fund management council according to the consultancy of scientific councils in the discipline.

b) In the field of Social Sciences and Humanities, prestigious international journal means journals in the following lists:

- AHCI (Arts and Humanities Citation Index) or SSCI (Social Science Citation Index) of the Institute for Scientific Information (USA);

- Social Sciences and Humanities journals belong to the Scopus database from Elsevier;

- International Social Sciences and Humanities journals decided by the Fund management council according to the consultancy of scientific councils in the discipline.

4. Prestigious ISI magazines

a) In the field of Natural Sciences and Technologies, prestigious ISI journal means scientific journals of top quality in branches of the field, chosen from prestigious international journals and decided by the Fund management council according to the consultancy of scientific councils in the discipline.

b) In the field of Social Sciences and Humanities, prestigious ISI journal means journals belong to the AHCI (Arts and Humanities Citation Index) or SSCI (Social Science Citation Index) of the Institute for Scientific Information (USA);

5. “Prestigious national journal” means journals decided by the Fund management council according to the consultancy of scientific councils in the discipline.

6. “Strong research group” means a group of scientists that have a long-term joint research pursuit; have objectives and research plans for each specific period; the research content is groundbreaking and requires many members to participate in the implementation. Core members of the group have outstanding research results (according to Clause 4 Article 10 hereof).

Article 3. Funding objectives

1. Facilitate research environment in order to encourage basic scientific research in domestic science and technology organizations.

2. Enhance research ability, develop strong research groups; contribute in the training of high quality science and technology human resources.

3. Improve scientific research quality, toward the international standards.

4. Promote cooperation and international integration in scientific research.

Article 4. Topics sponsored by the Fund

The Fund shall review and sponsor basic research topics proposed by science and technology organizations and scientists in accordance with the basic research directions announced by the Fund, including:

1. Exploratory topics, discovery topics;

2. Topics aimed at developing research directions that have achieved initial results and in-depth studies conducted in Vietnam.

Article 5. International cooperation in research

The Fund shall sponsor the cooperation and international integration activities in basic scientific research as follows:

1. Short-term research cooperation aboard for the research contents of the project (no more than 06 months);

2. Receptions of foreign specialists to work and cooperate in researches related to the contents of the topic in Vietnam.

Chapter II

PRINCIPLES OF EVALUATION, EVALUATION SPECIALISTS, SCIENTIFIC AND TECHNOLOGICAL COUNCIL

Article 6. Principles of evaluation on topic selection and results

The Fund shall evaluate the topic selection and results according to the following principles:

1. Evaluate by specialists working in the same discipline, inter-discipline through the scientific and technological council (hereinafter referred to as scientific council) established by the Fund and independent consultants (when necessary); 

2. Evaluate based on the dossiers;

3. Ensure the objectiveness, democracy and equality;

4. In accordance with international standards.

Article 7. Evaluation specialists

1. Evaluation specialists are scientists invited by the Fund to consult in the topic selection and result evaluation activities sponsored by the Fund. Evaluation specialists must fulfill the following criteria:

a) Belong to the specialist database of the Fund;

b) Have relevant professional research results published in prestigious international scientific journals (in the field of natural sciences and technology), prestigious international journals or monographs (in the field of social sciences and humanities) over the past 05 years. Special cases shall be decided by the Chairperson of the Fund management council;

c) Be able to engage in consulting works with high responsibility, honesty and objectivity.

2. In cases of necessary, the Fund shall invite foreign scientists or Vietnamese scientists living aboard that do not belong to the specialist database of the Fund to be independent evaluation specialists or join the scientific council established by the Fund to evaluate topics and consult on the activities of the Fund.

The evaluation specialist shall be a foreigner or Vietnamese living aboard who participates in activities of the Fund must meet the criteria for selection of the evaluation specialist as specified in Point b and c, Clause 1 of this Article and are entitled to special treatment as prescribed by the State.

3. The evaluation specialist shall have qualifications suitable for the research content of the evaluated topic; take responsibility for his/her consultancy and evaluation opinions and keep secret related to the information on the topic.

4. The evaluation specialist shall not evaluate topics he/she registered to be the principal investigator or participated in, topics leading by his/her workplace and topics with related rights and interests or other reasons that might affect the objectiveness of the evaluation result.

5. The Fund executive agency shall formulate the specialist database of the Fund according to the criteria specified in Point b and c Clause 1 this Article for the evaluation of topic and send it to the Fund management council for approval.

Article 8. Scientific council

1. The scientific council is established along discipline or inter-discipline by the Fund management Council on the basis of proposal by the Director of the Fund to advise the Fund on the following issues:

a) Basic research direction sponsored by the Fund;

b) Basic research topic selection and results evaluation sponsored by the Fund;

c) Other issues related to the activities of the Fund.

2. Members of the scientific council shall be chose based on the following criteria:

a) The criteria for evaluation specialist as prescribed in Clause 1 and 2 Article 7 hereof;

b) Is recommended by scientists working in the same discipline;

c) Commit to participate and comply with the regulations of the Fund.

3. The science council has a term of 02 years. Members of the Scientific Council shall not be appointed for more than 03 consecutive terms.

4. When necessary, the Fund management Council may establish another scientific council to evaluate the topic selection and result.

5. The Fund management council shall provide Regulation on the activities of the scientific council.

Chapter III

APPLICATION FOR TOPIC EXECUTION

Article 9. Application for registration of topic

1. Annually, the Fund shall notify basic research directions sponsored by them and provide guidance on related conditions, procedures and the deadline for submission documents on the website of the Fund.

2. According to the notice of the Fund, organizations and individuals shall propose topics, compile application dossiers and send them to the Fund in accordance with regulations. 

3. Application for registration of topic shall be in Vietnamese and English according to the form specified in the Annex issued together with this Circular, including:

a) Application for basic research topic (Form NCCB01, NCCB01E);

b) Grant proposal for basic research topic (Form NCCB02, NCCB02E);

c) Scientific CVs of the topic principal investigator and each research member (Form NCCB03, NCCB03E) together with evidences of research achievement;

d) Evidences of the training of research students;

dd) Application form (Form NCCB04);

e) Other related documents requested by the Fund.

4. A valid dossier is a dossier made according to forms enclosed herewith; certified by the workplace, host institution or the patron and submitted within the time limit according to the Fund's notice.

Article 10. Requirements of organizations and individuals researching the topic

1. The host institution of the topic shall:

a) Register for scientific and technological operation, have function of operation in accordance with the professional field of the topic;

b) Fully exercise responsibilities of the host institution for topics sponsored by the Fund as specified in Clause 1 and not in any cases stipulated in Clause 2 Article 20 hereof.

2. The principal investigator of the topic shall:

b) Have qualifications suitable for the research content and work at a scientific and technological organization. If the principal investigator of the topic is not working for any scientific and technological organization, he/she must be patronized by a prestigious Vietnamese scientific and technological organization in the appropriate discipline and accepted as the host institution;

b) Have the research capacity that meet the requirements of the topic: have a doctorate or an academic title of associate professor, professor and have appropriate research results published in prestigious international journals for 05 years up to the time of dossiers submission;

c) Have sufficient time to complete the research contents of the topic according to regulations. If the topic principal investigator goes to work abroad, the total time working abroad shall not exceed 1/3 the time of execution of topic;

d) Not violate the provisions on registration of topic leading and participating as specified in Clause 5, Article 19 hereof.

3. Members of the topic research group must have professional skills suitable with the content of the research topic, including:

a) Core research member, scientific secretary: have a doctorate or an academic title of associate professor, professor and have appropriate research results published in prestigious international or national journals for 05 years up to the deadline of dossiers acceptance.

If the member has a Master’s degree, he/she must have appropriate research results; 01 article published in prestigious international scientific and technological journals; 01 article published in prestigious international journals, or 02 articles published in prestigious national journals or 01 monograph in the field of social sciences and humanities within 05 years up to the deadline of dossier acceptance;

b) Research student participating in the topic must have the content of the thesis suitable with the topic and his/her decision on assigning the thesis shall not exceed 24 months up to the deadline of dossier acceptance;

c) Other technicians and support staffs.

4. Except for requirements specified in Clause 1, 2 and 3 this Article, strong research group must meet the following requirements:

a) Principal investigator of the topic shall have results published in appropriate prestigious ISI journals within 05 years up to the time of dossier submission, have the ability to rally many high quality scientists to participate in the topic and maintain regular scientific research cooperation with international research groups in the same discipline, inter-discipline;

b) Have at least 02 core members of topic that meet the requirements of topic principal investigator specified in Clause 2 this Article;

c) Host institution shall have adequate facilities, research capabilities and commit to support during the research execution.

5. Each person may participate in no more than 02 topics at the same time, in which lead no more than 01 basic research topic sponsored by the Fund.

Article 11. Requirements on the time of execution and research result of topic

1. Topic execution time

a) The execution time must not exceed 24 months for theoretical research topic.

b) The execution time must not exceed 36 months for experimental research topic.

c) If the topic is executed by a strong research group, based on suggestions of the topic principal investigator and recommendations of the scientific council, the Fund management council shall review and decide on an appropriate time for topic execution.

2. Research result of a topic belongs to the field of Natural Sciences and Technologies must have at least 02 articles published in prestigious international journals and 01 article published in prestigious national journals.

3. Research result of a topic belongs to the field of Social Sciences and Humanities must meet at least one of the following requirements:

a) Have at least 02 articles published in prestigious national journals and 01 article published in prestigious international journals;

b) Have at least 02 articles published in prestigious international magazines.

If the research issue cannot be published in prestigious international journals, the topic result must have at least 01 monograph (published or draft eligible for publishing) and 02 articles published in prestigious national journals. The scientific council shall recommend those cases to the Fund for review and decision.

4. Exploratory topics, discovery topics must have at least 01 articles published in prestigious international magazines.

5. Research result of a topic executed by a strong research group must have at least 02 articles published on prestigious ISI journals and 01 article published on prestigious national journals.

6. Topic principal investigator is the main author (if the topic is in the field of Natural Sciences and Technologies) or author (if the topic is in the field of Social Sciences and Humanities and can be published in prestigious international journals as specified in Clause 3 this Article) of at least 01 article on the topic result published in prestigious international journals.

7. The announced project specified in this Article must be remarked as the research result of the topic sponsored by the National Science and Technology Development Fund.

Chapter IV

TOPIC EVALUATION AND SELECTION

Article 12. Methods and criteria of topic evaluation and selection

1. The Fund shall evaluate and select the topic through the scientific council as prescribed in Article 8 hereof.

2. Criteria of topic evaluation and selection:

a) The necessity of the research issue and the compliance with basic research direction sponsored by the Fund;

b) The novelty and creativity of the proposed research issue;

c) Clear objectives and contents; the appropriateness of research methods and plans to achieve objectives;

d) Capability and research experience of the research principal investigator and research team; material and technical facilities of the host institution;

dd) Expected results; capacity of success of the topic; scientific significance and potential for practical application;

e) Contribution to the post-graduate training;

g) Reasonable research cost estimate.

3. The working style at topic evaluation and selection meetings of the scientific council shall be regulated by The Fund management council.

Article 13. Approval and publishing of the list of funded topics

1. The executive body of the Fund shall formulate a consolidated report on the result of topic evaluation and selection, their opinion on the appropriateness of the evaluation and sent it to the Fund management council for review and decision.

2. Based on the report of the executive body of the Fund on the result of topic evaluation, selection and the Fund’s financial ability, the Fund management council shall review and approve funded topics.

The Fund management council may consult the opinions of independent consultants before deciding if necessary.

3. The Fund shall publish the list of funded topics on its website.

Article 14. Inspection of dossiers and approval of project funds

1. Inspection of dossiers of the topic

The executive body of the Fund shall organize the appraisal of contents of the outline explanation and cost estimates of the topic according to regulations of the Fund Management council.

2. Approval of project funds

a) Based on the inspection result, the executive body of the Fund shall request the Fund management council to approve the topics’ funds.

b) The executive body of the Fund shall send announcement on their funding and provide necessary instructions to organizations and individuals receiving financial assistance to finalize their explanations according to approved contents and funds.

Chapter V

TOPIC IMPLEMENTATION

Article 15. Contract for scientific research

1. The Fund executive body shall agree and sign a scientific research contract (hereinafter referred to as the contract) with the principal investigator of the topic and the host institution in accordance with the list of funds approved by the Fund management council. The contract shall be made according to the form specified in the Annex enclosed together herewith (Form NCCB05). The Fund executive body shall conduct field inspection of the topic principal investigator and host institution before signing the contract.

2. Within 03 months from the date on which the notice of funding from the Fund executive body are sent, if the principal investigator of the topic and host institution do not complete the topic explanation and contract, the Fund executive body shall request the Fund management council to review and decide on cancelling funding the topic.

3. The contract serves as the legal ground for the process of implementation, examination, evaluation and settlement of violations related to the topic. Approved topic explanation and amended documents in the course of implementation (if any) are an integral part of the contract.

4. During the performance of the contract, if there are expected adjustments in the content of the contract, the host institution and principal investigator shall send a written request to the Fund for review and decision.

Article 16. Report and periodical examination

1. Based on the progress and contents of the research inscribed in the contract, the topic principal investigator and the host institution shall make periodical reports on the topic execution and the use of fund according to the form prescribed in the Annex issued together with this Circular (Form NCCB06 and NCCB07) and send them to the Fund executive body according to regulations.

2. The Fund shall conduct periodical examination on the progress, result and use of fund of the topic base on the periodical report. If the topic is behind schedule or other necessary situations, the Fund shall conduct the field examination.

The result of the examination shall be record with the certification of related parties.

3. The result of periodical evaluation and field inspection shall be notified to the topic principal investigator and act as the ground for deciding the continuance of the contract.

If the topic violates the terms of the contract, the Fund shall review the extent of violation for handling according to effective regulations.

Article 17. Consolidated report on the results of the execution of the topic

1. Consolidated report on the results of the execution of the topic consists of the following contents:

a) Consolidated report on the results of the execution of the topic as specified in the Annex issued together with this Circular (Form NCCB08);

b) Report on using the topic budget (Form NCCB07);

c) Annex on the announcement result and other results of the topic.

2. Topic principal investigator and host institution shall formulate and send a consolidated report on the topic result to the Fund within 30 days from the end of the duration of contract implementation (including the extended duration, if any).

If the principal investigator of the topic finalizes the research topic earlier than the deadline specified in the contract, he/she and the host institution may request the Fund to organize the acceptance test ahead of time.

3. If topic cannot be completed within the contractual time limit, at least 60 days before the end date of the contract, the host institution and principal investigator shall report in writing, explain reasons and request for extension of the topic to the Fund executive body together with a report on the execution of the topic by the time of request for extension.

Within 30 days, the Fund executive body shall review and give a written response on whether they accept or refuse to extend the deadline of the topic. The extended time shall not exceed 12 months.

4. Announcement waiting time: If the topic has completed all research contents and submitted topic result report within the prescribed time limit but the article on the topic result has not been published or accepted to be published officially, within 12 months from the end of the duration of contract implementation (including the extended duration, if any), the topic principal investigator shall update the result of the article published in prestigious international journals for the Fund to conduct acceptance test according to regulations.

Article 18. Topic result evaluation

1. The Fund shall organize the evaluation of the topic result through the scientific council as prescribed in Article 8 hereof.

2. The dossier for topic result evaluation consists of:

a) Consolidated report on the results of the execution of the topic;

b) Articles published in scientific journals, summary records of scientific conferences and seminars, published monographs and other scientific products (if any);

c) Topic explanation;

d) Contract;

dd) Adjustment documents during the implementation of the contract (if any).

3. Criteria for topic result evaluation:

a) Achievement of the research objectives and results;

b) Announced results: Articles published in prestigious international journals and prestigious national journals; articles published in international journals and journals of other countries, scientific reports presented at scientific conferences and seminars; monographs; patents (if any);

Published results that are recognized as the result of the topic must be announced during the contract implementation duration and the extended, announcement pending time (if any).

An article published in prestigious ISI journals may be considered replaceable for 02 articles published in prestigious international journals;

c) Other results of the topic: post-graduate training, research cooperation;

d) Execution of the topic and use of funds according to the contract.

4. The working style at the result evaluation meeting of the scientific council shall be regulated by The Fund management council.

The Fund executive office shall sum up the results of the evaluation of the topic results and submit them to the Fund management council for consideration and decision. The Fund management council may consult an independent consultant before deciding if necessary.

Article 19. Acceptance and handling of topic result evaluation

1. According to the topic result evaluation of the scientific council, the host institution and the principal investigator shall register preservation with the National Agency for Science and Technology Information and the Ministry of Science and Technology according to regulations.

2. The Fund shall issue a decision to recognize the topic result according to the evaluation of the scientific council, the registration certificate of science and technology task results and notify them to the principal investigator and host institution.

3. The decision to recognize the topic result shall serve as a ground carrying out procedures of liquidation, financial settlement and contract finalization.

4. Host institution, principal investigator and members of the research group of the basic research topic sponsored by the Fund shall be recognized for their research achievements equivalent to the performance of national scientific and technological tasks.

5. The topic assessed as “unsatisfactory” or had its contract suspended shall be settled under the regulations on investment and financial mechanism of science and technology activities.

If the topic is unsatisfactory, the principal investigator shall be banned from registration for leading a new topic for a period of 02 years since the date of result announcement.

If there is any violation that leads to topic suspension, criminal prosecution or violation of scientific ethics, the principal investigator and related persons shall be banned from participation in the topics funded by the Fund for a period of 05 years since the decision of sanction is issued.

Article 20. Responsibilities of host institutions

1. Responsibilities of host institutions:

a) Support and create favorable conditions for the principal investigator to complete the dossier of application for funding; cooperate with the principal investigator to sign the topic execution contract with the Fund management council;

b) Create favorable conditions on procedures; provide sufficient technical and material facilities, human resources in accordance with the contract for the research team to carry out the topic effectively;

c) Accept and support the topic principal investigator in managing, using and finalizing funds financed by the Fund according to regulations; certify the progress, the use of funds and ensure the documents before the Fund and competent authorities;

d) Provide sufficient information to the Fund and other relevant agencies for monitoring, examination and inspection of the topic.

dd) Take responsibility for the topic results with the principal investigator;

e) Use management funds of the topic for general management, finance and administration related to the topic according to regulations;

g) Organize the management and exploitation of the topic result and may receive the benefits from these activities as prescribed;

h) Carry out the publishing and application for protection of intellectual property for the topic result according to regulations;

i) Register to storage the results of topic researches at the National Agency for Science and Technology Information according to regulations.

k) Report and respond to surveys of the Fund on the development, application of research results of the topic, development of the research group participated in the topic and other relevant information, serve the evaluation of efficiency and determine the funding program of the Fund.

2. Technology and science organization violating the regulations specified in Clause 1 this Article shall be banned from registration for host institution of topics funded by the Fund for a period of 01 years since the decision of a competent authority is issued.

Article 21. Responsibilities of principal investigators

1. Organize the execution of the topic according to the signed contract.

2. Use the budget in a purposeful and effective way according to the contract content; carry out payment and final settlement according to effective regulations.

3. Inspect, expedite organizations and individuals’ cooperation in executing the topic according to the contract. Report the research status, execution of the topic, use of funds and results of the topic according to regulations of the Fund.

4. Cooperate with the host institution to register for storage the results of topic researches at the National Agency for Science and Technology Information according to regulations.

5. Principal investigator and members of the research team shall be responsible for the content of the publishing of research topic results according to the law on science and technology, publishing, intellectual property and other regulations of the Vietnamese law.

Chapter VI

IMPLEMENTATION CLAUSE

Article 22. Effect

1. This Circular takes effect on February 01, 2015 and replaces the Regulation on the implementation of basic research topics in the field of natural sciences sponsored by the National Science and Technology Development Fund promulgated together with the Fund management council’s Decision No. 03/QĐ-HĐQLQ dated December 24, 2008 and the Regulation on the implementation of basic research topics in the field of social sciences and humanities sponsored by the National Science and Technology Development Fund promulgated together with the Fund management council’s Decision No. 03/QĐ-HĐQLQ dated April 08, 2010.

2. Topics approved for sponsor by the Fund before the effective date of this Circular shall be continued in accordance with the Regulation on the implementation of basic research topics in the field of natural sciences sponsored by the National Science and Technology Development Fund promulgated together with the Fund management council’s Decision No. 03/QĐ-HĐQLQ dated December 24, 2008 and the Regulation on the implementation of basic research topics in the field of social sciences and humanities sponsored by the National Science and Technology Development Fund promulgated together with the Fund management council’s Decision No. 03/QĐ-HĐQLQ dated April 08, 2010.

3. Any amendment to or supplementation of this Circular shall be submitted to the Minister of Science and Technology for decision by the National Science and Technology Development Fund./.