Thông tư 40/2014/TT-BKHCN

CIRCULAR

REGULATION ON MANAGEMENT OF UNPLANNED SCIENCE AND TECHNOLOGY TASKS OF GREAT SCIENTIFIC AND PRACTICAL IMPORTANCE, POTENTIAL SCIENCE AND TECHNOLOGY TASKS AIDED 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;

Minister of Science and Technology promulgates the Circular on the management of unplanned science and technology tasks of great scientific and practical importance, potential science and technology tasks aided by the National Science and Technology Development Fund.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated entities

1. Scope

This Circular regulates the management of unplanned science and technology tasks of great scientific and practical importance, potential science and technology tasks aided by the National Science and Technology Development Fund (hereinafter referred to as Fund).

2. Regulated entities

This Circular applies to science and technology organizations, individuals engaged in science and technology in Vietnam, other relevant organizations and individuals.

Article 2. Definitions

In this Provision, these terms are construed as follows:

1. “Unplanned science and technology tasks of great scientific and practical importance” refers to the Scientific and technological topics that study new issues arising in practice, which are urgent and require timely resolution in order to meet the requirements of the society (hereinafter referred to as unplanned topics).

2. “Potential science and technology tasks” refers to scientific and technological topics that require the high application and prospects of creating and developing new research direction or new products in the field of science and technology with priority and national importance (hereinafter referred to as potential topics).

3. “Prestigious national magazines, prestigious international magazines, prestigious ISI magazines” refers to the magazines determined according to the regulations of the Ministry of Science and Technology on the management of basic research topics funded by the Fund.

Article 3. Requirements for unplanned topics

1. Unplanned topics suggested by organizations and individuals to the Fund must meet the following requirements:

a) Research topics are new issues that require timely resolution in order to meet the requirements of the society;

b) Topics that have great scientific and practical importance;

c) The occurrence time of the issue is no more than six (06) months prior to the time of submitting. The execution of the topics must not exceed 18 months;

d) There is an address for the application of main results generated when the topic is completed. The organization that applies the expected result must capable of effectively receiving and executing the result

2. Products of the topic

a) Consolidate report of research results of the topic including scientific and technological solutions with sufficient scientific and practical justifications to solve the issue;

b) Publish scientific research in one of the following forms:

- Articles published in prestigious national magazines or prestigious international magazines;

- Patent, Patent of useful solutions or Patent of plant variety. If the Patent has not been granted, the competent agency's certification of the protection capability must be obtained.

Article 4. Requirements for potential topics

1. Potential topics suggested by organizations and individuals to the Fund must meet the following requirements:

Breakthrough and pioneering topics. When successfully researched, these topics have the potential of creating and developing new research directions or new technology products. If the research creates new technology products, there must be an address for the application of main results generated when the topic is completed;

b) The topic is in the field of science and technology with priority and national importance;

c) The execution of the topics must not exceed 36 months.

2. Products of the topic

a) Consolidate report of research results of the topic must include scientific and technological solutions with sufficient scientific and practical justifications to solve the issue, samples of new technology products (if any);

b) Publish scientific research in one of the following forms:

- At least 02 articles published in prestigious international magazines;

- Patent assessed by professionals to determine its scientific quality or Patent of plant variety. If the Patent has not been granted, the competent agency's certification of the protection capability must be obtained.

Article 5. Principles of topic assessment

The Fund shall assess the topics according to the following principles:

1. Evaluate by the Scientific and Technological Council (hereinafter referred to as scientific council) and independent consultant (when necessary).

2. Evaluate based on the dossiers.

3. Ensure the objectiveness, democracy and equality.

4. In accordance with international standards.

Article 6. Scientific council

1. The scientific council is established by the Fund management Council on the basis of proposal by the Director of the Fund to advise the Fund on the evaluation, selection and evaluation of the assessment of the research result.

2. The scientific council has 09 members, in which:

a) 06 members are specialists with expertise apposite to the topic, selected from the specialist database of the Fund;

b) 03 members are managers in the fields relating to the research, representatives of organizations able to apply research results.

3. Establish scientific council with the structure and specialists different than the provisions specified in Clause 2 this Article when necessary, the Fund management council shall consider and decide.

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

Article 7. Topic implementation funds

1. Topic implementation fund: non-business scientific and technological budget allocated to the Fund and other funding sources (if any).

2. Topic implementation fund: non-business scientific and technological budget allocated to the Fund and other funding sources (if any).

3. Estimate and cost standard of the topic is implemented in accordance with effective regulations.

Chapter II

TOPIC EVALUATION AND SELECTION

Article 8. Application for registration of topic

1. Application for registration of topic shall be in accordance with the form specified in the Annex issued together with this Circular, including:

a) Application form (Form ĐXTN-01);

b) Application for registration (Form ĐXTN-02);

c) Topic explanation, Topic summary explanation (Form ĐXTN-03, Form ĐXTN-04);

d) Research capacity and facilities of the topic lead organization (Form ĐXTN-05);

dd) Academic credentials of individual registering as the leader of the topic (together with evidences of achievement as required in Clause 2, Article 9 of this Circular) and persons registering to research the topic (Form ĐXTN-06);

e) Written confirmation of agreement of organizations registering for cooperation in researching the topic (Form ĐXTN-07);

g) Document of beneficiary organization confirming the applicability of the research results (Form ĐXTN-08);

h) Other documents related to the topic (if any).

2. A valid dossier is a dossier made according to forms enclosed herewith and bear sufficient stamp of the organization and signature of the individual according to each form.

Article 9. Requirements of organizations and individuals registering for researching the topic

1. The organization registering to lead the topic shall:

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

b) Have adequate facilities and technical conditions for the implementation of the topic;

c) Not fall into one of the cases specified in Clause 2 Article 19 hereof.

2. The individual registering as the leader of the topic shall:

a) Be the person who proposes and presides over the formulation and explanation of the topic;

b) Have a bachelor’s degree or higher and be currently active in the professional area suitable with the content of the research topic;

c) Be capable of organizing the implementation and ensuring time to lead the topic;

d) Not have his/her civil right restricted according to the law of Vietnam;

dd) Not violate the provisions on registration of topic presiding specified in Clause 4, Article 18 hereof;

e) Meet at least one of the following requirements:

- Has a project published on prestigious international scientific journals with contents related to the registered topic within five (5) years up to the time of submission of dossiers if the topic is considered unplanned.

Has a project published on prestigious ISI journals with contents related to the registered topic within five (5) years up to the time of submission of dossiers if the topic is considered potential.

- Is the creator of the plant variety granted the new plant variety protection title with the contents related to the registered topic and has been applied in practice for seven (7) years up to the time of submission of dossiers.

3. In cases the individual does not belong to an organization which satisfies conditions on topic registration of the lead organization, he/she be accepted by an organization that fully meets the conditions prescribed in Clause 1 of this Article as the lead organization.

Article 10. Topic evaluation and selection

1. The topic is evaluated in 2 steps: evaluate the proposal and evaluate the content of the topic.

2. The criteria for evaluating the proposal of the topic is prescribed in Clause 1 Article 3 and Clause 1 Article 4 hereof.

3. Criteria for evaluating the content of the topic:

a) Target of the research topic; overview of the research situation in the topic area;

b) Research content, method and techniques used;

c) The novelty, creativity, scientific significance of the research proposal;

d) Feasibility of the plan and budget, ability to complete the registered product;

dd) Practical application and plans to transfer research findings of the topic;

e) Capability and research experience of the research leader and research team; material and technical facilities of the lead organization.

Article 11. Topic evaluating and selecting organization

1. The Fund shall evaluate and select the topic through the scientific council as prescribed in Article 6 hereof.

2. The process of evaluation and selection of the topic and announcement of financial results made by the council shall not exceed 30 days for unplanned topic and 60 days for potential topic from the time of receipt of complete and valid dossiers (Excluding the time for examination and survey of the implementation team as specified in Clause 3 hereof)

3. Working style of the scientific council shall be regulated by the Fund management council. The Fund management council may consult an independent consultant before deciding if necessary.

The scientific council shall request the Fund to establish the implementation team to examine and survey the evaluation of material and technical facilities, capacities and resources of organizations and individuals assigned to carry out the topic (if necessary). The implementation team shall conduct the examination and survey within 10 days after the establishment decision is issued.

Article 12. Approval and publishing of the list of funded topics

1. Based on the result of the topic evaluation and selection, the Fund’s financial ability, the Director of the Fund shall give his/her opinion on the process of evaluation and request the Fund management council to consider and approve of the funded topic.

2. The Fund shall publish the list of funded topic on the website of the Fund and announce the evaluation and selection result to the topic registered organizations and individuals.

3. Organizations and individuals assigned to lead the topic execution shall amend the topic explanations, complete the dossiers according to the council's conclusions and send the completed and supplemented dossiers enclosed with a written explanation (an original signed by the leader of the topic and an electronic copy) to the Fund within 10 working days from the date on which the result of evaluation and selection is notified.

Article 13. Inspection of dossiers and approval of project funds

1. Inspection of dossiers of the topic

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

2. Approval of project funds

a) Based on the inspection result, the Director of the Fund shall request the Fund management council to consider and approve the projects’ funds;

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

Chapter III

IMPLEMENTATION AND EVALUATION OF TOPIC RESULTS

Article 14. 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 leader of the topic and the lead organization 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 ĐXTN-09).

2. Within 30 days from the date on which the notice of funding from the Fund executive body are made, if the leader of the topic and lead organization do not complete the topic explanation and contract, the Fund executive body shall request the Fund management council to review and cancel the funding of the topic.

3. The contract serves as the legal ground for the process of execution, 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. Contract amendment

a) The lead organization may adjust its funding estimates in the total budget assigned to it according to regulations;

b) Topic leading organization and individuals that request the adjustments of contents of signed contracts must send requests to the Fund for consideration and decision;

c) The Fund management Council shall review and decide on the adjustment of the organization or the project leader; the name, objectives and products of the topic, the total approved funding from the state budget and the termination of contract;

d) The Fund Director shall review and adjust other contents within the scope of the signed contract, except for the contents specified in Point c of this Clause;

dd) The Fund Management Council shall establish a scientific council or a professional team consisting of professional experts and financial experts to review the adjustments specified in Point c of this Clause, determine the reason for termination of the contract and propose handling solutions.

5. The Fund management council shall terminate the contract with the topic leading organizations and individuals according to regulations.

Article 15. Report and periodical examination

1. Based on the progress and contents of the research inscribed in the contract, the project leader and the lead organization shall make periodical reports on the topic execution progress, result and the use of fund according to the form prescribed in the Annex issued together with this Circular (Form ĐXTN-10) and send them to the Fund according to regulations.

2. The Fund executive body shall conduct periodical evaluation 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 executive body shall conduct the field examination.

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

3. The results of periodical evaluation and field examination shall be informed to the leader of the topic and serve as a basis for further funding of the topic.

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

Article 16. Documents for topic result evaluation

1. The written request for evaluation of the topic result of the lead organization shall be made according to the form prescribed in the Annex enclosed together herewith (Form ĐXTN-11).

2. Products of the topic includes: Consolidated report on the results of the execution of the topic according to the form prescribed in the Annex enclosed together herewith (Form ĐXTN-12) and the publishing, scientific and technological products of the topic in quantity and quality according to the contract.

3. Documents of the topic include:

a) The contract and the approved topic explanation;

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

c) Records of periodical evaluation of the topic execution; records of examination (if any);

d) Other documents related to the execution of the topic (if any);

dd) Documents on the measurement, appraisal and evaluation of products of the topic made by competent authorities (if any);

e) Written certification and documents related to the publication, publishing, reception and use of the result of the topic research (if any);

g) Design drawings (for products which are machines, equipment, etc.), the survey data, original survey, journal or sourcebook of the topic (if any).

4.  The quantity and deadline for submission of documents for topic result evaluation

a) Evaluation document includes 01 original copy and 01 electronic copy as prescribed in Clause 3 this Article;

b) Time limit for submission of documents: Within 30 days from the end date of the contract or the end time of the contract extension, the organization or individual assigned to lead the topic shall submit the documents for evaluation of the topic results to the Fund.

If the leader of the topic finalizes the research topic earlier than the deadline specified in the contract, he/she and the lead organization may request the Fund to organize the acceptance test ahead of time.

5. If topic cannot be completed within the contractual time limit, at least 60 days before the end date of the contract, the lead organization and leader 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. The extended time for execution of the topic shall not exceed 06 months for unplanned topic and 12 months for potential topic.

Within 30 days, the Fund shall review and give a written response on whether the extension of the deadline of the topic is granted or rejected.

Article 17. Topic result evaluation

1. The Fund shall organize the evaluation of the topic result through the scientific council as prescribed in Article 6 hereof.

2. Contents of evaluation results shall comply with 05 groups of criteria as follows:

a) Evaluate the sufficiency of quantity, volume and types of products of the topic;

b) Evaluate the appropriateness of the research approach, research method and techniques used;

c) Evaluate the scientific and technological requirements achieved of the products of the topic;

d) Evaluate the practical significance of the topic and the capability to transfer research findings of the topic;

dd) Evaluate the superior results of the topic.

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

Based on the topic result evaluation of the scientific council, The Fund Director shall submit it to the Fund management council for reviewing and deciding. The Fund management council may consult an independent consultant before deciding if necessary.

Article 18. Acceptance and handling of topic result evaluation

1. According to the topic result evaluation of the scientific council, the lead organization and the leader shall register preservation in accordance with the regulations of the National Agency for Science and Technology Information.

2. The Fund management council shall issue a decision to recognize the topic result according to the evaluation of the scientific council and the registration certificate of science and technology task outcomes granted by the National Agency for Science and Technology Information.

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

4. 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 leader shall be banned from registration for leading a new topic for a period of 02 years since the decision is issued.

If there is any violation that leads to topic suspension, criminal prosecution or violation of scientific ethics, the leader 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.

5. The publishing and handover of topic results shall comply with effective regulations.

Article 19. Responsibilities of lead organizations

1. Responsibilities of lead organizations:

a) Support and create favorable conditions for the leader to complete the dossier of application for funding; cooperate with the leader 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 to the research team for carrying out the topic effectively;

c) Accept and support the topic leader 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 leader;

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

g) Perform tests of evaluation of the result, acceptance test and withdraw the fund (if any) according to regulations;

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

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

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

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

Article 20. Responsibilities of leaders

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 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 lead organization to storage and submit the results of topic researches at the National Agency for Science and Technology Information according to regulations.

5. Leader 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, press, intellectual property and other regulations of the Vietnamese law.

Chapter IV

IMPLEMENTATION CLAUSE

Article 21. Effect

1. This Circular takes effect on February 01, 2015 and replaces the Regulation on the implementation of unplanned or newly arising science and technology tasks of great scientific and practical importance, potential but risky science and technology tasks promulgated together with the Fund management council’s Decision No. 32/QĐ-HĐQLQ dated September 14, 2012.

2. Topic approved by the Fund before this Circular’s effective date continue to apply the Regulation on the implementation of unplanned or newly arising science and technology tasks of great scientific and practical importance, potential but risky science and technology tasks promulgated together with the Fund management council’s Decision No. 32/QĐ-HĐQLQ dated September 14, 2012.

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./.

ANNEX

SAMPLE FORMS
(issued together with the Minister of Science and Technology’s Circular No. 40/2014/TT-BKHCN dated December 18 2014)

Form ĐXTN-01 Application form

Form ĐXTN-02 Application for registration

Form ĐXTN-03 Topic Explanation

Form ĐXTN-04 Topic summary explanation

Form ĐXTN-05 Research capacity and facilities of the topic leading organization

Form ĐXTN-06 Academic credential

Form ĐXTN-07 Written confirmation of agreement of organizations registering for cooperation in researching the topic

Form ĐXTN-08 Document of beneficiary organization confirming the applicability of the research results

Form ĐXTN-09 Contract for scientific research

Form ĐXTN-10 Periodical report

Form ĐXTN-11 Document for topic result evaluation

Form ĐXTN-12 Consolidated report on the results of the execution of the topic

APPLICATION FORM

1. Topic name:...................................................................................................................

........................................................................................................................................

........................................................................................................................................

........................................................................................................................................

2. Field: ¨ Social Sciences and Humanities ¨ Natural Sciences and Technologies

3. Line of business:.............................................................................................................

4. Type of topic: ¨ Unplanned ¨ Potential

5. Name of the leader of the topic:......................................................................................

6. Lead organization:...........................................................................................................

7. List of documents included in the application dossier:

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
----------------

APPLICATION FOR REGISTRATION OF

UNPLANNED AND POTENTIAL TOPIC

A. General information

B. Leader of the topic and related organization

C. Declaration

Lead organization and leader of the topic hereby declare that all information provided in the application dossier is accurate and that the application has been prepared with the agreement of all participants.

EXPLAINATION

UNPLANNED AND POTENTIAL TOPIC

I. GENERAL INFORMATION OF THE TOPIC

II. OBJECTIVES, CONTENTS OF SCIENCE AND TECHNOLOGY, PLAN FOR EXECUTION OF TOPIC

*Only record individuals listed in Section I.8

III. SCIENTIFIC AND TECHNOLOGICAL PRODUCTS OF THE TOPIC

COST ESTIMATES FOR TOPIC

Unit: VND

EXPLAINATION OF EXPENSES

Clause 1. Labor

Unit: VND

Clause 2. Material, energy

Unit: VND

Clause 3. Equipment, machinery

Unit: VND

[1] Only remaining equipment and value are specified without addition to total budget of Clause 3

[2] Only specify this when the lead organization is an enterprise

Clause 4. Small construction

Unit: VND

Clause 5. Other expenses

Unit: VND

TOPIC SUMMARY EXPLAINATION

UNPLANNED AND POTENTIAL TOPIC

RESEARCH CAPACITY AND FACILITIES OF THE LEAD ORGANIZATION

A. Name of the topic registered by lead organization:

B. Information on lead organization:

ACADEMIC CREDENTIAL

1. Personal information

2. Training progress:

3. Working progress:

4. Foreign Language (by levels: A- Weak, B- Medium, C- Fair; D- Proficient)

5. Experience and research achievements

5.1. Main research pursuit:

5.2. List of research topics/projects participated that relevant to the topic over the past 5 years (up to the time of submission):

5.3. Published research projects related to the topic over the past 5 years up to the time of submission (Listed articles and monographs by: author name, name of the published research result, journal title/publisher, ISSN number, issuance number, page, year of release)

5.3.1. Research results published or internationally registered

- Specialized academic magazines:

- Monographs:

5.3.2. Research results published or nationally registered

- Specialized academic magazines:

- Monographs:

5.4. The author of inventions, plant variety granted the protection title or had the research result applied in practice over the past 07 years up to the time of submission of dossiers.

5.5. Science award related to the topic (if any).

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
----------------

WRITTEN CONFIRMATION OF AGREEMENT ON COOPERATION IN EXECUTION OF THE TOPIC

To: National Science and Technology Development Fund

1. A. Name of the registered topic:...........................................................................

Field: ¨ Social Sciences and Humanities ¨ Natural Sciences and Technologies

Line of business:...................................................................................................................

Type of topic: ¨ Unplanned ¨ Potential

2. Organization and individual registering to lead the topic

Name of lead organization:...................................................................................................

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

Representative:.................................................... Position...............................

Leader of the topic:.............................................................................................

3. Organization registering to cooperate in the execution of the topic

Name of lead organization:...................................................................................................

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

Representative:.................................................... Position...............................

4. The content of works involved in the topic of the research cooperating organization:

(Specify the contents of work registered for participation in accordance with the topic explanations, the dossiers of registration and send it to the National Science and Technology Development Fund)

If the topic is sponsored, we hereby declare to complete legal procedures for obligations and interests of each party to implement best and timely the objectives, content and products of the topic.

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
----------------

CERTIFICATION

PRACTICAL APPLICATION OF RESEARCH RESULTS

To: National Science and Technology Development Fund

1. Name of the topic

............................................................................................................................................

Field: ¨ Social Sciences and Humanities ¨ Natural Sciences and Technologies

Line of business:.................................................................................................................

Type of topic: ¨ Unplanned ¨ Potential

2. Organization and individual registering to lead the topic

Name of lead organization:.................................................................................................

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

Account number:.....................State Treasury/Bank: ...................................................

Representative:.................................................... Position...............................

Leader of the topic:.............................................................................................

3. Organization applying the research results

Name of lead organization:.................................................................................................

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

Representative:.................................................... Position...............................

4. Expected research result:

(Specify the registered scientific and technological products and solutions with detailed requirements on quantity and quality in accordance with the topic explanations, the dossiers of registration and send it to the National Science and Technology Development Fund)

5. Plans of practical application of research results:

(Explain the plan for the application of research results if the execution is successful as planned)

6. Capability of the organization applying the research result:

(Explain the capability and experience in applying the research results of the organization)

If the topic is sponsored and the research results are completed in accordance with the registered quantity and quality, we hereby declare to apply the research results of the topic.

CONTRACT OF SCIENTIFIC RESEARCH

(Use for fundamental research topics)

No. ...../20.../ĐXTN

Pursuant to the Civil Code dated June 14, 2005;

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

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

Pursuant to the Joint Circular No. ................/TTLT-BTC-BKHCN dated .......... of the Ministry of Finance - Ministry of Science and Technology on the charter of financial organization of the National Science and Technology Development Fund;

Pursuant to the Circular No. ................/TT-BTC-BKHCN dated .......... of the Ministry of Science and Technology on guiding the fixed funding assignment regime of themes, projects of science and technology using state budget;

Pursuant to the Ministry of Science and Technology’s Circular No. 40/TT-BKHCN dated December 18 2014 on the management of unplanned science and technology tasks of great scientific and practical importance, potential science and technology tasks aided by the National Science and Technology Development Fund;

Pursuant to the Minister of Science and Technology’s Circular No. 05/2014/TT-BKHCN dated April 10 2014 on guiding contract form of scientific research and technological development;

Pursuant to the Head of the Fund management council’s Decision No. ............ dated .......... on approving the list and budget for  unplanned science and technology topics that have great scientific and practical importance/state-level potential science and technology topics implemented since .......,

WE INCLUDE THE FOLLOWING PARTIES:

Party A: NATIONAL SCIENCE AND TECHNOLOGY DEVELOPMENT FUND

Represented by Mr.

Position:

Phone:

Address:

Account number:.....................State Treasury: ...................................................

Budget-using unit code:

Party B: (Lead organization)

NAME OF LEAD ORGANIZATION:

Represented by Mr/Mrs

Position:

Phone:                                      Fax:

Address:

Transaction name at the State Treasury:

Account number:.....................State Treasury: ...................................................

Budget-using unit code:

Leader of the topic:

Academic title:

Workplace

Company’s phone:...................Mobile:...............Fax:

Address:

Email

The parties agree to sign the contract of execution of science and technology topics (hereinafter referred to as Contract) as follows:

Article 1. Funding for topic implementation

Party A sponsors funds for Party B to implement unplanned science and technology topics that have great scientific and practical importance/potential science and technology topics “............” ((Hereinafter referred to as topic) - Code: ......... in accordance with the contents of the topic explanation. The topic explanation has been approved by a competent authority (hereinafter referred to as the explanation).

Explanation and Appendices are integral parts of the Contract.

Article 2: Time of contract performance

The duration of contract performance is ........ months, from month.... year 20.... to month ...... year 20.... (Excluding waiting time for acceptance and finalization of the contract).

Party B will perform the aforementioned topic in accordance with the agreements as recorded in this contract.

Article 3. Topic implementation funds

Total budget:........................(In words:.....) in which:

- Funding from the State budget:............................. (in words.....).

- Funding from other sources:............................. (In words.....) (If any). Funding provision progress:

a) Funding provision phase 1:

b) Funding provision phase 2:

c) Funding provision phase 3:

Article 4. Rights and obligations of parties

1. Rights and obligations of Party A

a) Provide necessary information for the organization and execution of topic;

b) Provide funding from the source of financing of Party A to Party B to carry out the topic according to the progress of the contract when Party B fully meets the requirements to be funded of Party A.

c) Approve bidding and material purchasing plans of the topic using funding from the budget aided by Party A (if any);

d) Before each funding phase, according to the report on the implementation of the topic of Party B, Party A shall, based on the finished products and work volume as stated in the explanation, continue funding for the performance of the contract. Party A may change the progress or stop providing funding if Party B does not ensure the punctuality and contents of the assigned works;

dd) Organize the evaluation of periodical reports on the progress and results of the implementation of the topic (scientific content and funding);

Conduct regular or unplanned examination to evaluate the topic implementation of Party B according to the explanation;

e) Timely review and settle proposals and suggestions of Party B on the adjustment of professional contents, funding and other issues arising in the implementation of the topic according to its competence or submit to competent authorities for settlement.

g) Organize the evaluation and acceptance test on topic results of Party B according to requirements and criteria specified in the explanation;

h) Finalize the contract with Party B according to effective regulations;

i) Authorize Party B to apply for protection of intellectual property for the topic result according to regulations;

k) Conduct other rights and obligations according to the Law on science and technology and related documents.

2. Rights and obligations of Party B

a) Organize sufficient research contents of the topic to meet the requirements on quality, progress and result according to the explanation;

b) Request Party A to provide necessary information for the organization and execution of contract;

c) Propose and suggest adjustments on the professional contents, funding and time limit of the contract if necessary;

d) Use budget properly, frugally and efficiently;

g) Develop a plan for procurement of raw materials and equipment with the funds allocated by Party A (if any) and submit it to Party A for approval and carry out procurement in accordance with the law.

h) Comply with regulations in the implementation of contract. Create favorable conditions and provide sufficient information for management authorities in the supervision, examination and inspection of the topic according to regulations;

i) Send periodical reports (once every 12 months from the day on which the contract is signed) to Party A and unplanned reports on the implementation of topic upon the request of Party A.

Within 30 days from the end of the duration of contract implementation, Party B shall formulate and send a consolidated report on the topic result to Party A.

If topic cannot be completed within the contractual time limit, at least 60 days before the end date of the contract, Party B shall report in writing, explain reasons and request for extension of the topic to Party A. Within 30 days, Party A give a written response on whether the extension of the deadline of the topic is granted or rejected.

k) Finalize the contract with Party A according to effective regulations;

l) Apply for protection of intellectual property for the topic result as authorized by Party A;

m) Publish the topic result after Party A consented;

n) Be entitled to the copyright including benefits (if any) obtained from commercial exploitation of the topic result according to regulations;

o) Transfer scientific research results according to regulations of Party A and competent authorities;

p) Report the research results to Party A. Acknowledge the sponsorship of Party A in the announced and published research results of the topic as well as in other activities related to the topic as follows:

- For English documents: “This research is funded by Vietnam National Foundation for Science and Technology Development (NAFOSTED) under grant number:......”

- For Vietnamese documents: “Nghiên cứu này được tài trợ bởi Quỹ Phát triển khoa học và công nghệ Quốc gia (NAFOSTED) trong đề tài mã số:......”.

q) Conduct other rights and obligations according to the Law on science and technology and related documents.

Article 5. Termination of contract

This contract is terminated in the following cases:

1. The topic is finished and accepted.

2. There is a ground to confirm that the implementation or continuation of implementation of topic is unnecessary and both parties consent to terminate the contract before deadline.

3. Party B is banned from carrying out the topic according to decisions of competent authorities.

4. Party B does not submit the dossiers to perform tests of evaluation for acceptance according to regulations.

5. Party A violates one of the following conditions leading to the discontinuance of the topic:

a) Does not provide sufficient funds according to the progress of the topic without plausible reasons;

b) Does not handle proposals and suggestions of Party B in time according to regulations.

Article 6. Handling of financial issues upon termination of contract

1. Finished and accepted topics:

a) If the topic is completed and assessed as satisfactory or above, Party A shall make full payment to Party B according to the regulations this contract;

b) If the topic is completed and assessed as unsatisfactory, Party A shall review and settle the funding of Party B according to the conclusions of the evaluation council or independent evaluators on the causes, responsibilities and contents of the works performed by Party B that have actual evaluated products;

Party B shall refund all state budgets that have been allocated but not yet used. Used funds shall be handled in accordance with cases where the topic is not completed as prescribed in Article ...Circular No. .... dated .....

If the topic is not completed because one of the representatives of Party B has passed away but the two parties cannot agree on the replacement of the representative, the remaining representative of Party B shall refund to Party A the amount of funding that has been allocated but not yet used. Regarding the funds that are already allocated and used, both parties shall coordinate in determining the volume of deployed works in conformity with the used funds to serve as the basis for settlement according to regulations.

2. The topic is terminated because there is a ground to confirm that the implementation of topic is unnecessary:

a) If the topic is terminated because there is a ground to confirm that the implementation of topic is unnecessary, both parties shall cooperate in determining the volume of deployed works to use as a ground for payment of funds used by Party B for the purpose of the implementation of the contract and recover of the remaining funds allocated to Party B;

b) In cases where both parties agree to sign a new contract for replacement and the research result of the old contract is an integral part of the research result of the new contract, the amount of funding allocated to the old contract shall be accounted into the funding allocated to the new contract and be continued according to the new contract.

3. If the topic is suspended in accordance with the decisions of competent authorities or the contract is terminated because Party B does not submit the dossiers to perform tests of evaluation for acceptance according to regulations, Party B shall refund all state budgets that have been allocated but not yet used according to decisions of competent authorities and effective regulations.

4. If the topic is not completed because Party A violates the conditions leading to the discontinuance of the contract, Party B shall not reimburse the funds used to implement the topic but still need to make the final settlement according to the law.

Article 7. Handling of assets upon termination of contract

1. Upon the termination of the contract, the handling of assets purchased or formed by the State budget funds allocated to the project shall comply with the provisions of law.

2. When the products using the state budget are sold in the market after subtracting the necessary and valid expenses, they shall be divided according to the provisions of law.

Article 8. Other terms

(Contents of the term shall be made in accordance with management requirements of the Fund at the time of signing and agreed by both parties)

Article 9. Declaration

1. During the implementation of contract, if either party requests adjustments of the contents or there is a ground to terminate the implementation of contract, such party shall notify the other party at least 15 working days before the adjustments or termination of contract and determine responsibilities of each party and handling methods. The adjustments (if any) must be in writing with sufficient signatures of both parties and shall be treated as an integral part of the contract and is the ground for assessment and acceptance of topic result.

2. If either party, due to a force majeure event, cannot or delay the fulfillment of the obligations agreed upon in the Contract, it shall notify the other Party within 10 business days from the occurrence of the force majeure event. Both parties shall cooperate and determine the reasons, then report to competent state authorities for handling according to the provisions of law.

3. Both parties shall declare to comply with the provisions of the contract and cooperate in handling problems arising in the implementation. The violating party shall take responsibilities as prescribed by law.

4. All disputes arising during the progress of contract performance shall be negotiated and settled by both parties. If the disputes cannot be settled through negotiations, either party may bring the disputes to an arbitration or competent court for settlement according to the Civil Procedure Code.

Article 10. Effect of the contract

This contract takes effect from the signing date. This contract includes... pages and made into 08 copies, all copies being equally authentic, each party shall keep 04 copies././.

PERIODICAL REPORT

ON THE IMPLEMENTATION OF UNPLANNED AND POTENTIAL TOPIC

Submission date: date... month..., .....

4. Topic implementation (The implemented research contents  must be listed in detail according to the progress of the topic explanation, must mention the process of finishing the manuscript, publishing the research results and specifying what content in the topic is used for publishing).

4.1. Main tasks have been done from date .../.../... to the reporting period:

4.2. Results/products completed to the reporting day:

4.3. Training results (Specify the quantity in appropriate boxes):

(*) Attach the decision on recognition of post-graduate student/research student in cases the dissertation/thesis has not been defended; decision on the recognition of the academic title the degree and the award of the Doctoral/Master's degree if the subject has defended his/her thesis/dissertation.

4.4. Unfinished works; arising disputes, changes from the original plan (specify the reason – if any):

4.5. Self-evaluate the achieved results compared to expectations:

4.6. Works need to be implemented in future:

5. Budget:

5.1. Funding provided for the 1^st time

5.2. funding used in the reporting period

5.3. Funding has not been used, transferring to the next period:

6. Conclusions and recommendations: 

Name of organization:

DETAIL REPORT ON USING THE TOPIC BUDGET

Code of the topic:

Name of the topic

Full name of leader of the topic:

Execution time: ...months (from to ) including extended time

Unit: VND

To: National Science and Technology Development Fund

Pursuant to the Ministry of Science and Technology’s Circular No. .../2014/TT-BKHCN dated .... 2014 on the management of unplanned science and technology tasks of great scientific and practical importance, potential science and technology tasks aided by the National Science and Technology Development Fund.

(Name of the lead organization) hereby request the National Science and Technology Development Fund to consider and organize the evaluation and acceptance of the results of the following scientific and technological topic:

Topic name:...................................................................................................................

Code:.................................................................

Contract number:....................................................

The duration of contract performance is from .............to.....................................

Extended to (if any) ....................................

Leader of the topic:.............................................................................................

Enclosed together with this document is the dossier for topic result appraisal, including:

1. Consolidated report on the topic result, detail report on using the topic budget;

2. The contract and the approved topic explanation;

3. Records of the topic execution (including the periodical reports on the topic execution);

4. Other documents related to the execution of the topic (if any);

5. Documents on the measurement, appraisal and evaluation of products of the topic made by competent authorities (if any);

6. Written certification and documents related to the publication, publishing, reception and use of the result of the topic research (if any);

7. Design drawings (for products which are machines, equipment, etc.), the survey data, original survey, journal or sourcebook of the topic (if any).

8. Other related documents (if any). Quantity of the dossier:

- 01 original copy of the aforementioned documents with hardcover;

- 01 electronic copy and files of the reports (PDF, no password).

We hereby request the National Science and Technology Development Fund to consider and organize the evaluation and acceptance of the results of the topic result./.

PART I. GENERAL INFORMATION

1. Name of the topic

2. List of the leader and members participating in the execution of the topic:

3. Lead organization:

4. Execution time:

4.1. In the contract: ......months, from (mm/yyyy) to (mm/yyyy)

4.2. Extended (if any) ..........months

4.3. Actual execution: ......months, from (mm/yyyy) to (mm/yyyy)

5. Total approved budget of the topic:........................million VND.

PART II. RESEARCH CONTENT AND RESULT

1. Objectives

2. Research content and scope

3. Research approach and research method

(Describe in detail the research approach and methods that have been used to solve the problem, implementation steps, the experimental procedure, etc)

4. Research result

4.1. Analysis, data arguments, research results:

(Short description of the research results and experiments. The results should be based on the scientific data obtained during the research, the experiment of the research or based on the comparison with the research results and experiments conducted by other authors through reference materials. Highlight the new research results of the topic by specific evidences)

4.2. Evaluation of research result

Identify products, scientific and technological solutions and the practical application, plans to transfer; clarify the scientific and practical basis for the problem-solving level of these products.

5. Changes compared to initial explanation

(Research objectives, contents, methods, results and implementation; Reasons)

PART III. ANNOUNCEMENT AND TRAINING RESULTS

1. Result announcement

The number of announced topics compared to registered topics:

(Announced/registered)

- Articles published in prestigious ISI magazines

- Articles published in prestigious international magazines

- Patent/Patent of useful solutions/Patent of plant variety

- Other result announcement

2. Training results

Notes:

- Include full text of statements.

- Announced project:

+ List articles published in magazines in the order of <author name, publication year, project name, magazine/publisher name, project included magazine number, page, work code on the magazine/monograph (DOI), ISI magazine type;

PART IV. USING THE TOPIC BUDGET

PART V. RECOMMENDATIONS

(On the developments of topic research results; the management and implementation at all levels)

Name of organization:

DETAIL REPORT ON USING THE TOPIC BUDGET

Code of the topic:

Name of the topic

Full name of leader of the topic:

Execution time: ...months (from to) including extended time

Unit: VND